Directorate General Of Mines Safety Dhanbad Compliance and Risk - - PowerPoint PPT Presentation

Directorate General Of Mines Safety Dhanbad

Compliance and Risk Management in the Indian Mining Industry. By Niraj Kumar, Director of Mines Safety, DGMS Head Quarters Dhanbad.

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 Accidents scenario in Indian mines  Legislative framework  Why self-regulation  Safety & Health Management System, based on risk

management

 Safety Management Plan as per CMR, 2017 & OMR,

2017

 SMP - Indian Experience  Status of implementation of SMP  SMP - way forward

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MINERALS MINED IN INDIA

➢ 89 minerals in total ➢ Contribute 2.5-2.8 % GDP of India ➢ No

• f

Mines- Coal-605,Oil & Gas- 88,Metal-9600 ➢ Estimated Employment- about 1(one) million ➢ Bellow ground employment 1.8 lakh ➢ Contractual employment 98.6 thousand

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SAFETY, HEALTH & WELFARE LEGISLATION FOR MINES ADMINISTERED BY DGMS

MINES ACT, 1952

➢Coal Mines Regulations, 2017 ➢Metalliferous Mines Regulations, 1961 ➢Oil Mines Regulations, 2017 ➢Mines Rules, 1955 ➢Mines Vocational Training Rules, 1966 ➢Mines Rescue Rules, 1985 ➢Mines Crèche Rules, 1966

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ELECTRICITY ACT, 2003 ➢Central Electricity Authority (Measure relating to Safety and electric Supply) Regulation, 2010 ALLIED LEGISLATION ➢Explosive Rules, 2008 ➢Factories Act, 1948 : Chapter III & IV ➢Manufacture, Storage & Import of Hazardous Chemicals Rules, 1989 – under Environmental Protection Act, 1986 ➢Land Acquisition (Mines) Act, 1885 ➢The Coal Mines (Conservation & Development) Act, 1974

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Sl.No. Convention No. Subject Status

1. 1 Hours of work Ratified by Government 2. 14 Weekly rest

• do-

3. 45 Underground work (women)

• do-

4. 89 Night work (women)

• do-

5. 90 Night work (young persons) Provided in the Mines Act 6. 123 Minimum age for employment in underground

• do-

7. 127 Maximum permissible weight for carrying Not ratified 8. 132 Holidays with pay (revised) Not ratified 9. 139 OH hazards from carcinogens Not ratified 10. 142 VT in development of human resources Many aspects provided in the Mines Act 11. 148 Working environment Not ratified. Many aspects provided in the Mines Act. 12. 150 Labour administration Not ratified. Many aspects provided in the Mines Act. 13. 155 Occupational Health Services Not ratified. Many aspects provided in the Mines Act. 14. 174 Major Industrial Accidents Not ratified. Limited application in mining. 15. 175 Part time work Not ratified 16. 176 OSH in mines

• do-

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TABLE-1 Trend in fatal accidents and fatality rates per 1000 persons employed (Ten yearly average) Decade COAL MINES NON-COAL MINES

• Avg. No.
• f Acc.

Acc. rate

• Avg. No. of

Fatalities Fatality rate

• Avg. No.
• f Acc.

Acc. rate

• Avg. No. of

Fatalities Fatality rate 1901-10 74 0.76 92 0.93 16 0.47 23 0.67 1911-20 139 0.94 176 1.29 29 0.57 37 0.73 1921-30 174 0.99 219 1.24 43 0.54 50 0.66 1931-40 172 0.98 228 1.33 35 0.41 43 0.51 1941-50 226 0.87 273 1.01 26 0.24 31 0.29 1951-60 223 0.61 295 0.82 64 0.27 81 0.34 1961-70 202 0.49 259 0.62 72 0.28 85 0.33 1971-80 187 0.40 264 0.55 66 0.27 74 0.30 1981-90 162 0.30 185 0.34 65 0.27 73 0.31 1991-00 140 0.27 170 0.33 65 0.31 77 0.36 2001-10 87 0.22 108 0.27 54 0.32 67 0.40 2011-18 64 0.18 71 0.20 44 0.21 53 0.25 N.B. Data for the period 2017-2018 are provisional and figures for 2018 are up to 31.12.2018.

0.00 0.20 0.40 0.60 0.80 1.00 1.20 1.40 1901-10 1911-20 1921-30 1931-40 1941-50 1951-60 1961-70 1971-80 1981-90 1991-00 2001-10 2011-18

DEATH RATE DECADE

TREND IN DEATH RATE PER 1000 PERSONS EMPLOYED

Coal Non-Coal

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TABLE- 2 Trend in Incidence of Accidents in Mines Year COAL METAL OIL Number of accidents Number of accidents Number of accidents Fatal Serious Total Fatal Serious Total Fatal Serious Total 2005 96 1106 1202 47 93 140 1 15 16 2006 78 861 939 54 63 121 4 15 19 2007 76 923 999 53 63 116 3 16 19 2008 80 686 766 49 63 112 5 20 25 2009 83 636 719 33 76 109 3 18 21 2010 97 480 577 50 45 95 4 16 20 2011 65 533 598 41 65 106 3 17 20 2012 79 536 615 34 35 69 2 10 12 2013 77 456 533 54 37 91 4 15 19 2014 59 379 438 34 34 68 5 10 15 2015 54 302 356 41 22 63 4 13 17 2016 67 268 335 30 30 60 9 7 16 2017 56 183 239 45 12 57 1 9 10 2018 53 196 249 46 19 65 2 2 N.B. Figures for the years 2017 to 2018 are provisional and figures for 2018 are up to 31.12.2018.

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Table - 3 Trend in death rate per thousand persons employed Year Coal Oil Copper Ore Gold Ore Iron Ore Lime Stone

• Mang. Ore

Galena &Sphl. Total Metals All Mineral 2005 0.29 0.05 0.00 0.00 0.43 0.27 0.00 0.31 0.36 0.30 2006 0.36 0.29 0.00 0.32 0.51 0.59 0.15 0.31 0.47 0.38 2007 0.21 0.16 0.00 0.33 0.34 0.47 0.07 0.30 0.40 0.26 2008 0.25 0.25 0.38 0.00 0.25 0.32 0.30 1.22 0.43 0.30 2009 0.25 0.12 0.33 0.49 0.17 0.07 0.00 0.00 0.26 0.25 2010 0.32 0.14 0.00 0.00 0.23 0.18 0.14 0.29 0.53 0.37 2011 0.18 0.11 0.27 0.00 0.08 0.14 0.19 1.00 0.27 0.21 2012 0.23 0.09 0.26 0.00 0.05 0.13 0.24 0.00 0.20 0.22 2013 0.23 0.19 0.00 0.29 0.09 0.09 0.11 0.67 0.37 0.27 2014 0.17 0.19 0.27 0.00 0.06 0.12 0.06 0.45 0.22 0.19 2015 0.16 0.18 0.39 0.28 0.10 0.13 0.04 0.59 0.22 0.18 2016 0.28 0.32 0.39 0.00 0.06 0.11 0.04 0.20 0.21 0.26 2017 0.18 0.04 0.00 0.00 0.08 0.16 0.18 0.98 0.34 0.23 2018 0.19 0.07 0.79 0.00 0.10 0.08 0.04 0.79 0.27 0.21 N.B. Rates for the years 2017 to 2018 are provisional and figures for 2018 are up to 31.12.2018.

2005 2006 2007 2008 2009 2010 2011 2012 2013 2014 2015 2016 2017 2018

• No. of fatal accidents

Year

Trend in incidence of fatal accidents

in mines

Coal Metal Oil

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Fatality rate Contractual versus Regular workers

➢ The average fatality rate, in last 7(2010-

2016) years ,for contractual workers(0.47) is 2.47 times more than that of regular workers(0.19)

➢ In 2016 contractual fatality rate is 3.5 times

than regular workers

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Contractual fatalities & fatality rates in coal (2010-2016)

Year No. . of Fata tali litie ies Fata tali lity y Rate te per 100 000 Persons

• ns

Emplo ployed yed Con

• ntract

tract Emplo ploye ye es es Regu gular lar Emplo ploye ye es es All l Emplo ploye ye es es Con

• ntract

tract Emplo ploye ye es es Regu gular lar Emplo ploye ye es es All l Emplo ploye ye es es 2010 23 95 118 0.75 75 0.28 28 0.32 2011 16 51 67 0.46 46 0.15 15 0.18 2012 20 63 83 0.51 51 0.20 20 0.23 2013 17 65 82 0.42 42 0.20 20 0.23 2014 7 55 62 0.15 15 0.18 18 0.17 2015 14 40 54 0.29 29 0.13 13 0.15 2016 33 58 91 0.69 69 0.19 19 0.26 26

Data for the year 2016 is provisional

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Fall of roof 5.66% Fall of sides 3.77% Rope haulages 3.77% Dumpers 32.08% Truck tanker etc. 1.89% Other Machinery 18.87% Explosives

3.50%

Electricity 9.43% Fall of person 5.66% Fall of object

3.50%

Gas,Dust 1.89% Other causes 9.43%

Fig.1 Cause-wise distribution of fatal accidents in coal mines during 2018

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Fall of roof 3.06% Fall of sides 5.61% Rope haulages 7.14% Dumpers 5.10% Truck tanker etc. 2.55% Other Machinery 9.18% Electricity 2.04% Fall of person 33.67% Fall of object 17.35% Other causes 14.29%

Fig.2 Cause-wise distribution of serious accidents in coal mines during 2018

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Fall of roof, 6.25% Fall of sides, 16.67% Dumpers, 18.75% Other Machinery, 14.58% Electricity, 2.08% Fall of person, 12.50% Fall of object, 10.42% Gas,Dust etc., 2.08% Other causes, 16.67%

• Fig. 3 Cause-wise distribution of fatal accidents in non-coal mines during 2018

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Fall of roof 5.26% Fall of sides 5.26% Truck tanker etc. 5.26% Other Machinery 10.53% Explosive 5.26% Fall of person 26.32% Fall of object 21.05% Other causes 21.05%

Fig.4 Cause-wise distribution of serious accidents in non-coal mines during 2018

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➢ As per the ILO estimates on employment, Nov, 2018, about 0.7% of

persons are employed in Mining & quarrying sector and 7.2% of workforce is employed in Construction sector.

➢In india, these figures stand at 0.6% and 11.9% respectively. ➢ Mining kills and injures more people than any other profession ➢World over more than 15000 miners are killed every year ➢ It reduces life span due to the miners disease, in Bolivia, the average

life span of miner in tin mines of Potosi is 35 to 40 years , 25 years less than average Bolivian person.

➢In Peruvian town of La Oroya, Children staying in the vicinity of the

mining areas have dangerously high level of lead, arsenic and other toxins in their blood. More than 40 % of the Children below the age of 5 years have mental deficiencies due to Lead, Zinc & copper mines nearby.

➢In India, after the Silicosis surveys taken up in recent years, about

1200 cases of silicosis has been detected.

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History of disasters and Major Accidents

➢ Since 1901, 240 disasters and major accidents ➢ More than 3240 persons involved in these accidents ➢ Out of these:-

➢38 resulted due to explosion ➢33 resulted from inundation ➢137 occurred due to roof fall ➢24 resulted from side fall

➢In last 17 years, 33 major accidents including disasters

• ccurred in both coal & non-coal mines

➢13 of these resulted due to ground failure.

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➢ High death rate vis-a vis global trends ➢ Disasters recurring periodically due to similar causes ➢ General work environment & culture is not satisfactory ➢ Changing scenario of Mining Industry-

➢ Privatisation & outsourcing ➢ Allocation of coal & mineral blocks to private operators

➢ Increased demand of coal & mineral to sustain economic development ➢ Sub-Contracting & outsourcing

➢ Contractual employees are migratory, temporary, lack skill and competency

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➢ Outsourcing agencies consider safety as cost component only ➢ Cost of life and living condition is ignored ➢ Contractual workers have risk taking attitude ➢ Commitment to health and safety condition at workplace is generally lacking

➢ Large no

• f

mines fall under the unorganised and inexperienced Owners ➢ Health hazards are generally ignored ➢ Training and medical fitness and examination are considered as burden.

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➢ Mainly Rule based ➢ Basically enforcement driven ➢ General reluctance to compliance of statute ➢ Inspection and pointing out violation prescriptively ➢ Compliance is the key focus ➢ Production and productivity is regarded ➢ Statutory compliances are concern

• f

safety department. ➢ Safety management is not an integral part

• f
• rganisational management

➢ Limited participation of workers

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➢ Prescriptive ➢ Reactive not proactive ➢ Not process based ➢ No real improvement in the system, being managed case to case basis ➢ Focussed on human errors, violations, lapses ➢ Organisational factors are overlooked ➢ Lack of accountability ➢ Statutory provisions are not site specific, comprehensive and appropriate ➢ Legislation making is slow and trail the technological innovations. ➢ Poor Inspector – employee ratio ( 0.1 in India (based on the manpower in record) , compared to 0.1 in USA; 0.3 in UK; 0.1 in Canada; 0.8 in South Africa.)

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➢ Pit Safety Committees, ➢ Workmen Inspectors, ➢ Internal Safety Organisations, ➢ DGMS Inspections, ➢ violations and compliances pointed out under the Mines

Act, 1952 and Sub ordinate Regulations create confusion to the mine management.

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➢ Change in the concept of SHMS ➢ Risk based SHMS to gradually replace rule based SHMS ➢ Involvement

• f

all stakeholders, including workers in development, implementation, review and monitoring of SHMS ➢ Monitoring of risks ➢ Controls time bound and prioritised ➢ Provides for self improvement ➢ SHMS owned by the organisation ➢ Reduce the likelihood and impact of mishaps of all kinds. ➢ Reduce the inherent potential for major accidents which could injure or kill many people.

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 A hazard

hazard is any source of po potential tential damage, harm or adverse health effects on something

• r someone.

 Ris

Risk is a situation involving exposure to dang nger er and the possibility of loss or injury.

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 Risk Management: is the forecasting and

evaluation

• f

risks together with the identification of procedures to avoid or minimize its impact.

 Risk

management refers to the practice

• f

identifying potential risks in advance, analyzing them and taking precautionary steps to reduce/curb the risk.

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Self Regulatory Core Responsive Prescriptive Regime

Regulators audit, based

• n C.O.P,. Standards

framed, Safety Management Plan Deviations from SMP - Regulatory violations pointed out, Improvements suggested.

SHMS in Indian mines-Changing concept

➢ Ninth & tenth conference on safety in mines recommended adopting risk management as a tool for development of SHMS in Indian Mines ➢ DGMS conducted workshops and issued DGMS(Tech.)(S&T) Cir.13

• f 2002

➢ Eleventh conference

• n

safety in mines required mine management to formulate and implement SMP at the mines. ➢ ILO 176, Safety and health in mines convention provided that mines should establish SHMS based on risk management. ➢ DGMS (Tech.) Circular No.2 of 2011 & DGMS (Tech.) circular No.5

• f 2016 was issued subsequently.

➢ Amended CMR, 2017 & OMR,2017 now contains provision for development and implementation of SMP at mines ➢ Proposed amendments of MMR also contain similar provisions.

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XX Zero Risk is not achievable

✓ Zero Disease ✓ Zero incidents/accidents ✓ Zero lost time injuries ✓ Zero fatalities

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➢ Set culture, framework and actions necessary to conduct

• perations safely

➢ Protect safety & health of persons employed at mines ➢ Identify risks to safety and health from mining operations ➢ Control the risks ➢ Monitoring of risks ➢ Reduce the risk

• f

injuries

• r

illness resulting from

• perations etc at an acceptable level.

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✓

Mine Safety& Health Policy

✓

Organisational structure and resources for implementation of (a) mine safety & Health policy (b) Safety management plan

✓

Risk assessment data sheets for Hazard Identified and Control Plans

✓

A list of Hazard Control Plans with Immediate Action Flag (IAF)

✓

A list of developed Code of Practices (COPs)

✓

A list of developed schedules, schemes and strategies

✓

A list of developed Standard Operating Procedures (SOPs)

✓

A list of developed processes, protocols and systems

✓

Emergency Management Plan including TARP and EIP

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➢ General requirement ➢ Safety & Health policy ➢ Hazard identification, risk assessment & control ➢ Statutory & other requirements ➢ Objectives & targets ➢ Role & responsibility ➢ Competency & training ➢ Communication & reporting ➢ Documentation ➢ Control of document & data ➢ Hazard identification, assessment and control of risk

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➢ Emergency preparedness and response ➢ Monitoring process ➢ Incident investigation, corrective and preventive action ➢ Safety and health records ➢ Auditing and review ➢ Management review ➢ Change management ➢ Contract management

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1 – General Requirements The organisation must commit to meeting legal obligations, manage the hazards and risks and continually improve on its safety and health performance, a structured and effective safety and health management systems must be established, documented, implemented, maintained and continually improved. 2 – Safety and Health Policy A clear statement by the Chief Executive Officer must be available to demonstrate the commitment of top management to safety and health. 3 – Planning for Hazard Identification, Assessment of risk and its Control An effective and up-to-date methodology for hazard and risk identification, assessment and control must be established.

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4 – Statutory and other Requirements To comply with safety and health law as well as other applicable requirements placed upon or subscribed by the organisation, the employer must ensure that regular reviews of relevant standards and legislation are undertaken and stakeholders made aware of the provisions. 5 – Objectives, Targets and Management Plans Clear measurable objectives, targets and plans based on the safety and health policy must be established to implement the commitment made in the Safety and Health Policy as well as to demonstrate continual improvement to the performance of safety and health. 6 – Role and Responsibilities Sufficient resources and clear responsibilities, authorities and accountabilities must be established and made available.

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7 – Competency, Training and Awareness Procedures must be in place to identify both competency levels and training needs. Standards of competency must be clearly set which address hazards associated with the job. Training must then be undertaken by a competent trainer to ensure these standards of competency are met. 8 – Communication, Consultation and Reporting Communication, consulting and reporting must be implemented to ensure that those affected are aware of the safety and health requirements and to provide feedback on the safety and health needs related to the work.

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9 – Documentation A documented safety and health management system must demonstrate how an organization meets its safety and health commitment. 10 – Control of document Documents and data that relate to safety and health must be controlled to ensure the information is correct and up-to-date copies are readily available to those that need to use them. 11 – Hazard Identification, Risk assessment and Control An effective process of hazard identification, risk assessment and risk control must be implemented and maintained.

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12 – Emergency Preparedness and Response There must be an identification of potential emergencies and being prepared to respond where necessary. The process must include procedures for identification, evaluation, preparedness, management and response to potential emergencies, accidents and incidents that may result in injuries, illnesses, disease and property damage. 13 – Plan Monitoring and correction Every person who has a role in the SMP, has a responsibility to monitor Plan performance and to bring to the Mine Manager’s attention, any non conformance, deviation or improvement idea of which he may become aware. Reported non conformances must be investigated, whereas improvement ideas may be agreed to immediately or discarded immediately with a record during review meetings

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14 – Incident Investigation, Corrective and Preventive Action Procedures for investigating safety and health incidents and non- conformances and implementing corrective and preventive action to address them must be in place to ensure that safety and health incidents do not recur or are prevented from happening. 15 – Safety and Health Records Safety and health records are collected and maintained. Procedures must be in place for identifying, collecting, filing, maintaining and controlling data. 16– Safety and Health Audits Procedures must be in place to ensure that regular and effective audits of the safety management system are undertaken.

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17 – Management Review Reviews must be undertaken to ensure the current safety and health management system is still suitable and effective to ensure continual improvement to the safety and health management system and safety and health performance.

• 18. Change Management

Procedure must be in place to identify the hazards arising out of every planned and unplanned changes, significant in nature, and the measures to control the identified hazards to ensure risk from the change are at an acceptable level and ALARA.

• 19. Contract Management

There must be one and only one SMP in every mine. The Contractors, Suppliers, Manufacturers and service providers must implement the SMP and the Contract Management Document should include appropriate terms and conditions in this regard to ensure that all the activities carried out through any such contract or agreement are in accordance with the SMP of the mine.

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 Team formation  Broad-brush hazard identification  Identify Principal Hazards  Identify list of other hazards and activities  Identify Risk for each hazard / activity  Assign responsibility for the control suggested for

reduction of risk.

 Develop Hazard Management Plan or SOP

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Established a common vocabulary Implementati

• n of

controls Risk assessment Process Hazard Identificatio n Formulatio n of controls Safety Managem ent Plan Monitoring results & Auditing. Formation

• f Team

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➢ JSA- job safety analysis ➢FMEA-Failure modes & effects analysis ➢HAZOP-Hazard and operability study ➢WRAC-workplace risk assessment & control ➢HEA- Human error analysis ➢Fault tree analysis ➢Event tree analysis

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 Strata failure  Mine Fires  Mine Gases  Respirable dust & Occupational Health  Machinery  Electricity  Haulage &transportation  Explosive  Inundation  Mine Ventilation

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In 2003, ConocoPhillips Marine conducted a study demonstrating a large difference in the ratio

• f

serious accidents and near misses. This study was built on the original work of H.W. Heinrich back in 1931. The Conoco study found that for every single fatality there are at least 300,000 at-risk behaviors, defined as activities that are not consistent with safety programs, training and components on machinery. These behaviors may include bypassing safety components on machinery or eliminating a safety step in the production process that slows down the

• perator.

With effective controls and training, at-risk behaviors and near misses can be diminished.

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 Develop fault tree for each hazard  Consider energy sources present as cause of hazard  Consider competency of people, fit-for-purpose

equipment, safe working methods and safe working environment

 Consider past history or report of past accidents with

respect to the hazard or activity

 Identify the involvement of PEEPO as root cause of

hazard

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 Assess risk from likelihood and consequence of each hazard /

activity

 Consider adequacy and effectiveness of existing controls

while assessing risk

 Determine whether risk is acceptable or not as per the risk

matrix

 Identify additional controls to ensure risk at an acceptable

level

 Ensure at-least one control against each mechanism of

hazard or root causes identified through fault tree

 Use Hierarchy of controls while selecting controls  Analyse impact of controls on likelihood / consequence  Identify control effectiveness measures

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Scale of Consequence Consequence

Several dead 5 One dead 1 Significant chance of fatality 0.3 One permanent disability/less chance of fatality 0.1 Many lost time injuries 0.01 One lost injury 0.001 Small injury 0.0001

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Risk Ranking sets priorities for hazard control

Scale of Exposure Exposure

Continuous 10 Frequently (Daily) 5 Seldom (Weekly) 3 Unusual (monthly) 2.5 Occasional (yearly) 2 Once in 5 years 1.5 Once in 10 years 0.5 Once in 100 years 0.02

Scale of Probability Probability

May well be expected 10 Quite possible 7 Unusual but possible 3 Only remotely possible 2 Conceivable but unlikely 1 Practically impossible 0.5 Virtually possible 0.1

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 Elimination-complete removal of hazard  Substitution-Replacing the substance or process by a

less hazardous one

 Redesign the equipment or process  Separation- Isolation of the hazard by guarding, fencing  Administrative-Providing controls like procedure,

training, instructions

 PPE-Use of PPE where controls are impractical or use of

impact minimisation material or device

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 Assign specific responsibility against each identified

controls to one person considering his authority and capability

 There should not be any overlapping of responsibility  Assign appropriate time frame for implementing controls  Monitoring of control actions at regular interval  Each control item to close out  If not closed, identify cause and resolve  Approve and authorize the risk assessment

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➢ The owner, agent and manager of every mine shall prepare and

implement safety management plan (SMP). SMP shall be made in such manner that-

• An organizational structure is in place with the aim of ensuring safety

and health performance.

• Appropriate control is in place to ensure promotion of safety and health.
• The risk to safety and health are evaluated and measures are taken in

to reduce the risk to persons and damage to machinery or equipment likely to be affected;

• It provides for

✓Safety manuals, rules and regulations ✓Standard operating procedures for all critical activities ✓The identification of hazards and assessment of risks and measures to eliminate the identified hazards risks ✓Inspection, testing and maintenance of the equipment and machinery

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✓Management of change related to process and equipment as per Oil Industry Safety Directorate Guidelines, that is, OISD-GDN-178. ✓Written action plan to implement employees’ participation through safety committees ✓Emergency preparedness and response plan ✓Adequate communication and safety displays ✓Bridging document for contractual works ✓Inspection, monitoring, audit, review, training and continual sustainable improvement as per applicable Indian and International standards and practices

➢ The owner, agent or manager of a mine shall arrange to carryout

internal safety audits for every installation of the mine by duly appointed team at intervals specified for the purpose in the safety management plan and shall maintain the reports of every audit carried

• ut.

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(1) The owner, agent and manager of every mine shall- (a) identify the hazards to health and safety of the persons employed at the mine to which they may be exposed while at work; (b) assess the risks to health and safety to which employees may be exposed while they are at work; (c) record the significant hazards identified and risks assessed; (d) make those records available for inspection by the employees; and (e) follow an appropriate process for identification of the hazards and assessment of risks.

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(2) The owner, agent and manager of every mine, after consulting the safety committee of the mine and Internal Safety Organisation, shall determine all measures necessary to- (a) eliminate any recorded risk; (b) control the risk at source; (c) minimise the risk; and (d) in so far as the risk remains,

(i) provide for personal protective equipment; and (ii) institute a program to monitor the risk to which employees may be exposed.

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(3) Based on the identified hazards and risks, the owner, agent and manager of every mine shall prepare an auditable document called “Safety Management Plan”, that forms part

• f the overall management and includes organisational

structure, planning, activities, responsibilities, practices, procedures, processes and resources for developing, implementing, achieving, reviewing and maintaining a safety and health policy of a company. (4) It shall be the duty of the owner, agent and manager to implement the measures determined necessary and contained in the Safety Management Plan for achieving the

• bjectives set out in sub-regulation (2) in the order in which

the measures are listed in the said sub-regulation.

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(5) The Safety Management Plan shall contain- (a) defined mine safety and health policy of the company; (b) a plan to implement the policy; (c) how the mine or mines intend to develop capabilities to achieve the policy; (d) principal hazard management plans; (e) standard operating procedures; (f) ways to measure, monitor and evaluate performance of the safety management plan and to correct matters that do not conform with the safety management plan; (g) a plan to regularly review and continually improve the safety management plan; (h) a plan to review the safety management plan if significant changes

• ccur; and

(i) details of involvement of mine workers in its development and application.

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(6) The owner, agent and manager of every mine shall periodically review the hazards identified and risks assessed, to determine whether further elimination, control and minimisation of risk is possible and consult with the safety committee on review. (7) The owner, agent or manager of every mine shall submit a copy of the Safety Management Plan to the Regional Inspector who may, at any time by an order in writing, require such modifications in the plan as he may specify therein. (8) The owner, agent and manager of every mine shall be responsible for effective implementation of the Safety Management Plan.

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 Long past with the prescriptive regime has its own

inertia to be broken. Recommendations made in the national conference on safety and issue of guidelines in form of circulars made its impact. However with the inclusion of the provisions regarding the SMP in the CMR,2017 & the OMR, 2019 in the statute, SMP has made its place in the SHMS of mining companies.

 Initially stakeholders were not convinced about the

system and there was a tendency to undermine the possible contributions, but was successfully offset.

 Representation from contractual agencies was ignored,

both by the principal employer and also by the contractual agencies themselves.

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 Too much thrust and importance was attached to risk ranking on a

passive scale rather than aggressive one.

 The control plan for each of the major hazard identified and short-

listed was more sketchy than detailed.

 Accordingly, the responsibility apportioned in the control plan for

each of the different control procedures for each hazard was tending towards the mine manager and his sub ordinate officials instead of the right person to handle the procedure.

 There was no attempt to set time lines for various procedures and

the procedures were more open ended.

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 In nut-shell, SMP was perceived as merely a

set of formatted documents which needed to be somehow filled-in, without detailing. Resistance to detailing was due to an unwarranted fear of persecution on likely failure(s).

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 Encouraging mines to evolve a more realistic control plans with

focussed responsibilities for various procedures with a set time line.

 The SMP shall be referred to in case of any accident/incidents

investigation with view to find if such hazard was identified and risk assessed or not, controls suggested were considered.

 Constitute Unit/Area/Corporate level, well trained Audit Teams for

conducting internal Audits, Audits at frequent intervals.

 Progress made may be part of agenda for discussion in Board

Meetings.

 To ensure thorough grouting of the culture of SMP in mines, the

Owners/Nominated Owners shall lead from the front.

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Feedback on status of implementation of SMP has been received from 36 mines (BG-14 OC-- 19) of 14 companies.

➢ Status of Implementation of SMP

• Out of 36 mines, SMP has been formed in 33 Mines, and
• under process of formation in (03) three mines.

➢ when was it first developed ?

All mines developed SMP in last 5 years only

• In last one year - 13 mines;
• During last 2 - 5 years – 20 mines;

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➢ How many groups / teams were formed to

prepare the SMP?



total 1 - 30 teams involved

▪ 1 team – in 3mines , ▪ 2-5 teams - in 16 mines, ▪ more than 5 teams – in 14 mines

One team: in Adriyala L/W, RK OCP, of SCCL and Donamali iron ore mine of NMDC, 30 teams- in Moonidih, BCCL

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Status of Implementation of SMP in Coal & Metal mines Contd…

➢ Who approved the SMP?

• Director / Owner - 4 mines;
• Agent / Manager - 6,
• not approved - 23 mines.

➢ At what level SMP was finalized?

• Agent/ Manager - 8 mines,
• Company level/ DT/Owner - 3,
• Safety Committee - 3 mines,
• ISO/ DGMS - 7mines.
• not mentioned - 12 mines,

Owner approved in: Sukinda Chromite mine

• f Tata steel,

Bubaneswari OCP, Lakhanpur OCP and Samaleswari OCP of MCL

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Status of Implementation of SMP in Coal & Metal mines Contd…

➢ Who were involved in preparation of SMP?

• Safety Committee, Mine level, internal - 15 mines,
• ISO and mine level - 6 mines,
• External agencies and mine officers - 12 mines.

➢ Who guided in preparation of the SMP?

 Internal and mine level officers - 8 mines ,  ISO - 13 mines,  external and mine officers - 12 mines

External agencies: ISM, Pabasta Ltd., Tata Quality services, Hyderabad, Allied Bostan Consultancy, NewDelhi,Other consultants

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Status of Implementation of SMP in Coal & Metal mines Contd…

➢ Which method/system was followed for preparation?

• DGMS Guidelines and WRAC - 22mines,
• Other method -4,
• Discussion and brain storming/ Take 5/risk assessment - 7

mines

➢ How many working days were required to prepare the

SMP?

• 2 weeks-2mines, 3Weeks- 2 mines,
• 4 weeks- 3mines, 6 weeks-3 mines;
• 7 weeks- 3; 2 months-3 mines,
• 3 months- 7, 4 months- 2,
• 6months- 4 , 7 months- 1,
• 1year-1 Mine

Narwapahar mine- 12days, Sukinda Chromite mine- 15days , Thuramudi mine- 1year

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Status of Implementation of SMP in Coal & Metal mines Contd…

Indicate the principal hazards identified?

 1-5 hazards - 26 mines ,  5 - 10 hazards -3 mines ,  11-14 hazards - 4 mines

Note: All hazards mixed with principal hazards

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Status of Implementation of SMP in Coal & Metal mines Contd…

1 2 3 4 5 6 7 8

• No. of mines

Hazard

• No. of hazards identified in Belowground Coal

mines

7 mines

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2 4 6 8 10 12

• No. of mines

Hazard

• No. of hazards identified in opencast coal mines

13 mines

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6 mines

1 2 3 4 5 6 7

• No. of mines

Hazard

• No. of hazards identified in opencast Non- Coal mines

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1 2 3 4 5 6 7 8 9 10

• No. of mines

Hazards

• No. of hazards identified in Belowground Non- Coal

mines 7 mines

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➢ What inputs were used while identifying hazards,

assessing risk and identifying appropriate controls?

• Accident statistics and DGMS violations - 2 mines,
• remaining all mines used accident statistics , SC minutes,

feedback of employees , inspection reports etc.

➢ What are the control measures against each principal

hazard ?

• generic /not adequate - 25 mines,
• not mentioned - 2 mines,
• specifically given - 6 mines.

Specifically given mines: Dipka, Gevra ocp, Mahamaya mine SECL, Lakhan pur OCP, MCL, malajkand copper mine

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Status of Implementation of SMP in Coal & Metal mines Contd…

➢ Have you assigned specific responsibilities to implement

control measures ? Indicate name and designation of the person?

• not mentioned / not clear - 8 mines ,
• generic like agent, manager, HOD etc. - 23 mines,
• name and designation specified - 2mines.

➢Indicate system of monitoring of progress of work done for controlling hazards.

 no monitoring system - 19 mines ;  by review and audit - 10 mines ,  by supervision and inspections - 4 mines.

Bhubaneswari OCP, Samleswari OCP

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Status of Implementation of SMP in Coal & Metal mines Contd…

➢ Name the hazards, which could be eliminated, controlled,

isolated etc. in last one year as a result of SMP?

• Nil / not specified- 20 mines,
• 1- 5 hazards - 13 mines

➢ How the above hazards could be eliminated, controlled or

isolated? ▪ specifically mentioned - 6 mines , ▪ not specific / Vague - 14 mines, ▪ by awareness / mock rehearsal / SOPs- 13 mines.

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Status of Implementation of SMP in Coal & Metal mines Contd…

➢ Specify the criteria for preparation of SOPs/Principal

hazard management plans

• no criteria/not clear/not mentioned - 4 mines,
• JSA - risk assessment / DGMS guidelines - 13 mines,
• Generic/vague- 16 mines

➢ What problems were faced while preparing the SOPs?

• not clear/not mentioned - 11 mines,
• no problem faced in - 9 mines,
• lack of knowledge / awareness , poor involvement of workmen - 13

mines

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Status of Implementation of SMP in Coal & Metal mines Contd…

➢ What did you do after preparing the SOPs?

• Distributed / circulated - 32 mines,
• submitted to regional inspector - 1 mine

➢ How do you ensure as to whether the identified controls are being effectively implemented?

• Not specified/ yet to analyse - 5 mines,
• by supervision and inspection - 11 mines,
• PSC / WI - 3 mines,
• by audit and review - 4,
• not clear/Vague - 10 mines

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Status of Implementation of SMP in Coal & Metal mines Contd…

➢ What steps have you taken for assessing the

effectiveness of controls ?

• Not specific / not mentioned / steps not clear - 8 mines,
• monitoring at supervisory level / Safety Committee -

22mines,

• by HOD /SO/ISO- 3 mines

➢ Do you have a document controller  Yes- 16 mines,  No/ not mentioned - 13 mines,  SO/MM /Agent /Head - 4 mines

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Status of Implementation of SMP in Coal & Metal mines Contd…

➢ Was there any training imparted to the team

members

▪ No training - 7 mines; ▪ given/ provided/Yes (details not given)- 17 mines, ▪ 7-30 days training provided - 9 mines

➢ How are the concerned work persons / officials trained ➢ No training - 9 mines , ➢ VTC - 4 mines; ➢ Not clearly specified/generic/by workshop - 17 mines

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Status of Implementation of SMP in Coal & Metal mines Contd…

➢ Brief details of system of review of SMP in mine.

• no review / not clear / under process - 9 mines
• regular review / zonal head / ISO / PSC - 15 mines,
• external agencies / DGMS and ISO - 6 mines,
• Vague reply- 3 mines

➢ Who reviewed the SMP?

 DGMS - 6 mines,  ISO / Mine manager/ agent / GM /Team - 15 mine  Not mentioned/ not applicable - 12 mines

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Status of Implementation of SMP in Coal & Metal mines Contd…

• Please give details of the system of auditing of SMP in your mine.
• not done- 24 mines ,
• ISO - 5 Mines ,
• Team / Committee/ PSC- 4 mines
• Give dates of audit during last one year and a brief of findings made

in each audit?  no audit / not mentioned - 24 mines, 

• ne time in a year - 5mines,

 4 -5 times in last year - 4mines

• Who audited the SMP on above dates?

 ISO - 5 mines,  committee / PSC - 4 ,  not applicable / not done - 24 mines

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Status of Implementation of SMP in Coal & Metal mines Contd…

Sample survey of 36 mines for implementation of SMP in their mines revealed that;

• Top down approach of management towards safety management plan was

not effective.

• Most of the mines developed / prepared their safety management plan in

last 5 years only.

• Ambiguity in the structure of SMP, concept, participation and methodology

was not clear.

• Few mines were still developing their SMP.
• Finalization of safety management plan and approval of the same was

varied across the organizations;

• In few cases safety management plan was not approved.

Present status of implementation of SMP in Mines

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Outcome of the seminars, workshops organized at Headquarter, Zonal and Regional Office level required the guidelines in this matter. Hence, DGMS has framed a committee for effective implementation of Safety Management Plan and issue of guidelines.

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Present status of implementation of SMP in Mines

• Management of safety issues based on assessment of risks not only

integrates safety with productivity but also can be used as a very good tool for reduction of costs. The systems stand on the premise that all risks need not be eliminated and different control measures can be adopted for different levels of risks.

• Merits of the system are that it is created by the mine operators

themselves through considerable brainstorming.

• In SMP, the approach let the mine operators & stakeholders feel
• wnership of the system, hence chances of successful implementation is

much more.

• Grey areas are minimized.
• Responsibilities for action are pinpointed.
• Scopes

for auditing and improvements are embedded in Safety Management Plan as required by the law.

CONCLUSION

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Directorate General of Mines Safety

Ministry of Labour & Employment

• Govt. of India

Thank you

BUT REMEMBER: YOU are somebody else to somebody else