1. Organization of 30 CFR The Mine Health and Safety Act The MSHA Guidance Sections, Parts A, B, P, Q ©Feb 2003 Dr. Bradley C Paul

2. Structure of CFR 30 Chapter A just establishes MSHA’s logo and paper work requirements Devices used in mines, especially underground coal mines must be tested and approved for safety –Mechanism for determining safety and basic safety considerations are found in Chapter B

3. The Executioner Chapter P proscribes the Civil Penalties for Violations of the Act –MSHA uses a triangle of methods to make safety a part of Mining Culture Education and Training Providing Technical Assistance Kicking peoples heinies up around their ears

4. Taking Action Now Mine Inspectors observing conditions that are immediately life threatening –Section 107(a) Imminent Danger Order –Shuts down and pulls people out immediately Must be imminent danger that will kill or injure in a short time (or reasonable could) If accident has occurred MSHA can issue a Section 103(k) order {Also called K order} –Evacuates any area or whole mine until investigation can confirm hazard has been abated. –Must believe the condition still exists or could exist If it seems to not follow CFR layout its because it is written directly into the law.

5. Other Orders MSHA can take over the investigation or rescue with a J order –Seldom used in past although being used more aggressively now.

6. Most Violations are Called 104(a) Regular Penalty Assessment –Filed Against the mine operator – up to $60,000 per violation (effective Feb 13, 2003) –Each violation (may be same violation caught on different days) may be fined separately Single Penalty Assessment –Can get penalty cut to $60 If get things fixed as fast as inspector asks If few violations in last two years –Less than 10 home free –Less than 20 probably ok

7. How to Gage a Regular Assessment Penalty Severity is a function of –Size of the Business –Previous History –Operator Negligence –Gravity of Violation –Operator Good Faith in Rapid Correction –Ability of the Operator to Continue in Business Each of the Factors is assessed using a formula table Points are all added up and then converted into a $ amount

8. The Size of Business Factor Coal Operations are Assessed based on Tonnage –Based on Tonnage of Mine –And Tonnage Controlled by Operator (ie Consol get nailed harder than Moes Coals) Metal Mines and Independent Contractors are Assessed based on Employee Hours Worked –Also Consider both size of mine and controlling entity

9. Coal Mine Business Size <15,000 tpy = 0 points <30,000 tpy = 1 point <50,000 tpy = 2 points <100,000 tpy = 3 points <200,000 tpy = 4 points <300,000 tpy = 5 points <500,000 tpy = 6 points <800,000 tpy = 7 points <1,100,000 tpy = 8 points <2,000,000 tpy = 9 points >2 million tpy = 10 points

10. Controlling Company Size (Coal Mines) <100,000 tpy = 0 points <700,000 tpy = 1 point <1,500,000 tpy = 2 points <5,000,000 tpy = 3 points <10,000,000 tpy = 4 points >10 million tpy = 5 points Note a big company can rack-up 15 points

11. The Case of the Metal Mine <10,000 hrs/yr worked = 0 points <20,000 hrs/yr = 1 points <30,000 hrs/yr = 2 points <60,000 hrs/yr = 3 points <100,000 hrs/yr = 4 points <200,000 = 5 points <300,000 = 6 points <500,000 = 7 points <700,000 = 8 points <1,000,0000 = 9 points >1 Million hrs/ yr = 10 points

12. Parent Metal Mining Company <60,000 hrs/yr = 0 points <400,000 hrs/yr = 1 point <900,000 hrs/yr = 2 points <3,000,000 hrs/yr = 3 points <6,000,000 hrs/yr = 4 points > 6 million hrs/yr = 5 points Note that big Metal companies can get 15 points also

13. The Case of the Contractor Some Mining Companies hire independent contractors to handle actual mining operation –Others use for specialty projects such as shaft sinking or construction projects Independent Contractors usually fined as individual entity –Have the same schedule as metal mines in terms of hours worked There is no check for parent company size –Thus Independent Contractors can only accumulate 10 points under size of operation criteria

14. Previous History For Mine Operator (Coal or Metal) –Basis is the average number of violations per inspection day during previous 24 months Only those that are settled and paid count –The Table <0.3 = 0 points <0.5 = 2 points <0.7 = 4 points <0.9 = 6 points <1.1 = 8 points <1.3 = 10 points <1.5 = 12 points <1.7 = 14 points <1.9 = 16 points <2.1 = 18 points >2.1 = 20 points

15. History for Independent Contractors Based on total number of violations for all operations –1 to 5 = 0 points –6 to 10 = 2 points –11 to 15 = 4 points –16 to 20 = 6 points –21 to 25 = 8 points –26 to 30 = 10 points –31 to 35 = 12 points –36 to 40 = 14 points –41 to 45 = 16 points –46 to 50 = 18 points –>50 = 20 points

16. Degree of Negligence Assessed up to 25 points –(No Negligence) Operator was diligent and could not have known 0 points –(Low Negligence) Operator knew (or should have known) but there were a lot of mitigating circumstances 10 points –(Moderate Negligence) Operator knew (or should have) but there are mitigating circumstances = 15 points –(High Negligence) Operator knew (or should have) and there is no excuse = 20 points –(Reckless Disregard) Operator didn’t care in the slightest = 25 points

17. Gravity and Seriousness Up to 30 points are calculated from the tables below –Likelihood of Occurrence No likelihood = 0 points Unlikely = 2 points Reasonably Likely = 5 points Highly Likely = 7 points Occurred = 10 points –Severity of injury if Occurred or if it Occurred No lost work days = 0 points Cause 1 or more lost work days or restricted duty = 3 points Permanently Disables a part or function of the body = 7 points Did or reasonably likely to cause death = 10 points

18. Gravity Table #3 Number of People Potentially Affected –0 People = 0 Points –1 Person = 1 Point –2 Persons = 2 Points –3 Persons = 4 Points –4 to 5 Persons = 6 Points –6 to 9 Persons = 8 Points –10 or more = 10 Points

19. Good Faith of Operator Operator Abates the violation in time set by the inspector –Give a 30% discount on fine Operator does not abate the violation in time set by the inspector –Wack the disobedient sucker with another 10 points

20. Totaling Up a Regular Assessment Add up all the points for the violation and convert to $ with the table below –<21 points = $72 31 points = $178 –21 points = $80 32 points = $193 –22 points = $87 33 points = $207 –23 points = $94 34 points = $221 –24 points = $101 35 points = $234 –25 points = $109 36 points = $254 –26 points = $120 37 points = $273 –27 points = $131 38 points = $291 –28 points = $142 39 points = $310 –29 points = $153 40 points = $327 –30 points = $164 41 points = $354

21. The Fines Steepen 42 points = $383 55 points = $1769 43 points = $409 56 points = $2003 44 points = $437 57 points = $2252 45 points = $463 58 points = $2515 46 points = $500 59 points = $2793 47 points = $536 60 points = $3086 48 points = $629 61 points = $3419 49 point = $749 62 points = $3770 50 points = $878 63 points = $4137 51 points = $1033 64 points = $4521 52 points = $1198 65 points = $4856 53 points = $1376 66 points = $5099 54 points = $1566 67 points = $5342

22. Stiffening the Mix 68 points = $5585 81 points = $11535 69 points = $5828 82 points = $12794 70 points = $6071 83 points =$13963 71 points = $6374 84 points = $15177 72 points = $6678 85 points = $16392 73 points = $6981 86 points = $18213 74 points = $7285 87 points = $20642 75 points = $7588 88 points = $23070 76 points = $7892 89 points = $25498 77 points = $8499 90 points = $27927 78 points = $9106 91 points = $30355 79 points = $9713 92 points = $33391 80 points = $10321 93 points = $36427

23. Maxing Out 94 points = $39462 95 points = $42498 96 points = $45533 97 points = $48569 98 points = $51605 99 points = $54640 100 points = $60000

24. Dealing With People Who Don’t Get It People who do not abate 104(a) in a timely manner –Obviously they get hit with extra points and cost –If no good reason to extend time they issue a 104(b) order – The B order Pulls miners out of mine or area until the condition is fixed

25. Special Assessments for Knotty Boys Reserved for special aggravating circumstances and non-submissive actions –Involved death or serious injury (and MSHA is ticked or under political pressure) –Hurting the MSHA reps feelings by not letting him/her do the inspection when they wanted –Violations where an individual is personally liable –Violations involving imminent danger –Discriminating against squealers –Extraordinary negligence

26. Can be Focused on Individual Special Assessments –$6,500 per day per violation Can Go After Individual –$275 for individual miners who carry smoking materials with them –Penalties can also be against individuals

27. Unwarranted Failure to Comply More than being stupid careless – defiant –Ran mine when shut down –Ignored an imminent danger order –Ignored other order and suggested MSHA take a spin on their middle finger 104(d) order

28. Chapter Q – A Pattern of Violations {104(e) orders} A pattern exists if –Significant and substantial violations Mine got closed down a bunch Lots of imminent danger orders –Lots Enforcement Actions Also lack of good faith in correcting –A bad accident and injury record If determined have to post notice of the pattern and the violations –Also for sure on their list

29. Life Under 104(e) MSHA monitors whether a pattern is developing –Issues a potential pattern of violations notice If criteria are met MSHA issues a Final Pattern of Violations notice Have to post notice on boards For next 90 days if inspection finds any significant or substantial violation –Issue 104(e)(1) order – evacuate area –Can keep going through the mine issuing 104(e)(1) orders –Shut down until abated You stay on notice till your conduct determines that MSHA can issue a termination order for the pattern

30. Just in Case If something dangerous but not covered by regs (maybe unique to the mine) –Section 314(b) notice – orders them to provide a safeguard Pretty much restricted to haulage and hoisting in coal.