EFFECTIVE DATE: 08/12/09 EXPIRATION DATE: 03/31/2011 

PROGRAM POLICY LETTER NO. P09-V-08 

FROM: KEVIN G. STRICKLIN

 Administrator for 

 Coal Mine Safety and Health 

SUBJECT: Procedures for Revoking MSHA Certifications to Take 

 Respirable Dust Samples or to Maintain and Calibrate 

 Approved Dust Sampling Devices 

Scope

This Program Policy Letter (PPL) applies to all Mine Safety and Health Administration 

(MSHA) personnel, mine operators, independent contractors, contractor sampling 

services and other interested parties. 

Purpose

This PPL establishes administrative procedures for revoking an individual’s MSHA 

certification to take respirable dust samples or to maintain and calibrate approved dust 

sampling devices under 30 Code of Federal Regulations (C.F.R.) parts 70, 71, and 90. 

Policy

The District Manager may revoke a certification if he or she has good cause to believe 

that the certified person has violated the existing requirements. Unless there are 

mitigating circumstances, a certified person generally would not be eligible to reapply 

for certification for one year following the date of the revocation letter. However, casespecific conditions should be considered in deciding if and when a person may reapply 

for certification. Certifications may be revoked for violation of sampling, maintenance 

and calibration requirements regarding: (1) maintenance and calibration of sampling 

devices; (2) testing and examination of sampling devices immediately before each 

sampling shift; (3) distribution and proper placement of sampling devices, sample 

collection, and collection of sampling devices used to take dust samples; (4) performing 

onshift examinations of sampling devices; (5) removal of the filter cassette from 

sampling devices; (6) completing and signing the dust card that is provided by the 

manufacturer for each filter cassette; and (7) transmitting samples to MSHA. 
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Failure to properly carry out any of these prescribed procedures may result in the 

initiation of formal revocation procedures. Evidence compiled by MSHA through 

visual examination and physical testing of sampling devices, observation, review of 

available records, and/or interviews revealing inadequate knowledge of requirements 

will serve as the basis for initiating the revocation process. The evidence will become 

part of the administrative record establishing the justification for the proposed 

revocation action. If the evidence does not support a proposed revocation, a notice of 

deficiency may be appropriate. Revocation of a certification will prohibit the person 

from performing any of the duties for which that certification is required under 30 

C.F.R. parts 70, 71 and 90. 

When there is a decision to revoke a person’s certification(s), including any decision 

that may involve possible criminal prosecution, the District should immediately initiate 

the following administrative procedures. 

A. Proposed Revocation or Notice of Deficiency to the Certified Person 

The District Manager should send, by certified mail with return receipt requested, a 

letter proposing revocation or a notice of deficiency to the certified person. This 

letter should clearly state the following: 

 1. Proposed action. 

 2. Specific issue(s) that prompted the proposed action. 

 3. Specific reason(s) for the issue(s). 

4. Certified person’s right to submit documentary evidence to, and request 

an information meeting with, the District to discuss the proposed action. 

5. If the certified person fails to respond within 30 days to a letter proposing 

revocation, the District should send a notice of revocation. 

This initial letter must contain sufficient information specifying the basis of the 

proposed revocation or notice of deficiency and what has to be done to achieve 

compliance on the matter with the District. Based on the specific issues prompting 

the proposed action, the certified person may be required to take remedial action 

determined by the District to maintain his or her certification. 

The proposed revocation or notice of deficiency should arise as the result of a 

recommendation from an inspector, special investigator, health specialist or other 

person involved in the fact-finding. Since the District Manager makes the final 

decision, the District Manager should not be the recommending official in the 

proceedings. Additionally, since the Administrator for Coal Mine Safety and Health 
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is the deciding official for any appeal, the Administrator should have no role in the 

District’s process. 

B. Information Meeting or Submission from the Certified Person 

 1. Information Meeting 

 The certified person has 30 calendar days from the date of the notice of proposed 

action to request an information meeting. This meeting should be at a place 

convenient to the certified person. If practical, consider using conferencing 

technology. 

If there is an information meeting, the District Manager or a representative of the 

District Manager must perform or include the following steps in the meeting: 

 a. Restate the proposed action. 

b. Restate the issues and determine if the certified person understands 

the issues and their consequences. 

c. Restate and explain the reasons for the action and present the 

supporting information or a thorough summary of the information. 

d. Advise that the certified person can be accompanied by a 

representative. 

 e. Allow the certified person to present information and witnesses. 

f. Advise of the District's date to make the decision and of the 

certified person’s appeal rights. 

g. Advise that the administrative record remains "open" for 15 

calendar days, if necessary, so the certified person can submit 

additional information. 

 The meeting should be tape recorded with the consent of the certified person. If 

consent cannot be obtained, detailed notes should be taken. Make the parties 

aware of the recording or the notes. A meeting summary should be prepared 

and signed and dated by the MSHA person who prepared it. If possible, all 

other participants should sign and date the summary. 

 2. Submission of Information from the Certified Person 
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 The certified person may submit documentary evidence in place of, or in 

addition to, an information meeting. The District must receive this submission, 

in writing, within 30 calendar days from the date of the initial letter (or within 15 

calendar days after the information meeting). When the District receives the 

submission, the District will stamp the submission with the date of receipt. 

 3. After Information Meeting 

After holding an information meeting or receiving a written submission, the 

District Manager must: 

a. Review and evaluate all records including notes, tapes, documents 

or written submissions. 

b. Send one of four written responses to the certified person with the 

results of the review: 

1) A "clean bill" letter if the record satisfies the deficiency or 

issue(s); 

 2) Notice of remedial action needed to maintain certification; 

 3) Notice of revocation; or 

4) A letter requesting additional information needed to make a 

decision. 

C. Decision on Revocation 

Base the decision on the administrative record and credibility of witnesses. The 

administrative record should contain: 

 1. Correspondence from the District and the certified person 

 2. Witness statements 

 3. Supporting documents 

 a. maintenance and calibration records 

 b. certified dust data cards 

 c. sampling custody records 

 d. courses of instruction in both respirable dust sampling and the 

maintenance and calibration of sampling equipment 

 e. time and attendance sheets, etc. 
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 f. copies of related citations 

 4. Personnel information 

 5. District and investigation reports 

 a. inspector/training specialist report 

 b. available special investigation material, etc. 

6. Meeting notes (preferably signed and dated), transcripts, or tape 

recordings. As will be discussed, the administrative record will be made 

available for the certified person to review. For this reason, confidential 

witness statements should not be part of the administrative revocation 

record. Sufficient non-confidential information should be gathered to 

independently support the revocation action. If confidential statements 

are needed for a criminal investigation, a separate file should be created 

for that action. 

 7. Inspector or training specialist notes 

D. Notice of Revocation 

 The notice of revocation must be in writing and contain: 

 1. Statement of the decision or action 

2. Specific reason(s) or issue(s) for the revocation (§§ 70. 204(a), 71.204(a), 

90.204(a), 70.204(d), 71.204(d), 90.204(d); etc.) 

3. Statement that the decision will take effect 30 calendar days from the date 

of the notice of revocation 

 4. Statement of the right to appeal 

5. Statement that filing the appeal will stay the effective date of the decision 

until the Administrator for Coal Mine Safety and Health renders his 

decision. 

6. Statement that the administrative record is available for review at the 

District Office and a copy is available upon request 

 7. Notification of when the person may reapply for certification. 

Send the notice of revocation to the individual by certified mail with 

return receipt requested. All correspondence to a certified person should 
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be sent to that person only (not to supervisors or other mine personnel) 

unless the person designates, in writing, a representative 

E. Appeals Procedure 

A certified person may appeal the revocation decision to the Administrator for Coal 

Mine Safety and Health. The individual has 30 calendar days from the date of the 

revocation notice to file an appeal. Upon request from the Administrator, the 

District will forward a copy of the administrative record to the Administrator. The 

Administrator will make a decision based on that record. Since the Administrator 

makes the final appellate decision, he or she must not participate in any of the prior 

processes. Any National Office staff who have given advice or participated in the 

District level proceeding must not participate at the Administrator’s level. 

 The following are examples of Administrator's responses: 

1. Appeal is denied. The District decision is upheld and the revocation 

stands. 

2. Appeal is granted. The District will not revoke the individual's MSHA 

certification. 

3. Administrator requires an additional meeting or information. District 

assists as necessary. 

4. Administrator refers the matter back to the District with appropriate 

instructions. The Administrator may base this action on new information 

that was not available to, or considered by, the District Manager. The 

District takes appropriate action based on instructions from the 

Administrator. 

F. Inform Operators and Other MSHA Districts 

If the Administrator denies the appeal, or upon expiration of the time available for 

appeal, the District will immediately notify, in writing, the affected mine operator(s) 

that employs the revoked certified person or who use the sampling contractor 

whose MSHA certification was revoked. The District will also notify other MSHA 

District Offices of the revocation. 
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G. Applying for Recertification after Revocation 

Unless there are mitigating circumstances, a certified person cannot reapply for 

recertification for 12 months following issuance of the notice of revocation. These 

conditions will vary depending upon factors specific to each case. Some factors to 

consider include the basis for revocation and the individual’s record as a certified 

person for dust sampling or for maintenance and calibration of approved dust 

sampling devices. The request for recertification must be made in writing to the 

District Manager. In addition, individuals seeking to be recertified may be required 

to attend an MSHA training course and will be required to pass the MSHA 

examination on sampling or on maintenance and calibration procedures for 

respirable dust sampling equipment. 

H. Criminal Proceedings 

In those cases where the willful conduct of a certified person warrants possible 

criminal prosecution, the District will follow the procedures in the Special 

Investigations Procedures Handbook (Chapter 4, Section 110 Investigations). 

Background

Proper maintenance, calibration and use of approved dust sampling devices are an 

essential part of protecting miners’ health. Accordingly, to safeguard the integrity of 

the sampling process, 30 C.F.R. parts 70, 71 and 90 require these tasks to be performed 

only by persons certified by MSHA. Since certified persons perform an important 

function in providing a healthful environment, failure of certified persons to carry out 

the tasks prescribed in 30 C.F.R. parts 70, 71 and 90 places miners at risk and erodes 

miner confidence and support in the program. The preamble to these rules published 

in 1980 (45 FR 23996, April 8, 1980) made clear that MSHA may revoke these 

certifications if the sampling, maintenance and calibration procedures prescribed by 

these rules are not strictly followed by certified persons. 

Authority

The Federal Mine Safety and Health Act of 1977, as amended, 30 U.S.C. § 801 et seq.; 

and 30 C.F.R. §§ 70.202 and 70.203, 71.202 and 71.203, 90.202 and 90.203. 

Filing Instructions

This PPL should be filed behind the tab marked “Program Policy Letters” at the back of 

Volume V of the Program Policy Manual. 

Internet Availability

This PPL may be viewed on the World Wide Web accessing the MSHA home page 

(http://www.msha.gov) and choosing “Compliance Info” and “Program Policy 

Letters.” 

Issuing Offices and Contact Persons
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Coal Mine Safety and Health 

Robert A. Thaxton (202) 693-9515 

E-mail: thaxton.robert@dol.gov

Distribution

MSHA Program Policy Manual Holders 

Coal Mine Operators 

Independent Contractors 

Miners’ Representatives 

Contractor Sampling Services 

Special Interest Groups