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DRAFT Supervisory Responsibility. Responsibilities under the Federal Mine Safety and Health Act of 1977. Course Topics. Definitions Sections of the mine act Significant and substantial Negligence Unwarrantable failure Company/agent violations Special investigations Penalties

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draft supervisory responsibility

DRAFTSupervisory Responsibility

Responsibilities under the Federal Mine Safety and Health Act of 1977

course topics
Course Topics
  • Definitions
  • Sections of the mine act
  • Significant and substantial
  • Negligence
  • Unwarrantable failure
  • Company/agent violations
  • Special investigations
  • Penalties
  • Good supervisory practices
congress declared
Congress Declared
  • First priority of the mining industry is the health and safety of the miner.
  • There is an urgent need to improve mining conditions.
  • Mandatory standards be established requiring mine operators and miners to comply.
  • Eliminate serious injury and death in the mining industry.
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 1977 Definitions
  • Miner - any individual who works in a mine
  • Operator - any owner, lessee or other person who operates, controls or supervises a mine, OR
    • Any independent contractor performing services or construction at a mine. Contractors account for 30-35% of all mining fatalities.
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 rigid 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.
Are you a supervisor, a leadman, foreman, superintendent, etc.?
  • If yes to any of the above, you are an AGENT.
Are you aware of your responsibilities under the Mine Act?

Are you aware of the potential consequences of ignoring those responsibilities?


an act levels of enforcement
AN ACTLevels of Enforcement

Section 103

  • a) Mandatory minimum of 4 & 2 inspections per year.
  • d) Accident/Injury investigation & reporting (30 CFR Part 50).
  • f) Right of the miner to have representation on an inspection (30 CFR Part 40).
  • g) Right to request an immediate inspection (30 CFR Part 43).
section 104
Section 104
  • (a) - Citations issued for violations
  • (b) - Non-compliance orders
  • (d)(1) - Unwarrantable failure citation
section 104 con t
Section 104 (Con’t)
  • (d)(1) - (d)(2) - Unwarrantable failure order(s)
  • (e)(1) - (e)(2) - Pattern of violations
section 104 con t1
Section 104 (Con’t)
  • (g)(1) - Untrained miner withdrawn from the mine.
  • (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 and,

*Requires immediate action

significant and substantial s s
Significant And Substantial (S&S)
  • What makes a violation S&S?
    • Gravity (section 10 of citation/order)
      • If a condition is left unabated, what is the likelihood it would result in an injury, and
      • If there was an injury, how serious would it be?
      • For a citation to be S&S, an injury must be reasonably likely to occur AND result in 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.
unwarrantable failure
Unwarrantable Failure
  • Unwarrantability is a negligence determination.
  • Factors caused by a high degree of negligence or reckless disregard should be evaluated for an unwarrantable failure to comply.
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
Section 105
  • a) Propose penalty within a reasonable time
  • c) No discrimination against miners for protected activity.
  • d) Hearing for contesting citations, orders, and penalties.
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 ...
purpose continued
Purpose continued
  • ...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 $55 to $55,000
  • (b) - Penalty of up to $5,500 per day for failure to comply
section 110 con t
Section 110(Con’t)
  • (c) - Corporate agent assessed civil penalty for knowing violations
  • (d) - Any operator agent who willfully violates and convicted (criminal) can be assessed up to $250k or 1 year or both.
section 110 con t1
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 t2
SECTION 110(Con’t)
  • In reference to 110(d) of the act, “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 t3
Section 110 (Con’t)
  • 110(e) - $1,000 fine or 6 mo. in prison or both for any person notifying an operator of impending inspection
  • 110(f) - Up to $250k or 5 years in prison 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 t4
Section 110 (Con’t)
  • 110(g) - Miners can be fined $275 personally for violating smoking related standards.
  • 110(h) - Up to $250k or 5 years in prison 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 with s&s and high negligence
  • Operator working against an order.
  • District manager prerogative
    • The district manager has authority to open an investigation into anything he deems necessary.
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 violation of sections 110(c), 110(d), 110(e) or 110(f).
section 115
  • 30 CFR Parts 46 and 48 training requirements
  • New Miner Training
  • Experienced Miner Training
  • Annual Refresher Training
  • Task Training
  • Site Specific Hazard Training
good supervisory practices
Good Supervisory Practices
  • Evaluate workplace conditions
    • Firmly & fairly enforce company, state and federal regulations.
    • Recognize and take action to correct all unsafe conditions and practices.
good supervisory practices con t
Good Supervisory Practices(con’t)
  • Conduct or assign a competent person to conduct workplace exams to correct hazards.
  • Openly listen to concerns of employees with appropriate follow-up and feedback.
supervisory practices con t
Supervisory Practices (con’t)
  • Pre-operational checks are conducted of equipment.
    • Ensure defects are corrected
    • Ensure hazardous equipment is taken out of service and placed in designated area or tagged out.
    • Record defect which cannot be corrected immediately.
supervisory practices con t1
Supervisory Practices (con’t)
  • Regularly hold safety meetings (toolbox) with crew
    • Encourage miner participation with feedback
  • Regularly observe work practices of all miners and correct unsafe behavior with coaching and/or discipline.
effective communications
  • Verbal/nonverbalGood listener
effective communications1
  • Modeling safe behavior
  • Following through to ensure employees act as instructed
the more informed you are
The More Informed You Are...
  • The more you understand the Mine Act, the safety and health regulations, and the intent and purpose of them, the better equipped you will be to train employees, prevent accidents, and to take care of hazards before an inspector observes them and issues citations. This will help you become better supervisors and managers.