In assessing penalties, the Mine Act requires both the Commission and  MSHA to consider six statutory factors:  1.  the mine operator’s history of previous violations,  2.  the appropriateness of the penalty to the size of the mine,  3.  whether the mine operator was negligent,  4.  the effect on the operator’s ability to continue in business,  5.  the gravity of the violation, and  6.  the demonstrated good faith of the mine operator charged in  quickly remedying the situation after being notified of a violation. Underground Coal Mines Face Challenges in Preparing Mine Workers and Rescue Teams for Emergencies

Underground coal mine operators face significant challenges preparing for  emergencies, including ensuring that miners receive realistic training and  organizing mine rescue teams that satisfy new requirements. However, MSHA  does not provide all mine operators with critical information on how to  provide training in simulated emergency environments such as smoke- filled mines or information on resources that are available for providing  such training. For  example, the extent of the required training at each mine could affect how  mine operators designate rescue teams. MSHA Reviews Mines’ Training Plans and Inspects Training Records but Does Not Adequately Monitor Instructors or Training

MSHA has the authority to oversee certain aspects of miner training to  help ensure that miners work safely and are prepared for potential  emergencies, but its oversight of training is hindered by several factors. As a result, MSHA cannot ensure that instructors are keeping their  mining knowledge and skills up to date, including their knowledge of  emerging safety and health issues and new training tools. As a result, MSHA cannot  determine how well miners are learning the skills taught by MSHA- approved trainers and recommend corrective measures as necessary. MSHA and NIOSH Lack a Formal Agreement to Guide Mine Safety Coordination

MSHA and NIOSH have complementary roles in improving the safety and  health of coal miners, but coordination between the two agencies is  largely informal and inconsistent due to a lack of a formal agreement or  policies to guide their efforts. In addition, MSHA and NIOSH face other challenges that require them to  work more closely together, particularly in developing and approving  safety technologies under tight time frames. MSHA Has Improved Its Hiring Process, but Its Human Capital Strategic Plan Does Not Adequately Project or Address Its Future Workforce Needs

While MSHA has taken significant steps to improve its hiring process, the  agency’s human capital plan does not include a strategic approach for  addressing the large number of retirements expected over the next 5 years. In 2004, MSHA began using the Federal Career Intern Program (FCIP) to  hire new mine inspectors, which has resulted in a number of  improvements to the hiring and recruitment process, such as hiring new  inspectors more quickly. MSHA reported that this screening process has  helped the agency maximize its resources, since the exams identify  applicants who do not have the basic skills needed to become a successful  inspector at an early stage of the hiring process. Most Penalties Assessed by MSHA Are Paid without Opposition, but Many of Those Appealed Are Reduced Significantly

Most of the penalties proposed by MSHA are paid by mine operators  without opposition, but a small percentage of more serious and higher- dollar penalties are appealed, and many of those appealed are reduced  significantly. Between 1996 and 2006,  MSHA proposed 506,707 penalties for safety and health violations, and the  average penalty was $234 per violation. Between 1996 and 2006, approximately 6 percent (31,589) of the penalties  proposed by MSHA for violations of underground coal mine safety and  health standards were contested by mine operators, and about half of the  contested penalties were reduced. As a result, they have considerable  discretion in deciding on the final penalty amount.
Why GAO Did This Study

The Mine Safety and Health Administration (MSHA), the National Institute for Occupational Safety and Health (NIOSH), the Federal Mine Safety and Health Review Commission, the Department of Labor's Office of the Solicitor, the states, and the mining industry share responsibility for ensuring mine safety. In two reports released today, GAO examined the challenges underground coal mines face in preparing for emergencies, how well MSHA oversees mine operators' training efforts, how well MSHA and NIOSH coordinate to enhance the development and approval of mine safety technology, MSHA's coal mine inspector recruiting efforts, and how civil penalties are assessed.

What GAO Found

Underground coal mine operators reported facing significant challenges in preparing for emergencies, including ensuring that miners receive realistic training and organizing mine rescue teams that satisfy new requirements. While mine operators recognize the importance of providing training in an environment that simulates an emergency, many of them reported challenges such as limited access to special training facilities and the cost of providing such training. In addition, mine operators reported that they anticipate challenges in implementing new mine rescue team requirements, such as conducting training annually at each mine the rescue team services. MSHA approves mine operators' training plans and inspects their training records, but its oversight of miner training is hampered by several factors. For example, MSHA does not have current information on its instructors and does not ensure that they keep their knowledge and skills up to date. In addition, MSHA does not adequately monitor instructors or evaluate training sessions, and does not assess how well miners are learning the skills being taught. MSHA and NIOSH have a common mission to improve the safety and health of coal miners, but they do not have a current memorandum of understanding to guide their coordination efforts. As a result, most of the coordination that occurs is initiated by individual staff members or by outside parties. Such informal coordination may not be sufficient given the pending retirements of many MSHA and NIOSH engineers and scientists and other challenges both agencies face. In 2004, MSHA began a new process for hiring mine inspectors, which has led to a number of improvements, such as being able to identify applicants who possess the basic skills needed to be successful inspectors and decreasing the time it takes to hire new inspectors. However, MSHA's human capital plan does not include a strategic approach for addressing the large number of retirements expected in the next 5 years. While most of the penalties proposed by MSHA are paid by mine operators without opposition, a small percentage of the cases involving more serious and higher dollar penalties are appealed, and those appealed are often reduced significantly. MSHA uses a standard formula to propose penalties, but the other entities involved in the appeals process use considerable discretion in deciding on the final penalty amount. Approximately 6 percent of the 506,707 penalties proposed by MSHA between 1996 and 2006 were appealed by mine operators. About half of the penalties for the appealed violations were reduced by an average of 49 percent, regardless of the level of gravity of the violation initially cited by MSHA or the degree of the mine operator's negligence initially cited.