June 12th-15th, 2023 at Savannah, Georgia is our next institute.
CLICK HERE to register early to ensure a seat or call 1-828-385-2930 to register. This is always a popular Institute and is scheduled at an excellent time to not interfere with production. Registration will be closed at the first 25 enrollees.
Relevant and Necessary Records
The Seventh Circuit Court of Appeals upheld the Commission's 5/24/2012 decision, it is clear that MSHA has more power to demand records from operators. While the expansive language used by the Commission describing the scope of MSHA's right to seek documents will likely give operators pause, it does not mean that any operator should give the inspector full access to the filing cabinet or make a spare set of keys for him. On the contrary, the Commission emphasized that, while MSHA has broad authority to seek documents not otherwise required, the request must be reasonable and the information sought must be relevant and necessary to a legitimate agency purpose. Moreover, there is talk of appealing the 7th District Ruling. It will require support from the entire Industry!
Info & Recommendations on "Records Ruling" for Operators
Immediately below are the 2 sections of the Act referenced in the ruling May 24, 2012 by the FMSHRC specifically addressing MSHA's right to request and see payroll, time cards, and medical records "necessary" to perform its functions under The Act. Following these sections of the Act are 30CFR Part 50.41 and 50.11. The conclusion reached by 4 of the commissioners is next. Commissioner Duffy dissented and wrote a 12 page dissention paper (appended at the end of the court record).
My opinion at this point is that the language of the ruling applies to documentation "reasonably necessary" to determine correct reporting on documents required by 30CFR Part 50. Additional recommendations are in the latter part of this post.
The 1977 MS&H Act Sec. 103(h) In addition to such records as are specifically required by this Act, every operator of a coal or other mine shall establish and maintain such records, make such reports, and provide such information, as the Secretary or the Secretary of Health, Education, and Welfare may reasonably require from time to time to enable him to perform his functions under this Act. The Secretary or the Secretary of Health, Education, and Welfare is authorized to compile, analyze, and publish, either in summary or detailed form, such reports or information so obtained. Except to the extent otherwise specifically provided by this Act, all records, information, reports, findings, citations, notices, orders, or decisions required or issued pursuant to or under this Act may be published from time to time, may be released to any interested person, and shall be made available for public inspection.
The 1977 MS&H Act SEC. 108 (a) (1) The Secretary may institute a civil action for relief, including a permanent or temporary injunction, restraining order, or any other appropriate order in the district court of the United States for the district in which a coal or other mine is located or in which the operator of such mine has his principal office, whenever such operator or his agent�
(E) refuses to furnish any information or report requested by the Secretary or the Secretary of Health, Education, and Welfare in furtherance of the provisions of this Act, or
(F) refuses to permit access to, and copying of, such records as the Secretary or the Secretary of Health, Education, and Welfare determines necessary in carrying out the provisions of this Act.
30 CFR 50.41
Verification of reports.
Upon request by MSHA, an operator shall allow MSHA to inspect and copy information related to an accident, injury or illnesses which MSHA considers relevant and necessary to verify a report of investigation required by 50.11 of this part or relevant and necessary to a determination of compliance with the reporting requirements of this part.
30 CFR 50.11
(a) After notification of an accident by an operator, the MSHA District Manager will promptly decide whether to conduct an accident investigation and will promptly inform the operator of his decision. If MSHA decides to investigate an accident, it will initiate the investigation within 24 hours of notification.
(b) Each operator of a mine shall investigate each accident and each occupational injury at the mine. Each operator of a mine shall develop a report of each investigation. No operator may use Form 7000-1 as a report, except that an operator of a mine at which fewer than twenty miners are employed may, with respect to that mine, use Form 7000-1 as an investigation report respecting an occupational injury not related to an accident. No operator may use an investigation or an investigation report conducted or prepared by MSHA to comply with this paragraph. An operator shall submit a copy of any investigation report to MSHA at its request. Each report prepared by the operator shall include,
(1) The date and hour of occurrence;
(2) The date the investigation began;
(3) The names of individuals participating in the investigation;
(4) A description of the site;
(5) An explanation of the accident or injury, including a description of any equipment involved and relevant events before and after the occurrence, and any explanation of the cause of any injury, the cause of any accident or cause of any other event which caused an injury;
(6) The name, occupation, and experience of any miner involved;
(7) A sketch, where pertinent, including dimensions depicting the occurrence;
(8) A description of steps taken to prevent a similar occurrence in the future; and
(9) Identification of any report submitted under �50.20 of this part.
For the reasons set forth herein, we conclude that the judge correctly ruled that Petitioners violated 30 C.F.R. � 50.41 by refusing to permit the Secretary access to the related payroll and medical information requested as part of the Part 50 audit. Accordingly, the citations and orders are affirmed.
/s/ Mary Lu Jordan
Mary Lu Jordan, Chairman
The complete ruling can be accessed at http://www.fmshrc.gov/decisions/recent.html. Click on Commission Decisions and click html for May 24, 2012.
Any record (other than those listed below) requested to be released by MSHA should be evaluated by your lawyer before being turned over to the agency. You should say to the inspector,"Mr. inspector, please give me a list of the records you want and I will do my best to get them for you. It is our policy to have all records not required by the Act to be reviewed by our lawyer before they are released to anyone. Please put this in your field notes".
As additional information is available it will be posted on this website. Please remember that proof of "reasonably required"is the responsibility of MSHA. As more info is available we will post additional recommendations to help the Industry protect itself from overzealous enforcement by MSHA brought on by probable premature and unreasonable reaction by inspectors to this ruling.
Any record (other than those listed below) requested to be released by MSHA should be evaluated by your lawyer before being turned over to the agency.
40.4 Notice of Miners Representative
41.20 Legal Identity Report
44.10 Filing of Petition of Modification of a Standard
45.4 Independent Contractor Register
46.3 Training Plan
46.5 (b) (4) New Miner HazCom Training
46.6 (b) (4) Newly hired experienced miner HazCom Training
46.7 (a) New task HazCom Training
46.9 Records of Training
48.23 Training Plan
48.29 Training Records
47.21 Hazardous Chemical List
47.31 Hazcom Program
47.51 Material Safety Data Sheets
50.11 Investigation Report
50.20 Form 7000-1 Accident, Injury and Illness Report
50.30 Form 7000-2 Quarterly Employment Report
50.40 Maintenance of Investigation Reports, Forms 7000-1 and 7000-2
62.110 Noise Exposure Assessment
62.150 Hearing Conservation Program
62.171 Audiometric Test Records
62.175 Reportable Hearing Loss
62.180 Hearing Conservation Program Training
56.3203 Rock Bolt Tests and Certification
56.4201 Firefighting Equipment Inspections
56.4330 Firefighting, Evacuation and Rescue Procedures
56.5002 Dust, Fumes, Mist survey
56.5005 Written Respiratory Program
56.12028 Ground Continuity and Resistance Record
56.13015 Compressed Air Receiver Tank Inspection
56.13030 Boiler inspection
56.14100 Pre-shift Inspection Report (Only records of unrepaired defects)
56.18002 Workplace Examination Report
56.18010 First Aid Training Verification
56.19022 Hoist Wire Rope Measurement (Manhoist)
56.19023 Hoist Inspection, Testing and Maintenance (Manhoist)
56.19057 Hoist Operator Physical Examination
56.19121 Hoist Inspection