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Leadership Responsibilities. Responsibilities under the Federal Mine Safety and Health Act of 1977 Larry Miller & Leland Payne EFS Training Specialist. Course Topics. Definitions Sections of the Mine Act Significant and Substantial (S&S) Negligence Unwarrantable failure

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leadership responsibilities
Leadership Responsibilities

Responsibilities under the Federal Mine Safety and Health Act of 1977

Larry Miller & Leland Payne

EFS Training Specialist

course topics
Course Topics
  • Definitions
  • Sections of the Mine Act
  • Significant and Substantial (S&S)
  • Negligence
  • Unwarrantable failure
  • Assessments
  • Company/agent violations
  • Special investigations
  • Penalties
history
HISTORY

In the Mine Act of 1977, Congress declared:

  • The first priority of the mining industry is the health and safety of the miner.
history4
HISTORY

In the Mine Act of 1977, Congress declared:

  • There was an urgent need to improve mining conditions.
history5
HISTORY

In the Mine Act of 1977, Congress declared:

  • Mandatory standards be established requiring mine operators and miners to comply.
slide6

Coal Fatalities 1960 to 2000

1969

1970

1980

1990

2000

slide7

M/NM Fatalities 1960 to 2000

1977

1970

1980

1990

2000

who is responsible
WHO IS RESPONSIBLE?
  • The operators of mines, with the assistance of miners, have the primary responsibility to prevent the existence of unsafe and unhealthful conditions and practices in mines.
federal mine safety and health act of 1977 definitions
Federal Mine Safety and Health Act of 1977Definitions

Miner -any individual who works in a mine

federal mine safety and health act of 1977 definitions10
Federal Mine Safety and Health Act of 1977Definitions

Operator - any owner, lessee

or other person who

operates, controls or

supervises a mine.

federal mine safety and health act of 1977 definitions11
Federal Mine Safety and Health Act of 1977Definitions

OR

Any independent contractor performing services or construction at a mine.

Contractors account for 30-35% of all mining fatalities.

independent contractors
INDEPENDENT CONTRACTORS
  • Must comply fully with the Mine Act
  • Will be cited for violations.
  • Mine operator may also be cited for contractor violations
  • Mine operator responsible for ensuring contractor is aware of MSHA regulations.
    • Specify requirements in contracts to control contractor behavior
    • Monitor contractor activities
what is an agent
What is an Agent?
  • ANY person charged with responsibility for the operation of all or part of a mine…or supervision of miners in a mine.
what are some leadership responsibilities of supervisors
What are some leadership responsibilities of supervisors?
  • Act like a supervisor in the presence of other employees and set a good example.
what are some leadership responsibilities of supervisors15
What are some leadership responsibilities of supervisors?
  • Wear protective equipment when at the mine site (shoes, glasses, hard hat, etc.)
what are some leadership responsibilities of supervisors16
What are some leadership responsibilities of supervisors?
  • Make certain employees are properly trained in their work duties, including hazard recognition, safe work practices, safe equipment operation, etc.
what are some leadership responsibilities of supervisors18
What are some leadership responsibilities of supervisors?
  • Be familiar with 30 CFR and the Mine Act
training responsibilities
Training responsibilities
  • Provide employees with task training on equipment they are not familiar with.
training responsibilities20
Training responsibilities
  • Instruct employees not to operate equipment that they feel is unsafe.
training responsibilities21
Training responsibilities
  • When safety issues are brought up by employees, have a responsible person check it out.
training responsibilities22
Training responsibilities
  • Always act in ‘good faith.’
supervisory responsibilities during a fatal investigation
Supervisory responsibilities during a fatal investigation
  • Call for emergency assistance; then call superiors
  • Call MSHA and State agency
  • Secure the scene of the accident to allow fatal investigators to conduct investigation
  • Maintain secured area until released by MSHA

Note: Management must also conduct an investigation

the mine act levels of enforcement
The Mine Act: Levels of Enforcement

Section 103

103(a) -- Mandatory minimum number of inspections per year (4’s and 2’s)

103(d) -- Accident/Injury investigation & reporting (30 CFR Part 50).

103(f) -- Right of the miner to have representation on an inspection (30 CFR Part 40).

103(g) -- Right to request an immediate inspection (30 CFR Part 43).

the mine act levels of enforcement25
Section 104(a)

Section 104(b)

Section 104(d)

Section 104(e)

Section 104(g)

Section 107(a)

Section 105(c )

Section 110(a)

Section 110(b)

Section 110(c )

Section 110(d)

The Mine Act: Levels of Enforcement
section 104
Section 104

(a) Citations issued for violations

(b) Non-compliance orders

(d)(1) Unwarrantable failure citation/order

(d)(2) Unwarrantable failure order(s)

(e) Pattern of violations

(g)(1) Untrained miner(s) withdrawn

(g)(2) No discharge, discrimination, or loss

of pay if withdrawn under (g)(1).

section 107 a
Section 107(a)

Imminent danger order

Too hazardous to continue operations without the possibility of something occurring

*Requires immediate action

significant and substantial s s
Significant And Substantial (S&S)

Q: What makes a violation S&S?

A:Gravity (See Section 10 of citation)

  • Likelihood: If a condition is left unabated, what is the likelihood it would result in an injury?
  • Severity: If there were an injury, how serious would it be?

For a citation to be S&S, an injury must be reasonably likely to occurAND expected to result in at least lost workdays or restricted duty.

how is operator negligence determined
How Is Operator Negligence Determined?
  • Negligence is failure to exercise the degree of care or diligence you would reasonably expect from a prudent person in a position of responsibility.
  • Negligence can be evaluated as: None, Low, Moderate, High and Reckless Disregard
unwarrantable failure
Unwarrantable Failure
  • Unwarrantability is a negligence determination.
  • Factors caused by a high degree of negligence or reckless disregard are evaluated by the inspector for an unwarrantable failure to comply determination.
factors addressed by inspector
Factors Addressed By Inspector
  • Amount of time violative condition existed.
  • The hazard is serious warranting increased attention by the operator.
  • The violation is repetitious of a previous violation.
  • The violation was the result of deliberate activity; or, the operator had knowledge or reason to know.
section 105 c
Section105(c)
  • 105(c) -- No discrimination against miners for protected activity.
assessments
Assessments
  • Single Penalty
  • Regular Formula
  • Special

Types

single penalty assessment
Single Penalty Assessment
  • Computer-generated
  • Flat $55
  • 104(a) non-S&S Citations That Are Timely Abated
  • No Excessive History of Violations

X $60

Note: Timely Abated Means:

“Terminated Within the Time Set

by the Issuing Inspector”

regular assessment
Regular Assessment
  • Computer-generated
  • Orders and 104(d) Citations
  • 104(a) S&S Citations
  • 104(a) non-S&S Citations Not Qualifying for Single Penalty
  • If Timely Abated - 30% Reduction in Penalty
  • If Not Timely Abated - 10 Additional Penalty Points
  • Range $66 - $55,000

X X X $60,000

slide38

Penalty Conversion Table

Points Penalty ($)

20 or fewer . . . . . . . . . . . . . . . . . . 66

30. . . . . . . . . . . . . . . . . . . . . . . . . . 149

40. . . . . . . . . . . . . . . . . . . . . . . . . . 297

50. . . . . . . . . . . . . . . . . . . . . . . . . . 796

60. . . . . . . . . . . . . . . . . . . . . . . . . . 2,796

70. . . . . . . . . . . . . . . . . . . . . . . . . . 5,500

80. . . . . . . . . . . . . . . . . . . . . . . . . . 9,350

Points Penalty($)

81. . . . . . . . . . . . . . . . . . . . . . . . . . 10,450

82. . . . . . . . . . . . . . . . . . . . . . . . . . 11,550

83. . . . . . . . . . . . . . . . . . . . . . . . . . 12,650

84. . . . . . . . . . . . . . . . . . . . . . . . . . 13,750

85. . . . . . . . . . . . . . . . . . . . . . . . . . 14,850

86. . . . . . . . . . . . . . . . . . . . . . . . . . 16,500

87. . . . . . . . . . . . . . . . . . . . . . . . . . 18,700

88. . . . . . . . . . . . . . . . . . . . . . . . . . 20,900

89. . . . . . . . . . . . . . . . . . . . . . . . . . 23,100

90. . . . . . . . . . . . . . . . . . . . . . . . . . 25,300

91. . . . . . . . . . . . . . . . . . . . . . . . . . 27,500

92. . . . . . . . . . . . . . . . . . . . . . . . . . 30,250

93. . . . . . . . . . . . . . . . . . . . . . . . . . 33,000

94. . . . . . . . . . . . . . . . . . . . . . . . . . 35,750

95. . . . . . . . . . . . . . . . . . . . . . . . . . 38,500

96. . . . . . . . . . . . . . . . . . . . . . . . . . 41,250

97. . . . . . . . . . . . . . . . . . . . . . . . . . 44,000

98. . . . . . . . . . . . . . . . . . . . . . . . . . 46,750

99. . . . . . . . . . . . . . . . . . . . . . . . . . 49,500

100 . . . . . . . . . . . . . . . . . . . . . . . . . 55,000

special assessment
Special Assessment
  • No Fixed Formula
  • Serious Violations
  • Use Six Assessment Criteria
      • History of Previous Violations
      • Size of Operator’s Business
      • Negligence of the Operator
      • Gravity of the Violation
      • Good Faith
      • Ability to Continue in Business
violations considered for special assessment
Violations Considered for Special Assessment
  • fatalities and serious injuries
  • unwarrantable failure
  • operating in defiance of a closure order
  • denial of right of entry
  • individuals liable under Section 110c of the Mine Act
  • imminent danger
  • acts of discrimination under Section 105c of the Mine Act
  • extraordinarily high negligence, gravity, or other unique aggravating circumstances
example guard missing on conveyor belt drive
Example: Guard Missing on Conveyor Belt Drive
  • Belt Not Running
  • No One Working in Area
  • Violation Immediately Corrected
  • 104(a) Non-S&S Citation, Timely Abated
  • Single Penalty Assessment
  • Without Timely Abatement, Regular Assessment
example guard missing on conveyor belt drive43
Example: Guard Missing on Conveyor Belt Drive
  • Belt Not Running
  • No One Working in Area
  • Violation Immediately Corrected
  • 104(a) Non-S&S Citation, Timely Abated
  • No Excessive History of Violations
  • Single Penalty Assessment

$60

example guard missing on conveyor belt drive44
Example: Guard Missing on Conveyor Belt Drive
  • Belt Not Running
  • No One Working in Area
  • 104(a) Non-S&S Citation
  • Without Timely Abatement (104b Order) = Regular Assessment

$1,247

example guard missing on conveyor belt drive45
Example: Guard Missing on Conveyor Belt Drive
  • Belt Not Running
  • No One Working in Area
  • 104(a) Non-S&S Citation, Timely Abated
  • Excessive History of Violations

$872

slide46

Example 1 - 104(a) Non - S&S Citation

Timely Abated Not Timely Abated Timely Abated But

CriterionPenalty PointsPenalty PointsWith Excessive History

Mine Size

Co. Size

History

Likelihood

Severity

# Persons

Negligence

Good Faith

Total

Penalty

30% Red.

Final Penalty

5

3

10

2

7

1

15

0

NA

$60

NA

$60

5

3

10

2

7

1

15

10

53

$1,247

None

$1,247

5

3

20

2

7

1

15

0

53

$1,247

-$375

$872

example guard missing on conveyor belt drive47
Example: Guard Missing on Conveyor Belt Drive
  • Belt Running
  • Employee Shoveling Beneath Belt Drive
  • 104(a) S&S Citation, Timely Abated
  • Regular Assessment, 30% Good Faith Reduction
example guard missing on conveyor belt drive48
Example: Guard Missing on Conveyor Belt Drive
  • Belt Running
  • Employee Shoveling Beneath Belt Drive
  • 104(a) S&S Citation, Timely Abated
  • Regular Assessment, 30% Good Faith Reduction

$317

example guard missing on conveyor belt drive49
Example: Guard Missing on Conveyor Belt Drive
  • Belt Running
  • Employee Shoveling Beneath Belt Drive
  • 104(a) S&S Citation
  • Without Timely Abatement (104b Order) = Regular Assessment; No 30% Reduction; Additional 10 Penalty Points

$1,815

slide50

Example 2 - 104(a) - S&S Citation Regular Assessment

Timely Abated Not Timely Abated

CriterionPenalty PointsPenalty Points

Mine Size

Co. Size

History

Likelihood

Severity

# Persons

Negligence

Good Faith

Total

Penalty

30% Red.

Final Penalty

5

3

10

5

7

1

15

0

46

$453

$136

$317

5

3

10

5

7

1

15

10

56

$1,815

None

$1,815

average regular assessments
Average Regular Assessments
  • With 30% Reduction - $255
  • Without 30% Reduction - $587
example guard missing on conveyor belt drive52
Example: Guard Missing on Conveyor Belt Drive
  • Belt Running
  • Employee Shoveling
  • Foreman Present, Directing Work
  • 104(d) Unwarrantable Failure Citation/Order
  • Regular or Special Assessment
  • Possible 110 Action
example guard missing on conveyor belt drive53
Example: Guard Missing on Conveyor Belt Drive
  • Belt Running
  • Employee Shoveling
  • Foreman Present, Directing Work
  • 104(d) Unwarrantable Failure Citation
  • Timely Abatement
  • Regular Assessment
  • Possible 110 Action

$655

example guard missing on conveyor belt drive54
Example: Guard Missing on Conveyor Belt Drive
  • Belt Running
  • Employee Shoveling
  • Foreman Present, Directing Work
  • 104(d) Unwarrantable Failure Order
  • Regular Assessment
  • Possible 110 Action

$936

slide55

Example 3 - 104(d) Citation/Order Regular Assessment

Citation Citation

Timely Abated Not Timely Abated Order

CriterionPenalty PointsPenalty PointsPenalty Points

Mine Size

Co. Size

History

Likelihood

Severity

# Persons

Negligence

Good Faith

Total

Penalty

30% Red.

Final Penalty

5

3

10

5

7

1

20

0

51

$936

-$281

$655

5

3

10

5

7

1

20

10

61

$3,098

None

$3,098

5

3

20

5

7

1

20

NA

51

$936

NA

$936

example guard missing on conveyor belt drive56
Example: Guard Missing on Conveyor Belt Drive
  • Belt Running
  • Employee Shoveling
  • Foreman Present, Directing Work
  • 104(d) Unwarrantable Failure Citation or Order
  • Special Assessment
  • Possible 110 Action

Average

$1,500

example guard missing on conveyor belt drive57
Example: Guard Missing on Conveyor Belt Drive
  • Belt Running
  • Employee Shoveling
  • Foreman Present, Directing Work
  • 104(d) Unwarrantable Failure Citation or Order
  • Special Assessment
  • Possible 110 Action

$31,000+

average special assessments
Average Special Assessments
  • Non-accident-related - $1,500
  • Accident-related - $31,000
  • Director, Officer, Agent - $957
  • Miner Smoking - $181
  • Discrimination - $1,813
points to remember
Points to Remember
  • Inspections Are Mandatory by Law
  • Violations Must Be Cited
  • Cited Violations Receive a Penalty
  • Purpose of the Penalty is to Encourage Safety and Health
purpose of section 110
Purpose of Section 110
  • Congress recognized that strict civil and criminal penalties for violations were necessary to ensure that the health and safety standards would be met; therefore, congress expressly imposed civil and criminal penalties on both the company and AGENTS of corporate mine operators.
section 110
Section 110

(a) - Assess civil penalties for violations

from $60 to $60,000

(b) - Penalty of up to $6,000 per day for

failure to comply

section 110 con t
Section 110(Con’t)

(c) - Knowing violation: Corporate agent is assessed a civil penalty

(d) - Willful violation: Any agent who willfully violates and is convicted (criminal) can be fined and/or imprisoned.

section 110 con t63
Section 110 (Con’t)

“Knowingly” has been defined as:

Knowing or having reason to know. A person has reason to know when he has such information as would lead a person exercising reasonable care to acquire knowledge of the fact in question or to infer its existence. MSHA must show a preponderance of evidence existed.

section 110 con t64
Section 110 (Con’t)

“Willfully” has been defined as:

Done knowingly and purposely by a [person] who, having a free will and choice, either intentionally disobeys the standard or recklessly disregards its requirements.

section 110 con t65
Section 110(Con’t)

110(e) - Fine, imprisonment, or both for any person notifying an operator of impending inspection

110(f) - Fine, imprisonment, or both for anyone convicted of knowingly making false statements, representation, or certification in any application, record, report, plan or other document filed or required to be maintained by the Act.

section 110 con t66
Section 110 (Con’t)

110(g) - Miners can be fined $275 personally for violating smoking related standards.

110(h) - Fine, imprisonment, or both for anyone convicted of knowingly misrepresenting equipment, components, or accessories as being in compliance.

violations reviewed for possible 110 action
Violations Reviewed For Possible 110 Action

107(a) order with 104(a) citation & high negligence

104(d) citations/orders which are S&S and high negligence

Operator working in the face of an order.

District manager prerogative

special investigation
Special Investigation
  • If a determination is made to investigate a violation, a case number will be assigned and it will be assigned to a special investigator.
  • The investigator will conduct thorough interviews with employees and members of management to determine if there has been a knowing and/or willful violation.