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Leadership Responsibilities

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Leadership Responsibilities Responsibilities under the Federal Mine Safety and Health Act of 1977 Larry Miller & Leland Payne EFS Training Specialist – PowerPoint PPT presentation

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Title: Leadership Responsibilities


1
Leadership Responsibilities
  • Responsibilities under the Federal Mine Safety
    and Health Act of 1977
  • Larry Miller Leland Payne
  • EFS Training Specialist

2
Course Topics
  • Definitions
  • Sections of the Mine Act
  • Significant and Substantial (SS)
  • Negligence
  • Unwarrantable failure
  • Assessments
  • Company/agent violations
  • Special investigations
  • Penalties

3
HISTORY
  • In the Mine Act of 1977, Congress declared
  • The first priority of the
    mining industry is the
    health and safety of
    the miner.

4
HISTORY
  • In the Mine Act of 1977, Congress declared
  • There was an
    urgent need to
    improve mining conditions.

5
HISTORY
  • In the Mine Act of 1977, Congress declared
  • Mandatory standards
    be established requiring
    mine operators and
    miners to comply.

6
Coal Fatalities 1960 to 2000
1969
1970
1980
1990
2000
7
M/NM Fatalities 1960 to 2000
1977
1970
1980
1990
2000
8
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.

9
Federal Mine Safety and Health Act of
1977 Definitions
  • Miner - any individual who works in a mine

10
Federal Mine Safety and Health Act of
1977 Definitions
  • Operator - any owner, lessee
  • or other person who
  • operates, controls or
  • supervises a mine.

11
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.
12
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

13
What is an Agent?
  • ANY person charged with responsibility for the
    operation of all or part of a mineor supervision
    of miners in a mine.

14
What are some leadership responsibilities of
supervisors?
  • Act like a supervisor in the presence of other
    employees and
    set a good example.

15
What are some leadership responsibilities of
supervisors?
  • Wear protective equipment when at the mine site
    (shoes, glasses, hard hat, etc.)

16
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.

17
What are some leadership responsibilities of
supervisors?
  • Have unsafe conditions corrected ASAP

18
What are some leadership responsibilities of
supervisors?
  • Be familiar with 30 CFR and the Mine Act

19
Training responsibilities
  • Provide employees with task training on equipment
    they are not familiar with.

20
Training responsibilities
  • Instruct employees not to operate equipment that
    they feel is unsafe.

21
Training responsibilities
  • When safety issues are brought up by employees,
    have a responsible person check it out.

22
Training responsibilities
  • Always act in good faith.

23
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

24
7000-1 form
25
(No Transcript)
26
The Mine Act Levels of Enforcement
  • Section 103
  • 103(a) -- Mandatory minimum number of inspections
    per year (4s and 2s)
  • 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).

27
The Mine Act Levels of Enforcement
  • 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)

28
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).

29
Section 107(a)
  • Imminent danger order
  • Too hazardous to continue operations without the
    possibility of something occurring
  • Requires immediate action

30
Significant And Substantial (SS)
  • Q What makes a violation SS?
  • 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 SS, an injury must be
    reasonably likely to occur AND expected to result
    in at least lost workdays or restricted duty.

31
Mine Citation/Order Form
32
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

33
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.

34
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.

35
Section 105(c)
  • 105(c) -- No discrimination against miners for
    protected activity.

36
Assessments
Types
  • Single Penalty
  • Regular Formula
  • Special

37
(No Transcript)
38
Single Penalty Assessment
  • Computer-generated
  • Flat 55
  • 104(a) non-SS 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
39
Regular Assessment
  • Computer-generated
  • Orders and 104(d) Citations
  • 104(a) SS Citations
  • 104(a) non-SS 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
40
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

41
Special Assessment
  • No Fixed Formula
  • Serious Violations
  • Use Six Assessment Criteria
  • History of Previous Violations
  • Size of Operators Business
  • Negligence of the Operator
  • Gravity of the Violation
  • Good Faith
  • Ability to Continue in Business

42
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

43
Examples for Discussion
44
Example Guard Missing on Conveyor Belt Drive
  • Belt Not Running
  • No One Working in Area
  • Violation Immediately Corrected
  • 104(a) Non-SS Citation, Timely Abated
  • Single Penalty Assessment
  • Without Timely Abatement, Regular Assessment

45
Example Guard Missing on Conveyor Belt Drive
  • Belt Not Running
  • No One Working in Area
  • Violation Immediately Corrected
  • 104(a) Non-SS Citation, Timely Abated
  • No Excessive History of Violations
  • Single Penalty Assessment

60
46
Example Guard Missing on Conveyor Belt Drive
  • Belt Not Running
  • No One Working in Area
  • 104(a) Non-SS Citation
  • Without Timely Abatement (104b Order) Regular
    Assessment

1,247
47
Example Guard Missing on Conveyor Belt Drive
  • Belt Not Running
  • No One Working in Area
  • 104(a) Non-SS Citation, Timely Abated
  • Excessive History of Violations

872
48
Example 1 - 104(a) Non - SS Citation Timely
Abated Not Timely Abated Timely Abated
But Criterion Penalty Points Penalty Points With
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
49
Example Guard Missing on Conveyor Belt Drive
  • Belt Running
  • Employee Shoveling Beneath Belt Drive
  • 104(a) SS Citation, Timely Abated
  • Regular Assessment, 30 Good Faith Reduction

50
Example Guard Missing on Conveyor Belt Drive
  • Belt Running
  • Employee Shoveling Beneath Belt Drive
  • 104(a) SS Citation, Timely Abated
  • Regular Assessment, 30 Good Faith Reduction

317
51
Example Guard Missing on Conveyor Belt Drive
  • Belt Running
  • Employee Shoveling Beneath Belt Drive
  • 104(a) SS Citation
  • Without Timely Abatement (104b Order) Regular
    Assessment No 30 Reduction Additional 10
    Penalty Points

1,815
52
Example 2 - 104(a) - SS Citation Regular
Assessment Timely Abated Not Timely
Abated Criterion Penalty Points Penalty 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
53
Average Regular Assessments
  • With 30 Reduction - 255
  • Without 30 Reduction - 587

54
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

55
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
56
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
57
Example 3 - 104(d) Citation/Order Regular
Assessment Citation Citation Timely
Abated Not Timely Abated Order Criterion Penalty
Points Penalty Points Penalty 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
58
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
59
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
60
Average Special Assessments
  • Non-accident-related - 1,500
  • Accident-related - 31,000
  • Director, Officer, Agent - 957
  • Miner Smoking - 181
  • Discrimination - 1,813

61
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

62
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.

63
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

64
Section 110 (Cont)
  • (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.

65
Section 110 (Cont)
  • 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.

66
Section 110 (Cont)
  • 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.

67
Section 110 (Cont)
  • 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.

68
Section 110 (Cont)
  • 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.

69
Violations Reviewed For Possible 110 Action
  • 107(a) order with 104(a) citation high
    negligence
  • 104(d) citations/orders which are SS and high
    negligence
  • Operator working in the face of an order.
  • District manager prerogative

70
Special Assessment Review Form
71
Knowing and Willful Violation Review Form
72
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.

73
The End
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