When training miners to prevent and cope with mine emergencies, it is important to have them
collaborate and work as teams. To promote collaborative learning and problem solving, the
simulation exercises are usually presented to small groups of three or four miners. As they
interact with the story and each other, the miners usually have lively discussions about the
predicaments and decision alternatives.

The interactive problem solving stories have been found very effective through field tests with
3,658 miners in 8 states. The exercises have changed the way miner annual refresher safety
training is conceptualized and practiced. Greater emphasis is placed upon learning that requires
collaboration and active problem solving. Trainees must integrate their practical knowledge and
experience with the mandatory safety and health content presented in miner training classes. To
date, more than 500,000 copies of these exercises have been distributed by MSHA’s mine training
academy.

B. Fear Messages

Fear messages are a commonly used strategy for encouraging self-protective behavior. Fear
messages may emphasize threats to physical safety, health, social functioning, financial well-being,
or other risks. Fear messages usually include an alarming description or portrayal of the way
someone could be harmed, followed by an explanation of appropriate self-protective actions.
Those who make use of fear messages hope that employees will perceive the recommended self-
protective actions as leading to a reduction of the threat, and that they will begin following the
recommendations. Research shows that these messages often produce significant changes in
attitudes and intentions to perform self-protective acts or avoid unsafe acts [Leventhal 1970;
Sutton 1982]. However, only a small number of studies have shown that they have a long-term
impact on behavior. All too often, training designed to increase employees’ fear of a particular
type of accident has, at best, only a short-term effect on behavior.

One should not rely solely on fear messages as a means of preventing employees from
performing unsafe acts. It may be more advisable to use fear messages with new employees than
those who have been employed for a time and have had a chance to form various unsafe work
habits, It seems especially important that new employees fully appreciate the risks and the
severity of the potential consequences of following unsafe work practices. Once an unsafe habit
has formed, it is difficult to break. Rather extreme forms of influence must be used to stop the
habitual behavior, and if the influence is not applied long enough for the new safe work habit to
become well established, the old habit will soon return.

Cohen et al. (1985) suggest that the following are likely to maximize the effectiveness of fear
communications: (a) the message should attempt to evoke a high (versus low) level of fear--high
fear of personal injury or death due to a particular type of accident and high fear of the
consequences of one's death or disability on one's family; (b) the suggested preventive actions
should be relatively detailed and specific, © the message needs to show exactly what types of
tasks are considered dangerous and how these tasks can be performed without making oneself
vulnerable to an accident; (d) it should be made clear that the suggested preventive actions are an
effective deterrent to being harmed; (e) the source of the communication should have high
credibility; (f) face-to-face, two-way forms of communication should be employed (as well as
other forms).


L_ Management

A great deal of research evidence has accumulated which, not too surprisingly, indicates that
good coal mine safety performance is difficult, if not impossible, to achieve without management's
commitment to this goal [DeMichiei et al. 1982; Gaertner et al. 1987; National Academy of
Sciences 1982; Pfeifer et al. 1976]. More specifically, research suggests that mine safety
performance is influenced by three factors that mine managers are in a position to influence: the
extent to which the workforce is actively involved in identifying safety problems and solutions,
the extent to which labor-management relations are favorable; and the use of safety incentive
plans. The research evidence regarding each of these three factors is reviewed below:

A. Workforce Involvement

Using structured interview guides and questionnaires DeMichiei et al [1982] collected
information from miners, mine managers and safety officials at 21 underground coal mines with an
exceptionally high rate of accidents, and from the same personnel at another 19 mines that all had
an exceptionally low accident rate. He found that mine managers and safety officials were
significantly more likely to report that good ideas fostered by miners get more serious
consideration from management at low-rate mines than at high-rate mines. He makes the
following observations based on his interviews with miners: (1) At several low-rate mines, miners
indicated that individuals in key management positions were receptive and responsive to miner
requests, and frequently solicited input from the miners concerning mine policies and procedures,
and that management earnestly encouraged interaction between themselves and labor
representatives. (2) Miners at several high-rate mines believed management to be one-sided, since
they had little input into the decision making process. Questionnaire responses indicated that
miners in low-rate mines reported safety and health hazards to their foreman more often than
miners in high-rate mines.

To effectively receive input from their employees, management must work at cultivating a
different kind of attitude among workers--a perception that management thinks their ideas are
important and takes them seriously. Various techniques for obtaining greater input and
involvement from coal miners have been studied. The better ways involve regularly setting aside
time to hold in-depth discussions about safety issues with those who work at the mine. Three
examples are presented

1. Employee surveys

Because miners are very familiar with their working environment, they are probably in the best
position to understand what types of situations arise that make it difficult to follow safety rules
Most safety experts agree that they should be asked to identify such situations, and to suggest
what might be done to prevent these situations from occurring. Employee survey results may help
to reveal aspects of equipment, work procedures, or policies that may be inadvertently
encouraging employees to violate safety rules. Peters and Randolph [1992] conducted structured
interviews with 297 underground coal miners to discover the reasons miners violate safety rules
that lead to injuries and deaths from roof fall accidents. These miners made many valuable


DeMichiei J, Langton J, Bullock K, Wiles, T [1982]. Factors associated with disabling injuries in
underground coal mines. U.S. Department of Labor, U.S. Mine Safety and Health
Administration, June, 72 pp.

DOL [1996]. U.S. Department of Labor, Mine, Safety, and Health Administration (MSHA).
Catalog of Training Products for the Mining Industry. Published by National Mine Health and
Safety Academy, Beckley, WV.

Gaertner GH, Newman PD, Perry MS, Fisher GP, Whitehead K [1987]. Determining the effects
of management practices on coal miners’ safety. Westat, Inc. contract no. J0145029. U.S.
Department of Interior, U.S. Bureau of Mines, OFR 39-88; NTIS PB 88-221445, 348 pp.

Gallagher S [1992]. Acceptable weights and physiological costs of performing combined manual
handling tasks in restricted postures. Vol. 34, no. 7. Ergonomics, pp. 939-952.

Gallagher S, Mayton AG, Unger RL, Hamrick CA, Sonier, P [1996]. Computer design and
evaluation tool for illuminating underground coal mining equipment. Vol. 25. Journal of the
Illuminating Society, Winter, pp. 3-12

Goodman P [1987]. Determining the effect of incentive programs on the occurrence of accidents,
injuries, and productivity. Carnegie-Mellon University contract no. JO145012. U.S. Department
of Interior, U.S. Bureau of Mines, OFR 47-88; NTIS PB88-234257, 1987, 143 pp.

Goodman PS [1979]. Assessing organizational change: the Rushton quality of work experiment.
Wiley, 391 pp.

Hamrick CA, Gallagher S [1994]. Job design: an effective strategy for reducing back injuries. In
Improving safety at small underground mines; compiled by Peters R. U.S. Department of
Interior, U.S. Bureau of Mines special publication 18-94, pp. 48-54

Imada AS [1991]. The rationale and tools of participatory ergonomics. In: Participatory
ergonomics, ed. by Noro K., Imada A. Taylor and Francis, New York, pp. 30-49.

Leventhal H [1970]. Findings and theory in the study of fear communications. In: Advances in
experimental social psychology, ed. by Berkowitz L. Vol. 5. Academic Press, pp. 119-186.

McAfee R, Winn A [1989]. The use of incentives/feedback to enhance work place safety: A
critique of the literature. Vol. 20, no. 1. Journal of Safety Research, pp. 7-19

NAS [1982]. National Academy of Sciences--National Research Council: Toward safer
underground coal mines, 190 pp.

O'Green JR, Peters RH, Cecala A [1992]. American electric power fuel supply's ergonomic
approach to reducing back injuries. Proceedings of the 23rd Annual Institute on Coal Mine


construct materials handling devices for underground mines have been developed by U.S. Bureau
of Mines researchers. Several of these materials-handling devices have been used successfully in
underground operations to decrease worker exposure to hazardous manual lifting tasks [Unger
and Conway 1994a]. As mentioned previously, a few mines have formed ergonomics committees
to guide the process of developing and implementing new ways to reduce the amount of materials
that have to be moved manually, and these mines have been successful at reducing the incidence
of back injuries.

B. Illumination

Poor visibility in underground work areas contributes to many serious accidents. Restricted
fields of vision are a common problem with underground mining equipment, particularly in lower
seams. Also, when manufacturers provide lighting systems underground, they occasionally
position them where they may cause glare. This restricts the visibility around the machines even
further. To help address these problems, U.S. Bureau of Mines researchers have developed CAP
(Crewstation Analysis Programs), an easy-to-use PC-based software package to aid in the analysis
of the visibility aspects of mining equipment design [Unger 1994]. The software is available for
use by mine operators and equipment manufacturers for design work on new machines, and for
evaluating proposed modifications to machines already in use.

With CAP, one can build a virtual environment containing objects typically found in an
underground mine. One can then perform different types of analyses using this environment. CAP
currently contains two analysis programs that address operator visibility: the Statement of Test
and Evaluation (STE) Illumination model and the Visual Attention Location Line-of-Sight model
The CAP STE Illumination model is a computerized method for evaluating mine illumination
systems. This permits modification of lighting designs without using the time-consuming method
of building physical mockups and taking light readings manually. The CAP STE Illumination
model uses an analysis technique developed by Bureau researchers that greatly increases the
accuracy of near field illumination calculations [Gallagher et al. 1996]. The CAP Visual Attention
Location Line-of-Sight model assesses visibility from the operator's compartment for three classes
of mining machinery: shuttle cars, scoops, and continuous miners. This analysis program is based
on research that determined the visual requirements associated with the operation of these types
of equipment. The model determines the extent to which the machine design meets the visual
needs of the operator, given a geometric model of the machine, and information about the size of
the operator. CAP has been purchased by all the mine lighting manufacturers in the U.S. and is
being used by MSHA (the certifying agency) for evaluating mine lighting systems submitted for
approval.

C. Equipment Maintainability

“Maintainability” can be defined as the ease with which one can repair equipment safely in the
least amount of time. Equipment maintenance operations account for a persistently high
percentage of mining injuries. The most recent review of injury data on this topic showed that,
during 1978-88, maintenance accounted for over 25% of underground coal mining injuries.
Thirty-two percent of all machine-maintenance injuries involved the lower back, and 38% of all


changes was the creation of self-managing coal mine face crews. These crews were given the
entire responsibility for making all the decisions pertaining to the day-to-day production of coal
from their sections. Crew foremen were no longer involved in making production decisions.
Their primary responsibility was to maintain the safety of the crew. Changes that could have been
responsible for the observed safety improvements were: (1) The experimental group received
more formal training about safety practices and federal safety regulations. (2) New mechanisms
were introduced for motivating miners in the experimental section toward good safety practices
The work group was restructured to provide the men greater opportunities for feelings of
responsibility and accomplishment if safety levels improved. Periodic meetings with the miners
provided them with formal feedback on how safety behavior matched safety goals, they were a
problem-solving arena where new safety practices were developed, and, offered a direct
opportunity to reinforce good safety behavior. (3) The foremen in the experimental section were
no longer caught in the conflict between production and safety. They could expend all their
energies on safety. Foremen in the non-experimental sections had to continually balance
production and safety demands.

Safety was measured by the number and type of accidents, the number and type of violations,
ratings on the quality of safety made by independent observers as well as by the union and
management, and by qualitative reports from the on-site observers. The performance of crews in
the experimental section was compared to that of crews in two control group sections on these
measures of safety both before and after the intervention. The accident data was not a particularly
good measure of the intervention's effectiveness because the experimental section exhibited a very
low accident rate before the intervention even began. All other measures of safety performance
clearly indicated that the intervention had substantial positive effects on the safety of those who
worked in the experimental section. During this experiment, the productivity of the experimental
section was observed to increase by a slight amount relative to the control groups.

B. Management-Labor Relations

Quite a bit of evidence indicates that a favorable management-labor relationship has positive
effects on coal mine safety performance. Gaertner [1987] compared five coal companies with a
relatively good management-labor relationship to five other coal companies experiencing a
relatively poor management-labor relationship. He observed a striking difference in the safety
records of these two groups; the average injury rate for companies with a negative labor relations
climate was almost double that of the companies with a positive climate. The two groups of
companies were also compared in terms of the average annual rate of Mine Safety and Health
Administration (MSHA) citations per mine for "significant and substantial" safety violations. He
found that the rate of violations for companies with positive labor relations was only about a third
as high as the rate for companies where labor relations were relatively negative.

Similar results were obtained from an independent study performed by the National Academy
of Sciences [1982]. Researchers collected data from 12 large underground coal mines. Seven of
these mines had very low injury rates and five had very high injury rates. The researchers noted
that: “at all seven mines with low injury rates there appeared to be a cooperative attitude between
management and labor, an antagonistic attitude was observed in three of the five mines with high
injury rates."


suggestions for redesigning equipment and work procedures such that the temptations to violate
safety rules are eliminated or reduced. These recommendations are being communicated
throughout the U.S. coal industry through publications and seminars. The number of deaths
caused by roof collapses has been reduced from about 50 per year in the early 1980s to less than
10 in recent years. Several improvements in the design of mining equipment and methods have
been made since 1980 which have had a significant impact on reducing the rate of roof fall
fatalities. These improvements include: new regulations requiring automated temporary roof
supports systems on roof bolting machines; new regulations requiring overhead canopy protection
for the operators of mobile face equipment (except in very low seam heights), and the
introduction of remote control continuous mining equipment.

2. Ergonomics committees

Another form of employee participation that appears successful at coal mining companies is
ergonomics committees [Hamrick and Gallagher 1994]. Although ergonomics committees can be
used to reduce the incidence of several types of injuries, they usually focus primarily on the
prevention of occupationally related musculoskeletal injuries. These committees should include
representatives from management, labor, engineering, maintenance, personnel, and the medical
and safety departments. [mada [1991] believes that it is particularly important to include
representatives from the front-line work force because they possess many good insights based on
their first hand experience, and because the likelihood of successful implementation of
ergonomically based changes is increased if the worker has some ownership in the ideas. Various
analysis techniques can be used to identify ergonomic problems throughout the mine. Once
hazards have been identified, then solutions can be formulated and implemented. The preferred
strategy is to redesign the job by eliminating the hazard, removing the worker from exposure, or
mechanizing the task. If these strategies are infeasible, then the job should be designed so that it
can be performed within the workers’ capabilities. After any ergonomic solution is implemented,
a follow-up analysis should be performed to ensure the effectiveness of the change and to guard
against the introduction of any new ergonomic or safety hazards. Physical fitness programs and
training are sometimes used to supplement job redesign.

Ergonomics committees are similar to Quality Circles in several respects. The committees
meet on a regular basis (e.¢., monthly) to generate new ideas for preventing accidents, and then
oversee their implementation and evaluation. One large U.S. coal corporation (American Electric
Power) began using this approach in the late 1980s to reduce the costs and incidence of back
injuries among their underground coal miners. The program has been highly successful. O'Green
et al. [1992] report a 41% reduction in back injuries over a 4-year period after ergonomics
committees were established.

3. Autonomous mining crews

The results of an experiment at Rushton Mining Company suggests that the creation of
autonomous mining crews may have been responsible for improvements in safety performance at a
room and pillar continuous mining operation [Goodman 1979; Trist et al. 1977]. Although this
intervention entailed making a number of changes to the organization, one of the most notable


Safety Health and Research. Blacksburg, VA: Virginia Polytechnic Institute and State University,
August 26, pp. 187-195,

Peters R, Randolph R [1992]. Miners’ views about why people go under unsupported roof and
how to stop them. U.S. Department of Interior, U.S. Bureau of Mines IC 9300, 59 pp.

Pfeifer C, Stefanski J, Grether C [1976]. Psychological, behavioral, and organizational factors
affecting coal miner safety and health. U.S. Department of Health, Education and Welfare
contract no. HSM 99-72-151. NTIS PB 275 599, 319 pp.

Rhoton W [1980]. A procedure to improve compliance with coal mine safety regulations.
Vol. 2, no. 4. Journal of Organizational Behavior Management, pp. 243-249.

Sleet D, Geller E [1986]. Do incentive programs for safety belt use work? Vol. 3. Focal Points,
pp. 1-2.

Sulzer-Azaroff B [1982]. Behavioral approaches to occupational health and safety. In: L.
Frederiksen, ed. Handbook of Organizational behavior management. New York: Wiley,
pp. 505-538

Sutton S [1982]. Fear-arousing communications: A critical examination of theory and research.
In: J. Eiser, ed, Social psychology and behavioral medicine. New York: Wiley, pp. 303-337.

Trist E, Susman G, Brown G [1977]. An experiment in autonomous working in an American
underground coal mine. Vol. 30, no. 3. Human Relations, pp. 201-236.

Turin F 1995]. Human factors analysis of roof bolting hazards in underground coal mines. U.S.
Department of Interior, U.S. Bureau of Mines RI 9568.

Unger RL [1994]. Crewstation analysis programs--an easy to use personal computer-based
lighting and visibility analysis software package for underground mining equipment. In:
Improving safety at small underground mines by Peters R. U.S. Department of Interior, U.S.
Bureau of Mines special publication 18-94, pp. 133-139.

Unger RL, Conway K [1994a]. Inexpensive, easy to construct materials-handling devices for
underground mines. In: Improving safety at small underground mines by Peters R. U.S.
Department of Interior, U.S. Bureau of Mines special publication 18-94, pp. 168-174

Unger RL, Conway K [1994b]. Impact of maintainability design on injury rates and maintenance
costs for underground mining equipment. In: Improving safety at small underground mines by
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to change. Slect and Geller [1986] and Cohen et al. [1979] recommend doing the following to
maximize the effectiveness of incentive plans:

- Find a baseline for the behavior or the condition (e.g., presence of a hazard) one wants to
change. This is usually done by looking at data from prior time periods, e.g., last month.

- Establish a specific criterion of success for earning the reward. Give rewards for small, but
significant improvements in performance. Rewards should be relatively small and should be given
relatively often, e.g., monthly.

- Supplement the incentive program with education. Explain why it is important to avoid the
unsafe act, cite accident statistics, show how to perform various tasks without exposing oneself to
a hazard, etc.

The use of safety incentives can arouse increased worker and company interest in job safety
However, incentive plans are no substitute for hazard control programs having well-established
safety training, housekeeping, safety inspection, and reporting functions. Rather, the incentive
approach is most effective when used to provide an added spur to an already well-designed hazard
control program.

IL_Workplace Design Interventions

It is often easier to eliminate threats to workers’ safety through manipulations of their
environment rather than attempting to persuade or train them to alter their work habits.
Therefore, it is important that injury prevention programs first seek to identify the reasons
employees might deviate from safe work practices, and then redesign the tasks and work
environment (e.g., tools, equipment, physical surroundings) so as to eliminate these reasons, U.S
Bureau of Mines researchers have significantly enhanced mine safety through several
improvements in the design of the underground coal miners’ workplace. Several examples are
described below

A. Redesigning Manual Lifting Tasks

The coal mining process often requires heavy labor that can exceed miners’ physical
capabilities. Manual handling of supplies, roof support materials, and equipment has resulted in a
high incidence of musculoskeletal injuries, particularly back injuries. Low back pain consistently
ranks as the leading cause of lost work days in coal mining. Recent research suggests that seam
height may be an important contributor to miners’ back injuries. In 1995, about half of all
underground coal miners worked in coal seams lower than 1.5 meters in height, and about one
fourth worked in seams lower than 1.25 meters. Low seam heights cause miners to assume
awkward postures, and prevent miners from using their leg muscles to lift heavy loads, as workers
in other industrial settings are taught. U.S. Bureau of Mines researchers have conducted
laboratory experiments to determine the maximum loads that miners can safely lift in stooped and
kneeling postures. For example, Gallagher [1992] found that worker lifting capacity was
decreased by 13-20% when lifting in the kneeling posture compared with upright lifting,

Recommendations based on the laboratory findings are being applied in several ways. For
example, suppliers of rock dust now offer the product in 18 kilogram bags rather than heavier
units. In concert with the laboratory research on back strength, a number of inexpensive, easy-to-


OVERVIEW OF U.S. RESEARCH ON THREE APPROACHES TO
ENSURING THAT COAL MINERS WORK SAFELY:
MANAGEMENT, WORKPLACE DESIGN, AND TRAINING

By Robert H. Peters,' George R. Bockosh,’ and Barbara Fotta’

ABSTRACT

This paper was commissioned by the Japan Technical Cooperation Center for Coal Resources
Development. It is to be published in a proceedings following a series of presentations to
Japanese coal officials in February 1997. The paper focuses primarily on summarizing the past 20
years of U.S. research on promising techniques for ensuring that underground coal miners work
safely. These techniques can be grouped into three major categories: management, workplace
design, and training. Each technique is described, and the results of efforts to apply the technique
at underground coal mines are summarized, Recent statistics on accidents and productivity in
US. underground coal mining operations are presented before the overview of research findings
is given. Because Japanese coal mines are using the longwall method of coal extraction, separate
statistics are given for U.S. longwall versus room-and-pillar coal mining operations.

INTRODUCTION

How can employees be encouraged to avoid hazards and follow safe work practices? The
usual techniques appear to be limited to verbal warnings made during safety talks about the
dangers of various unsafe acts and conditions, and in some cases, threats concerning disciplinary
actions that might be taken if employees violate certain safety rules. However, these techniques
have some significant drawbacks. The effects of verbal warnings to avoid dangerous acts or
conditions are often of short duration. After employees have heard these warnings a couple of
times, further repetitions of the warning probably have little or no impact. Supervisors are often
reluctant to use formal disciplinary actions because they wish to avoid interpersonal conflicts and
various other undesirable responses. Also, due to the physical layout of many mining operations,
it is very difficult for supervisors to be able to closely monitor whether their employees are
complying with the safety rules. This suggests that admonitions and the creation of regulations or
policies that threaten employees with punishment for violating safety rules are not a totally
sufficient answer. Other options need to be considered. The intent of this article is to review

‘Supervisory research psychologist.
*Research supervisor.
Research methodologist

Pittsburgh Research Center, National Institute for Occupational Safety and Health,
Pittsburgh, PA.


researchers performed a study of the hazards that exist during the roof drilling and bolt installation
procedures. Particular emphasis was placed on hazards associated with the fast feed lever and
movement of the drill head boom or mast. In addition to reviewing reports of roof bolter
fatalities, researchers videotaped miners operating roof bolting machines, interviewed roof bolter
operators, held discussions with manufacturers of roof bolting equipment, and reviewed past
research on roof bolter safety.

The research team developed a list of seven solutions which were then ranked based on their
ability to protect the operator, the time needed to develop and carry out the solution, and cost.
The solutions, ranked in descending order of importance, are: (a) use an interlock device to cut
off power to the controls when the operator is out of position, (b) provide fixed barriers at pinch
points and other dangerous areas, (c) provide better contro! guarding, (d) reduce the speed of the
fast feed, (e) use automatic cutoff switches for pinch points and dangerous areas, (f) redesign the
control bank to conform to accepted ergonomic principles, (g) use resin insertion tools and resin
cartridge retainers. The leading roof bolter manufacturer in the U.S. has adopted the project
team’s first recommendation. The other solutions have been carried out to various degrees by
mining companies and manufacturers [Turin 1995].

E. Safe Methods for Restoring Power To Continuous Mining Machines in Extended Depth Cuts

Over the past decade, there has been a dramatic growth in the number of U.S. mines using
radio remote control continuous miners to take longer cuts of coal. Using this technology, it is
usually possible to double the depth of cuts--from 6 to 12 meters. Unfortunately, after the
machine advances beyond the first 6 meters, it begins to go beyond the protection of roof
supports. Continuous miner operators are killed by falls of unsupported roof each year. During
interviews with 297 miners who work in continuous mining face crews, continuous miner
operators frequently reported that it is very tempting to go under unsupported roof to restore
power to the miner [Peters and Randolph 1992]. They usually just have to reset a circuit breaker
on the continuous miner. The time and effort required to do that is minimal compared to the time
and effort it takes to set temporary roof supports. Unfortunately, it is also very dangerous.
Therefore, the U.S. Bureau of Mines has developed two remote reset systems for use in deep-cut
coal mining [Brautigam and Kwitowski 1995]. They provide a way to remotely reset tripped
electrical circuit breakers.

The manual reset systems are very simple devices designed to give mine operators an easy
means to remotely reset circuit breakers. A worker controls the reset from beneath supported
roof by pulling on handles. The handles attach to cables that lead, through a protective conduit
and over pulleys, to the circuit reset lever. The second remote reset method is an electrohydraulic
system. It may be best suited for incorporation into new machines by continuous miner
manufacturers. It could also be applied to machines in the field, particularly during a rebuild. A
reset is controlled through a radio remote-control system that activates a hydraulic solenoid valve.
Both reset system designs have been tested at the Pittsburgh Research Center and have been
successfully demonstrated to the Mine Safety and Health Administration.


machine-maintenance injuries were the result of overexertion [Conway and Unger 1988]. These
numbers strongly suggest that mine equipment designers need to focus more attention on how to
ensure the safety of maintenance workers and minimize the costs of performing maintenance while
they are in the early stages of designing a new machine. Maintainability should be a designed-in
capability and not an add-on option. The following list is based on research funded by the U.S
Bureau of Mines. It is a list of typical design problems on underground mobile mining equipment
that could be addressed by incorporating maintainability into the original design of the equipment:
~ Inadequate access openings causing maintenance personnel to be unable to access failed or
suspected components to inspect or remove and replace them
~ Poor.layout of components in a compartment, necessitating removal and replacement of
unaffected parts to access the failed units
~ Inability to access mounting bolts or connectors or to use required tools
- Installing components in inaccessible interior cavities
- Running cables inside the frame or chassis where you cannot reach them
- Locating fasteners and mechanical interfaces where you cannot reach them physically unless the
machine is partially or completely disassembled
- Inadequate component handling capability and component machine interface design
- Inadequate design for routine maintenance, such as the inability to quickly remove and replace
leaking hydraulic hoses and water lines, remove and replace failed hydraulic valves, do routine
lubrication, and perform visual and physical inspections
- Inadequate fault isolation capability, such as difficulty determining the precise cause and location
ofa failure, reaching components to do visual inspections and to perform checks, limited or no
designed-in fault diagnostic capabilities, lack of effective failure indices
~ Increased maintenance burden resulting from poor design and placement of components,
subjecting them to damage
- Poor design with respect to resources available, such as the need for maintenance personnel to
build tools, handle 45 to 450 kilogram components, or use brute human strength to overcome
poor component interface design or lack of needed tools
- Equipment complexity resulting from poor layout, such as the crowding of components into
compartments without regard for the need to maintain or replace individual items, overlaying
hoses and power cables, and making removal and replacement difficult
- Multiplying the number of valves, connectors, and other high-frequency replacement
components as a design convenience

Conway and Unger [1988] conclude that the successful application of maintainability design
principles to underground coal mining equipment could reduce preventive maintenance and
corrective maintenance time by 40% to 70%, maintenance labor costs by 10% to 25%, and
maintenance risk significantly. NIOSH researchers are currently developing a detailed set of
guidelines to assist those who wish to ensure that maintainability principles are applied to the
design of mobile equipment for underground mines [Unger and Conway 1994b]

D. Redesigning Roof Bolting Machine Controls

During the past decade, several roof bolting machine operators have been caught and crushed
to death by the powerful hydraulic drill boom. In 1994, a team of U.S. Bureau of Mines


How can management cultivate a positive relationship with labor? This is a complex issue.
Although there are no guaranteed formulas for maintaining a good relationship, it is probably safe
to say that effective lines of communication are a prerequisite. These research findings suggest
that open lines of communication need to exist between all levels of management and labor so that
unsafe conditions or practices can be corrected, and employees can feel free to discuss and resolve
safety issues without fear of adverse action. Management and labor representatives should take
the lead in cultivating a cooperative atmosphere at the mine via joint informational meetings,
safety inspections of work places, and increased interaction with the general work force.

C. Incentives and Feedback

Incentives have been found to be effective in improving employee compliance with safety rules
in a rather large number of studies conducted in several types of U.S. industries [McAfee and
Winn 1989; Sulzer-Azaroff 1982]. However, the research evidence relating to underground coal
mining is rather limited. Rhoton’s [1980] study is perhaps the best example of an incentive plan
that was highly effective at reducing hazardous conditions at an underground coal mine. The
purpose of this study was to determine the effects of an incentive plan on the rate of MSHA
(federal government) safety inspector ventilation violation notices. The experimenter's goal was
to receive zero violation notices during the intervention phase. On a random basis, there was one
inspection every week. During each inspection, 5 critical performance variables were monitored.
(a) making a methane gas check at the working face every 20 minutes; (b) maintaining a flow of at
least 85 cubic-meters-per-minute of intake air behind the line brattice; (c) maintaining proper
calibration of equipment methane monitors; (d) keeping the line brattice to within 3 meters of the
working face; and (e) keeping the area behind the line brattice free of accumulation of loose coal
dust.

When the target behaviors were in compliance, the crew members and the foremen were
praised. Furthermore, graphic feedback of the ventilation violation notices were presented in the
mine office. To supplement these graphs, verbal feedback was delivered biweekly by the
experimenter during regular safety meetings with the foremen. When a section was found to be
non-compliant, the experimenter would stop production of coal until the hazardous condition was
corrected. During a three-month baseline period, the mean number of ventilation citations issued
per month was 2.6, based upon a mean of 13.3 inspection days per month. During the
intervention phase, the mine operated for 10 consecutive months without a single ventilation
citation. The results of this study suggest that compliance with safety requirements can be
increased with the use of frequent observation, contingent positive feedback, and praise.

Through research funded by the U.S. Bureau of Mines, Goodman [1987] performed an
assessment of safety incentive programs in use at four underground coal mines during the mid-
1980s. He found that none of the programs he examined were properly designed, and that they
did not appear to produce any improvements in mine safety performance.

Although incentive plans have been found to be extremely effective in motivating many types
of self-protective employee behavior, there are some limitations to this approach. For incentives
to affect behavior, it is important that people see a close connection between their actions and the
receipt of a positive outcome (or avoidance of a negative outcome) as a result of their action
One must be able to consistently and accurately measure the employee behavior that one wishes


Table 3 -- Accidents causing lost time injuries at longwall mines (N = 6,017)

Type of Accident Number of Lost Time
Injuries Injury Rate!
Handling material 2,218 3.97
Slip or fall of person 1,223 2.19
Machinery 651 1.17
Powered haulage 564 1.01
Hand tools 446 0.80
Groundfalls 422 0.76
Stepping or kneeling on object 125 0.22
Striking or bumping 110 0.20
All others 258 0.46

' Number of injuries per 200,000 hours worked by underground employees.
OVERVIEW OF HUMAN FACTORS RESEARCH

This section attempts to summarize the past 20 years of U.S. research on approaches to
ensuring that coal miners work safely. Much research has been conducted to improve mine
safety, but only a portion of it is related to human factors. The following interventions have been
selected for discussion because there is evidence to suggest that they positively influenced the
performance of safety-related employee behaviors at underground coal mines. They have been
grouped under three headings: | Management, II Workplace Design, III Training. The
management techniques described in this paper are: conducting employee surveys, forming
ergonomics committees, creating autonomous work crews, establishing better labor-management
relations, and providing feedback and incentives tied to safety performance. Efforts have been
made to improve workplace design in the following areas: redesigning manual lifting tasks,
improving the illumination and maintainability of mobile mining equipment, redesigning the
controls on roof bolter machines, and providing a safe method for restoring power to continuous
mining machines. Three techniques for improving miners’ safety training are reviewed
interactive problem solving stories, fear messages, and the 3 + 3 method of emergency breathing
apparatus donning.


During the past decade, U.S. Bureau of Mines researchers have videotaped a series of short
interviews (10-15 minute) with coal miners who have either been victims or eyewitnesses to
serious mining accidents such as fires and roof collapses. Along with each video, an instructor's
guide was prepared containing questions that could be used to encourage discussion among
trainees about why these tragedies happen, and what needs to be done to ensure that similar
disasters do not occur at their mine (available from National Mine Health and Safety Academy,
U.S. Department of Labor [1996]). These materials have been very well received by trainers

C. Emergency Breathing Apparatus Donning

Should a fire occur in an underground coal mine, workers may be forced to travel a few
kilometers on foot in order to reach the outside. Many times their escape routes will become
smoke-filled and toxic. Oxygen generating breathing devices, called “self-contained self-rescuers
(SCSRs)” have been mandated for the use of miners during escape attempts. Bureau of Mines
researchers investigated three fires in which miners had to evacuate through smoke. Forty-eight
of these workers were interviewed and recounted a number of problems that indicate they were
not proficient in donning the SCSR. Some reported problems included difficulty in activating
oxygen and getting the mouthpiece inserted properly. Additionally, roughly half of all those
interviewed indicated that they did not perform all steps necessary to secure their apparatus once
they had it on. Workers also recounted problems in using their SCSRs during escape.
Approximately 63% of the miners interviewed said that, for one reason or another, they had
trouble breathing from their device. As a result, 29 individuals indicated that they either took the
mouthpiece out to breathe, or "cheated" by breathing around the mouthpiece while in smoke. A
sizable portion of all respondents also said that, although in smoke, they took their mouthpiece
out in order to talk.

Bureau of Mines researchers have been instrumental in the development and validation of (1)
a standardized donning procedure (the “3+3") that can be used with all SCSRs currently being
marketed in the U.S., (2) a standardized evaluation protocol, (3) training packages consisting of
an instructional videotape and instructor’s manual, and (4) low-cost SCSR training simulators
They also conducted skill retention studies, which showed that the forgetting curve for SCSR
donning approximates the normal forgetting curve for other seldom-practiced motor tasks: within
three months people have forgotten most of what they were taught.

The Mine Safety and Health Administration used the Bureau’s research findings to support the
promulgation of a federal regulation requiring that all individuals entering an underground coal
mine for the first time must have hands-on SCSR training. In addition, working miners must be
retrained, hands-on, once a year. Since two original equipment manufacturers (CSE and MSA
corporations) have formally adopted the 3+3 donning method and delivery techniques for
inclusion in their training packages, the industry is very close to a standardized procedure
[Vaught et al. 1993]

CONCLUSIONS

Research conducted at U.S. underground coal mines suggests that various techniques of
management, workplace design, and training can be effective tools for ensuring that miners work


safely. Although each tool is somewhat effective on its own, the best way to attack most mine
safety problems often entails a combination of these approaches. The best combination for a
specific work setting depends on several factors including: the nature of the work performed;
cultural, social and physical aspects of the work environment, the availability of resources, the
cost of the intervention; and management and labor's attitudes and priorities.

It is usually easier to change employee behavior through manipulations of their environment
than through appeals, threats, or other attempts to persuade them to alter their behavior--
especially if the behaviors in question are longstanding habits. Therefore, the following steps are
generally recommended for ensuring that coal miners work safely: (1) diagnose what is motivating
unsafe behaviors, (2) redesign the environment to eliminate situations from arising that tempt
miners to perform unsafe actions, (3) if the problem cannot be totally solved through redesigning
miners’ equipment or work procedures, then various forms of training, incentives or disciplinary
action may need to be considered. The workforce should be involved as much as possible in the
process of identifying hazards and unsafe behaviors, diagnosing the reasons for their occurrence,
and developing and implementing effective ways to eliminate them.

REFERENCES

Adkins J, Akeley R, Chase P, Marrus L, Prince W, Redick R, Rogne C, Saalberg J,
Szempruch L [1976]. Review and evaluation of current training programs found in various
mining environments. Vol. 1. Bendix Corp. contract no. $0144010. U.S. Department of
Interior, U.S. Bureau of Mines, OFR 110(1)-76; NTIS PB 259410, 67 pp.

Brautigam A, Kwitowski A [1995]. Remote reset for continuous miners used in extended cuts.
Holmes Safety Association Bulletin, May-June, pp. 4-7

Bruner JS [1990]. Acts of meaning. Cambridge, MA: Harvard University Press.

CER. Code of Federal regulations [1995]. 30 CFR, Parts 48.5 to 48.8. Washington, DC
National Archives and Records Administration, Office of the Federal Register, pp. 228-232.

Cohen A, Colligan M, Berger, P [1985]. Psychology in health risk messages for workers.
Vol. 27. Journal of Occupational Medicine, pp. 543-551.

Cohen A, Smith M, Anger W [1979]. Self-protective measures against workplace hazards
Vol. 11. Journal of Safety Research, pp. 121-131

Conway EJ, Unger R [1988]. Maintainability design of underground mining equipment
Vol. 1. Final Technical Report, Vreuls Research Corp. contract no. J0145034. U.S. Department
of Interior, U.S. Bureau of Mines, OFR 39-91-V1; NTIS PB 91-241885, 35 pp

Conway EJ, Unger R [1988]. Maintainability design of underground mining equipment.
Vol. 2. Maintainability Design Guidelines, Vreuls Research Corp. contract no. J0145034. US.
Department of Interior, U.S. Bureau of Mines, OFR 39-91-V2;, NTIS PB 91-241893, 181 pp


There are several substantial differences between mines that use longwalls versus those that do
not. Since the Japanese coal industry is primarily based on the longwall mining method, the
remainder of the statistical information presented in this section focuses on the performance of
U.S. longwall mines, and how these mines compare to room and pillar operations. The longwall
method of coal extraction appears to be safer than the room and pillar method, especially in terms
of fatality rates. For example, during 1994 and 1995, the rates of fatalities at longwall mines
were, respectively, 0.026 and 0.015 fatalities per 200,000 hours. The corresponding rates for the
non-longwall mines were 0.049 and 0.055 fatalities per 200,000 hours. Table 2 summarizes
several of the differences between longwall versus room and pillar mines based on data from
1995

Table 2. -- Differences between U.S. longwall versus room-and-pillar coal mines.

Longwall Room and Pillar
Number of mines 70 872
Ave. number of tons per mine 2,416,123 216,620
Ave. number of underground employees per mine 260 33
Ave. seam height (cm) 203 127
Fatality rate 0.015 0.055
Lost time injury rate 10.4 11.04
Productivity (tons per employee hour) 44 3.4

In comparison to room and pillar mines, mines using longwalls are larger, safer and more
productive (per hour of labor).

There are several differences in the types of injuries that occur at longwall versus room and
pillar mines. During the three year period 1993 to 1995, 63 fatalities occurred at underground
locations of U.S. coal mines. Eight of those were at mines using longwalls. Of those 8, three
were caused by groundfalls, two were caused by electric current, two were caused by machinery,
and one was caused by powered haulage. During the three year period 1993 to 1995, 16,623 lost
time injuries occurred at underground locations of U.S. coal mines. Of those, 6,017 injuries
occurred at mines using longwalls. Table 3 summarizes the types of accidents that caused those
injuries. Accidents associated with handling materials are, by far, the most common type at
longwall mining operations. These usually involve strains, sprains, or overexertion to the
musculoskeletal system--especially the lower back. The next three most common types of
accidents responsible for injuries at longwall mines are: slips and falls, machinery, and powered
haulage.


USS. research concerning the use of three approaches to ensuring that coal miners work safely:
(1) management, (2) workplace design and (3) training. However, a few statistics on the safety
and productivity of the U.S. coal industry will first be provided.

U.S. UNDERGROUND COAL STATISTICS

Just slightly over 1 billion tons of coal are mined each year in the U.S. Approximately 40% of
that coal comes from underground operations. Data on the underground coal mining industry will
be reviewed for the period 1986 to 1995. During those 10 years, underground coal production
fluctuated between 315 million metric tons to 380 million metric tons, and productivity increased
from 1.93 to 3.51 metic tons per employee hour. In 1995, the rate of fatalities at underground
coal mines was 0.038 per 200,000 hours, and the rate of non-fatal lost time injuries was 10.75.
Table 1 shows that the highest fatality rate occurred in the year 1989. Since 1989, the rates have
been steadily decreasing. Similarly, the highest lost time injury rate occurred in 1988, and, with
the exception of one year, these rates have also been steadily decreasing each year since.

TABLE 1. -- Annual rates of fatal and lost time injuries during 1986 - 1995.

Year Fatality Lost Time
Rate! Injury Rate!
1986 0.063 NA?
1987 0.052 12.77
1988 0.038 13.51
1989 0.065 13.12
1990 0.064 12.76
1991 0.064 12.96
1992 0.060 1231
1993 0.053 11.99
1994 0.040 11.87
1995 0.038 10.75

‘Number of incidents per 200,000 hours worked by underground employees,

2 Not Available. Because the Mine Safety and Health Administration modified their injury reporting requirements
during 1986, it is not possible to make valid comparisons of injury rates from before versus after 1987


IIL. Training Interventions

Unfortunately, the underground coal miner’s work environment is often innately hazardous,
constantly changing, and difficult to predict. This makes it very difficult to fully protect the
employee by the types of environmental manipulations described in the prior section. Therefore,
it is important that miners receive effective training in safety procedures to be followed in
performing various routine tasks as well as how to respond to various types of mine emergencies.
Since 1969, Federal regulations have required that mine operators provide 40 hours of new miner
safety training and 8 hours of annual refresher training [U.S. Code of Federal Regulations 1995]
Several significant deficiencies were soon identified concerning the methods and materials
typically used to conduct mine safety training [Adkins et al. 1976]. Fortunately, during the past
20 years, many of these deficiencies have been overcome through the development of new forms
of training. Three examples of successful new techniques for training U.S. miners will be
described: interactive problem solving stories, fear messages, and emergency breathing apparatus
donning.

A. Interactive Problem Solving Stories

With help from Universities, mining companies, MSHA, and other providers of miner training,
the U.S. Bureau of Mines has developed over 70 interactive problem solving stories on a wide
variety of safety and health topics. The exercises are based on authentic mine injury, fatality, or
disaster reports and the problems and predicaments encountered in these real-life events

Each problem solving story is presented in a booklet as an unfolding story with a plot,
characters, predicaments, goals, and obstacles. The people working the exercise usually play the
role of one of the characters and interact with each other and the story events while making a
series of choices among good and bad alternatives at critical decision points. Because the
problem solving exercises are interactive stories about real people and authentic events, they are
engaging and memorable. Bruner [1990] argues that representing one's own and others' motives
and behavior in terms of coherent stories is a universal way by which we learn and remember the
things needed to survive.

The story for each training exercise is told a page at a time with short text passages,
accompanying diagrams, schematics, equipment diagrams, mine maps and other illustrations. The
initial scenario often begins before the emergency situation develops. Subsequent decision points
in the exercise sometimes allow workers to recognize the impending development of a serious
problem and take corrective actions to prevent an injury event or disaster. Other exercises place
the workers in a superficially safe and placid mining environment that suddenly turns dangerous.
As they progress through the exercise the miners gather information and debate which actions
they will take and why. The miners simulate their actions by choosing among a list of decision
alternatives presented in the problem booklet. Next, they mark a special answer sheet with a
developing pen that immediately reveals a hidden or latent message that was previously invisible.
The message provides information about the consequences of the action, as well as immediate
feedback about whether it was a wise or unwise response. Both the good and bad alternatives
listed for each decision point in the simulation exercise are taken from the responses of miners
involved in the actual emergency situation depicted in the exercise


safely. Although each tool is somewhat effective on its own, the best way to attack most mine
safety problems often entails a combination of these approaches. The best combination for a
specific work setting depends on several factors including: the nature of the work performed;
cultural, social and physical aspects of the work environment; the availability of resources, the
cost of the intervention; and management and labor's attitudes and priorities.

It is usually easier to change employee behavior through manipulations of their environment
than through appeals, threats, or other attempts to persuade them to alter their behavior--
especially if the behaviors in question are longstanding habits. Therefore, the following steps are
generally recommended for ensuring that coal miners work safely: (1) diagnose what is motivating
unsafe behaviors, (2) redesign the environment to eliminate situations from arising that tempt
miners to perform unsafe actions, (3) if the problem cannot be totally solved through redesigning
miners’ equipment or work procedures, then various forms of training, incentives or disciplinary
action may need to be considered. The workforce should be involved as much as possible in the
process of identifying hazards and unsafe behaviors, diagnosing the reasons for their occurrence,
and developing and implementing effective ways to eliminate them.

REFERENCES

Adkins J, Akeley R, Chase P, Marrus L, Prince W, Redick R, Rogne C, Saalberg J,
Szempruch L [1976]. Review and evaluation of current training programs found in various
mining environments. Vol. 1. Bendix Corp. contract no. $0144010. U.S. Department of
Interior, U.S. Bureau of Mines, OFR 110(1)-76; NTIS PB 259410, 67 pp.

Brautigam A, Kwitowski A [1995]. Remote reset for continuous miners used in extended cuts.
Holmes Safety Association Bulletin, May-June, pp. 4-7.

Bruner JS [1990]. Acts of meaning. Cambridge, MA: Harvard University Press.

CER. Code of Federal regulations [1995]. 30 CFR, Parts 48.5 to 48.8. Washington, DC:
National Archives and Records Administration, Office of the Federal Register, pp. 228-232.

Cohen A, Colligan M, Berger, P [1985]. Psychology in health risk messages for workers
Vol. 27. Journal of Occupational Medicine, pp. 543-551

Cohen A, Smith M, Anger W [1979]. Self-protective measures against workplace hazards.
Vol. 11. Journal of Safety Research, pp. 121-131

Conway EJ, Unger R [1988]. Maintainability design of underground mining equipment
Vol. 1. Final Technical Report, Vreuls Research Corp. contract no. JO145034. U.S. Department
of Interior, U.S. Bureau of Mines, OFR 39-91-V1; NTIS PB 91-241885, 35 pp

Conway EJ, Unger R [1988]. Maintainability design of underground mining equipment
Vol. 2. Maintainability Design Guidelines, Vreuls Research Corp. contract no. J0145034. U.S.
Department of Interior, U.S. Bureau of Mines, OFR 39-91-V2; NTIS PB 91-241893, 181 pp