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Underground Mine Disaster Survival and Rescue: An Evaluation of Research Accomplishments and Needs (1981)

Chapter: THE BUREAU OF MINES POST-DISASTER RESEARCH PROGRAM

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Suggested Citation:"THE BUREAU OF MINES POST-DISASTER RESEARCH PROGRAM." National Research Council. 1981. Underground Mine Disaster Survival and Rescue: An Evaluation of Research Accomplishments and Needs. Washington, DC: The National Academies Press. doi: 10.17226/18461.
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Suggested Citation:"THE BUREAU OF MINES POST-DISASTER RESEARCH PROGRAM." National Research Council. 1981. Underground Mine Disaster Survival and Rescue: An Evaluation of Research Accomplishments and Needs. Washington, DC: The National Academies Press. doi: 10.17226/18461.
×
Page 44
Suggested Citation:"THE BUREAU OF MINES POST-DISASTER RESEARCH PROGRAM." National Research Council. 1981. Underground Mine Disaster Survival and Rescue: An Evaluation of Research Accomplishments and Needs. Washington, DC: The National Academies Press. doi: 10.17226/18461.
×
Page 45
Suggested Citation:"THE BUREAU OF MINES POST-DISASTER RESEARCH PROGRAM." National Research Council. 1981. Underground Mine Disaster Survival and Rescue: An Evaluation of Research Accomplishments and Needs. Washington, DC: The National Academies Press. doi: 10.17226/18461.
×
Page 46
Suggested Citation:"THE BUREAU OF MINES POST-DISASTER RESEARCH PROGRAM." National Research Council. 1981. Underground Mine Disaster Survival and Rescue: An Evaluation of Research Accomplishments and Needs. Washington, DC: The National Academies Press. doi: 10.17226/18461.
×
Page 47
Suggested Citation:"THE BUREAU OF MINES POST-DISASTER RESEARCH PROGRAM." National Research Council. 1981. Underground Mine Disaster Survival and Rescue: An Evaluation of Research Accomplishments and Needs. Washington, DC: The National Academies Press. doi: 10.17226/18461.
×
Page 48
Suggested Citation:"THE BUREAU OF MINES POST-DISASTER RESEARCH PROGRAM." National Research Council. 1981. Underground Mine Disaster Survival and Rescue: An Evaluation of Research Accomplishments and Needs. Washington, DC: The National Academies Press. doi: 10.17226/18461.
×
Page 49
Suggested Citation:"THE BUREAU OF MINES POST-DISASTER RESEARCH PROGRAM." National Research Council. 1981. Underground Mine Disaster Survival and Rescue: An Evaluation of Research Accomplishments and Needs. Washington, DC: The National Academies Press. doi: 10.17226/18461.
×
Page 50
Suggested Citation:"THE BUREAU OF MINES POST-DISASTER RESEARCH PROGRAM." National Research Council. 1981. Underground Mine Disaster Survival and Rescue: An Evaluation of Research Accomplishments and Needs. Washington, DC: The National Academies Press. doi: 10.17226/18461.
×
Page 51
Suggested Citation:"THE BUREAU OF MINES POST-DISASTER RESEARCH PROGRAM." National Research Council. 1981. Underground Mine Disaster Survival and Rescue: An Evaluation of Research Accomplishments and Needs. Washington, DC: The National Academies Press. doi: 10.17226/18461.
×
Page 52
Suggested Citation:"THE BUREAU OF MINES POST-DISASTER RESEARCH PROGRAM." National Research Council. 1981. Underground Mine Disaster Survival and Rescue: An Evaluation of Research Accomplishments and Needs. Washington, DC: The National Academies Press. doi: 10.17226/18461.
×
Page 53
Suggested Citation:"THE BUREAU OF MINES POST-DISASTER RESEARCH PROGRAM." National Research Council. 1981. Underground Mine Disaster Survival and Rescue: An Evaluation of Research Accomplishments and Needs. Washington, DC: The National Academies Press. doi: 10.17226/18461.
×
Page 54
Suggested Citation:"THE BUREAU OF MINES POST-DISASTER RESEARCH PROGRAM." National Research Council. 1981. Underground Mine Disaster Survival and Rescue: An Evaluation of Research Accomplishments and Needs. Washington, DC: The National Academies Press. doi: 10.17226/18461.
×
Page 55
Suggested Citation:"THE BUREAU OF MINES POST-DISASTER RESEARCH PROGRAM." National Research Council. 1981. Underground Mine Disaster Survival and Rescue: An Evaluation of Research Accomplishments and Needs. Washington, DC: The National Academies Press. doi: 10.17226/18461.
×
Page 56
Suggested Citation:"THE BUREAU OF MINES POST-DISASTER RESEARCH PROGRAM." National Research Council. 1981. Underground Mine Disaster Survival and Rescue: An Evaluation of Research Accomplishments and Needs. Washington, DC: The National Academies Press. doi: 10.17226/18461.
×
Page 57
Suggested Citation:"THE BUREAU OF MINES POST-DISASTER RESEARCH PROGRAM." National Research Council. 1981. Underground Mine Disaster Survival and Rescue: An Evaluation of Research Accomplishments and Needs. Washington, DC: The National Academies Press. doi: 10.17226/18461.
×
Page 58
Suggested Citation:"THE BUREAU OF MINES POST-DISASTER RESEARCH PROGRAM." National Research Council. 1981. Underground Mine Disaster Survival and Rescue: An Evaluation of Research Accomplishments and Needs. Washington, DC: The National Academies Press. doi: 10.17226/18461.
×
Page 59
Suggested Citation:"THE BUREAU OF MINES POST-DISASTER RESEARCH PROGRAM." National Research Council. 1981. Underground Mine Disaster Survival and Rescue: An Evaluation of Research Accomplishments and Needs. Washington, DC: The National Academies Press. doi: 10.17226/18461.
×
Page 60
Suggested Citation:"THE BUREAU OF MINES POST-DISASTER RESEARCH PROGRAM." National Research Council. 1981. Underground Mine Disaster Survival and Rescue: An Evaluation of Research Accomplishments and Needs. Washington, DC: The National Academies Press. doi: 10.17226/18461.
×
Page 61
Suggested Citation:"THE BUREAU OF MINES POST-DISASTER RESEARCH PROGRAM." National Research Council. 1981. Underground Mine Disaster Survival and Rescue: An Evaluation of Research Accomplishments and Needs. Washington, DC: The National Academies Press. doi: 10.17226/18461.
×
Page 62
Suggested Citation:"THE BUREAU OF MINES POST-DISASTER RESEARCH PROGRAM." National Research Council. 1981. Underground Mine Disaster Survival and Rescue: An Evaluation of Research Accomplishments and Needs. Washington, DC: The National Academies Press. doi: 10.17226/18461.
×
Page 63
Suggested Citation:"THE BUREAU OF MINES POST-DISASTER RESEARCH PROGRAM." National Research Council. 1981. Underground Mine Disaster Survival and Rescue: An Evaluation of Research Accomplishments and Needs. Washington, DC: The National Academies Press. doi: 10.17226/18461.
×
Page 64
Suggested Citation:"THE BUREAU OF MINES POST-DISASTER RESEARCH PROGRAM." National Research Council. 1981. Underground Mine Disaster Survival and Rescue: An Evaluation of Research Accomplishments and Needs. Washington, DC: The National Academies Press. doi: 10.17226/18461.
×
Page 65
Suggested Citation:"THE BUREAU OF MINES POST-DISASTER RESEARCH PROGRAM." National Research Council. 1981. Underground Mine Disaster Survival and Rescue: An Evaluation of Research Accomplishments and Needs. Washington, DC: The National Academies Press. doi: 10.17226/18461.
×
Page 66
Suggested Citation:"THE BUREAU OF MINES POST-DISASTER RESEARCH PROGRAM." National Research Council. 1981. Underground Mine Disaster Survival and Rescue: An Evaluation of Research Accomplishments and Needs. Washington, DC: The National Academies Press. doi: 10.17226/18461.
×
Page 67
Suggested Citation:"THE BUREAU OF MINES POST-DISASTER RESEARCH PROGRAM." National Research Council. 1981. Underground Mine Disaster Survival and Rescue: An Evaluation of Research Accomplishments and Needs. Washington, DC: The National Academies Press. doi: 10.17226/18461.
×
Page 68
Suggested Citation:"THE BUREAU OF MINES POST-DISASTER RESEARCH PROGRAM." National Research Council. 1981. Underground Mine Disaster Survival and Rescue: An Evaluation of Research Accomplishments and Needs. Washington, DC: The National Academies Press. doi: 10.17226/18461.
×
Page 69
Suggested Citation:"THE BUREAU OF MINES POST-DISASTER RESEARCH PROGRAM." National Research Council. 1981. Underground Mine Disaster Survival and Rescue: An Evaluation of Research Accomplishments and Needs. Washington, DC: The National Academies Press. doi: 10.17226/18461.
×
Page 70
Suggested Citation:"THE BUREAU OF MINES POST-DISASTER RESEARCH PROGRAM." National Research Council. 1981. Underground Mine Disaster Survival and Rescue: An Evaluation of Research Accomplishments and Needs. Washington, DC: The National Academies Press. doi: 10.17226/18461.
×
Page 71
Suggested Citation:"THE BUREAU OF MINES POST-DISASTER RESEARCH PROGRAM." National Research Council. 1981. Underground Mine Disaster Survival and Rescue: An Evaluation of Research Accomplishments and Needs. Washington, DC: The National Academies Press. doi: 10.17226/18461.
×
Page 72

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CHAPTER 3. THE BUREAU OF MINES POST-DISASTER RESEARCH PROGRAM Within the USBM Health and Safety program, research directed specifically to the survival and rescue of miners following potentially disasterous events is classed as "post-disaster research." This program was initiated for coal mines in 1970 as a result of the Coal Mine Health and Safety Act of 1969. Similar efforts were initiated for metal and non-metal mines in 1972. In both areas, research efforts were stimulated by disasters in which the lives of miners might have been saved if different technology and procedures had been available. Post-disaster research has accounted for $18 million out of the total of $326 million spent in the last decade for health and safety research. There have also been research efforts aimed at detecting or mitigating conditions which might lead to disasters which were not funded under the aegis of the post-disaster program, but which could conceivably lead to technology that would be applicable in disasters as well. 3.1 INTRODUCTION The USBM post-disaster research program during the past decade has focused on developing technology for the following: 1. Communicating with and locating trapped miners. 2. Supporting the lives of miners trapped underground and of those involved in rescue and recovery work. 3. Rescuing trapped miners.* The program was shaped to a great extent by the recommendations of the 1970 NAE report.** That report suggested a number of specific areas of research as early objectives of the new program, and to a large extent these recommendations were followed. Progress was ham- pered by a number of factors outside the Bureau's control, among them o The shortage in the early 1970s of R&D-oriented scientists and engineers with knowledge of underground mining. *A list of the research projects undertaken in the past decade is given in Appendix III. **"Mine Rescue and Surval," National Academy of Engineering, Washington, D.C., 1970. -43-

o Organizational changes within the federal government with regard to mine safety and health, e.g., the creation of the Mine Enforcement and Safety Administration in 1972 and its conversion to the Mine Safety and Health Administration in 1977. o The growing role of the National Institute for Occupational Safety and Health in setting design standards and conducting approval testing of such safety equipment as dust samplers and breathing apparatus. o Pressure on the federal R&D program to produce visible and useful results, which in this case led to emphasis on the design and construction of equipment and its demonstration in operating mines, sometimes at the expense of continued devel- opment that might have proved more useful in the long run. o The selection of research projects because of statutory or regulatory requirements rather than because of their appropriateness for achieving overall program goals. Despite initial difficulties, the program got off to a good start. The decision was made to initiate Phase I (the interim system) of the 1970 NAE report through a single major contract, while building a long- term research capability through a combination of in-house and contract activities. This was a realistic response to the pressure for results, the level of funding, and the shortage of necessary expertise. However, as time went on, management of the program became project-oriented rather than program-area-oriented. While it is evident that detailed planning and evaluation have taken place on an annual basis, there seems to have been a lack of sufficiently well- defined objectives, covering broad program areas, to adequately main- tain the longer-term coherence that is necessary. This does not mean that individual contracts and in-house projects have not had well- stated objectives, but rather that the broader objectives that tie several projects together do not appear to have been a strong component in the routine planning and evaluation process. As a consequence, there have been research projects that, while technically successful, have not found their way into operational practice because they were not perceived by the mine safety community as meeting a real need. The evaluation of the USBM post-disaster research program set forth in this report is based on the committee's examination of the major program sub-areas—communications, life support, and rescue operations—and on the research progress or lack of it within each sub- area. The committee made no attempt to evaluate in depth all projects and did not consider it to be its responsibility to resolve scientific or engineering issues. The primary criterion has been whether the progress made has contributed to enhancing the survival and rescue capability represented by that sub-area. A secondary criterion has been whether research in the sub-area has been responsive to the goals set forth in the 1970 NAE report, many of which are still valid today. 3.2 COMMUNICATIONS "Post-disaster communications" in the 1970 NAE report means "locating and communicating with workers trapped underground either -44-

behind barricades, in refuge chambers, or attempting to escape."* That report discussed telephone, electromagnetic, and seismic communica- tions. Telephone communications were dicussed primarily in terms of short-term improvements; electromagnetic and seismic communications were identified as areas in need of longer-term R&D. 3.2.1 Electromagnetic Communications The 1970 NAE report noted that "Electromagnetic communications techniques have the advantage that in the long term, they might evolve as a means of operational communications within the coal mine. If properly designed, enough of the operational system could survive an explosion to provide emergency communications. Moreover, electromag- netic or radio communications is the only technique that would permit emergency voice contact between men on the surface and those under- ground."** Further, "Rescue team operations could probably be enhanced by the development of radio systems for communications between team members..."*** The USBM responded with a program aimed at developing devices to permit communication between persons inside a mine or between persons inside and outside the mine, and to make it possible to locate persons trapped inside the mine using electromagnetic waves as the propagation medium. These devices were to be capable of performing reliably in most mines under normal mining conditions, as well as in disasters, and were to be manufacturable at a reasonable cost. To satisfy this objective several alternatives were pursued: 1. Direct through-the-earth propagation 2. Guided wave propagation through the mine entries 3. Leaky feeder propagation 4. Inductive coupling to wires and metallic objects 5. Hire propagation All of these options were given consideration as part of several systems-oriented studies. Greater emphasis was placed on option 1, and options 4 and 5 received less attention for post-disaster situations. The program evolved with a combination of simultaneous equipment development, field experiments, and theoretical and analytical efforts being pursued. Efforts were made to fully characterize the propagation media through advanced analytical techniques, measurement of conduc- tivities and noise, and consideration of design options. A review of the various efforts suggests that analytical and theoretical work were neglected at times in favor of equipment construction for demonstration purposes. In the later 1970s, however, the second phase of equipment and systems development appears to have relied more heavily on the analytical work. *Mine Rescue and Survival, p. 12 **Mine Rescue and Survival, p. 13 ***Mine Rescue and Survival, p. 23 -45-

The work in this area has clearly shown the practicality of elec- tromagnetic techniques for communicating with and locating trapped miners. The value of inductive coupling to existing wires and metallic objects for mine rescue teams has been demonstrated in South African mines, and experiments suggest this technique will be of value in the United States as well. The Bureau made significant advances in establishing the theoretical, analytical, experimental, and hardware design aspects of electromagnetic communications for meeting post- disaster needs. Options have been considered for the possibility of meeting both routine and post-disaster needs with one system. The concept of a "hardened" or "explosion proof" telephone system was studied, with the conclusion that such a system could not be construc- ted, installed and maintained at a reasonable cost. However, the use of multipath telephone circuits has been recommended and various approaches have been devised. Battery-powered carrier current radios for trolley haulage systems came into use during the decade and provided another communication path. Techniques for coupling electro- magnetic communication signals to steel hoist rope were developed. This method is now being used in conjunction with battery-powered carrier radios to permit voice communication with the cage even when all electrical circuits between the cage and the surface are lost. During the 1970s advances in electronic communication technology were driven primarily by the rapid development of highly dense packag- ing techniques for integrated circuits. The concomitant development of the microprocessor made it possible to realize the benefits of digital communication and circuit control techniques that had been developed during the previous two decades. The higher packaging densities and wider array of practical design alternatives (e.g., digital vs analog) made system realizations more adaptable to the specific needs of mines and made costs more acceptable to low margin companies. The availability of low cost digital circuits now makes possible sophisticated signal processing techniques for minimizing the effects of noise and compensating for peculiar system characteristics such as those experienced with "through-the-earth" systems. Such applications are now practical for hand-held devices, as well as for portable field equipment. Solid state switching technology is revolutionizing the design of telephone systems. New design options now exist both for in-mine systems and for inside-to-out side systems, which make it possible to accommodate to specific rescue and survival needs. Telephone systems can be designed with features that are activated during emergency conditions, so that, for example, when any underground phone is taken "off hook" it automatically "rings" the emergency communication center. Knowledge of "through-the-earth" propagation of electromagnetic waves has greatly advanced during the decade, primarily because of contract work sponsored by the Bureau of Mines. With adequate informa- tion about the earth's resistivity profile near mine workings, accurate predictions of signal propagation patterns can now be made for a wide variety of system configurations. Availablity of adequate resistivity data is now the major limiting factor in analyzing a given situation. -46-

The extensive body of data that has been gathered and is now being analyzed and processed should meet the major needs of the next few years. The development of integrated-circuit technology during the past decade has contributed greatly to reducing battery requirements for in-mine applications. This has many advantages, including lighter weight, longer operating times, and easier compliance with "intrinsic safety" requirements of MSHA. The development of electronic devices during the past decade has generally led toward better reliability and the practicality of trading off important factors such as weight, packaging, costs, and environ- mental considerations (such as temperature). Evaluation; USBM research in electromagnetic propagation for use in post- disaster communication and location techiques has more than met the recommendations of the 1970 NAE report. Development of a direct through-the-earth beacon for location and communication has been followed through to the logical point of producing prototypes that can be manufactured and placed in use in several operating mines. This program may represent the greatest single contribution to evolve from the 1970 NAE recommendations. Electromagnetic through-the-earth experiments have shown that a maximum propagation distance of about 1000 feet is possible in most mines. However, development of medium-frequency (i.e., in the vicinity of 1 MHz) two-way communication units for rescue teams and possible routine applications was not initiated as early in the research program as would have been desirable. Also, inordinate attention was given to overly sophisticated "integrated systems" for demonstration purposes before many of the system components had been adequately developed or tested. The rapid development of electronic technology during the 1970s has made equipment development easy, but has made it difficult to decide at what point to adopt a basic design for extensive testing and possible operational deployment. This problem was and still is com- pounded by the lack of a clear policy or methodology for the transition from basic research to applied research, development, demonstration, testing, and ultimately, implementation. It is not clear how much of this transition is considered to be a USBM responsibility. The more recent emphasis on establishing equipment reliability and exploring new hardware, system and signal processing techiques are clearly steps in the right direction for this program. Because of the limitations imposed by earth conductivity and ambient noise and the prospects for deeper mines, it is important that these new methodolo- gies be pursued. This effort needs to place more emphasis on explora- tory research, and less on equipment development and demonstration. All of the effort related to locating and communicating with trapped miners has centered on communication between a station on the surface and miners trapped underground. No attention has been given to communication between two underground stations—e.g., between trapped miners and advancing rescue teams. This concept merits some attention. -47-

3.2.2 Seismic Communications Because of the wealth of knowledge existing in 1969 on seismic techniques, their application to locating and communicating with trapped miners was discussed in great detail in the 1970 NAE report. It was recognized that all of the required receiving and signal pro- cessing equipment was available "off the shelf," and that the miner might need no more than a hammer with which to pound on rails or roof bolts. Thus the use of seismic waves was viewed as the most promising short-term method for locating a trapped miner. The early analytical and theoretical work resulted in a portable receiving system mounted on the back of a pick-up truck with an array of geophones to be deployed on the surface. The miner transmitted signals by pounding with a sledge hammer. A weight-dropping device was also used in some experiments. Down-link communications were achieved by firing shots on the surface. Early results indicated that electromagnetic communication was more promising than seismic communication for this purpose and the program emphasis was therefore shifted to electromagnetics. Neverthe- less there was a continuing commitment to maintaining a seismic com- munication capability because the miner would not need a special transmitting apparatus. Standard seismic procedures were developed and are now taught to miners as part of their mandatory training. Among the longer term research objectives identified in the 1970 NAE report were the gathering of data on seismic transmission through various geologic structures, the use of accelerometers to detect high- frequency seismic pulses, the development of automatic seismic signal- ling devices, and the study of transmission paths of seismic energy in mining areas. Work has gone on in a number of these areas. Some of the studies indicate techniques that could be useful for monitoring geological conditions in mines daily, quite apart from their potential value for locating and communicating with miners during disasters. Evaluation; Early plans for the seismic approach were altered when the first electromagnetic experiments demonstrated that in most locations where seismic techniques could work, experimental electromagnetic devices performed better in most cases. Even though the miner had to carry an "active" transmitting device, the electromagnetic receiving apparatus had the advantage of being smaller, portable and much easier to deploy than seismic devices. As a result, the overall developmental effort shifted toward electromagnetics. Nevertheless, there is still a need for theoretical and experi- mental seismic work, not only to support post-disaster applications, but also as part of a continuing effort to explore ways in which permanently installed seismic systems could be used on a day-to-day basis, and thus be available during disasters for miner location. Location of transducers inside mines should be considered, in conjunc- tion with distribution of microcomputers. -48-

3.2.3 Borehole Probes The objective of this effort was to develop probes that could be lowered through a borehole and used in emergency mine rescue operations. Probes for two-way voice communication with trapped miners, continuous mine atmosphere monitoring, temperature indication, and television searching have been developed, and have been deployed by MSHA's Mine Emergency Operations facility. Methods for using infrared imaging to "see" through smoke have been studied but have not yet proven to be practical. Another effort in this area was the development of a portable gas analyzer to permit rapid measurement of gases present in a coal mine fire. A useful device was developed and several units are available for deployment. • Evaluation; The borehole-probe work has primarily been development based on existing technology rather than research. Useful and practical equip- ment has been developed and deployed. 3.3 LIFE SUPPORT SYSTEMS Breathing apparatus falls into two categories. The escape breathing apparatus (EBA), also called personal breathing apparatus, emergency breathing device, or "self-rescuer," enables the individual miner to continue breathing while passing through regions of hostile atmosphere when escaping from the mine. The rescue breathing apparatus (RBA) is used by volunteer rescue teams in the processs of searching for and rescuing trapped miners and reestablishing fresh air ventila- tion in the mine. The requirements for the two differ. The escape apparatus must be available to every person in the mine, must be simple to use, and need only keep the miner alive for the time it is likely to take to reach a safe location or a stockpile of additional breathing devices. The rescue apparatus is used only by specially trained volunteer rescue teams and must keep them alive for a longer period of time while they engage in strenuous rescue work. The escape breathing apparatus in current use is the "filter self- rescuer." It essentially filters carbon monoxide out of the air the miner breathes; it does this by means of the catalyst hopcalite which converts carbon monoxide to carbon dioxide as the air passes through the device. The filter self-rescuer offers no protection against toxic gases other than carbon monoxide and does not provide oxygen; therefore it is useful only in an atmosphere that contains sufficient oxygen to support life and that is contaminated solely by carbon monoxide. Moreover, when it is used in a carbon monoxide environment, the mouthpiece heats up to blistering temperatures (in excess of 300° F at a 2% concentration of carbon monoxide). The filter self-rescuer is light weight (about 2 pounds) and compact (the size of a small water canteen) and is worn by all miners on their belts. All the rescue breathing apparatus in current use are self-contained oxygen-providing units. They tend to be heavy (about 30 pounds) and bulky (the size of a backpack). An oxygen-providing -49-

breathing device can contain either a supply of compressed oxygen gas or cryogenic liquid oxygen or a chemical source for oxygen generation. To improve the design of any breathing apparatus it is necessary to know (1) the environment in which the apparatus will be used, (2) the physical condition of the miners who will use the apparatus, (3) the physical activity in which they will be engaged and the physio- logical and metabolic requirements arising from that activity, (4) the length of time that protection must be provided, and (5) the "human factors" considerations that determine what features the apparatus must have if it is to be accepted and used properly by those it is intended to protect. These last considerations are more of a problem with the EBA, which must be accepted and used by all miners, than with the RBA, which is used only by select volunteers. 3.3.1 Escape Breathing Apparatus The 1970 NAE report identified the requirements for an EBA, or escape breathing apparatus. It "should provide a respirable atmos- phere, regardless of the environment; should permit intermittent voice communication; should provide eye and face protection in areas of high dust and smoke concentrations; should be of the longest possible dura- tion; and should be light and compact enough that miners will not object to carrying them continously."* That report went on to point out that, for such a device, "...safety is related not only to the reliability of the device, but to its availability and the willingness and ability of the miner to use it. Minimum weight, volume, and com- fort when in use may be more important than very strict requirements for operating time, permissible carbon dioxide levels, and inspired gas temperatures. No matter how reliable the device, safety is not pro- vided if it is so bulky and heavy that it is 'inadvertently1 stashed some place in the mine."** The report urged the same approval schedule not be used for EBAs and RBAs, and specifically recommended for EBAs "that a new approval schedule reflecting the philosophy of maximum probability of survival should be adopted," and that this schedule "should not establish inflexible requirements, but should permit tradeoffs to achieve a better total design."*** To provide a respirable atmosphere regardless of the environment, an EBA must contain a source of oxygen. The 1970 NAE report discussed possible sources: compressed oxygen, cryogenic liquid oxygen, and chemically generated oxygen using potassium or other superoxides or chlorate candles. Most of the R&D supported by the Bureau of Mines during the past decade involved chemically generated oxygen; only toward the end of the decade was work begun on compressed oxygen systems, and no effort has been devoted to cryogenic systems (see *Mine Rescue and Survival, p. 9 **Mine Rescue and Survival, p. 33 ***Ibid -50-

Table 3.1). There was clear evidence as early as late 1970 to indicate that the weight and dimension recommendations of the 1970 NAE report were not being met. This led to USBM research that developed a light- weight, compact 10-minute unit and also a "piggy-back" combination of a belt-wearable 10-minute device and a cached 60-minute device (the MSA 10/60 system). That system did not require the miner to remove the mouthpiece, as the 60 minute unit could be plugged directly into the 10 minute unit. Neither of these systems was marketed. The EBAs that ultimately emerged from this program to be marketed are sufficiently heavy (8-9 pounds) and bulky (the size of a small knapsack) to raise questions about the willingness and ability of miners to wear them. Consideration has been given to regulations specifying that when these devices are introduced they may be cached rather than carried on the miners' persons, in which case miners would continue to carry filter self-rescuers to provide protection until they reach a cache of oxygen-providing EBAs (oxygen self-rescuers). Evaluation; The examination of mine disasters and rescue efforts during the past decade reaffirms the 1970 NAE conclusion that an escape breathing device that is continuously carried on the miner's person and that provides sufficient oxygen to support life for the time it takes to get to a place of safety would be the most important piece of lifesaving equipment that could be developed. The committee believes that while individual R&D projects in this area were sound, the program as a whole failed to provide the needed focus on an effective escape breathing device. The R&D carried on in the past decade indicates significant engineering problems in developing an oxygen EBA, particularly with regard to size and weight. If being light enough and compact enough that miners will wear them continuously is given high priority, as the committee believes it should, then other avenues should be explored to reduce weight and bulk. The 1969 Act calls for a one-hour device, and this has been considered a rigid requirement thus far. The one-hour requirement should be reexamined on the basis of a realistic assessment of the physical condition of the miners, the physical activity involved in escape and survival, and the associated physiological and metabolic requirements. Further R&D should be conducted in the chemistry of oxygen generation and in the use of oxygen sources other than chemical generation. Systems like the "piggyback" device, that combine wear- ability with caching, should be explored further. Caching is a legitimate option to be considered, but one that should have been taken into account early in the R&D process in deter- mining appropriate tradeoffs among the requirements and in developing design specifications. It is also necessary to develop a strategy for caching. This should include location of the cache, number of units to be cached, shelf life and maintenance requirements, etc. There is a real concern that cached devices may not be as effective as devices that are belt-wearable and tragedies may result from caching bulky devices. Therefore, this committee reaffirms the importance that the 1970 NAE report placed on tradeoffs among requirements leading to -51-

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creative design and a better total system—i.e., one in which the miner's probability of survival is maximized—and for R&D to develop methods for evaluating tradeoffs. Whatever device is developed should be subjected to extensive field testing in different kinds of mines, with careful observation of the way miners actually use it, and feedback and suggestions should be sought from those who participate in such field tests, before consid- eration is given to mandating its use. Initiation by MESA in 1976 of rulemaking to require use of an oxygen EBA preceded any extensive field testing and was accompanied by a reduced level of funding for R&D in this area. 3.3.2 Rescue Breathing Apparatus While the 1970 NAE report did not identify improvement in rescue breathing apparatus as a high priority item, it did point to the need for long-term research that could contribute to improvements in the then existing equipment, which it described as heavy, cumbersome, costly, and uncomfortable if used for long periods. The Bureau has conducted some research in this area, and has just recently begun a limited effort in the design of a light-weight, low-profile rescue breathing apparatus suitable for use in thin coal seams and other con- fined spaces for which the present equipment is too bulky. The committee is concerned that in the RBA work that has been done, decisions to require positive pressure in the facepiece through- out the respiratory cycle, and to effectively discourage "buddy valves" (which would allow a second person to breathe temporarily from another's breathing apparatus), have been made somewhat arbitrarily and do not reflect the most essential needs of rescue work. Moreover, insufficient attention has been paid to the value of cryogenic (liquid oxygen) devices, especially for use in hot mines. This may be the result of inadequate solicitation of guidance from individuals with rescue team experience. Evaluation; Improved rescue breathing apparatus was not given high priority by the USBM. What work has been done has not been sufficiently sub- jected to review by those who have used or will in the future use such apparatus. 3.3.3 Physiological and Metabolic Research Physiological and metabolic studies are required both to establish the requirements for an emergency breathing apparatus and to design procedures for testing and approving such apparatus. Although the requirements for escape and rescue apparatus differ, the approach is the same. It involves (1) distinguishing between the different kinds of activity likely to be engaged in by miners using tne equipment (e.g., walking to a place of safety vs. engaging in arduous rescue work), (2) relating this to the physical and medical conditions likely to be found among miners and rescue team members, and (3) developing requirements and techniques for human tests and automated breathing -53-

simulators that can be used in the development of breathing apparatus. The 1970 NAE report says of such studies: "The metabolic requirements of the miners must be determined more accurately for design of improved emergency breathing devices. Under conditions following an explosion, a miner's oxygen consumption, tidal volume, and respiratory frequency are likely to increase. Each of these parameters affects the emergency breathing device design requirements. A research program should attempt to develop, in the labora- tory or in the field, experimental stresses that are similar to those actually experienced during emergency conditions. Because of the difficulty in simulating hazardous conditions in a laboratory environment, considerable care and thought will be required to design meaningful experiments. The subjects should be drawn from the population at risk—the miners themselves. Additional training should not be given to those participating in the experiments, and every possible effort should be made to impose realistic stresses on the subjects."* The report goes on to state that while the missions of escape and rescue apparatus differ, they are covered by the same approval schedule. While this schedule is appropriate for rescue apparatus, for escape apparatus "...a new approval schedule...should be adopted. The schedule should not establish inflexible requirements but should permit trade-offs to achieve a better total design."** Part of the Bureau's program during the past decade was directed toward development of an automated breathing metabolic simulator for testing breathing apparatus under development prior to human testing. The program has also supported physiological research on people in stress situations similar to those miners might experience during a disaster, and these results have been applied to the development of escape breathing apparatus. However both of these activities have been hampered by inadequate early attention to design criteria, experimental protocols, and sampling procedures, so that progress has been slow. The work has proceeded independently, rather than having the pace set and the priorities determined by the ultimate goal—development of an escape breathing device for miners. A revised human subject test for approval of breathing apparatus that does distinguish between escape and rescue has now been developed and is being evaluated before it is proposed as a revised MSHA/NIOSH regulation. Evaluation; The Bureau of Mines has supported studies of physiological response and metabolism under stress conditions and development of an *Mine Rescue and Survival, pp 32-33 **Mine Rescue and Survival, p. 33 -54-

automated breathing metabolic simulator. For too long, however, the characteristics of the actual miner population were not sufficiently taken into account. Moreover, the distinction between escape and rescue activities has remained blurred, and the development of test schedules appropriate to escape has been slow. This is particularly unfortunate since new rescue breathing apparatus was not as badly needed as an oxygen-generating escape breathing apparatus (and in fact little R&D in rescue breathing apparatus was undertaken). Because the weight and bulk of an escape apparatus increase with the length of time it must keep a miner alive, which in turn is related to the miner's physical state and activity, to develop a truly light-weight, belt-wearable device the Bureau must realistically assess the effort required of a miner attempting to escape. The Bureau's physiological and metabolic research has not provided sufficient support for development of a lightweight escape breathing apparatus. 3.3.4 Refuge Chambers The 1970 NAE report proposed refuge chambers that "...would provide protection from poisonous gases and some protection from subsequent explosions until the men could be rescued. The chambers could also serve as a temporary haven for men to replace or replenish emergency breathing devices or wait for the air to clear before resuming escape attempts."* The report pointed out that "When it appears to be impossible to escape or imprudent to attempt escape following a fire or explosion, miners are trained to isolate themselves from toxic gases and smoke by erecting barricades of brattice cloth on wood framing. From 1909 to 1961, more than 1,000 coal miners were rescued from behind barricades. In the period under consideration, the past two decades, 62 miners were rescued from behind barricades and 27 died behind inadequately constructed barricades."** The report discussed the pros and cons of refuge chambers: "Some have strongly argued that in case of emergencies miners should proceed immediately to a refuge chamber and await rescue. While this would provide almost absolute protection from poisonous gases, there is always the possibility that a subsequent explosion or a roof fall might destroy the chamber and kill its occupants. If an emergency two-way voice commmunication capability can be developed, a good approach would be for miners to proceed *Mine Rescue and Survival, p. 7 **Mine Rescue and Survival, p. 10 -55-

to the chamber to receive information on the extent of damage and whether escape is feasible or they should wait until rescue. In the final analysis, the decision will have to be made by the men underground at the time, and the mine rescue and survival system should maximize their chances for either escape or survival underground."* The report further stated: "...When escape is not possible or the risk is considered to be too high, chambers may also serve as waystations for miners escaping from the mine to rest, replace or replenish emergency breathing devices, and communicate with the sur- face...If possible, without creating the hazardous situation inherent in any major underground construction project, some protection should be provided against secondary explosions. Two potential concepts have been identified. A preliminary design has been made of a metal bulkhead and door, two of which could be used to enclose a shock wave. The bulkhead could be anchored by roof bolts into the roof and floor. It would be made in sections that could be easily moved as mining sections are opened and closed. The other concept is an inflatable structure that, if inflation is rapid enough, can be left deflated until actually needed... A combination of sectional and central underground shelters may be the most economical method of providing protection. Analysis of the hazards of individual mines should be con- ducted to aid in selection of types of underground protection."** The Bureau has conducted some technical research on bulkheads and on guidelines for refuge chamber design and construction. However, the applicability of the refuge chamber concept as part of the total survival and rescue system has not really been examined in depth. Evaluation; This area has received little attention from the Bureau. What work has been done has been narrow in scope. It has failed to distinguish between the usefulness of refuge chambers in different kinds of disasters (e.g., explosion, fire) or in different kinds of mines (including their usefulness for thermal protection in deep, hot mines). Nor has there been any in-depth analysis of the requirements for refuge chambers or of the distinction between self-contained refuge chambers and those connected to the surface by drill holes. In light of the considerable concern that has been expressed about the implications of the refuge chamber concept, and the querries that *Mine Rescue and Survival, p. 7 **Mine Rescue and Survival, pp. 10-ll -56-

have been raised about the deployment of these chambers, the Bureau has been appropriately cautious. What work has been done clearly indicates a host of engineering difficulties with the refuge chamber concept. However not enough has been done to provide a basis for judging whether further pursuit of this approach is likely to be fruitful, particularly in view of the regulations that now exist with regard to mine design, escapeways, emergency drills, and communications. 3.3.5 Oxygen Sources for Breathing Apparatus and Refuge Chambers The 1970 NAE report discussed the need to develop appropriate oxygen sources, both for breathing apparatus and for refuge chambers. This does not appear to have been recognized by the Bureau as an identified area for R&D until 1974. Since then, there have been projects on improved oxygen sources but these have concentrated exclusively on metal superoxides. There has been no effort to develop new oxygen sources for refuge chambers, as existing sources that were considered too heavy and bulky for breathing apparatus were considered adequate for refuge chambers. Evaluation; The development of new sources of oxygen for breathing apparatus and refuge chambers has not been recognized and funded as a major area of R&D, despite the significance that such development could have for an improved escape breathing apparatus. 3.4 RESCUE OPERATIONS The improvements in rescue operations called for in the 1970 NAE report center on (1) rescue drilling and (2) equipment to assist rescue teams. The latter category includes rescue breathing apparatus (See Sec. 3.3.2), rescue team communications (See Sec. 3.2), and such other approaches as infrared and other spectral detectors to search for fires or hot spots within the mine, new types of rigid foam for construction of temporary stoppings, the possible use of remote control vehicles to complement rescue team operations by sampling the atmosphere and searching for hot spots, and development of bubble-type helmets to provide better visibility and greater comfort for the wearers of rescue breathing apparatus.* 3.4.1 Rescue Drilling Technology The 1970 NAE report went into great detail concerning the require- ments for rescue drilling. That report envisaged the combination of a highly mobile, air-transportable search and probe drill and a wider diameter rescue drill. Although 6- to 8-inch diameter drills for sinking probe holes were recognized to be commercially available, larger rigs capable of sinking 18- to 28-inch diameter holes were con- sidered to be too slow and cumbersome for rescue work. Therefore *See Mine Rescue and Survival, p. 23 -57-

research was recommended for improving the mobility and drilling rates of the larger rigs. Moreover, the report pointed out that considerable drilling research that might be applicable to mine rescue was already in progress. Therefore, it was recommended that the Bureau monitor and evaluate such research activity. It was recognized that additional work might have to be sponsored by other laboratories under USBM guidance and leadership. The report implied that the Bureau should not develop an in-house research capability in this area. Work in the drilling area was primarily dedicated to development and testing of the two drills now assigned to MSHA's Mine Emergency Operations. These drills were later modified as a result of testing and deployment during actual emergencies. Research related to drilling during the past decade was limited to two projects. A study of the state of the art for down-the-hole percussion devices in 1972 led to the conclusion that privately sponsored research was more than adequate and that Bureau support was not necessary. In another project, a guidance system was developed for field-testing the probe drill developed for the mine rescue system. Evaluation; Although the Bureau did not mount a major research effort in post- disaster drilling technology, the program it conducted was responsive to the 1970 NAE recommendations. In light of funding constraints in the post-disaster area and in view of drilling research being conducted outside the Bureau, the magnitude of the Bureau's post-disaster dril- ling research seems appropriate. 3.4.2 Mine Survey and Rescue Vehicle The 1970 NAE report envisaged a remotely controlled probe vehicle that "...might be equipped with manipulator arms...and could have closed circuit television that would be transmitted to the surface through the mine opening by repeater stations dropped from the vehicle at suitable intervals. A vehicle of this type...must be powered by a self contained system. Novel power sources such as fuel cells and sophisticated methods of making diesel, natural gas, and other internal combustion engines acceptably permissible should be investigated."* The Bureau undertook to design and build a remotely controlled vehicle to operate in a hostile mine environment. Provisions for measuring methane and carbon monoxide concentrations and ambient air temperature were to be included. The feasibility of using a remotely controlled vehicle in a mine environment was demonstrated. Many factors and limitations affecting the general usefulness of such a machine were discovered. It was determined that the vehicle had limited mobility and was easily stranded by tracks, ruts and large rocks. The system was judged to be at best a prototype and not sufficiently reliable to be used in emergencies. *Mine Rescue and Survival, p. 24 -58-

It is apparent that minimal funds were expended to develop this vehicle. The Bureau's review of the contractor's final report concluded that the original scope of work was too ambitious for the time allowed and the resources available. In another effort, the National Aeronautics and Space Administra- tion was engaged to adapt a lunar rover inertial reference system for use on the vehicle described above. A number of problems were identi- fied in trying to adapt the reference system to the vehicle and the tests appeared to be incomplete and inconclusive. (A related effort involved development of a manually operated rescue team vehicle, sufficiently large to carry people and supplies in and out of dangerous areas and thus hopefully extend the useful range of activity for a rescue team. This device is basically a battery powered rough-terrain rubber-tired vehicle operated by an onboard driver and provided with gas sensors and wireless communication equipment.) Evaluation; The 1970 NAE report recommended that remotely controlled sur- veillance vehicles should be investigated by the Bureau. There was virtually no elaboration on this recommendation. It appears there was never a concerted effort to fully explore the potential value of such vehicles and to set forth a development effort for meeting the most important needs. The experience gained by the initial effort was never exploited in later developments. The research performed leads to the conclusion that remotely con- trolled surveillance vehicles would have only limited utility during mine rescue oprations. This utility probably exists only when mine conditions make it impossible or unusually risky for a rescue team to operate, e.g., in areas where there is risk of a secondary explosion or a roof cave-in. 3.4.3 Rescue Team Helmet and Cooling Garment The 1970 NAE report noted that "Rescue team operations could probaly be enchanced by...development of bubble-type helmets to provide better visibility and greater comfort for the wearers of breathing devices."* Until 1975 the Bureau undertook no research in this area. Since 1975 the Bureau has developed, under contract, a bubble rescue helmet, and, through a combination of contract and in-house reseach, cooling garments for rescue work in hot environments. These items are now available for rescue use. Evaluation; This area was not given high priority in the 1970 NAE report, and the USBM response has been appropriate. However, more attention should be paid to the conditions under which rescue work is carried on, and an effort should be made to develop equipment that increases the rescue team members' comfort and visibility. *Mine Rescue and Survival, p. 23 -59-

3.5 RELATED RESEARCH Although mine monitoring was not specifically addressed in the 1970 NAE report, in the early 1970s two projects involving the monitoring of airflows and undesirable gasses in mine airways were funded by the post-disaster research program. Both projects were aimed primarily at disaster mitigation; however, the post-disaster value of having detailed data on conditions before and during the disaster was recognized. The possibility of the monitoring equipment surviving the disaster was recognized but not made part of the design requirements. Both projects led to construction, installation and demonstration of monitoring equipment in coal mines. A third research project addressed the possibility of using low- data-rate through-the-earth transmission techniques for monitoring conditions in a mine following a disaster. The feasibility of having permanent or semipermanent beacons which could be activated by a signal from above ground was considered. Although this is possible in principle, the overall value of such devices is questionable. Research efforts aimed at detecting or mitigating conditions that might lead to disasters can sometimes lead to technology or knowledge that would aid during post-disaster conditions. Several projects con- ducted by the Bureau fell into this category but were not funded under the post-disaster program. These projects related mostly to control- ling mine fires and included efforts aimed at improved temporary stop- pings which could have post-disaster applications. There were also several projects involving sensors and monitoring systems which could aid in evaluating pre- and post-disaster conditions. Also, several projects funded by the Bureau have led to new communication equipment for everyday use which has some capability of responding during disaster situations. Evaluation; There have been various R&D areas related to post-disaster survival and rescue that have not been carried out as part of any one of the identified post-disaster subprogram areas. This in itself is unobjectionable; however there does not appear to be any systematic procedure within the USBM for integrating such R&D results into the major programs. 3.6 SURVIVAL AND RESCUE PLANNING AND MANAGEMENT While the 1970 NAE report did not explicitly speak of a mine disaster planning and management system, a number of the elements of such a system were specifically addressed. Thus the report states: "There is strong evidence that in addition to proper equipment, proper training is essential to survival and rescue. Each mining crew should be organized for and drilled in behavior that would maximize their chances for survival. They should be taught the specific hazards associated with different types of emergencies and the -60-

best way to meet them. The records of coal mine disasters show very clearly that many more miners would have survived had they known the proper course of action to follow. Two possible training aids for long-term development are an explosion model to demonstrate the effects of explosions and a simulator in which miners could be exposed to simu- lated conditions of a fire or explosion. A simulator could be equipped with a refuge chamber, smoke generator, and other devices to realistically simulate emergency condi- tions."* The report goes on to clarify the notion of an explosion model: "The model could be a physical and/or mathematical analog capable of indicating: (1) the progression and magnitude of shock waves traveling through a mine; (2) gaseous con- stituents of the atmosphere after ignition of primary and subsequent explosions; and (3) the effects of mine con- figuration (e.g., tunnel size, crosscut and spur location, etc.) on shock wave attenution, refuge chamber location, etc. An experimental program should be conducted to improve and verify the model."** The report points out that in mine disasters, information on exact medical cause of death is usually not available, and concludes that "The information that could be gained by autopsies on fire and explo- sion victims would aid materially in the design of future rescue and survival systems."*** It further recommends that "Previous mine disas- ters should be simulated to gain additional insight into the causes of death. This knowledge could then be used to develop more effective procedures to search for survivors."**** Moreover, "...an operations research type of analysis of rescue team techniques should be conducted to determine if a more efficient method of team operation is possible."***** In an overall sense, the report pointed out, "The success of the pro- gram is dependent upon the integration of the components into a total system. This systems integration or systems engineering effort will make the difference between having a smooth-functioning mine rescue *Mine Rescue and Survival, p. 8 **Mine Rescue and Survival, p. 32 ***Mine Rescue and Survival, p. 6 ****Mine Rescue and Survival, p. 32 *****Mine Rescue and Survival, p. 24 -61-

and survival system and having only improved equipment still used in the limited manner of the past."* The only efforts undertaken by the Bureau in this area were three studies involving ventilation systems and guidelines for emergency escape systems. Some computer simulation was involved. (Further dis- cussion of the value of a systems approach to post-disaster survival and rescue is found in Chapter 4.) Evaluation; The Bureau could have used the 1970 NAE recommendations quoted above as a foundation for a true systems approach to post-disaster survival and rescue. It did not. Instead it approached various com- ponents piecemeal. The concept of a survival and rescue system, incorporating accident analysis, operations research, training, design, and post-disaster investigation, all leading to improved response planning and management, is not evident in the Bureau's post-disaster R&D program. 3.7 PROJECT SELECTION A crucial element in management of a program such as this is the selection of projects to be undertaken. This selection must reflect the concerns of the agencies responsible for regulating mine safety and responding to mine emergencies, the mine operators, the miners them- selves (through their unions), and the manufacturers of mine safety equipment, as well as those undertaking the R&D. It must be based on considerations of need, practicality, effectiveness, acceptability, and cost of implementation, as well as considerations concerning the technological capability for the R&D. A mechanism has evolved in which a joint USBM-MSHA committee evaluates all suggested research projects and ranks them in order of priority. Available funds are then allocated to the highest priority projects. (See Table 3.2 and Appendix II.) The ranking scheme con- siders three major areas: need, technical soundness, and cost of research and implementation. Each proposed project is evaluated with regard to four criteria in each of these areas, and the 12 ratings combined to give an overall ranking. However the criteria are not all independent. For example, criteria 1, 2, 3, 4, and 10 all involve the expected impact of the research on mine health and safety; it is likely that a project that rates highly in any one of these criteria will rate highly in all of them. Similarly, there is likely to be a correlation between the ratings for criteria 5 and 8, which have to do with proba- bility of success, and between the ratings for criteria 9 and 12, which have to do with the expected cost to industry of implementing the results. The net effect of the inter-dependence of the criteria is that "need" is given more weight than "technical soundness," which in turn receives more weight than "cost." *Mine Rescue and Survival, p. 19 -62-

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Moreover, the ratings are combined additively within the three major areas, but multiplicatively between areas. This means that a project rated "medium" in all three areas gets a higher overall ranking than one rated "high" in one area, "medium" in a second, and "low" in the third. Thus, while a short-term, expensive project would receive the same rating as long-term inexpensive one (since criteria 11 and 12 are combined additively), a short-term project addressing a minor hazard and a long-term project addressing a major hazard would both be rated lower than a medium-term project addressing a medium hazard (since criteria 2 and 11 are combined multiplicatively). Some of the drawbacks of this project-selection methodology were identified in an evaluation performed by Booz Allen for the Bureau of Mines in 1978* but the methodology has not been significantly revised. Evaluation; The overall impact of the project ranking scheme is to favor short-term, low-cost projects whose results are needed immediately and are likely to be readily accepted by the mining industry, at the expense of longer-term, expensive projects addressing longer-term needs that may lead to results likely to be resisted by the industry. 3.8 TECHNOLOGY TRANSFER The phrase "technology transfer" originally came into widespread use in the context of adapting and applying technology developed for the space program to other areas. That has since been generalized to refer to any transfer of technology between areas of application. It has also been used to refer to measures for bringing about the transi- tion of a new technology from the R&D laboratory into operational use. This is the primary sense in which it is used here. The Bureau of Mines considers the desirability and cost of imple- mentation in its project ranking procedure, and also has a technology transfer program that centers on information dissemination. The vehi- cles used are industry briefings, seminars, demonstrations, exhibits at meetings, and technical information bulletins. While little effort of this sort has been devoted to the post-disaster area, the committee does not believe that more of this kind of activity would necessarily lead to more effective integration of R&D results into operational practice. The drawbacks to this approach to technology transfer are (1) that it rests almost entirely on a one-way flow of information from the developer of the technology to the prospective user, and (2) that it does not start until the R&D is complete. Bulletins and research reports are impersonal and may not elicit a response. Seminars and briefings are more personal and do permit some feedback but it may come too late to affect the development project. *Evaluation of Research Project Selection Methodology for the Mine Health and Safety Program,: Booz Allen and Hamilton, Inc., February 24, 1978 (USBM Contract No. J0177121) -64-

There is another approach to technology transfer in which the prospective user becomes a partner in the enterprise at the outset. Cost-shared research conducted jointly by government and industry is one way to do this. Such an approach, the committee believes, would be far more effective in inducing user acceptance of R&D results, as it would permit shaping and reshaping the R&D program to match user-perceived needs. This approach is discussed further in Chapter 5. In addition to the concern with outward technology transfer, there is also a need for inward transfer of technology that has been developed in other areas and that may be adaptable to mining. While mine disasters are different from most other kinds of disasters, many of the elements of coping with a mine disaster—e.g., emergency com- munications, firefighting, breathing apparatus—have much in common with their counterparts in other kinds of disasters, and an R&D program bearing on mine survival and rescue might be expected to look to mili- tary, space, firefighting, and undersea rescue programs for technology and procedures that might be transferable to mining. The 1970 NAE report identified several such areas of technology that could conceiv- ably be adapted to meet mine disaster needs.* While the Bureau of Mines has at times contracted with defense agencies and with NASA for specific R&D projects, it has not established "systematized" means for transferring technology from other areas into its post-disaster R&D program. Mine safety and health research is conducted in other countries as well. Although there are no formal agreements between the Bureau and foreign governments for post-disaster research, general agreements providing for information exchange with the United Kingdom, South Africa, and India include specific post-disaster areas. Evaluation; Although the Bureau of Mines has a "technology transfer" program, it focuses almost exclusively on disseminating information about completed R&D. No special emphasis is given to post-disaster R&D. No extensive attempts have been made to transfer post-disaster technology by engaging prospective users as partners in the enterprise. There is no formal program for transferring into the Bureau information and technology from R&D programs in other government agencies. While some information exchange takes place, the Bureau has not developed creative and effective means for identifying and adapting technological developments in other areas for application to mine disasters. 3.9 EVALUATION OF THE TOTAL PROGRAM Figure 3.1 illustrates the committee's conception of what an R&D program in post-disaster survival and rescue should look like. Note that it includes both equipment development ("hardware") and develop- ment of plans and procedures ("software") and that in addition to depicting areas of research (e.g., location and communication), it *Mine Rescue and Survival, pp. 22, 28 -65-

indicates a flow from basic research through applied research to development and, finally, production and operational use of new equip- ment and procedures. It also depicts integration of the various areas of research to lead to development of new systems, or of new elements to be incorporated into existing systems, based on a number of different research projects. As an example, the development of a new escape breathing apparatus rests on basic and exploratory research in chemical and other sources of oxygen and in the physiological and metabolic demands associated with escape, and draws on information about breathing apparatus used in applications other than mining. From this base, applied research is conducted, aimed at solving some of the problems associated with an escape breathing apparatus. This in turn leads to development of improved apparatus or of a totally new approach. The development stage must incorporate o Conceptual development to meet identified objectives, o Development of technical means for attaining objectives, o Human factors considerations in setting design specifica- tions. This last item involves consideration of such questions as: o How and in what circumstances will the equipment be used? o What degree of training (or retraining) will be required? o What confusion may arise in use? o What fail-safe or redundant features will be required? The development phase also involves considerations of cost and cost- effectiveness and of problems associated with commercial scale manufacture. Development usually culminates in the construction of a prototype. The prototype is then tested, evaluated, and modified if necessary. If it is a laboratory prototype, there may be several iterations leading to a commercial prototype—i.e., one built as the commercially manufactured product would be. The next steps are demon- stration and finally tests leading to approval. Some number of devices are built, laboratory-tested, and field-tested, and whatever approval is required by law is either granted or withheld. Once approved, the device is ready to be manufactured commercially and put in to use. The same sequence of phases is required in development of a "software" system. Figure 3.2 shows, using the same conceptual scheme, what the USBM program actually looks like. Conspiciously absent are the inward technology transfer, all of the "software," the integration of different projects (instead, development follows projects lines), and the outward technology transfer. Figures 3.1 and 3.2 are greatly oversimplified, but they serve to illustrate the committee's perception that the Bureau's post-disaster research activity is an assemblage of projects rather than an inte- grated program geared to ultimate implementation, and that insufficient attention has been paid to "software." The committee's conclusions about the program as a whole are: 1. The Bureau of Mines post-disaster research program during the past decade addressed most of the recommendations of the 1970 NAE report. However the program did not go very far beyond these recommendations. In particular, it did not undertake -67-

research in such areas as disaster training, disaster plan- ning, and management, and analytical techniques for pre- and post-disaster analysis. In addition, some items in the 1970 NAE report were not addressed. 2. The USBM post-disaster research program was handicapped, especially during the early years of the decade, by a shortage of scientists and engineers with both the necessary expertise and extensive mine experience bearing on post-disaster survival and rescue. 3. The program has tended to favor technological development aimed at developing equipment, in contrast to more fundamental research endeavors. Even where fundamental work was conducted (e.g., electromagnetic through-the-earth propagation), timely integration of the results with more applied efforts has not generally been achieved. There has been no systematic effort to maintain the long-term continuity of expertise on which progress in fundamental research depends. 4. Although annual planning and evaluation procedures for individual projects improved over the years, there is no evidence of management procedures for integrating individual projects into a coherent effort leading toward achievement of broad program goals. Management has been project-oriented rather than program-oriented. This has slowed progress toward ultimate program goals. There is no systematic procedure for carrying a research problem from concept development through to final implementation. This is of particular importance as projects enter the transition from research to product development and field testing. 5. The procedure currently used to determine research priorities is biased in favor of short-term, inexpensive projects addressing near-term needs, that are deemed likely to lead to results acceptable to the mining industry. The planning and management aspects of post-disaster survival and rescue will be discussed in detail in Chapter 4. Steps that would improve the flow of the entire R&D system from conception to implemen- tation will be covered in Chapter 5. The recommendations offered in this chapter pertain largely to the content and management of the activities that the Bureau is now undertaking. 3.10 RECOMMENDATIONS The committee believes that the Bureau of Mines post-disaster research program is important and should be continued. The committee's recommendations for changes in approach or emphasis fall into four major areas: program management, communications, life support and rescue operations, and technology transfer. Program Management 1. The Bureau of Mines should institute management procedures that ensure continual evaluation of the interrelations between different projects and that ensure assessment of their combined effectiveness in achieving program goals. -69-

2. The Bureau should institute a program for maintaining funda- mental research efforts on a continuing basis. 3. The joint USBM-MSHA procedure for ranking proposed research projects should be examined to ascertain whether it meets industry needs. In particular, the bias in favor of short- term, low-cost projects should be critically evaluated. 4. In evaluating both proposed and ongoing research projects, the Bureau should use outside review by research scientists and engineers, manufacturers and users, and experts from related areas in other programs and industries. In particular, input should be sought from those with experience in the area under study (e.g., mine rescue team captains, miners who have suc- cessfuly barricaded, etc.), and from those who are likely to use the R&D results. 5. In developing new systems, the Bureau should allow time for adequate R&D, demonstration, and testing of key components of the system before proceeding with development of the integrated system. Communications 6. Projects concerned with location and communication in disasters should place more emphasis on development of systems in which both transmitting and receiving equipment can be used underground. 7. More attention should be given to developing equipment for communication among rescue team members. Life Support and Rescue Operations 8. R&D on an oxygen-providing escape breathing apparatus (EBA) should be continued, with major emphasis on a system that is designed for escape and can be carried on the miner's person. 9. Physiological and metabolic research, combined with simulation of mine emergencies requiring escape efforts, should be undertaken to establish realistic oxygen rate and time dura- tion requirements for an EBA. This should include a reexam- ination of the validity of the one-hour requirement and, if the one-hour duration is found to be unnecessary, it should include determination of the appropriate time requirement. 10. A systems study should be undertaken to identify the differing design requirements and optimum strategies associated with the various options for meeting the necessary time duration requirement for an EBA, including cached devices and "piggy- back" systems. This will provide a rational basis for trade- offs leading to a system with which the miner's prospects for survival are maximized. 11. Continued research on oxygen sources for breathing apparatus should be carried out. 12. Continued research on rescue breathing apparatus is needed, with emphasis on an apparatus that provides greater comfort over longer working periods and on a helmet-breathing apparatus that promotes both comfort and utility. -70-

13. The applicability of the refuge chamber concept should be examined in detail, with an examination of the relative utility of refuge chambers and other survival system elements (e.g., barricading techniques and mine layouts with a multiplicity of escapeways). Technology Transfer 14. It is essential to have close cooperation between the Bureau, MSHA, NIOSH, state regulatory agencies, mining companies, unions, and manufacturers in the development and implementa- tion of new devices and procedures. Ideally, rulemaking should evolve only after the new technology has been ade- quately tested and proven, using devices constructed as they would be in mass commercial manufacture. Companies should be offered incentives to participate in product development and testing of early designs. For this cooperative interaction to work it must begin at the research initiation phase and continue through research, product development, demonstration, testing, approval, and marketing. 15. The Bureau should make a more active effort to study tech- nology developed in other industries and other countries that might be applicable or adaptable to mine disaster survival and rescue efforts in the United States. -71-

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