Country: Ukraine

Initiation Plan

Project Title: Improving the Health and Safety of Miners in Eastern Ukraine

Expected CP Outcome(s):Area 1, Outcome 3: Improved access to and utilisation of quality health, education and social services

Area 3, Outcome 10: Government adopts policy frameworks and mechanisms to ensure reversal of environmental degradation, climate change mitigation and adaptation, and prevention and response to natural and man-made disasters

Initiation Plan Start Date: February 2012

Initiation Plan End Date: December 2012

Agreed by UNDP:

I.Situation Analysis

1.1 Background

The mining industry, particularly of coal, plays a central role in Ukraine’s economic and social development. With around 500,000 employees, Ukraine’s mining industry workforce ranks among the biggest in the world.[1] Moreover, Ukraine’s mining industry is projected to grow by 5.1 per cent to an estimated value of UAH 97.81 billion (USD 14.19 billion) in 2015.[2]Around 90 percent of Ukraine’s hard coal comes from the Donetsk coal basin in Eastern Ukraine from approximately 225 mines.[3] The remainder of the hard coal comes from approximately 18 mines in the Lviv-Volynskiy basin in Western Ukraine.[4]The relative size and growth of the mining industry makes it a vital consideration for the country’s future economic and social progress.

1.2 Miner Health and Safety

Ukraine’s mining industry has one of the highest rates of mining injuries and casualties in the world.[5] Between January and July 2011 alone, the Ministry of Emergencies of Ukraine reported over 100 casualties, an average of about one casualty every other day. Miners[6]also endure high rates of occupational health ailments, including musculoskeletal disorders, hearing loss, and respiratory diseases. The State Committee of Ukraine for Industrial Safety, Labour Protection and Mining Supervision, though not addressing mining specifically, stated that the approximate rate of professional diseases grows at about 7,000 people per year in Ukraine.[7] The State Committee also noted that about 17,000 citizens become disabled every year due to injuries sustained at work and that 25 per cent of workers in the industrial sector work under hazardous conditions.[8]

In general, mining hazards are categorized as physical, chemical, ergonomic and/or psychosocial.[9] Physical hazards include falling rocks, fires, explosions, equipment accidents, entrapment and electrocution. Noise generated by drilling and blasting is another common physical hazard that leads to varying levels of hearing loss. Chemical hazards, such as crystalline silica (a chemical commonly found in mining), have been linked to increases in pulmonary disease, while coal dust is a leading cause of pneumoconiosis or “black lung.” Even though mining is becoming more mechanized, ergonomic injuries, or musculoskeletal disorders, are persistently problematic health concerns in the industry. Fatigue is also a common problem, which impairs cognitive and motor performance. Psychosocial hazards include drug and alcohol abuse, prominent yet difficult issues to address in mining communities. Traumatic or fatal injuries have profound impact on morale, and post-traumatic stress disorders sometimes develop in witnesses, colleagues and managers.[10]

1.3 Factors Influencing Miner Health and Safety

There are complex, multi-layered factors that affect the health and safety of miners. Starting with biological factors (e.g., genetics), health is also affected by personal choices (e.g., diet and exercise), living and working conditions, access to quality health care, and general social, economic and environmental conditions. These factors and linkages will be closely monitored throughout the health and safety risk assessment process. Other factors that are commonly cited as affecting the health and safety of miners include:

  • Health care services: The availability, accessibility and quality of health care services.
  • Health care facilities: Staff and resource capacities to meet the health needs of miners.
  • Insurance policies: The availability of adequate policies for miners and their families.
  • Lifestyle and behaviours: Lifestyle choices regarding eating, exercise, drugs and alcohol are vital factors that influence the health and safety of miners.
  • Safety regulation compliance: Compliance of safety regulations by miners, managers, administrators and other employees.
  • Safety training programmes: The frequency and quality of safety training programmes.
  • Legal frameworks: The implementation of policies, such as ILO Convention 176.
  • Governance: Ownership structure and allocation of subsidies influence working conditions.
  • Coal pricing: Coal prices affect incentive structures and pressures to produce.
  • Pressures of production or incentives for profit making: Miners are influenced by the pressures of production or incentives to make money, especially when they are paid by volume of minerals extracted, as opposed to an hourly wage.
  • Unions: The effectiveness of unions is vital for miner health and safety.
  • Mining conditions: The depth of mines, levels of methane gas, and other mining conditions affect the safety of miners.
  • Mining equipment: Outdated or poor quality equipment can lead to injuries or fatalities.

1.4 National Priorities

The Government of Ukraine has reaffirmed its commitment to creating safer, healthier working conditions of its miners on numerous occasions. In 2010, the Ministry of Coal Industry of Ukraine began a process of restructuring its mining industry, citing inefficient production and hazardous working conditions. Subsequently, Ukraine began privatising state-run sites (signing deals with China to revamp its coalmines), while also working with the European Union to shut down its non-productive ones.[11]

In 2011, Ukraine became the 25th country to ratify the International Labour Organization (ILO) Convention 176, the Safety and Health in Mines Convention. Two unions, the Coal Industry Workers’ Union of Ukraine (PRUPU) and the Independent Trade Union of Miners of Ukraine, spearheaded the effort to ratify Convention 176.[12] Once enacted, Ukraine’s national laws on mine safety are expected to be updated to comply with international standards. The Convention describes responsibilities for government, mining companies, and miners, and also gives miners the right to report dangerous conditions and accidents, as well as the right to refuse unsafe work.[13]

The State Service of Mining Supervision and Federation of Trade Unions of Ukraine (FPU) also signed an agreement, in force until 31 December 2015, to jointly monitor the implementation oflabour protection laws.[14]Under the agreement, the parties are required to jointly investigate accidents, work together on improving labour laws, and consult each other in matters of labour safety. The parties agreed to revisit and evaluate their progress on an annual basis.

In addition, Ukraine will begin reforming its healthcare sector in 2014, according to the Ministry of Health. Citing lack of funding, equipment and medical staff, the Ministry of Health plans to overhaul its healthcare system, including the addition of a unified state emergency medical service. The reform process has started with pilot projects in the communities of Donetsk, Dnipropetrovsk, Kyiv and Vinnytsia.

1.5 Mining Companies

System Capital Management (SCM), a financial and industrial holding company, is the largest private mining company in Ukraine. SCM owns DTEK, a mining and energy company, which controls about 45 per cent of Ukraine’s mines.[15] DTEK companies account for about 20 per cent of the country’s output of coal, with an annual coal mining capacity of 19.2 million tonnes.[16] SCM’s largest company, Metinvest, comprises of 23 industrial companies involved in the mining and steel industry worldwide and is Ukraine’s largest coal coke producer.

II.Strategy

2.1 Objective

The purpose of this initiation phase is to assess the health and safety risks faced by miners in the cities of Krasnodon, Rovenky and Sverdlovsk. The Project Team—in consultation with mine, health and government workers—will conduct health risk assessments to analyse and prioritise the communities’ health and safety needs. The projected outcomes of this initiation phase are community risk assessments, health and safety data, and action plans for each of the three cities.

Upon completion of this pre-project analysis, the Project Team will develop a full-fledged project document, which outlines steps for implementing the aforementioned action plans, as a step toward improving the health and safety of miners. The project, guided by principles of disaster risk reduction and occupational/ environmental health, is expected to address issues concerning inadequate medical equipment, methane gas explosions, and other problems identified during the initiation phase.

2.2 Beneficiaries

The beneficiaries of this project are mine, health, and government workers of Krasnodon, Rovenky and Sverdlovsk. All three cities are located within 60km of each other in the Lugansk Oblast of southeastern Ukraine. Most of the cities’ residents work in the mining industry, mostly, if not all, for DTEK or Metinvest. The area has a central hospital, with a capacity of 400 patients (390 inpatients), along with smaller health clinics dispersed throughout surrounding communities; however, DTEK and Metinvest report that there are not enough health facilities or capacities to meet the growing health and safety needs of miners in Lugansk.

2.3 Methodology

Preparation

To begin, the Project Team will secure commitments and establish the roles and responsibilities of the Lugansk Oblast Administration, city councils of Krasnodon, Sverdlovsk and Rovenky, and the Ministry of Health. The Lugansk Oblast Administration, or the Senior Beneficiary, willhelp coordinate and support the realization of project results from the perspective of project beneficiaries.The Administration, along with representatives from the city councils and Ministry of Health, will serve on the Project Steering Committee to advise the Project Team with its efforts. Other government officials from the Ministry of Emergencies and other relevant government bodies will also be engaged in the process as necessary. The Project Team will also contact relevant international agencies, including the World Health Organization (WHO), in order to coordinate actions and maximise resources as appropriate.

Once the Project Team secures the necessary commitments, it will begin the first phase of the project. Initially, the Project Team will collect secondary data and conduct preliminary research utilising local consultants (e.g., retired miners). The Project Team will work with a local consultant in each of the three cities, beginning with a desk-top analysis of health reports, previous health risk assessments, incident reports, audit reports, occupational illness and injury reports, site inspections, and minutes of health and safety meetings.[17] Then, the Project Team will conduct “walk through” evaluations to identify health hazards and risks in mining areas and health facilities.

Then, the Project Team will meet with key stakeholders (i.e., mine, health and government workers), agree upon a timeline of activities, and assign roles and responsibilities to each participant. The group will also agree upon the main health and safety problems, along with the objective and goals of the project. For the initial meeting(s), working groups in each city should consist of at least the mayor, national government representative, health industry representative, mine worker representative, mining company representative, and UNDP representative.

Assessment

Next, the Project Team will begin the health and safety risk assessment. The assessment phase is about collecting information, facilitating dialogue, and agreeing upon specific action items that will improve the health and safety of mine workers. It is a process for analysingand prioritising community health issues, which helps maximiseresource allocation. The Project Team will collect primary data through interviews and medical examinations and will conduct surveys and/or interviews with a statistically relevant number of employees. It will also observe working conditions of miners, as well as the conditions and capacities of health care facilities. This process of collecting, analysing, and disseminating data includes: collecting secondary data, collecting primary data, analysing data, evaluating data, and disseminating data (see Table 1 below).

Table 1. Steps for Collecting, Analysing and Disseminating Data

Step 1: Collect Secondary Data
The Project Team will collect secondary data from mining, health and governmental bodies.
Step 2: Collect Primary Data
The Project Team will conduct interviews, focus groups, and surveys to capture primary, or first-hand, data.
Step 3: Analyse Data
The Project Team will organise and interpret data within the contexts of the three target cities.
Step 4: Evaluate Data
The Project Team, with feedback from the community, will evaluate the quality and relevance of data sets.
Step 5: Disseminate Data
The Project Team will disseminate data to the community at-large through public information campaigns.

This process is not necessarily linear and steps can be repeated or rearranged as necessary. For example, steps 1-4 may be repeated several times before step 5, disseminating final data sets to the public. Additionally, step 1, collecting secondary data, does not necessarily have to precede step 2, collecting primary data. Table 1 is simply an example of how data collection, analysis, evaluation and dissemination might be conducted.

The assessment process will also define the roles and responsibilities of key stakeholders in implementing the action plans. Such participatory processes help ensure local ownership and sustainability of efforts moving forward.

Then, the Project Team will conduct its first community workshop with key stakeholders. The one-day workshop will focus on examining collected health data, prioritising health needs, and agreeing upon an action plan. Guiding principles of community action planning include:

  • Community members are part of the solution, not problem;
  • The role of the facilitator is to extract solutions from the community members;
  • Action plans should not be predetermined but developed by the communities;
  • Facilitators should conduct workshops as discussions, not lectures;
  • Ensure participation of interested parties; and
  • Keep it simple.

The group will then have an opportunity to discuss the data, explore possible solutions, and help prioritise community action points moving forward. The expected outcomes of a health needs assessment include:

  • Baseline assessment information of a community’s health and safety risks and needs;
  • Realization of a community’s own capacities to cope with those risks and needs; and
  • Agreement between a community and government counterparts on an action plan.

Identified needs should not be considered a “wish list,” rather a process of understanding a community’s current situation. The Project Team will incorporate the feedback from the first workshop into a draft health and safety risk assessment report, which will be developed using the following or similaroutline.

  1. Executive summary: A short summary of the assessment findings.
  2. Introduction: Background to the assessment and the dates and location covered.
  3. Mining Industry: Description of the mining industry in Krasnodon, Rovenky and Sverdlovsk
  4. Methodology: This section explains the process of collecting health data.
  5. Results: The results should reflect and expand on the information presented to the community. Graphs and narratives will be included to show health and safety trends.
  6. Conclusion: This section will summarise the entire assessment process and provide recommendations for moving forward.
  7. Annexes: The annexes will include the action plans, forms used to collect data, etc.

Agreement

The Project Team will then organise a second workshop that builds upon the aforementioned first workshop. During the second workshop, key stakeholders will have an opportunity to review and finalise the action plan. Past experiences show that such plans might focus on upgrading medical equipment, improving education and training, and/or receiving consultations from international public health professionals. Thefinalised action plan will also include an evaluation and monitoring component to keep implementing parties accountable for fulfilling their action item(s). The action plan, along with its proposed budget and results matrix, will be distributed to miners and the community at-large to help monitor progress and keep stakeholders accountable for completing their assigned responsibilities according to the action plan. Ultimately, the goal is to have the community, particularly mine, health and government workers, to reach an agreement on how to implement their action plans.

While the action plans will not be implemented during this pre-project research phase, the Project Team will begin preparing for the second phase during this time. In addition to writing a full-fledged project document/ proposal for implementation, the Project Team will also seek commitments and resources from private companies, as well as local and national government entities, in order to ensure the sustainability of the project. The action plans will shape the second, or implementation, phase of this project.

Table 2 provides an overview of the health and safety risk assessment process. However, this process is not necessarily linear and steps can be rearranged, repeated, or modified as necessary to fit the local context.

Table 2. Conducting a Health and Safety Risk Assessment

Part 1: Preparation
Conducting background research and securing commitments / Part 2: Assessment
Assessing health needs, agreeing on priorities, and producing action plans / Part 3: Agreement
Agreeing upon the action plan and next steps
Background Research / Conducting Health Assessment / Second Workshop
  • Collect secondary data (e.g., city reports)
  • Conduct preliminary research, utilising local consultants
  • Prepare initial data in advance of the initial meeting(s) with key stakeholders
/
  • Collect primary data through interviews, medical examinations, focus groups and surveys
  • Observe living and working conditions of miners
  • Examine health care facilities and capacities
/
  • Meet with key stakeholders
  • Share draft report, which includes data, maps, and other relevant information
  • Agree upon next steps and implementation

Initial Meeting(s) / First Workshop / Next Steps
  • Meet with key stakeholders (mine, health and government workers)
  • Agree upon working plan
  • Define health and safety problems
  • Define the indicators and their sources
  • Assign roles and responsibilities
/
  • Meet with key stakeholders and community members at-large
  • Review data and information
  • Prioritise health needs
  • Agree upon action items
/
  • Begin second (implementation) phase

2.4 Rationale