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
Assessments
Company/agent violations
Special investigations
Penalties
HISTORY
In the Mine Act of 1977, Congress
declared:

The first priority of the
mining industry is the
health and safety of
the miner.
HISTORY
In the Mine Act of 1977, Congress
declared:

There was an
urgent need to
improve mining
conditions.
HISTORY
In the Mine Act of 1977, Congress
declared:

Mandatory standards
be established requiring
mine operators and
miners to comply.
Coal Fatalities 1960 to 2000
1969
350
Number of Coal Fatalities
300
250
200
150
100
50
0
1970
1980
1990
S1
2000
M/NM Fatalities 1960 to 2000
1977
250
Number of M/NM fatalities
200
150
100
50
0
1970
1960
1970
1980
1980
1990
1990
S1
2000
200
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
Miner - any individual who works in a mine
Federal Mine Safety and Health Act
of 1977
Definitions
Operator - any owner, lessee
or other person who
operates, controls or
supervises a mine.
Federal Mine Safety and Health Act
of 1977
Definitions
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 requirements in contracts to control
contractor behavior
• Monitor contractor activities
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?
•
Act like a supervisor in the presence of
other employees
and set a good
example.
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
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
supervisors?
•
Have unsafe
conditions
corrected ASAP
What are some leadership
responsibilities of
supervisors?
•
Be familiar with 30 CFR and the Mine
Act
Training responsibilities
•
Provide employees
with task training on
equipment they are
not familiar with.
Training responsibilities
•
Instruct employees
not to operate
equipment that they
feel is unsafe.
Training responsibilities
•
When safety issues are brought up by
employees, have a responsible person
check it out.
Training responsibilities
•
Always act in ‘good faith.’
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
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
Enforcement
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•
•
•
•
Section 104(a)
Section 104(b)
Section 104(d)
Section 104(e)
Section 104(g)
•
Section 105(c )
•
Section 110(a)
Section 110(b)
Section 110(c )
Section 110(d)
•
•
•
•
Section 107(a)
Section 104
(a)
(b)
(d)(1)
(d)(2)
(e)
(g)(1)
(g)(2)
Citations issued for violations
Non-compliance orders
Unwarrantable failure citation/order
Unwarrantable failure order(s)
Pattern of violations
Untrained miner(s) withdrawn
No discharge, discrimination, or loss
of pay if withdrawn under (g)(1).
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)
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 occur AND expected to
result in at least lost workdays or restricted
duty.
Mine Citation/Order Form
See Continuation Form (MSHA Form 7000-3a)
9. Violation A. Health
Safety x
B. Section
Other
of Act
Section II -- Inspector's Evaluation
10. Gravity:
A. Injury or Illness (has) (is): No Likelihood
B. Injury or Illness could reasonably be expected to be:
C. Part/Section of
Title 30 CFR
Unlikely
No Lost Workdays
C. Significant and Substantial (See Reverse):
11. Negligence (check one)
A. None
B. Low
Reasonably Likely
Lost Workdays or Restricted Duty
Yes
x
No
C. Moderate
12. Type of Action
Highly Likely
x
Occurr
Permanently Disabling
D. Number of Persons Affected
x
D. High
E. Reckless Disregar
13. Type of Issuance (check one)
,
1 0 4 - a 14. Initial Action
A. Citation
x
7 5 . 1 7 2 2 (
B. Order
C. Safeguard
-
D. Written
Notice
15. Area or Equipment
16. Termination Due
Mo
A. Date
Da
Yr
B. Time (24
Citation
x
E. Citation/
Order
Number
Order
Safeguard
F. Dated
Mo
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
•
•
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
•
•
•
•
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)

105(c) -- No discrimination against
miners for protected activity.
Assessments
Types



Single Penalty
Regular Formula
Special
Assessed Violations by Type of
Assessment
Single Penalty
2%
37%
61%
Regular
Assessment
Special
Assessment
Single Penalty Assessment




Note:
Computer-generated
Flat $55
X $60
104(a) non-S&S Citations That
Are Timely Abated
No Excessive History of
Violations
Timely Abated Means:
“Terminated Within the Time Set
by the Issuing Inspector”
Regular Assessment



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
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
X X X $60,000
Range $66 - $55,000
Penalty Conversion Table
Points
Penalty ($)
20 or fewer . . . . . . . . . . . . . . . . . .
66
30. . . . . . . . . . . . . . . . . . . . . . . . . .
149
40. . . . . . . . . . . . . . . . . . . . . . . . . .
297
50. . . . . . . . . . . . . . . . . . . . . . . . . .
796
60. . . . . . . . . . . . . . . . . . . . . . . . . .
2,796
70. . . . . . . . . . . . . . . . . . . . . . . . . .
5,500
80. . . . . . . . . . . . . . . . . . . . . . . . . .
9,350
Points
Penalty($)
81. . . . . . . . . . . . . . . . . . . . . . . . . .
82. . . . . . . . . . . . . . . . . . . . . . . . . .
83. . . . . . . . . . . . . . . . . . . . . . . . . .
84. . . . . . . . . . . . . . . . . . . . . . . . . .
85. . . . . . . . . . . . . . . . . . . . . . . . . .
86. . . . . . . . . . . . . . . . . . . . . . . . . .
87. . . . . . . . . . . . . . . . . . . . . . . . . .
88. . . . . . . . . . . . . . . . . . . . . . . . . .
89. . . . . . . . . . . . . . . . . . . . . . . . . .
90. . . . . . . . . . . . . . . . . . . . . . . . . .
91. . . . . . . . . . . . . . . . . . . . . . . . . .
92. . . . . . . . . . . . . . . . . . . . . . . . . .
93. . . . . . . . . . . . . . . . . . . . . . . . . .
94. . . . . . . . . . . . . . . . . . . . . . . . . .
95. . . . . . . . . . . . . . . . . . . . . . . . . .
96. . . . . . . . . . . . . . . . . . . . . . . . . .
97. . . . . . . . . . . . . . . . . . . . . . . . . .
98. . . . . . . . . . . . . . . . . . . . . . . . . .
99. . . . . . . . . . . . . . . . . . . . . . . . . .
100 . . . . . . . . . . . . . . . . . . . . . . . . .
10,450
11,550
12,650
13,750
14,850
16,500
18,700
20,900
23,100
25,300
27,500
30,250
33,000
35,750
38,500
41,250
44,000
46,750
49,500
55,000
Special Assessment



No Fixed Formula
Serious Violations
Use Six Assessment Criteria
1
2
3
4
5
6
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
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






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
Examples for
Discussion
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 Drive


$60




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
Example: Guard Missing on
Conveyor Belt Drive

$1,247



Belt Not Running
No One Working in
Area
104(a) Non-S&S
Citation
Without Timely
Abatement (104b
Order) = Regular
Assessment
Example: Guard Missing on
Conveyor Belt Drive

$872



Belt Not Running
No One Working in
Area
104(a) Non-S&S
Citation, Timely
Abated
Excessive History of
Violations
Example 1 - 104(a) Non - S&S Citation
Timely Abated
Not Timely Abated
Timely
Abated But
Criterion
Mine
Size
Excessive
History
5
Penalty Points Penalty Points With
5
5
Co. Size
3
3
3
History
10
10
20
Likelihood
2
2
2
Severity
7
7
7
# Persons
1
1
1
Negligence
15
15
15
Good Faith
0
10
0
Total
NA
53
53
Penalty
$60
$1,247
$1,247
30% Red.
NA
None
-$375
Final Penalty
$60
$1,247
$872
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 Drive


$317


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 Drive


$1,815


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
Example 2 - 104(a) - S&S Citation Regular
Assessment
Timely Abated
Not Timely Abated
Mine
Size
Criterion
Points
Co.
Size
5 Penalty Points
5 Penalty
3
3
History
10
10
Likelihood
5
5
Severity
7
7
# Persons
1
1
Negligence
15
15
Good Faith
0
10
46
56
Penalty
$453
$1,815
30% Red.
$136
None
Final Penalty
$317
$1,815
Total
Average Regular Assessments

With 30% Reduction - $255

Without 30% Reduction - $587
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 Drive



$655




Belt Running
Employee Shoveling
Foreman Present,
Directing Work
104(d) Unwarrantable
Failure Citation
Timely Abatement
Regular Assessment
Possible 110 Action
Example: Guard Missing on
Conveyor Belt Drive



$936



Belt Running
Employee Shoveling
Foreman Present,
Directing Work
104(d)
Unwarrantable
Failure Order
Regular Assessment
Possible 110 Action
Example 3 - 104(d) Citation/Order Regular Assessment
Citation
Timely Abated
Citation
Not Timely Abated
Order
Criterion
Penalty Points Penalty Points
Mine Size Penalty Points
5
5
5
Co. Size
3
3
3
History
10
10
20
Likelihood
5
5
5
Severity
7
7
7
# Persons
1
1
1
Negligence
20
20
20
Good Faith
0
10
NA
Total
51
61
51
Penalty
$936
$3,098
$936
30% Red.
-$281
None
NA
Final Penalty
$655
$3,098
$936
Example: Guard Missing on
Conveyor Belt Drive

Average



$1,500


Belt Running
Employee Shoveling
Foreman Present,
Directing Work
104(d) Unwarrantable
Failure Citation or
Order
Special Assessment
Possible 110 Action
Example: Guard Missing on
Conveyor Belt Drive




$31,000+


Belt Running
Employee Shoveling
Foreman Present,
Directing Work
104(d) Unwarrantable
Failure Citation or
Order
Special Assessment
Possible 110 Action
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




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

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
(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)
(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’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’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’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’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
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


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.
The End