MSHA HANDBOOK SERIES

U. S. Department of Labor

Mine Safety and Health Administration

Coal Mine Safety and Health

February 2013 

Handbook Number: PH13-V-1 

 

COAL MINE SAFETY AND 

HEALTH

GENERAL INSPECTION 

PROCEDURES HANDBOOK
PREFACE

This handbook sets forth general procedures for conducting inspection of coal mines 

consistent with Section 103(a) of the Mine Act. Previously issued procedural and 

administrative instructions for this subject material are superseded by this handbook. 

The following description of responsibilities sets forth the steps that a mine inspector 

takes when conducting mine inspections. When the text describes an action that the 

inspector “shall” do or specifies steps that the inspector “shall” perform in some 

sequence, then the inspector is to do so consistent with the specific conditions at a mine. 

Any determination not to conduct such action is to be based on his or her sound

discretion, and that of the inspector’s supervisors. When the action is one which 

“should” be followed, then the inspector who does it is engaging in the best practices 

for such inspection and should do it consistent with the specific conditions at a mine.

The Mine Postings and Records Documentation and Inspection Procedure Header 

Documentation pages contained in the Inspector Tracking System (ITS) approved with

this handbook should be printed by the inspector and used as inspection notes. These 

pages apply only to regular (E01) inspections and are not required to be used on other 

event codes. The pages are designed to provide a complete listing and documentation 

of the Mine Postings and Records and the Inspection Procedures that may or may not 

be applicable at a mine. The use of these pages will lessen the chance of inspection or 

documentation error by an inspector. 

The items identified in the paragraphs that are in bold lettering are areas identified that 

inspectors need to place additional emphasis to ensure inspection documentation and 

enforcement levels are commensurate with the conditions found at the mine.

Any proposed future revisions to this handbook will be communicated to the National 

Council of Field Labor Locals (NCFLL) in accordance with the Collective Bargaining 

Agreement.

Approved:

Kevin G. Stricklin

Administrator for Coal Mine Safety and Health
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TABLE OF CONTENTS

Chapter 1 – INTRODUCTION........................................................................................................ 1-1

A. Purpose ...................................................................................................................................... 1-1

B. Authority ................................................................................................................................... 1-1

C. Responsibility............................................................................................................................ 1-1

D. Health and Safety Rules ........................................................................................................... 1-1

E. Danger Boards/Hazardous Areas........................................................................................... 1-1

F. Supervisory Coal Mine Inspectors Accompanying an Inspector ......................................... 1-2

G. Inspectors-in-Training .............................................................................................................. 1-2

H. Inspection Equipment and Supplies ....................................................................................... 1-2

I. MSHA Personnel – Former Mine Employee .......................................................................... 1-3

J. Mine Labor/Management Relations....................................................................................... 1-3

K. Miners’ and Operators’ Representatives................................................................................. 1-4

L. Interagency Agreements (IA) and Memorandums of Understanding (MOU).................... 1-4

Chapter 2 - GENERAL PROCEDURES.......................................................................................... 2-1

A. Weekly Activity Data Form (MSHA Form 7000-36)................................................................ 2-1

B. Uniform Mine File Review......................................................................................................... 2-5

C. Arrival at the Mine ..................................................................................................................... 2-5

D. Conference Procedures .............................................................................................................. 2-6

E. Advance Notice......................................................................................................................... 2-7

F. Inspector Compliance with the Tracking Requirements of an Emergency Response 

Plan (ERP).................................................................................................................................. 2-8

G. Denial of Entry, Assault, or Harassment of Inspectors.......................................................... 2-8

H. Examination Records................................................................................................................ 2-9

I. Inspecting Working Places and Surface Pits for Imminent Dangers.................................. 2-10

J. Inspection of Working or Idle Sections ................................................................................. 2-10

K. Handling Orders ..................................................................................................................... 2-10

L. Proposed Modification to Safety Standards ......................................................................... 2-11

M. Section 108 - Injunctive Relief Procedures ............................................................................ 2-11

N. Use of Cameras........................................................................................................................ 2-12
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O. Inspection Report.................................................................................................................... 2-13

Chapter 3 - REGULAR SAFETY and HEALTH INSPECTION PROCEDURES........................ 3-1

A. General....................................................................................................................................... 3-3

1. First Day Arrival in Advance of Starting Time ............................................................... 3-3

2. Mine Map ........................................................................................................................... 3-3

3. Check In And Out System................................................................................................. 3-3

4. Cleanup Program............................................................................................................... 3-3

5. Communication and Tracking Surface Facility............................................................... 3-6

6. Refuge Alternatives ........................................................................................................... 3-6

7. Independent Contractors .................................................................................................. 3-7

8. Travel with Mine Examiners............................................................................................. 3-7

9. Inspection Shifts................................................................................................................. 3-8

10. Part 47 Hazard Communication....................................................................................... 3-9

11. Mantrip Operation............................................................................................................. 3-9

12. Mine Rescue ....................................................................................................................... 3-9

13. Filter Self-Rescuers (FSRs) and Self-Contained Self Rescuer (SCSRs)......................... 3-10

14. Smoking Program............................................................................................................ 3-17

15. Petitions for Modification ............................................................................................... 3-18

16. Review of Training Plans and Training Records .......................................................... 3-18

17. Observation of Multi-Gas Detector Calibration............................................................ 3-19

B. Underground........................................................................................................................... 3-19

C. Surface Facility, Surface Mine Records and Postings .......................................................... 3-27

D. Surface Areas of Underground Mines, Surface Facilities, or Surface Mines....................... 3-30

1. Aerial Tramways ............................................................................................................. 3-30

2. Auger Openings and Highwall Mining......................................................................... 3-30

3. Coal Stock Pile.................................................................................................................. 3-30

4. Communications Installations ........................................................................................ 3-30

5. Draw-Off Tunnels............................................................................................................ 3-30

6. Drilling and Blasting ....................................................................................................... 3-30

7. Dumping Facilities........................................................................................................... 3-30

8. Electrical Installations...................................................................................................... 3-31

9. Equipment (Other), Including Electrical Equipment.................................................... 3-31

10. Equipment (Pit)................................................................................................................ 3-32

11. Escapeway........................................................................................................................ 3-32

12. Explosives Storage (Magazines)..................................................................................... 3-32

13. Firefighting Equipment (Surface)................................................................................... 3-33

14. Fuel Storage...................................................................................................................... 3-33

15. Haulage Facilities (including belts)................................................................................ 3-33

16. Health and Safety Discussions ....................................................................................... 3-34

17. Highwalls, Spoil Banks and Ground Control Plans ..................................................... 3-34

18. Hoisting Equipment ........................................................................................................ 3-37
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19. Illumination of Work Areas............................................................................................ 3-38

20. Air Quality Tests in Required Locations (Surface) ....................................................... 3-38

21. Mine Map (Surface) ......................................................................................................... 3-38

22. Other Places Where Miners Work or Travel ................................................................. 3-38

23. Potable Water (Surface)................................................................................................... 3-39

24. Preparation Plant............................................................................................................. 3-39

25. Refuse Piles and Impoundments.................................................................................... 3-39

26. Sanitary Facilities (Bathhouse)........................................................................................ 3-39

27. Shop and Other Structures.............................................................................................. 3-39

28. Surface First–Aid Equipment ......................................................................................... 3-40

29. Thermal Dryer.................................................................................................................. 3-40

30. Travelways and Active Roadways................................................................................. 3-40

31. Ventilating Fan Installations........................................................................................... 3-40

32. Oil, Gas, and Coalbed Methane Wells ........................................................................... 3-40

E. Underground Outby Areas....................................................................................................... 3-41

1. Aircourses (including Escapeways)............................................................................... 3-41

2. Atmospheric Monitoring Systems (AMS) ..................................................................... 3-42

3. Belts, Skip Shaft Facilities, Bunkers................................................................................ 3-46

4. Blasting Practices ............................................................................................................. 3-48

5. Bleeders, Including Each Check Point ........................................................................... 3-48

6. Diesel Fuel Storage .......................................................................................................... 3-48

7. Fire Protection.................................................................................................................. 3-49

8. Haulage or Mobile Equipment....................................................................................... 3-49

9. Longwall Tailgate Entry.................................................................................................. 3-50

10. Non-Pillared Worked Out Areas.................................................................................... 3-50

11. Other Places Where Miners Work or Travel (Underground) ...................................... 3-51

12. Outby Electrical Equipment............................................................................................ 3-51

13. Seals .................................................................................................................................. 3-52

14. Track and Off-Track Haulage Roads ............................................................................. 3-55

F. Underground Working Sections............................................................................................... 3-56

1. Blasting Practices ............................................................................................................. 3-56

2. Boreholes in Advance of Mining.................................................................................... 3-56

3. Communications.............................................................................................................. 3-57

4. Dust Control Parameters................................................................................................. 3-57

5. Dates, Times, and Initials................................................................................................ 3-57

6. Escapeway Map............................................................................................................... 3-57

7. Fire Protection.................................................................................................................. 3-57

8. First-Aid Equipment........................................................................................................ 3-58

9. Health and Safety Discussions ....................................................................................... 3-58

10. Location of Last Open Crosscut...................................................................................... 3-60

11. Mining/ Work Cycle ....................................................................................................... 3-60

12. Operations Under Water................................................................................................. 3-61
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13. Post-Accident Communication and Tracking System.................................................. 3-61

14. Potable Water (Working Section)................................................................................... 3-61

15. Rock Dust Sampling ........................................................................................................ 3-61

16. Roof and Rib Conditions................................................................................................. 3-61

17. Sanitary Facilities............................................................................................................. 3-64

18. Section Equipment........................................................................................................... 3-64

G. Ventilation (General Tests and Measurements)..................................................................... 3-65

H. Mine Gas Exposure Levels ...................................................................................................... 3-68

I. Underground Diesel Equipment. ............................................................................................ 3-68

J. Air Sample Locations................................................................................................................ 3-74

Chapter 4 – OTHER INSPECTION-RELATED ACTIVITIES....................................................... 4-1

A. New Mines, Coal Facilities, and Other Sites........................................................................... 4-1

B. Shaft or Slope Construction Sites............................................................................................. 4-1

C. Other Major Construction Sites ............................................................................................... 4-1

D. Interconnected Mines ............................................................................................................... 4-2

E. Non-producing Mines .............................................................................................................. 4-2

F. Abandoned Mines..................................................................................................................... 4-2

G. Reopening Inspections.............................................................................................................. 4-3

H. Spot Inspections ........................................................................................................................ 4-4

I. Accident Investigations ............................................................................................................ 4-7

J. Petitions for Modification Investigations................................................................................ 4-8

K. Special Investigations ............................................................................................................... 4-8

L. Technical Investigations ........................................................................................................... 4-8

M. Electrical Inspections/Investigations ...................................................................................... 4-9

N. Health Inspections/Investigations .......................................................................................... 4-9

O. Part 50 Audit Program.............................................................................................................. 4-9

P. Hazardous Condition Complaint Inspections...................................................................... 4-12

Q. Railroad Equipment................................................................................................................ 4-14

R. Mining Sites, Milling Operations and Plants........................................................................ 4-15

S. Explosives................................................................................................................................ 4-15

T. Mine Emergency Procedures .................................................................................................. 4-20

U. Use of 103 (j) and (k) orders.................................................................................................... 4-22
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V. Special Assessment................................................................................................................. 4-27

W. Appearance as a Witness in Litigation Involving MSHA ................................................... 4-28

X. Appearance as a Witness or Other Participation in Private Litigation .............................. 4-30

Y. Mine Information Form (MIF) MSHA Form 2000-209 ......................................................... 4-30

Z. General Mine Status Information (MMU/DA/DWP Data)................................................ 4-31

AA.Citation Disposition................................................................................................................ 4-32

Chapter 5 - SAMPLING PROCEDURES....................................................................................... 5-1

A. Air Samples ............................................................................................................................... 5-1

B. Air Measurements..................................................................................................................... 5-3

C. Rock Dust Samples. ................................................................................................................ 5-12

Data Submittal and Mailing of Bagged Samples ................................................................. 5-18

Chapter 6 - APPENDICES.............................................................................................................. 6-1

A. Other Miscellaneous Forms and Related Information........................................................... 6-2

B. First-Line Supervisor E01 Certification..................................................................................... 6-5

C. Inspection Equipment and Supplies .......................................................................................... 6-6

D. Forms and Information Needed in an E01 Inspection Report................................................. 6-9

E. Inspection Tracking System ..................................................................................................... 6-11

1. Inspection Tracking System (ITS) – Surface Facilities .................................................. 6-11

2. Inspection Tracking System (ITS) – Surface Mines....................................................... 6-28

3. Inspection Tracking System (ITS) – Underground and Surface of U/G Mine........... 6-50
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GENERAL INSPECTION PROCEDURES HANDBOOK CHAPTER 1

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Chapter 1 – INTRODUCTION

The objective of MSHA mine inspection and investigation activities is to promote a safe 

and healthful working environment for miners. MSHA personnel work to achieve this 

objective in three ways: (1) by enforcing the Federal Mine Safety and Health Act of 1977 

(Mine Act), as amended by the Mine Improvement and New Emergency Response Act of 

2006 (MINER Act); (2) conducting education and training activities; and (3) providing 

technical assistance to the mining community. 

A. Purpose. This handbook sets forth procedures for MSHA personnel to follow when 

conducting inspections and investigations of underground and surface coal mines and 

facilities. The instructions in this handbook are primarily procedural and 

administrative. The instructions contained in this handbook supersede previously 

issued procedural and administrative instructions on the subjects addressed in this 

handbook.

B. Authority. Section 103(a) of the Act provides authorized representatives (ARs) of the 

Secretary of Labor with the authority to conduct inspections and investigations of coal 

and other mines. Additionally, Section 103(a) provides ARs with the right of entry to, 

upon, and through any coal or other mine. Only persons who have been authorized 

by the Secretary and have had proper credentials issued to them shall conduct 

inspections and investigations under the Act. When requested, ARs shall present their 

credentials to interested parties before conducting an inspection or investigation.

C. Responsibility. The Administrator for Coal Mine Safety and Health (CMS&H) has the 

primary responsibility for enforcing the Mine Act and implementing the standards 

and regulations relating to coal mines. This responsibility ultimately rests with the 

ARs (inspectors, specialists and their supervisors). Inspectors are responsible for 

conducting thorough inspections and investigations. Inspectors should discuss safety 

and health practices with mine operators and the miners during every inspection. 

Stakeholder participation is essential to achieving an effective safety and health 

program at each mine.

D. Health and Safety Rules. Inspectors must have thorough knowledge of the Mine Act 

and Title 30, Code of Federal Regulations (30 CFR). MSHA employees should comply 

with applicable state and company health and safety rules and regulations unless they 

conflict with Federal standards or interfere with the performance of their duties.

E. Danger Boards/Hazardous Areas. Inspectors, and miners’ representatives 

accompanying an inspector, have the right of entry into “posted” or “dangered-off” 

areas in the performance of their duties, but should do so with caution. Inspectors 

should not travel anywhere in a mine where the oxygen content is below the 

acceptable air quality standards. In case of an emergency that adversely affects the 
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mine’s air quality, inspectors should protect themselves with use of a self-contained 

self-rescuer.

F. Supervisory Coal Mine Inspectors Accompanying an Inspector. When a supervisor 

accompanies an inspector, investigator, or specialist, the supervisor’s name should not 

be cited as one of the inspection officials or authors of the resulting report except when 

the supervisor participates in the inspection event. Supervisors must use care to 

correctly code their time and activity after accompanying an inspector during 

inspection activities.

G. Inspectors-in-Training. When an inspector-in-training who has not been authorized 

to conduct inspections accompanies an inspector, include only the inspector’s name in 

the report. The name of the inspector-in-training and his or her right of entry (ROE) 

number shall not be documented on the MSHA Form 2000-22 (Mine Activity Data 

Sheet), MSHA Form 2000-86 (Respirable Dust Sampling and Monitoring Data), MSHA 

Form 2000-84 (CMS&H Noise Report), or other forms required to be submitted with 

the inspection report. The inspector–in-training should remain in the presence of the 

inspector at all times and is not permitted to conduct any part of an inspection or 

investigation independently. The only exception is for inspectors-in-training who 

have received the entry level respirable dust and noise training at the MSHA 

Academy. Non-ARs certified to sample respirable dust and noise may assist the 

inspector (who is responsible for the inspection with respirable dust or noise sampling 

when the inspector is on the same mechanized mining unit (MMU). 

H. Inspection Equipment and Supplies. Each inspector and inspector-in-training shall 

have equipment and supplies sufficient to safely and effectively complete the 

projected type of inspection or investigation and be properly trained in the use of 

such equipment. All underground inspectors should carry a device to detect and 

evaluate potentially adverse roof and rib conditions. Personal Protective Equipment 

(PPE) applicable to mine conditions and specified for use in MSHA directives shall be 

worn. Inspectors should immediately notify their supervisor if equipment deemed 

essential for planned inspection activity (including that necessary to address 

anticipated health/safety exposures) is not available at their office location. Each Field 

Office or other offices designated to have inspectors and inspectors-in-training 

assigned on a regular basis should have equipment available and sufficient supplies to 

safely and effectively complete the projected type of inspection or investigation. The 

inspector should use the equipment that is owned and properly maintained by 

MSHA. (Refer to the Inspector’s Equipment List and Field Office Equipment and 

Supplies List in the appendix section of this handbook.) 

MSHA-provided multi-gas detectors must be checked periodically to verify that the 

gas sensors are responding appropriately and the detector is maintained according to 

the manufacturer's specifications. In order to maintain the performance and accuracy 
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of multi-gas instruments used by CMS&H personnel, all CMS&H multi-gas detectors 

must be tested according to the following schedule:

1. All multi-gas detectors used by enforcement personnel will be calibrated 

according to the manufacturer’s specifications at least once every 31 days or 

more often if required by the manufacturer; and

All multi-gas detectors used by enforcement personnel will be performance (“bump”) 

tested according to the manufacturer’s specifications at the beginning of each day of 

use. 

Instruments that fail the “bump” test must be recalibrated prior to use in the field. 

Documentation of “bump” tests and the monthly calibration of each instrument will be 

maintained by the districts for a period of at least the previous fiscal year plus the 

current fiscal year. The documentation can consist of:

1. the computer data files that are produced by the instrument and an automated 

calibration unit; or 

2. a copy of the printed test results that are stored in a central location; or 

3. records developed and maintained by district personnel. 

To ensure these testing requirements do not interfere with the ability of Agency 

personnel to perform field inspection duties, each office shall have sufficient 

calibration gas on hand at all times. 

I. MSHA Personnel – Former Mine Employee. At least two years shall elapse from the 

last date of employment at a mine until MSHA personnel may conduct inspections or 

investigations at such mine. At least one year shall elapse from the last date of 

employment by the same operator of a mining company until MSHA personnel may 

conduct inspections or investigations at such mining company. This one year waiting 

period applies to all official matters involving their former mining company employer 

(such as ABC Mining Company, who owns more than one mine including XYZ Mine), 

as opposed to being limited to the particular mine at which they were employed (such 

as XYZ Mine). 

J. Mine Labor/Management Relations. MSHA employees should remain impartial 

toward both labor and management. MSHA employees shall refrain from offering 

opinions on labor management relations matters which are not covered under the Act, 

regulations, or standards. When a picket line is present at a mine site, inspectors 

should discuss the purpose of their presence on mine property with the individuals on 

the picket line. If access to mine property is delayed or denied, inspectors shall give 
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consideration to whether the mine is in production or just being maintained and the 

type of inspection activity to be performed in determining whether crossing the picket 

line is appropriate. Under no circumstances should inspectors put anyone, including 

themselves, in danger while crossing a picket line. Inspectors should contact their 

supervisor when necessary in making this determination. In such situations, the

supervisor may opt to contact labor representatives to attempt to resolve the problem, 

accompany the inspector, or send an additional inspector if the situation warrants.

K. Miners’ and Operators’ Representatives. Section 103(f) of the Mine Act requires that 

representatives of the operator and miners be permitted to accompany inspectors in 

order to assist in conducting a full inspection. A representative of the operator and a 

representative authorized by miners shall be given an opportunity to accompany 

inspectors during the physical inspection of any coal or other mine, including areas 

where only contractors are working, for the purpose of aiding such inspection and 

participating in pre- or post-inspection conferences held at the mine. Where there is 

no authorized miner representative, inspectors shall consult with a reasonable number 

of miners concerning matters of health and safety in such mine. (Refer to 

Representation of Miners Designation Form 2000-238 and Section 103(f) of the PPM, 

Volume I, for further guidance.) 

L. Interagency Agreements (IA) and Memorandums of Understanding (MOU). Several 

agreements and memoranda exist that facilitate the efficient use of government 

personnel and directly affect the conduct of business by MSHA personnel. These 

include:

Interagency Agreement between the Mine Safety and Health Administration (MSHA), 

U.S. Department of Labor, and the Occupational Safety and Health Administration

(OSHA), U.S. Department of Labor.

Memorandum of Understanding between the U.S. Department of Labor, Mine Safety 

and Health Administration (MSHA), and the U.S. Department of the Interior, Bureau 

of Land Management (BLM).

Memorandum of Understanding between the U.S. Department of Labor, Mine Safety 

and Health Administration (MSHA), and the Interstate Mining Compact Commission

(IMCC).

Memorandum of Understanding between the U.S. Department of Labor, Mine Safety 

and Health Administration (MSHA), and the U.S. Department of Justice, Bureau of 

Alcohol, Tobacco, Firearms and Explosives (ATF).
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Chapter 2 - GENERAL PROCEDURES

This section covers the general procedures that should be addressed by inspectors during 

any inspection or investigation. Depending on the type of inspection or investigation, 

procedures listed in other handbooks may also apply. Inspectors must provide at least 

the minimum documentation, as directed in the paragraphs labeled Documentation 

Required. The documentation required for each procedure listed in this chapter shall 

include a statement in the inspection notes that the procedure was completed. A 

statement that the required procedure was completed, or an “NA” or “Not Applicable” 

may be used if the procedure does not apply. A short statement such as “No Violations 

Observed” or “NVO” shall be included when no hazards or violations are observed.

Inspectors should report time pertinent to each event on their Weekly Activity Data Form 

(MSHA Form 7000-36) for all inspection-related activity, including: inspection 

preparation, travel, on-site inspection and/or investigation activities, office-generated 

paperwork such as opening or closing out the event or report writing associated with the 

event, and review of the Uniform Mine File or Electronic Uniform Mine File 

(UMF/EUMF). 

A. Weekly Activity Data Form (MSHA Form 7000-36). The Weekly Activity Data Form 

is used to add or change data about an inspector’s work and is initiated by an AR or 

ROE personnel. The Weekly Activity Data Form is filled out by hand or using the

Inspectors’ Portable Application for Laptops (IPAL). It is subsequently entered into 

the MSHA Standardized Information System (MSIS) database. Completion of the form 

is required for all AR and ROE personnel assigned to District and Field Offices. 

Enforcement personnel, including Technicians performing inspection assistance 

duties, will complete all items on MSHA Form 7000-36 when applicable for activity 

codes beginning with E Activities E01 through E32 and must be used in conjunction 

with a mine ID number and an event number. 

MSHA Form 7000-36 fields are listed below and the numbers on the list correspond to 

the numbering schema on the form. If this form is being completed using IPAL, 

numbers 1 through 3 will be filled in using your IPAL profile.

1. Item 1. Name – Your last name, first name and middle initial.

2. Item 1a. AR Number – Your Authorized Representative (AR) number, if 

applicable.

3. Item 1b. ROE Number – Your Right of Entry number, if applicable.

4. Item 2. Org Code – The Organization Code (Org) is your office code.
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5. Item 3. Work Group Identifier – Enter your 2-digit work group code.

6. Item 4. Weekly Mileage – Not applicable to Coal.

7. Item 5. Date - Month, day, year (mm/dd/yyyy). Enter the appropriate date for 

the time worked. Multiple lines may be used for the same day/date.

8. Item 6. Activity Code - Enter the Activity Code. A list of Activity Codes can be 

found in the IPAL User’s Manual (Appendix E) on the back of the printed form 

or from the drop-down list in IPAL.

9. Item 7. Event Number – If an E activity code was entered for item 6, an event 

number associated with the inspection activity for which these hours are being

reported must be entered. If this is being completed in IPAL, event numbers will 

be available through a drop-down list. When the event number is selected first 

using the drop-down list, the activity code and mine ID will be filled in with the 

corresponding information. If an event was initiated by another inspector and 

not available in the drop-down list, a supplemental event will need to be added 

in IPAL in order to enter time.

10. Item 8. Mine ID – If applicable, enter the Mine ID where this activity occurred.

11. Item 9. Contractor ID – If the inspection is specific to a contractor at the mine, 

such as major construction or a shaft or slope sinking project, enter the MSHA 

Contractor ID.

12. Item 10. Shift - Required for events when site inspection time is entered. Shifts 

are based on mine work schedules and the codes are 1 - Midnight, 2 - Day and 3 - 

Evening. Two-line entries are required when there are shift over-laps, with one 

entry for each shift inspected or other activity conducted. This entry is designed 

to identify the shift that the employee was actually at the mine site. It is not 

designed to identify which shift he/she traveled on. For example, if an 

employee left the office at 6:00 a.m. to travel to the mine and rode the man trip 

underground, and spent 6 hours inspecting, all on the day shift, then the 

employee would have a one-line entry on the number 2 shift. The only time that 

multiple entries would be required for an activity on any given day would be 

when the inspector or inspector-in-training was actually at the mine for more 

than one shift.

13. Item 11. Task Code – Enter the appropriate Task Code to describe the role the 

employee was fulfilling during the inspection. If no task code is entered, the 

system will treat it as a General Inspection Activity. A list of Task Codes can be 

found in the IPAL User’s Manual (Appendix E) on the back of the printed form
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or from the drop-down list in IPAL. If a supervisor accompanies an inspector, 

the same Activity Code, Event Number, and Mine ID should be used with an “S” 

Task Code for Supervisory Duties (Field).

The following five items (Columns 12 through 16 on MSHA Form 7000-36) 

contain two positions for recording full hours and one position to record quarterhours. Full hours are entered to the left of the solid line and the quarter-hour 

designation is entered to the right of the solid line. If more than 9 hours are 

recorded on a line, the digits are separated by the dotted line of the column. 

Quarter-hours are calculated as follows: "0" for no minutes; "1" for one-quarter of 

an hour or 15 minutes; "2" for one-half hour or 30 minutes; and "3" for threequarters of an hour or 45 minutes. There can be no entry for 4 or more quarterhours. When you reach 4 quarter-hours, you have completed another full hour. 

Totals for each column can be calculated and entered at the bottom of the 

column.

Note: To properly record a time of 2 hours & 15 minutes, for example, enter 2 for 

the Hour in box to the left of the solid line and 1 (as in “1 Quarter-Hour”) in the 

box to the right. 

14. Item 12. Travel - Required entry for all codes when travel is involved for 

inspection activities, which includes time to load the vehicle. Enter travel time 

to the nearest quarter-hour. 

15. Item 13. Other - Examples of other inspection-related time include time spent 

reviewing documents (e.g., UMF) to prepare for an inspection, multi-gas detector 

bumping or calibration, clean up, writing a report of an investigation, ITS,

completing rock dust sample submission forms, respirable dust data cards, air 

sample forms and preparing respirable dust or noise sampling equipment. 

16. Item 14. Site Inspection Time – Columns used to record time spent at a mine site 

by AR and ROE personnel when reporting events.

a. On-Site Insp. Time (MNM) – Not applicable to Coal.

b. MMUs/Pits (Coal) – This section includes underground working sections, 

surface pits, and surface facilities with their own mine identification (ID)

numbers. Enter the number of hours and quarter-hour identifier for the 

amount of time spent inspecting MMUs or Pits. MMU time should include 

travel time from the surface to the MMU, time spent reviewing examination 

books, records and maps associated with the intent of inspecting the MMU, 

time spent preparing to travel underground, and time spent distributing 

respirable dust or noise sampling equipment. Travel time shall be reported 
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as “Outby” time when citations or orders are issued while traveling to or 

from the section or when inspecting the travel route to meet E01 

requirements. 

c. Outby (UG mines Coal) – Enter the number of hours and quarter-hour 

identifier for the amount of time spent inspecting Outby areas. Outby time 

includes travel time from the surface to the area being inspected, time spent 

reviewing examination books, records and maps associated with the area 

inspected, and time spent preparing to travel underground. 

d. Surface Areas (Coal) – Enter the number of hours and quarter-hour 

identifier for the amount of time spent inspecting surface areas of an 

underground mine or surface areas of surface mines excluding time at the 

pits. Surface area time includes time spent reviewing examination books, 

records, maps, (including records and posting for the underground only 

when the inspector does not travel underground on that day’s inspection) 

and time spent preparing to inspect the area. 

e. C/O Writing On Site/ Reviews (Coal) – Enter the number of hours and 

quarter- hour identifier for the amount of time spent on-site writing 

issuances or conducting on-site reviews of company records. This would 

include time spent reviewing books, training records, and other documents 

and postings not associated with an inspection of a physical area.

17. Item 15. C/O Writing Off Site - Enter the number of hours and quarter-hour 

identifier for the amount of time spent writing, researching, or supporting office 

generated enforcement actions. This includes time spent completing required 

forms which may accompany any enforcement actions such as Special 

Assessment Review Forms, Possible Knowing and Willful Forms, and Photo 

Mounting Worksheets. Office generated subsequent actions that are issued 

should be charged to the open event that the citation or order was originally 

issued under, if that event is still open.

18. Item 16. Total Inspection/Non-Inspection Hours - This column has a two-fold 

purpose. It is used to record the total Inspection-Related Time as entered in 

columns 12 through 15 or to enter any time for non-inspection related activities 

(T codes). As with the other columns, the number of hours and quarter-hour 

identifier for the amount of time spent is entered. Examples of non-inspection 

related activities are time spent on conferences, plan approvals/reviews, 

Freedom of Information Act (FOIA) requests, leave, jury duty, etc. (For 

additional instructions for entering time in IPAL, see the IPAL User’s Manual.)
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19. Item 17. Supervisor Initials and Date - Supervisors will initial and date the

inspector’s completed and initialed copy of the form. 

20. Item 18. Key Entered By and Date – Mine Safety and Health Assistants should

certify with their initials and date that the data on this form was entered in 

MSIS.

 

21. Item 19. Remarks - Fill in additional information as appropriate. Information 

for this field can only be entered by hand either on a preprinted or IPAL 

generated copy of the form.

22. Item 20. Inspector Initials and Date - When complete, initial and date the form. 

B. Uniform Mine File Review. Inspectors shall review and sign the Uniform Mine 

File (UMF)/Electronic Uniform Mine File (EUMF) just prior to conducting an 

inspection or investigation. The type of event and the area to be inspected will 

dictate the extent of the review, in accordance with the Uniform Mine File 

Procedures Handbook. The UMF/EUMF review shall be conducted as part of the 

inspection/investigation and coded as “other” time. Inspectors who are regularly 

assigned to a coal mine are not required to conduct additional reviews of the 

UMF/EUMF when conducting other types of inspections or investigations during 

the same inspection quarter, but are not precluded from doing so. There are 

instances when an inspector conducts a "limited inspection" which would not require 

the UMF to be reviewed in its entirety. A “limited inspection” is generally specific in 

nature and short in duration (one or two days on a certain event) (Example: 

ventilation specialists with the intent to inspect an area of their expertise such as 

bleeder entries). The inspectors and specialists must review for a "limited inspection" 

at a minimum, the roof control and ventilation plans and any other plans pertinent to 

that inspection. Immediate signature and review does not apply to mine emergencies.

Documentation Required: The inspector should document the date of the UMF review on 

the General Information Cover Sheet and complete the MSHA Form 2000-137 (Inspector 

Certification Form) in the UMF/EUMF, per instructions in the Uniform Mine File 

Procedures Handbook. If additional reviews are conducted, no additional documentation is 

required.

C. Arrival at the Mine. Inspectors should arrive at the mine in time for pre-inspection 

contacts, a preliminary review of examination records, and an overview of the mine 

map to determine which area of the mine to begin the inspection or investigation. 

While performing surface or underground inspection activity related to an open 

event, the mine map shall be thoroughly reviewed with special attention given to 

mining in close proximity to worked-out areas, oil and gas wells, fuel transmission 

lines, and bodies of water which could present an underground flood hazard, and 
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mines located adjacent to, above, and below active workings. Also, where surface 

mines are present, any dangers surface mining may present to underground miners 

shall be checked. The information obtained from these sources in addition to the 

information reviewed at the MSHA office and mine examination records should aid 

the inspector in determining what area of a mine needs immediate attention. The 

arrival time at the mine should be entered on the Daily Cover sheet and will be 

considered the official time of arrival. The arrival time at the mine shall be 

independent from other Agency time reporting data (PeopleTime, Weekly Time and 

Activity, Inspection Shifts, etc.). A departure time is not required. MSHA personnel 

should proceed to the area selected for inspection as quickly as possible after arriving 

at the mine site.

Documentation Required: If the inspector is unable to preliminarily review files, maps, and 

examination records before the underground portion of the inspection begins, this fact should

be noted and a reason given. If possible, the inspector should review files, maps and record 

books before exiting mine property. The inspector shall document the arrival time, preinspection contacts, records books, and mine map review inspected on the daily cover sheet or 

in the narrative portion of the inspection notes for all inspection-related events. The arrival 

time at the mine shall be entered on the Daily Cover sheet and will be considered the official 

time of arrival. 

 

D. Conference Procedures. Inspectors should prepare carefully for conferences as they 

will provide an opportunity to discuss safety and health issues and reinforce effective 

programs at the mine. The Mine Profile Report, located at MSHA Intranet Home 

Page - MSHA Report Center – Mine Profile (hyperlink only accessible when 

connected to the MSHA network), is a useful tool that has been developed to aid 

inspectors in pre- and post-inspection conference information.

1. Pre-inspection Conference. On the first day of the inspection, the inspector will 

notify the representatives of the operator and miners of the type of inspection to be 

conducted and schedule a time for the pre-inspection conference. During the preinspection conference the inspector should inform the operator and the miner 

representatives (if designated) of the procedures for requesting a safety and health 

conference under § 100.6(b). The inspector should notify the representatives of the 

operator and miners of the inspection and afford them the opportunity to exercise 

their rights under Section 103(f) of the Mine Act.

Documentation Required: The inspector should document on the General Information 

Cover Sheet or in the inspection notes the conference type, the date conducted, the name of 

the operator and/or miner representative in attendance and any comments or concerns 

voiced by the representatives.

2. Post-Inspection Conferences. The inspector should schedule and conduct a post-
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inspection conference with the mine operator and miners’ representative (if 

designated). The conference should include a summary of all enforcement actions 

taken. Accidents at the mine and the available results of any samples or surveys 

taken during the inspection should be discussed. A means to prevent recurrence of 

violations, hazards, and accidents should be formulated by the mine operator and 

fully discussed by all parties. The inspector’s immediate supervisor should be 

made aware of the post-inspection conference date and briefed immediately 

regarding concerns voiced during any portion of an inspection or investigation.

Documentation Required: The inspector should document on the General Information 

Cover Sheet or in the inspection notes the conference type, the date conducted, the name of the 

operator’s and miners’ representatives in attendance, and any comments or concerns voiced by 

the representatives.

E. Advance Notice. The Mine Act prohibits advance notice of MSHA inspection 

activities. When an inspector learns that an operator, contractor, or any other person 

has given advance notice of an impending inspection, the inspector should issue a 

citation under Section 104(a) of the Mine Act, alleging a violation of Section 103(a) of 

the Act.

Advance notice includes subtle forms of communication (such as coded references, 

like “company is here,” or “visitors are on site”) intended to disguise 

communications announcing MSHA’s presence at a mine. Communications warning 

of inspection pending activity after a multi-day inspection has begun also constitute 

advance notice. All persons need to be aware of their legal obligations, and an 

individual or an operator may violate the Mine Act’s advance notice provisions even 

if not warned explicitly against providing advance notice. Inspectors are to consider 

all advance notice citations for a special assessment, which will be based upon the 

circumstances involved with the violation.

Advance notice has an inherent tendency to interfere with an inspection. Thus, an 

inspector need not demonstrate that mine conditions or practices were altered based 

on advance notice to establish an advance notice violation. However, the physical 

conditions of a mine may indicate that mine personnel received advance notice and 

acted to conceal violations. For example, rock dust applied over obvious 

accumulations of loose coal and coal dust in limited or discrete areas near the 

inspection location, or new ventilation curtains installed where there are indications 

that no mining had occurred after the curtains were hung are conditions that may 

indicate advance notice occurred. Enforcement personnel should document these 

conditions when a citation for advance notice is issued. 

In addition, inspectors are to immediately notify their supervisor following the 

issuance of a citation for a violation of Section 103(a) for giving advance notice. The 
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supervisor is to inform the District Manager of the issuance. District Managers, in 

consultation with the Technical Compliance and Investigation Office (TCIO) and the 

Office of the Solicitor, as appropriate, will evaluate each advance notice violation to 

determine whether the circumstances and evidence warrant an investigation under 

Section 110(e) and/or injunctive action under Section 108(a)(1) of the Mine Act.

When preparing to conduct an inspection, MSHA enforcement personnel should take 

precautions not to disclose their intentions to conduct an inspection in a specific 

location. Examples of such precautions include reviewing examination books for 

several areas of the mine, rather than only the specific area that they intend to inspect 

that day, and making a general request for transportation, rather than requesting 

transportation to travel to a specific location. (Additional guidance is available in 

Volume I of MSHA’s Program Policy Manual.) 

F. Inspector Compliance with the Tracking Requirements of an Emergency Response 

Plan (ERP). Normally, the inspector should comply with the mine operator’s 

tracking system. The District Manager (or his designee) may make the determination 

that: (1) electronic tracking of an MSHA inspector could provide advance notice of an 

inspection; and (2) important inspection objectives could be undermined if the MSHA 

inspector was tracked. In those cases, the District Manager/designee may allow the 

inspector to perform the portion of the inspection where the advance notice concern 

exists without the inspection party being tracked by the mine operator. In these 

situations, the inspector must provide the intended travel routes to an MSHA 

supervisor or to another MSHA representative who will be available at all times in 

the event of a mine emergency while the inspection party is underground. If the 

intended travel route changes, the MSHA inspector must notify the supervisor or the 

other MSHA representative.

Documentation Required: The inspector shall document in the notes the reason(s) why 

tracking devices were not worn. The notes should also reflect who was notified of the intended 

travel routes and any changes to these routes. No documentation is required for this section if 

there is no problem with the tracking system.

G. Denial of Entry, Assault, or Harassment of Inspectors. In the event an inspector is 

refused entry to a mine, or is threatened or harassed while making an inspection, the 

inspector should promptly notify his/her immediate supervisor and give the 

supervisor all the available information. The supervisor shall also alert his/her 

Manager of any circumstances that have the potential to place an inspector in harm’s 

way. (Refer to Section 103(a) of the PPM, Volume I, for further guidance.) Under 

Section 111 of Title 18 of the U. S. Code, it is a Federal crime to forcibly assault, 

intimidate, or impede MSHA employees performing investigative, inspection, law 

enforcement or other official duties. (Refer to PPM Volume I, section I.103-1 for 

further guidance.)
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H. Examination Records. Before physically inspecting an area of a mine, the inspector 

should conduct a limited review of the operator’s most recent examination records 

pertinent to the planned inspection activity for that day. More than one record will 

often apply to an area, such as preshift, on-shift, daily and weekly examination 

records. When a record of examination lists a condition that may identify a serious 

hazard, the inspector should thoroughly document the hazards in the narrative 

portion of the inspection notes and proceed to this area immediately. If additional 

areas are inspected (other than those planned at the start of the shift), pertinent 

examination records shall also be examined prior to leaving the mine property. In all 

cases, mine examination records pertinent to the issuance of a citation, order, or 

safeguard should be reviewed prior to placing the enforcement action in writing, and 

the review should be documented. 

When conducting an inspection or investigation other than a Regular Safety and 

Health inspection, only the records or postings pertinent to that activity code and 

area of intended inspection need be reviewed. These reviews shall be sufficient to 

provide a reasonable assurance that the operator is complying with MSHA recording 

and posting requirements. 

The inspector’s review of the operators’ examination records is to assure that 

required pre-shift, supplemental, on-shift and weekly examinations are performed 

and properly recorded, and that any hazardous conditions and violations of nine 

specific mandatory safety and health standards are recorded as corrected in a timely 

manner. The review should be used during inspections to assure all areas of the mine 

site are being examined in accordance with the 30 CFR and any approved plans. 

In addition to hazardous conditions, mine operators must examine for, record and 

correct violations of the following nine standards: § 75.202(a), § 75.220(a)(1), § 

75.333(h), § 75.370(a)(1), § 75.400, § 75.403, § 75.1403, § 75.1722(a), and § 75.1731(a). 

Inspectors should check operators’ examination records for the following: 

a. Examinations have been conducted at required intervals;

b. examination records indicate violations of nine specific mandatory safety and 

health standards;

c. hazardous conditions and violations of nine specific mandatory safety and 

health standards have been properly recorded;

d. records of violations or hazardous conditions indicate a need for inspector to 

follow up;

e. corrective actions have been recorded for reported hazardous conditions and 

violations of the nine standards; and

f. ventilation of worked-out and outby areas have been evaluated properly.
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Also, if examiners observe violations of other mandatory safety or health standards 

during their examinations, operators are required to correct those violations. 

On a quarterly basis, mine operators must review with examiners all citations and 

orders issued in areas where pre-shift, supplemental, on-shift, and weekly 

examinations are required.

(Refer to Preshift 3 hrs: 62 Fed. Reg. 35085 (June 30, 1997); Preshift Examination Fixed: 

64 Fed. Reg. 45165 (Aug. 19, 1999); Preshift: 77 Fed. Reg. 20700 (April 6, 2012) and 

Q&As Mine Exam Final Rule 07-23-2012 for additional information.) 

Documentation Required: The inspector should document the records inspected on the 

daily cover sheet or in the narrative portion of the inspection notes.

I. Inspecting Working Places and Surface Pits for Imminent Dangers. When

inspecting a working section or a surface pit, the inspector shall check all working 

places for conditions or practices that may constitute an imminent danger. This check 

should be conducted as soon as practical after arrival at the section or pit before 

inspecting equipment or observing any cycle of operation. The imminent danger 

examination at an underground working section shall include all working places and 

the entire length of a longwall or shortwall face. However, if travel to the section or 

pit is of short duration and entirely incidental to inspecting other areas of the mine, 

an imminent danger examination is not required.

Documentation Required: The inspector shall document the examination(s) for imminent 

dangers conducted in the inspection notes to include a short statement such as “No imminent 

dangers observed” or “NIDO”. No other documentation is required unless an imminent 

danger or violation is observed.

J. Inspection of Working or Idle Sections. When inspecting a working or idle section, 

the inspector shall observe the following general conditions: adequacy of rock 

dusting and clean up, adequacy of roof support, installation of temporary and 

permanent ventilation controls, and presence of dates, times and initials. The 

inspector shall check for methane accumulations and oxygen deficiency. 

K. Handling Orders. Closure Notice (MSHA Form 7000-9 Red Tag). When a closure or 

withdraw order is issued under Section 103(k), 104(b), 104(d)(1), 104(d)2), 104(e), or 

107(a) of the Mine Act, the inspector shall conspicuously post mine or equipment 

“CLOSED” posters (MSHA Form 7000-9) so that anyone approaching the area can see 

them. The posters should be placed in a sufficient number of locations to prevent 

unauthorized entry into the area or use of the equipment. Posters are normally 

placed: 
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1. at the portal of the mine if the entire mine is closed;

2. at the entrance to the section if a section is closed; or

3. on the controls of equipment involved in the order.

The “CLOSED” poster shall be hung as soon as possible after informing the mine 

operator or contractor that an order is being issued. However, when issuing a Section 

107(a) Imminent Danger Order of Withdrawal, do not delay the removal of miners 

from the affected area(s), or stopping the condition or practice before hanging the 

closure tag. Upon termination of the order, the inspector shall remove the 

“CLOSED” poster(s).

L. Proposed Modification to Safety Standards. A citation shall be issued when a mine 

operator has failed to comply with any safety standard, even though a petition for 

modification has been filed and a decision on the petition is pending before the 

Administrator. (Refer to Section 108 in Volume I of the PPM for further guidance.) 

M. Section 108 - Injunctive Relief Procedures. An injunction is an order from a court 

demanding that a person do something (e.g., allow entry) or refrain from doing 

something (e.g., working against an order of withdrawal). The failure or refusal to 

comply with any type of injunction can be punishable by a contempt-of-court charge. 

Inspectors should notify their supervisor when the mine operator or his or her 

representative: 

1. Violates, fails, or refuses to comply with any order or decision issued under the 

Mine Act; 

2. Interferes with, hinders, or delays the inspector in performing any of his or her 

official duties;

3. Denies entry onto mine property;

4. Refuses to permit inspection of the mine by the inspector or investigation of an 

accident or occupational disease occurring on mine property; 

5. Refuses to provide information or reports requested for the purpose of carrying 

out provisions of the Mine Act; or 

6. Refuses to permit access to or copying of records requested for the purpose of 

carrying out provisions of the Mine Act.

When any of these circumstances arises and cannot be remedied by communication 

with the operator, discuss it with your supervisor immediately to determine if 

injunctive action may be appropriate. Additionally, if one of the above situations is 
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encountered, record the names of as many persons involved as possible, the date and 

time of the denial or observance, and a detailed account of the circumstances. Then 

contact your supervisor as soon as possible. Your supervisor and the District 

Manager will contact the Regional Solicitor’s Office to determine the merits of the 

case, the sufficiency of the evidence, and whether injunctive relief is advisable or 

possible. (Refer to Section 108 in Volume I of the PPM for further guidance.) 

N. Use of Cameras. Cameras should be used whenever practical to obtain digital 

images to document violations, accident scenes, or other conditions during an 

inspection or investigation, subject to the following restrictions: 

1. Only cameras approved as permissible for use in return air by MSHA’s Approval 

and Certification Center (A&CC) shall be used or carried into areas where 

permissible equipment is required, unless otherwise approved by the District 

Manager. 

2. Cameras are prohibited within 25 feet of explosives, other than Ammonium 

Nitrate Fuel Oil (ANFO), including storage magazines, loaded explosives vehicles, 

and explosives loading areas. 

3. Cameras are prohibited in areas where flammable materials are stored or used 

and in areas of coal handling facilities that are Class I or Class II Hazardous 

Locations (explosive dusts or gases) as outlined in National Fire Protection 

Association® NFPA 70®, National Electrical Code®. 

Digital photographs must clearly and accurately depict the nature of the violation or 

condition. Where appropriate, photographs of abatement or termination measures 

should also be taken. Before photographs are taken, ensure that the camera is set to 

the correct date and time. If the camera has audio capability, it should be turned off 

so that voices are not recorded, unless all persons are explicitly notified that their 

statements are being recorded. 

To be most effective, a violation or condition should be captured with both an “up 

close” shot and a distance shot to provide perspective and points of view. The 

photograph should depict a miner's potential for exposure to the hazard or violation 

of the standard. As a rule of thumb, no more than two or three good photographs are 

necessary to illustrate a violation and its resolution. Too many photographs can 

become an administrative burden. 

When taking a video recording, begin at a distance and “zoom in" to provide greater 

detail of particular features. When panning an area, move the camera slowly enough 

to permit viewers to observe relevant details and attempt to minimize unintended
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camera movement. Additionally digital memory cards may be needed to ensure 

sufficient storage capacity if both videos and photographs are taken. 

At no time should MSHA personnel put themselves or others at risk or ask miners to 

reenact practices to obtain photographs. MSHA personnel should not photograph 

conditions that pose an imminent danger before taking actions necessary to prevent 

miners from being exposed to the hazard. 

Even when printed photographs are produced, the digital images should be stored on 

a CD or DVD, and the CD or DVD must be maintained in the mine 

inspection/investigation file or as part of the inspection report. When transferring 

the digital images and the associated information to support enforcement action, use

MSHA Form 4000-125. A copy of completed 4000-125 forms shall be attached to the 

affected citation or order. 

Documentation Required: If persons other than inspectors are taking photographs during 

an inspection or investigation, inspectors should record in their notes the name and affiliation

of those persons. All images captured by inspectors during an inspection or investigation 

must be retained in the mine inspection/investigation file or as part of the inspection report.

Images from digital photographs should be saved to a CD or DVD in the same file format 

(normally JPEG with moderate compression) and at the same resolution as they were 

originally captured by the camera and must be maintained in the mine 

inspection/investigation file or as part of the inspection report. The inspection/ investigation 

notes or the Photo Mounting Worksheet (MSHA Form 4000-125) should document: (a) the 

person who took the photograph when more than one inspector/investigator was involved in 

the inspection/investigation; (b) the date and time the photograph was taken; (c) the location of 

the condition or object; (d) a brief description of image(s) captured; and (e) the person who 

transferred the digital image to the CD or DVD and to the Photo Mounting Worksheet. 

Original digital images should not be modified or edited. All enforcement actions, inspector 

notes, and digital images associated with an inspection or an investigation should be provided 

to the Office of the Solicitor or a Conference and Litigation Representative (CLR) once a 

matter has been referred to the Federal Mine Safety and Health Review Commission or any 

other judicial body. Once the digital images are effectively and reliably stored on a CD or 

DVD, the images may be deleted from the camera’s digital memory card. 

O. Inspection Report. 

Mine Activity Data Form (MSHA Forms 2000-22). The Lead inspector shall 

complete and submit an MSHA Form 2000-22 as a cover page for all types of 

inspection or investigative activity reports. This electronic form is maintained in the 

IPAL system and changes are to be made as needed until the event is closed. If an 

inspector revises the form after a close date has been entered and uploaded, the 

inspector shall report the changes to the Mine Safety and Health Assistant responsible 

for updating the revised information in the MSHA Standardized Information System 
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(MSIS). All items (boxes) must be filled out by entering either the appropriate 

information or by entering zeros (0). Any Form 2000-22 with documentation in Item 

17 (Remarks) concerning mine operator’s program or plan reviews should be 

forwarded to the District Office by the Mine Safety and Health Assistant for the 

District Manager’s review.

 Item-by-Item Instructions for Completing MSHA Form 2000-22:

Item 1. Action. Indicate if this report is new or if it is updating a previous original 

report.

Item 2. Activity Code. Enter one of the authorized inspection activity codes. A 

complete list of event codes can be found in the appendix of the IPAL User's 

Manual. 

Item 3. Event Number. The event number is generated from a maintained event 

number bank assigned to the inspector opening the event as the Lead AR. This 

number is used on T&As and Citation/Orders. Exercise care to use the correct 

event number when issuing citations and orders. 

Item 4. Date Event Started. Enter the appropriate event starting date (month, day, 

year). The start date begins when any activity time is used on one or more of the 

following items: inspection preparation, travel, or on-site inspection, office 

generated paperwork or report writing associated with the event, including the 

review of the UMF/EUMF.

Item 5. Date Event Finished. The date on which all physical, written, and verbal 

activities have been completed. This includes report preparation and on-site 

closeout conferences.

Item 6. Mine ID. The authorized 7-digit mine identification number.

Item 7.a. Organization Code (Mine Assignment). Enter the last four digits of the 

Field Office organization code that is assigned the responsibility for inspecting the 

mine.

Item 7.b. Work Group Identifier. Enter the 2-digit work group identifier that is 

assigned the responsibility for inspecting the mine.

Item 8.a. Organization Code (AR Assignment). Enter the last four digits of the 

organization code of the Lead AR who is performing the inspection when this 

organization is not the field office with the assigned responsibility.
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Item 8.b. Work Group Identifier. Enter the 2-digits of the work group identifier of 

the Lead AR who is performing the inspection when this work group is not the 

work group with the assigned responsibility.

Item 9. Company Name. This entry must be identical to the company name

contained in the current mine status record.

Item 10. Mine Name. This entry must be identical to the mine name contained in 

the current mine status record.

Report Type. This section identifies segments of inspection reports.

1) Item 11.a. First. Check this box if the report is the first partial submittal of a 

report for long-term inspection activity. 

2) Item 11.b. Interim. Check this box to identify intermediate report segments for 

long-term inspection activity. 

3) Item 11.c. Last. Check this box to identify the final report segment for longterm events, which should be retained as the cover page for the completed 

inspection report. 

4) Item 11.d. Not Applicable. Check this box for all reports for one-day events, 

which should be retained as the cover page for the completed inspection 

report. 

Item 12. Areas of Inspection. Items 1 (Item 12.a.) through 12 (Item 12.l.) identify

the area(s) inspected or visited during this activity. Each of these boxes must 

contain an entry-positive (checkmark for area(s) inspected) or negative (leave 

unchecked).

1) Item 12.a. Active Sections. Sections that are producing coal. The number of 

producing sections inspected/visited must be entered.

2) Item 12.b. Idle Sections. Sections that are not producing coal. The number of 

nonproducing sections inspected/visited must be entered.

3) Item 12.c. Outby Areas. All underground areas excluding sections. Enter

positive (check mark) or negative (leave unchecked). 

4) Item 12.d. Shafts/Slopes. Existing shaft and slope openings. Enter positive 

(check mark) or negative (leave unchecked). 

5) Item 12.e. Surface Areas (UG). All surface areas of an underground mine that 

are required to be inspected, such as preparation plants (associated with 
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underground mine ID numbers), bath houses, fans, impoundments with no 

identification numbers, etc. Enter positive (check mark) or negative (leave

unchecked). 

6) Item 12.f. Surface Workings. Surface mines and surface facilities. Enter

positive (check mark) or negative (leave unchecked) and identify under either 

Item 12m or Item 17 (Remarks) the type of surface working inspected.

7) Item 12.g. Company Records. All records and documents stipulated in Title 

30 CFR. Enter positive (check mark) or negative (leave unchecked). 

8) Item 12.h. ATF. Surface explosives storage facilities (inspected under MOU 

with the Bureau of Alcohol, Tobacco, Firearms and Explosives (ATF) for 

safety and security standards). Enter positive (check mark) or negative (leave 

unchecked). 

9) Item 12.i. Impoundments. Impoundments with identification numbers. 

Enter positive (check mark) or negative (leave unchecked). 

10) Item 12.j. Refuse Piles. Numbered refuse piles with identification numbers.

Enter positive (check mark) or negative (leave unchecked). 

11) Item 12.k. Major Construction. Enter positive (check mark) or negative (leave 

unchecked) in the first box after 12k. Items 1 through 5 will reflect the

number of the various major construction operations covered by the report. 

Enter the number of each type inspected. 

12) Item 12.l. Miscellaneous. Complete this item for any area of inspection not 

covered in Items a through k above. Enter positive (check mark) or negative 

(leave unchecked) and explain under Item 17 (Remarks).

13) Item 12.m. MMU/Pit Number. List identifiers for all MMUs and Pits that

were inspected.

Item 13. Number of Samples Collected. This section summarizes the type(s) and 

total number of samples taken during the period covered by the inspection report. 

1) Item 13.a. Air Samples. Enter the total number of bottle samples collected.

2) Item 13.b. Rock Dust Spot. Do not use this item due to rock dust spots no 

longer exist.

3) Item 13.c. Rock Dust Surveys. Enter the number of individual rock dust 

samples collected. Each bag collected and submitted counts as one sample.
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4) Item 13.d. Respirable Dust. Enter the total number of individual respirable 

dust samples collected, both valid and invalid.

5) Item 13.e. Noise. Enter the number of individual noise samples.

6) Item 13.f. Other. Include any other type of health sample collected 

individually. If this item contains a value, show specific types of samples 

taken in Item 17. 

Item 14. Impoundments/Refuse Piles. This section pertains to waste deposits that 

have identification numbers assigned. Should more than 10 waste deposits be 

inspected, additional entries can be made in Item 17.

1) Item 14.a. Number. The complete waste deposit (refuse pile or 

impoundment) number is 11 digits. The first 4 digits of this number are made 

up of the State abbreviation (2 digits) and the District (2 digits). Since these 

items either do not change, or can be identified from the mine ID number or 

the organization code, they will not be entered on the form. Enter into the 

available positions the last seven digits of the waste deposit identification 

number that includes the site identification number (5 digits) and the number 

of the waste deposit at that site (2 digits). If the last two digits are less than 

nine, include a zero before the last digit (example – 03).

2) Item 14.b. Field Hazard Classification (FHC). Leave this field blank.

3) Item 14.c. Configuration. Leave this field blank.

Item 15. Prime Independent Contractor Codes (Major Construction). Enter the 3- 

or 4-position alphanumeric identifier of the prime/leading independent 

contractor(s) who are inspected as major construction operations under Item 12.k.

only. Do not list minor subcontractors.

Item 16. Inspection Results. Record the number of citations, orders, safeguards, 

and other actions taken during the period covered by the inspection report. 

Count only the actions that have the subject event number on them. Include 

vacated issuances in the total number of citations issued. 

Item 17. Remarks. This section should be used to document deficiencies 

associated with the Cleanup Plan, SCSR Storage Plan, Ground Control Plan, types 

of surface workings inspected, miscellaneous areas of inspection, special samples 

collected or to provide any other information deemed appropriate.

Item 18. Signature and Card Number of AR(s) Responsible for Activity. Enter AR 

number(s) of the person(s) participating in the event during the period covered by 
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the report. ROE numbers of inspectors-in-training shall not be documented on the 

Mine Activity Data form. ARs are not required to sign the form. 

Item 19. Key Entered By. Mine Safety and Health Assistants should certify with 

their initials and date that the data on this form was entered into MSIS. 

Activity Calendar. A calendar is provided on the reverse side of the form to track 

time spent on the event. The key code for shifts marked on the calendar are 1-Owl 

or Midnight Shift, 2-Day Shift, 3-Evening or Afternoon Shift. Inspectors should

indicate in the appropriate box each shift that was worked at the mine site. When 

a shift overlaps, the shift with the majority of the time must be checked. When 

more than one shift is spent at the mine site, the boxes for each shift actually spent 

at the mine site must be marked. Office time, including the review of the UMF, 

completion of notes, forms, correlating information from surveys and samples, 

and time spent to compile the event report shall be charged to the event. Only 

the Mine Activity Data Form Calendar completed by the Lead AR is required to 

be submitted. The Lead AR shall assure notes, including a daily cover sheet, are 

provided for each box checked. Other generated time reports may be used in lieu 

of the activity calendar as long as all the required information is provided (e.g., 

identifies all ARs who charged time to the event and the day and shift worked). 

When other time-generated reports are used for this purpose, they shall be dated 

and initialed by the lead AR to indicate the report has been compared with the 

inspection notes and report activities for the event.

2. Inspection Notes. Inspectors should submit notes, including a completed Daily 

Cover Sheet (MSHA Form 7000-10I), for each day that time is reported on an 

inspection or investigation. In addition to required documentation for procedures 

conducted, inspectors should document pertinent general observations in their 

inspection notes. 

a. General Information Cover Sheet. The General Information Cover Sheet 

(MSHA Form 7000-10H) for each inspection or investigation should be started 

on the first day of the inspection and completed when the event is closed.

Information for this sheet will be obtained from the UMF/EUMF, the Mine 

Activity Data Sheet, and from the mine site. The General Information Cover 

Sheet is to be used to document information common to any inspection or 

investigation activity and may be used in lieu of the daily activity sheet for 

single-day events. 

b. Daily Cover Sheet. The inspector should identify the members of the 

inspection party in the spaces provided on the Daily Cover Sheet. Inspectors 

shall also list a summary of the areas physically inspected in the “Areas of 

Inspection Activity” section of the Daily Cover Sheet (Example: #1 Belt, #2 Belt, 

etc.). 
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c. Continuation Pages. Inspectors should supplement Daily Cover Sheets using 

approved note keeping forms, check lists, listings or other preprinted forms to 

document inspection or investigation activities that require more than one page 

of notes. Any legible written format may be used for continuation pages, unless 

otherwise specified by an inspection procedure. MSHA Form 7000-10M (Air 

Readings) is available to document the location and results of air tests and 

measurements. The inspector should date, initial, and sequentially number the 

front of each page of the inspection notes, including nonstandard formats, 

starting with the Daily Cover Sheet as Page 1. Original documentation of 

samples, tests, and measurements should be included in the inspection notes. 

Preprinted sheets are also provided to assist in documentation of respirable 

dust (MSHA Form 7000-10N) and noise (MSHA Form 7000-10P) inspections 

and may and included in the inspection notes when used. On completion, daily 

notes should be turned in to the immediate supervisor for review. Inspectors

should not document required information on the backside of inspection notes. 

d. Documentation of Enforcement Actions. Section 104(a) of the Mine Act 

requires that each citation or order be in writing and describe with particularity 

the nature of the violation, including a reference to the provision of the Mine 

Act, standard, rule, regulation, or order alleged to have been violated. In 

addition, the citation is required to fix a reasonable time for the abatement of 

the violation. 

Facts relevant to the condition or practice cited for each enforcement action and 

information regarding the negligence and gravity determinations should be 

documented. To ensure that quality citations and orders are issued, inspectors 

should document the following information: 

1. The time (24 Hr. Clock) the inspector observed the violation. 

2. A description of the conditions and practices causing and constituting the 

violation of a specific regulation or section of the Mine Act. They must be 

accurately identified and described, including a means to quantify the size 

and extent of the cited condition or practice (such as dimensions, periods of 

time, and number of occurrences). The names of individuals shall not be 

included in the condition or practice section of the citation.

3. The standard or section of Act violated. 

4. The location or equipment where the violation or hazard exists. 

 5. The following gravity factors, when applicable: 
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a. Mine characteristics, such as methane liberation, geological conditions, 

accident history, and other physical factors that would affect the 

likelihood of the occurrence. 

b. The number of persons exposed to the hazard and the duration and 

frequency of this exposure under continued normal mining practices. 

c. The type of injury or illness resulting from the occurrence of the event, 

including how this was determined such as industry history, personal 

knowledge, or experience. 

d. The number of persons who were actually injured or became ill as a result 

of the hazard caused by the violation or the number of persons who could 

be affected if the anticipated event occurred, including how this was 

determined.

 6. The following negligence factors, when applicable: 

a. The title of person(s) who knew, or had reason to know, that the violation 

existed and how this was evidenced. Document the name of any person 

who knew or had reason to know that the violation existed in your 

inspection notes only, as the condition or practice section of citations 

should not contain the name of any person. 

b. Mitigating circumstances including, but not limited to, actions taken by 

the operator to prevent or correct hazardous conditions or practices. The 

number of mitigating circumstances documented should be used in 

conjunction with the definitions for degrees of negligence listed in 

§ 100.3(d). The failure of the operator to exercise a high standard of care 

for miners constitutes negligence.

c. Facts indicating the length of time that the violation existed.

7. For unwarrantable failures of the operator to comply with a mandatory 

safety or health standard, include the factors that explain how the operator 

engaged in aggravated conduct. The following factors, when applicable, 

should be documented to explain how the operator engaged in aggravated 

conduct:

a. the obviousness or extensiveness of the cited condition or practice;

b. the length of time that the cited condition or practice existed and 

whether it was excessive; 
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c. any similar violations that were issued at the mine or to the contractor in 

the recent past;

d. the title of any agent of the operator or contractor who conducted an 

examination or had been in the area, or was aware of the existence of the 

condition, including dates and times. Document the name of any agent of 

the operator or contractor who conducted an examination or had been in 

the area, or was aware of the existence of the condition in your inspection 

notes only, as the condition or practice section of the citation/order

should not contain the name of any person; 

e. facts related to whether the cited condition or practice had been reported 

to the operator or contractor who then allowed it to exist, without 

correcting or adequately addressing the problem, for a period of time;

f. the title of any supervisor or an agent of the operator or contractor who 

committed or allowed the condition or practice to exist. Document the 

name of any supervisor or an agent of the operator or contractor who 

committed or allowed the condition or practice to exist in your inspection 

notes only, as the condition or practice section of citation/order should 

not contain the name of any person;

g. whether the mine operator or contractor made reasonable efforts to 

correct the cited condition or practice; and

h. other factors, not identified above, that resulted in a negligence evaluation 

by the inspector of “high” or “reckless” disregard.

8. The time the citation/order/safeguard was set for abatement and the time it 

was terminated. Describe in detail the specific action(s) taken to correct the 

cited condition(s) or practice(s) that justifies termination or extension. 

If an enforcement action results from failure to comply with an approved plan, 

permit, or petition, a copy of the related approval letter and pertinent page(s) 

shall be included with the inspector’s notes. When enforcement or subsequent 

action(s) are taken based upon the results of analysis report(s), that report shall 

be included with the inspector notes.

 (Refer to the Citation and Order Writing Handbook for further guidance and 

additional information.)
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Chapter 3 - REGULAR SAFETY and HEALTH INSPECTION PROCEDURES

A Regular Safety and Health Inspection (E01) is one in which a mine is inspected in its 

entirety pursuant to Sections 103(a)(3) and (4) of the Act. This inspection is to 

determine if imminent dangers exist and to ascertain compliance with mandatory 

health and safety standards, approved plans (including suitability to current mine 

conditions), citations, orders, or decisions issued, and other requirements of the Act. If 

other types of inspections, excluding 103(i) inspections, are used to complete a Regular 

Safety and Health Inspection, comments should be included on the regular inspection 

event sheet to clearly show the event numbers used. 

No portion of a 103(i) spot inspection (including inspection notes, reports, bottle 

samples, etc.) may be used to complete any other type of inspection, including a 

Regular Safety and Health Inspection. Subsequent actions on previously issued 

citations and orders are permitted as long as they are in the same general area and do

not interfere with the requirements of the 103(i) inspection. 

When conducting inspections while riding on mobile equipment, the mode of 

transportation should allow a complete and effective inspection of the areas from a safe 

position. When extremely low coal seams are inspected, it may not be possible to 

conduct an inspection from mobile equipment completely, effectively, or safely. 

Conveyor belts shall be inspected from within the entry where the belt is located and 

the entire conveyor length must be traveled.

Problems encountered during inspection activities that could affect the health or safety 

of miners which are not covered by existing standards should be promptly 

communicated to the inspector’s immediate supervisor. It is especially important that 

this information is shared when other inspectors travel to the mine or mine assignments 

change.

Inspection Tracking System (ITS). The ITS is designed to enhance MSHA’s ability to 

determine inspection progress, fulfill established inspection procedures, and plan and 

coordinate inspection activities. The ITS may be updated electronically or printed out 

and updated manually. When possible, documentation should be entered onto the 

Inspection Tracking System at the end of each inspection day to ensure that other 

inspection personnel can access inspection results and prevent loss of information. If a 

printed report is used, it shall be maintained in an established location in each office to 

assure that inspection personnel can access it. A specialist who is not located at the 

field office where the printed ITS is maintained may call the field office supervisor or 

the inspector regularly assigned to the mine visited and provide inspection information 

so the ITS may be updated. Alternatively, the specialist may provide this information 

by fax or email. 
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The completion of each procedure shall be documented in the ITS or on the inspection 

tracking map, as specified in the documentation required portion applicable to the 

header. Information contained in the ITS should be maintained as required by the 

applicable inspection header. If a required inspection procedure cannot be fully 

completed by the end of the inspection, the inspector’s immediate supervisor shall be 

advised prior to closing the event. The documentation required for each procedural 

header listed in this chapter should include a statement in the inspection notes that the 

procedure was completed (example: first day arrival in advance of starting time). An 

“NA” or “Not Applicable” may be used if the header does not apply. A short statement 

such as “No Violations Observed” or “NVO” should be included when no hazards or 

violations are observed. 

Where documentation is required in the ITS, the applicable section should be completed 

in its entirety. The ITS, a checklist, or equivalent preprinted form may be used as part 

of the inspection notes which should have on the front of each page the date, inspector 

initials, and page number(s). This must be provided and attached to a daily cover sheet. 

Inspectors should document pertinent general observations made during their 

inspections in the narrative portion of the inspection notes. If additional documentation 

is required, these requirements appear beneath procedural headers. No other 

documentation is required unless a violation is observed. 

Note: Documentation requirements for this chapter shall be satisfied by: (1) recording 

the required information in the inspection notes and on the mine map, or; (2) recording 

the required information in the inspection notes and in the ITS. 

Tracking Map. A tracking map should be used to record the location of MMU(s) or 

name of section(s), approved evaluation/measuring points, and each air course 

inspected. The appropriate field or district office shall provide the inspector(s) with a 

map for the subject mine if the mine operator is unwilling to provide a copy. Line 

diagrams will no longer be accepted for tracking purposes. Tracking maps received 

from the mine operator may not always show each location of measurement points or 

evaluation points where test and measurements are required to be performed by the 

mine ventilation plan. All required measurement points and evaluation points should 

be marked for identification on the tracking map at the beginning of each E01 

inspection and as new measuring points or evaluation points become approved. This 

will help assure that the required points are not missed during the inspection. Each 

approved measurement point or evaluation point should be marked on the tracking 

map and identified by the name and location of each measurement point or evaluation 

point, including each MMU number. Should a new measurement point or evaluation 

point become approved after the affected air course has been traveled and inspected 

during the quarter’s inspection, a go-back would not be necessary just to document the 

air reading at that measurement point or evaluation point. Upon reviewing the UMF 

prior to the mine inspection, measurement points or evaluation points should be 
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reviewed on the mine map that accompanies the approved ventilation plan and a 

comparison should be made to the official mine map posted at the mine site and the 

operators’ records of air readings. 

A. General. 

1. First Day Arrival in Advance of Starting Time. The inspector should arrive at 

the mine on the first day of the inspection in advance of the mine’s starting time.

Sufficient time should be allowed for pre-inspection contacts, a preliminary 

review of record books pertaining to the area or equipment being inspected, and 

an overview of the mine map to determine which area of the mine to begin the 

inspection. When preparing to conduct an inspection, inspector should take 

precautions not to disclose their intentions to conduct an inspection in a specific 

location. Examples of such precautions include reviewing examination books 

for several areas of the mine, rather than only the specific area that they intend 

to inspect that day, and making a general request for transportation, rather than 

requesting transportation to travel to a specific location. A physical inspection 

of the mine should begin immediately after the pre-inspection contacts are 

made. The inspector should enter the mine with the mantrip on the first 

inspection day. At surface coal mines, the surface pit and related mining 

operations should be inspected before any preparation facilities. At 

underground coal mines, working sections should be inspected before the 

surface facilities. However, this does not preclude inspecting other areas 

(including surface areas) first where the inspector determines a serious problem 

or condition needs immediate attention. If a physical inspection of the mine 

cannot begin on the first day of a regular inspection, MSHA supervision or 

management should be informed as soon as practicable. 

2. Mine Map. Prior to going underground on the first day of the inspection, the 

inspector should review the mine map for consistency with approved mining 

methods and determine whether mining is being conducted in proximity to 

worked-out areas, oil and gas wells, fuel transmission lines, bodies of water 

that could present an underground flood hazard, mines located adjacent to, 

above, and below active workings, and any danger that surface mining may 

present to underground miners. During the course of inspection activities, 

the mine map should be reinspected as needed to assure the maps are 

appropriately updated, changes documented, or noted as incomplete as 

compared to the actual mining activities.

3. Check In And Out System. The inspector shall determine if the system being 

used at the mine complies with § 75.1715 (Identification check system). 

4. Cleanup Program. Inspectors shall evaluate the adequacy and effectiveness of

the operator’s cleanup program continually by reviewing the enforcement 
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history for regular cleanup and removal of accumulations of coal and float coal 

dust, loose coal, and other combustibles. 

§ 75.400-2 (Cleanup program) – Cleanup Program requires mine operators to 

establish and maintain a program for regular cleanup and removal of 

accumulations of coal and float coal dust, loose coal, and other combustibles. 

Such program shall be available to the Secretary or authorized representative. 

Therefore, mine operators are required to have a written cleanup program.

The written program must include details regarding how the operator will 

regularly control the accumulation of float coal dust, loose coal and other 

combustibles. These details could involve the quantity, schedule, and method 

for rock dust application in various locations. MSHA guidance to the mining 

industry interprets that mine operators should include the following elements 

in their written cleanup program:

a. The regular cleanup methods for the removal of accumulations of coal and 

float coal dusts, loose coal, and other combustibles in all active workings or 

on diesel-powered and electrical equipment in these areas;

b. The equipment and methods used for applying rock dust to maintain 80% 

Total Incombustible Content (TIC) as required by § 75.403 and the methods 

to continuously apply rock dust to areas where coal dust is generated and 

float coal dust accumulates; and 

c. The means to evaluate the effectiveness of their cleanup program, such as 

review of preshift examination records, rock dust usage, rock dust 

sampling results, and compliance history. Mine operators should place 

emphasis on critical areas such as longwall tailgates, belt transfer points, 

section returns, and bleeder entries. 

There are various methods for applying rock dust, such as hand dusting, 

mechanical dusting and wet rock dust application. Mine operators should use 

mechanical rock dusters on the working sections, in the return entries of these 

sections, and on the longwall tailgate to neutralize float coal dust accumulations 

and to maintain compliance with the 80% TIC requirement. These areas often 

require continuous rock dusting with trickle dusters or high-pressure rock 

dusting machines to maintain the required incombustible content levels and 

inert float coal dust accumulations. Accumulations of coal and other 

combustibles must be cleaned up and removed from the mine. Accumulations 

of oil, grease, coal dust and other combustible materials are not allowed on 

diesel or electrical equipment.

To evaluate the mine operator’s cleanup program, inspectors should:

a. Review the current cleanup program each quarter for compliance with 

 § 75.400-2; 
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b. Maintain a copy of the current cleanup program in the uniform mine file

(UMF); 

c. Compare the UMF cleanup program with the current cleanup program. 

Changes should be justified, and

d. The mine operator should modify the cleanup program to address 

significant or persistent violations of Subpart E. The inspector should 

include necessary modifications of the cleanup program in the actions to 

terminate a citation or order.

When a violation of §§ 75.400 (Accumulation of combustible materials), 75.402

(Rock dusting), or 75.403 (Maintenance of incombustible content of rock 

dusting), is found, abatement should be set at the shortest reasonable time after 

careful evaluation of conditions on a mine-by-mine basis, including whether the 

mine liberates large volumes of methane gas or has a history of methane 

ignitions. If an operator fails to totally abate the citation within the specified 

time, a Section 104 (b) Order of Withdrawal should be issued. 

If a mine operator has repeat violations of §§ 75.400 (Accumulation of 

combustible materials), 75.402 (Rock dusting) or 75.403 (Maintenance of 

incombustible content of rock dusting), inspection personnel should discuss the 

adequacy of the cleanup program with the mine operator and consider 

requiring the use of more effective methods for controlling and maintaining the 

incombustible content of the combined coal dust, rock dust, and other dust 

along with elevated enforcement actions. Inspection personnel should also 

consider changes to the cleanup program which would require the use of bulk 

dusters, trickle dusters, or high-pressure rock-dusting machines to continuously 

rock dust the areas downwind of belt transfers, the returns of active sections, 

the tailgates of longwalls, and the bleeder entries.

Rock dusting in non-pillared worked out areas - prior to abandoning sections or 

other underground areas, efforts should be made to assure that the incombustible 

content of mine dust is in full compliance with the regulations. Afterwards, rock 

dust can be blown into inaccessible areas if accumulations of float coal dust are 

observed at the approaches to the inaccessible areas.

(Refer to Maintenance of Incombustible Content of Rock Dust in Underground Coal 

Mines: 76 Fed. Reg. 35968 (June 21, 2011) for additional information.) 

Documentation Required: The inspector should document in the remarks section, 

Item 17 of the Mine Activity Data sheet (MSHA Form 2000-22) that the Cleanup 

Program in effect at the mine is adequate or otherwise note the deficiencies in the 

program. Additionally, document a general statement in the notes of any discussions 

held with the mine operator in reference to changes in the Cleanup Program based on 

the evaluation of the adequacy and effectiveness of the program.
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5. Communication and Tracking Surface Facility. The surface facility for the 

post-accident two-way communication and electronic tracking systems shall be 

inspected for compliance with applicable standards, and the Emergency 

Response Plan (ERP). This inspection should include:

a. Observing the responsible person demonstrate the functionality of the postaccident tracking system to determine whether it uniquely identifies miners 

underground and their locations. 

b. Observing the responsible person: (1) conduct an emergency 

communication broadcast test and (2) confirm that messages were received. 

c. Determining whether the responsible person on the surface has a working 

knowledge of the communication and tracking system, is always on duty 

when miners are underground to provide communications, initiates 

corrective actions for system failures and faults, and takes appropriate 

actions during emergencies. If the responsible person performs duties away 

from the communications center, determine whether the responsible person 

will remain in contact with the system and can immediately attend to alerts. 

(Refer to Q&As Post-Accident Two-Way Communication Tracking 2011 for 

further guidance and additional information.) 

6. Refuge Alternatives. Inspect all refuge alternatives (RAs) for compliance with 

applicable standards, including determining if the RAs are properly located, 

examined, and maintained. 

1. Assure RAs are examined as part of the preshift examination; 

2. properly identified on the mine map; 

3. within 1,000 feet of the nearest working face; 

4. conspicuously marked; 

5. connected to lifelines with branch lines; 

6. assure a clear space is available to fully deploy the RA; 

7. communications are provided; and 

8. the RA is adequate in size to accommodate the number of persons 

reasonably expected to use it. 

(Refer to Q&As Mine Emergency Evacuation 2007; Q&As Breathable Air; Q&As 

Mine Emergencies §§ 75.1501 & 75.1502; Q&As Refuge Alternatives; Q&As PostAccident Two-Way Communication Tracking 2011; Mine Emergency Evacuation: 

71 Fed. Reg. 71430 (Dec. 8, 2006); Refuge Alternatives: 73 Fed. Reg. 80656 (Dec. 

31, 2008); and 2000-223 ERP Review Form for further guidance and additional 

information.) 
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7. Independent Contractors. Independent contractors shall be inspected for 

compliance with applicable standards. The inspector shall examine the 

independent contractor register. The inspector should give consideration to the 

size of the contractor, the type of work being performed, and the length of time 

the contractor is projected to be present at the mine to determine what 

inspection activities are appropriate. With the exception of “major construction 

site inspections” all inspection efforts directed to independent contractors 

should be contained within the report for the ongoing inspection or 

investigation being conducted.

MSHA Form 2000-208 (yellow contractor notes page) should be completed and 

submitted as part of the inspection report. Form 2000-208 should be filled out 

each time a contractor is inspected. If the number of contractor employees, the 

work location, and type of work being performed remain the same, inspectors 

may use a single page with multiple dates indicated. Each date will be entered 

separately by the appropriate Mine Safety and Health Assistant. When the 

independent contractor is inspected for the first time at each mining operation, 

the Independent Contractor Information Form (MSHA Form 2000-207) should

be completed and the information documented shall be entered into Contractor 

Database for the subject mine. The appropriate Mine Safety and Health 

Assistant should update the Contractor Database. (Refer to Contractor Forms

and Contractor Database Training Booklet for further guidance.) 

When an enforcement action is issued to a contractor who has not previously 

been issued a MSHA Contractor I.D. Number, the inspector shall gather the 

information required to complete MSHA Form 7000-52 Contractor ID. This 

information will be provided to the appropriate Mine Safety and Health 

Assistant, a contractor I.D. number will be assigned, and the enforcement action 

shall be served. Before obtaining a new contractor I.D. number, the Mine Safety 

and Health Assistant should check that the contractor does not already have an 

I.D. number that it is using on other mine sites. 

Documentation Required: The inspector should document inspections of 

independent contractors in the inspection notes utilizing MSHA Form 2000-

208. When the independent contractor is inspected for the first time at the 

mining operation and any new data or updates to MSHA’s Contractor 

Database, MSHA Form 2000-207 should be filled out and the documented 

information should be submitted for entry into the Contractor Database for the 

subject mine. 

8. Travel with Mine Examiners. The inspector should travel with and evaluate at 

least one preshift, at least one on-shift, and at least one weekly mine examiner 

to determine if adequate examinations are being conducted. Observations 

should be made of the examiner’s equipment to determine that it is appropriate 
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for the measurements and tests required on these examinations and that 

calibrations are current when such calibration is required. It should be noted 

that a mine examiner may satisfy more than one examination requirement 

during their travel through an area. If an inspector observes a hazard or 

violation of a mandatory health or safety standard while accompanying a mine 

examiner, appropriate enforcement action shall be taken, regardless of whether 

the examiner records and/or corrects the hazard. 

While conducting inspections of aircourses and approaches to sealed areas, 

inspectors must issue appropriate citations when deteriorating roof and rib 

conditions are observed. Inspectors should accompany the mine’s weekly 

examiners and discuss the importance of noting hazardous roof conditions in the 

examination records and conduct follow-up inspections to observe corrective 

actions taken.

(Refer to Preshift 3 hrs: 62 Fed. Reg. 35085 (June 30, 1997) and Preshift 

Examination Fixed: 64 Fed. Reg. 45165 (Aug. 19, 1999); Preshift: 77 Fed. Reg. 

20700 (April 6, 2012); Q&As Mine Exam Final Rule 07-23-2012 for additional 

information.) 

Documentation Required: The inspector should document the examination type, the 

examiner by name, and the area examined in the inspection notes; if the examiner is 

satisfying the requirements of more than one examination (a combination of preshift, 

on-shift, or weekly) it should be documented in the inspection notes and the inspector 

may also consider the procedure complete for those examinations. 

9. Inspection Shifts. A portion of each E01 inspection should be conducted on 

each working shift to the extent necessary to gauge the general attitude of 

supervisors and miners toward health and safety. Any shift during which 

work is conducted, such as belt moves, mine clean up, rock dusting, power 

moves, and work during vacation shut downs, is considered a working shift. 

Normal mine examinations and water pumping are not considered working 

shifts.

Inspection of mines or facilities on idle shifts should focus on activities specific 

to that shift, such as maintenance work. Otherwise, inspections on idle shifts 

should be limited to places where conditions during idle shifts are similar to the 

conditions that normally exist on working shifts (e.g., escapeways, travelways, 

explosives and material storage areas for which conditions would be similar for 

both working and idle shifts). 

In mines where regular weekend production occurs, a representative number of 

regular E01 inspection days should be allocated for weekend inspections. 

Accordingly, at mines which regularly (more than two weekends per month) 
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produce coal on Saturday and/or Sunday, at least one Saturday or one Sunday 

should be included in each regular inspection. This step is intended to ensure 

that production shifts and crews are observed and inspected by the regular 

inspector during E01 inspections. Application of this procedure is mandatory 

only to the extent that resources are available within the district for the resulting 

overtime costs. 

Documentation Required: The inspector should document the mine shift(s) (day or 

1st shift, afternoon or 2nd shift, midnight or 3rd shift, and/or weekend production shift) 

inspected each day on the cover sheet of inspection notes to identify the mine shift and 

shift type (production, maintenance, or idle). When an operation works only two 

consecutive shifts, only two shifts are required to be documented in the ITS. The 

documentation requirements of this section are independent of any other documentation 

requirements.

10. Part 47 Hazard Communication. Inspectors shall evaluate the mine operator’s 

compliance with Part 47 Hazard Communication (HazCom). The inspector will 

assure containers are properly labeled and Material Safety Data Sheets are 

available. The operator’s written program shall be reviewed. 

(Refer to Q&As Hazard Communication 2002; HazCom Inspection Procedures; 

HazCom Tool Kit 2002; and HazCom: 67 Fed. Reg. 42314 (June 21, 2002); for 

further guidance and additional information.) 

11. Mantrip Operation. The inspector shall evaluate mantrip operating practices 

for safety by observing at least one mantrip enter or exit the mine. 

12. Mine Rescue. An inspector shall inspect mine rescue team stations for 

capabilities and compliance with regulations quarterly, except for statemaintained mine rescue stations, which shall be inspected biannually. If an E01 

inspection is not open, the inspection may be conducted during a spot (E16) 

inspection. For mine rescue stations that cover more than one mine, the 

inspection can be conducted during an E01 or E16 inspection of any of the 

covered mines. Under these circumstances, to avoid duplication of mine rescue 

station inspections and to minimize confusion, the inspector must notify the 

field office supervisor(s) assigned to the mines and provide the event number, 

mine identification number, and the date of the inspection. If violations of 30 

CFR Part 49 Subpart B are found during the inspection, duplicate citations must 

be issued to each mine covered by the mine rescue station. 

Where inspection of mine rescue stations serving mines in different MSHA 

Districts are performed, the mine rescue station should be inspected by 

personnel from either MSHA Districts, but not by personnel from both districts. 

To avoid duplication of MSHA inspections and minimize confusion as to which 
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district should inspect mine rescue stations, the procedures below should be 

followed: 

1. Mine rescue stations located on mine property shall be inspected by the 

 district having jurisdiction over the mine.

2. Mine rescue stations located off mine property should be inspected by the 

 district where the mine rescue station is located.

In addition to the annual statement submitted to the District Manager by the 

mine operator certifying that each team meets the requirements of 30 CFR Part 

49 Subpart B, inspection personnel may use the Mine Rescue Check Sheet (I11-

V-10) during an inspection pertaining to mine rescue teams and mine rescue 

stations to assist in verifying compliance. 

(Refer to Part 49 Mine Rescue Station Inspection Check Sheet; MSHA Form 

2000-224 Mine Rescue Team (MRT) - Certification Form; Mine Rescue: 73 Fed. 

Reg. 7636 (Feb. 8, 2008); Mine Rescue Equipment: 73 Fed. Reg. 53116 (Sept. 15, 

2008); Mine Rescue Teams: 74 Fed. Reg. 28606 (June 17, 2009); and Q&As Mine 

Rescue Teams 03-08-2008 for further guidance and additional information.) 

13. Filter Self-Rescuers (FSRs) and Self-Contained Self Rescuer (SCSRs). The 

inspector shall inspect and evaluate FSRs and SCSRs. MSHA inspectors should

inspect 50% of SCSRs worn or carried each E01 regular inspection alternating as 

close as practicable the other 50% on the following E01 regular inspection and

100% of the SCSRs stored on the section and/or on the mantrip for sections. A 

representative number but no less than 10% of outby SCSRs should be 

inspected. If defects are found, additional SCSRs should be inspected. All 

locations where SCSRs are required to be stored outby and/or stored on 

underground mobile equipment shall be inspected for compliance with 

applicable standards and approved plans. 

Inspectors shall evaluate: the adequacy of the approved SCSR storage plans (if 

applicable), compliance with annual testing requirements specified in the 

approved ERP, accuracy of SCSR storage locations shown on mine maps as 

required by § 75.1714-5 (Map locations of SCSRs), and company records for 

compliance with applicable standards. The evaluation should also include

comparing data from operator FSR and SCSR inspection and testing records 

with observations made during physical inspections. Data from SCSR 

inspection and testing records and observations made during physical 

inspections should be compared to MSHA’s SCSR Inventory Report to assure 

the mine operator’s SCSR inventory is being updated and problems are 

reported as required by § 75.1714-8 (Reporting of SCSR inventory and 
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malfunctions; retention of SCSRs). Inventory changes are to be reported within 

the quarter that any change occurs by utilizing MSHA Form 2000-222 (2000-222 

Instructions). An up-to-date copy of MSHA’s SCSR Inventory Report shall be 

provided to the inspector at the start of each E01 inspection for the subject mine. 

This report shall be included in the inspection report and initialed by the 

inspector(s) conducting the inspections. This will indicate that the operators’ 

records, physical inspection, and MSHA’s SCSR Inventory comparison was 

made. MSHA Form 2000-220 is to be discontinued. 

Investigating and Reporting Problems with Self-Rescue Devices – Each 

CMS&H District is required to assure each reported incident involving the use 

of a self-rescue device is thoroughly investigated. Incidents involving the 

following events are considered significant and should be reported to the 

inspector’s immediate supervisor, who will in turn report the incident to 

Division of Safety at (202) 693-9527, or Technical Support at (202) 693-9473, as 

soon as practicable:

a. an injury to a miner while using a self-rescue device;

b. failure of a self-rescue device to perform as designed; and/or

c. an incident that resulted in a need for a miner(s) to don a self-rescue device 

to escape to a safe location. Item c applies even if there were no reported 

injuries and the self-rescue devices performed as designed.

Operator’s Inspection Procedures - § 75.1714-3(a) (SCSRs; inspection, testing, 

maintenance, repair and recordkeeping) requires, in part, that mine operators 

provide for proper inspection of self-rescue devices by a person trained to 

perform such inspection. Proper inspection and testing instructions are

conducted in accordance with manufacturer’s conditions-of-use requirements 

approved by MSHA and NIOSH for SCSRs, approved plans, and the testing as 

required under § 75.1714-3(c) (SCSRs; inspection, testing, maintenance, repair 

and recordkeeping) for FSRs. 

As a part of this inspection, the inspector should review the mine operator’s 

records to determine if the mine operator:

a. conducted required inspections on each self-rescue device in use at the 

mine; and 

b. documented the date of each inspection. If possible, the inspector should also 

determine who conducted the inspection and if this person knew, understood, 

and followed the applicable instructions and procedures. 
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Inspection of Devices Being Worn or Carried By Miners - When inspecting a 

self-rescue device that is being worn or carried by a miner, the inspector shall: 

a. interview the miner, explaining the purpose of the inspection, and determine 

if the device has been inspected by the person trained to perform the 

inspection after each time the self-rescue device is worn as required by 

§ 75.1714-3(b); 

b. assure effective donning and usage training has been provided;

c. acquire the device from the miner; inspect the device by following the

manufacturer’s approved daily inspection procedures for the device being

examined; and, if not previously established, determine the date the mine

operator last tested the device in accordance with the approved MSHA and 

NIOSH procedures; and 

d. issue citations for self-rescue devices with broken seals or damage such that 

the device will not function properly as per § 75.1714-3(b) (SCSRs; inspection, 

testing, maintenance, repair and recordkeeping). A citation under § 75.1714-

3(b) is appropriate if, on an end of shift inspection, the damaged self-rescue 

device is not removed from service. 

Inspection of stored SCSR devices - When inspecting stored SCSR devices, 

the inspector shall:

a. conduct a visual examination of SCSRs using the appropriate approved 

procedures for conducting daily inspections; 

b. look for any obvious sign that may indicate a device is not being properly 

maintained; and 

c. determine the last date the unit was tested as per procedures in accordance 

with manufacturer’s conditions-of-use requirements approved by MSHA 

and NIOSH. 

 

MSHA inspectors should verify that in-service MSA Life-Saver 60 SCSRs have 

not exceeded their service life and verify that mine operators follow the 

manufacturer’s revised storage instructions for in-service units. (Refer to MSANIOSH User Notice for further guidance.) 

CSE Corporation SR-100 Self-Contained Self-Rescuer: Mining companies 
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using these units may need to make adjustments to provide miners with the 

required number of SCSRs to comply with 30 CFR Part 75. Purchasing units 

from a different manufacturer to meet the required number of SCSRs is 

acceptable provided all miners have received required training on the new 

units.

Inspection personnel are to ensure that mine operators currently using CSE 

Corporation’s SR-100 SCSRs are informed of the May 10, 2010, user notice that 

states if an oxygen cylinder fails to deploy, users should obtain another SCSR. 

If another SCSR is not available, the manual start procedure should be used. 

MSHA is requiring action to assure that miners have adequate SCSR protection 

while SR-100 SCSRs are being phased out in coal mines. These actions are

outlined in PIB No. P12-09 issued April 26, 2012, are a continuation of practices 

required in earlier MSHA and NIOSH notices, and MSHA’s directions to the 

agency’s enforcement staff, including PIL NO. I10-V-15. 

Actions to protect coal miners who do not have a fixed work location and who 

wear/carry SR-100s with additional SCSRs provided in accordance with 

§ 75.1714-4(a)(2):

a. For miners without fixed work locations (examiners, pumpers, etc.), a mine 

operator must either replace the SR-100 SCSR with any other approved 1-

hour SCSR or provide an additional SR-100 SCSR so that these miners wear 

or carry a total of two SR-100s in accordance with PIB No. P12-09. 

Enforcement: A coal mine operator should be cited for a violation of § 75.1714(a) if 

the miners described above are not provided with either an additional SR-100 or a 

different approved 1-hour SCSR.

b. If necessary, the mine operator may temporarily borrow SR-100s starting 

from the farthest outby caches. SR-100s can be borrowed from both 

primary and alternate escapeway caches; however, other outby caches can 

also be used in a manner that maintains maximum protection for miners.

Units borrowed from outby caches must be replaced as soon as possible.

Enforcement: SCSRs borrowed from an escapeway cache must be replaced as soon 

as possible if the cache does not contain at least one SCSR, which provides 

protection for a period of one hour or longer, for every person who will be inby that 

location as per § 75.1714-4(c)(1). Mine operators should act expeditiously and in 

good faith to replenish affected caches. If a mine operator has a sufficient supply of 

SCSRs available, then it is expected that any affected cache will be replenished 

without delay, or affected miners could be furnished with the required SCSR from 
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inventory. If a mine operator does not have a sufficient supply of SCSRs available, 

then the operator is expected to order SCSRs without delay. If SR-100s are borrowed 

from outby caches, then a mine operator shall be cited for a violation of § 75.1714-

4(c)(1) if the operator does not provide the appropriate number of SCSRs in the 

caches as described above. 

c. Approved plans affected by implementing the measures described above, 

need necessary revisions. Plans that may be affected include the Emergency 

Response Plan (ERP), the Mine Emergency Evacuation and Firefighting 

Program of Instruction (§ 75.1502), SCSR Storage Plans under §§ 75.1714-2(e) 

and 75.1714-2(g)(2), and Training Plan revisions pursuant to § 48.3(p).

Actions for phase-out of all CSE SR-100s used in mining applications: 

a. No later than April 27, 2013, operators must: 

 1) Replace SR-100s with any other approved 1-hour SCSR in the following 

order of priority:

a) SCSRs for miners who wear/carry SR-100 SCSRs and do not have a 

fixe work location, and along travel routes used by these miners as per 

 § 75.1714-4(a)(2).

b) SCSRs for miners who wear/carry SR-100s and have fixed work 

locations, and SCSRs on mantrips.

 2) Begin replacement in caches beginning with those for working sections.

b. No later than December 31, 2013, operators must:

1) Finish phase-out of SR-100s. No SR-100s should remain in any mine after 

 December 31, 2013.

Enforcement: At coal mines, if the timelines described above are not met then 

the operator should be cited for a violation of the applicable standard related to 

wearing, carrying, and/or storing an approved SCSR device. 

Actions to protect all miners using SR-100 SCSRs: 

a. Consistent with existing requirements and PIB No. P12-09, all coal miners 

should always have immediate access to a spare SCSR in case the first SR100 SCSR they try to activate fails for any reason. 
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b. When possible, all miners should immediately obtain another 

NIOSH/MSHA approved SCSR if they encounter any difficulty with the 

operation of any SR-100 SCSR. 

c. NIOSH has determined that the manual start procedure for the SR-100 SCSR 

should only be used as a last resort. The manufacturer's manual start 

procedure (a.k.a. the Cold Start procedure) is more difficult to activate and it 

may take more time for the SR-100 SCSR to generate sufficient oxygen to 

allow for a rapid escape. In the event that the starter oxygen fails to deploy 

or oxygen escapes through the mouthpiece due to improper donning, a 

miner’s first recourse should be to use another available NIOSH/MSHA 

approved SCSR. The limitations of the manual start and the proper 

procedures for manually starting the SR-100 SCSR must be emphasized to 

all miners, as soon as practicable, and in the quarterly training. If the 

manual start procedure is used, the manufacturer’s procedure must be 

followed explicitly.

d. MSHA inspectors will check to make sure all miners are trained in the use of 

the manual start and to only manually start the SR-100 SCSR as a last resort 

if there are no other NIOSH/MSHA approved SCSRs available. If this 

procedure is used, the manufacturer’s procedure must be followed 

explicitly.

Enforcement: Enforcement personnel should observe a portion of training, where 

practicable, and question miners to assure the training described above has been 

conducted and that it is effective. If it is determined that the training described 

above has not been conducted, or that the training is inadequate or ineffective, the 

operator shall be cited for a violation § 75.1504(b)(2)(i).

Other Inspection Actions at Coal Mines:

a. Inspection personnel must assure that SCSRs are being inspected and tested 

as required under § 75.1714-3. Appropriate enforcement action must be 

taken if it is found that the required inspections and tests are not being 

conducted. 

b. A mine operator must submit to MSHA a complete inventory of all SCSRs at 

each of its mines under § 1714-8(a). In the event that a change in a mine 

operator’s SCSR inventory occurs, a mine operator must report the change to 

MSHA within the quarter that the change occurs under § 75.1714-8(a)(2). 

Appropriate enforcement action must be taken if it is found during an 

inspection that the inventory has not been appropriately updated. 
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c. Section 2 of the MINER Act of 2006 amended section 316 of the Federal Mine 

Safety and Health Act of 1977 at section 316(b)(2)(E)(iii)(III) to require that a 

maintenance schedule for checking the reliability of SCSRs be included in a 

mine’s Emergency Response Plan (ERP). Program Policy Letter (PPL) No. 

P10-V-01, which was a reissue of PPL No. P06-V-10, provides guidance that 

ERPs should address SCSR performance by specifying a schedule for 

opening, initiating the breathing cycle, and establishing operational 

reliability for a representative number of SCSR units on an annual basis. 

Inspection personnel must assure this testing is being conducted in 

compliance with each mine’s approved ERP and that any defects are being 

reported as required by § 75.1714-8(b). Mine operators reporting SCSR 

defects to MSHA are required to preserve and retain the reported units in 

accordance with § 75.1714-8(c). Appropriate enforcement action must be 

taken if the tests and/or reporting and retention requirements are not being 

met. 

d. § 75.1504(b)(2) requires, in part, that quarterly mine emergency evacuation 

training and drills emphasize the importance of recognizing when an SCSR 

is not functioning properly, demonstrating how to initiate and reinitiate the 

starting sequence, and the proper use of the SCSR by controlling breathing 

and physical exertion. Inspection personnel must determine if miners are 

being trained in how to recognize an SCSR is not functioning properly; the 

proper manufacturer’s procedures for manually starting the SCSRs in use at 

the mine; to understand that starting the SCSR manually is a last resort to be 

used only when no other SCSRs are available; and that physical exertion and 

breathing must be controlled as per the manufacturer’s procedures. 

Inspection personnel should talk to miners about these requirements to 

determine if effective training is being conducted. Appropriate enforcement 

action must be taken if it is determined that the training is not effective. 

Actions to Dispose of SR-100 SCSRs

SR-100 SCSRs that are removed from service may not be reintroduced into any 

other industry. The SR-100 owners must follow the manufacturer’s instructions 

for disposal of SCSRs that are removed from service.

Refer to Q&As Emergency Mine Evacuation 5-3-07; CSE User Notice 2-25-2010; 

CSE User Notice 5-10-2010; CSE User Notice 1-14-2011; NIOSH CSE User Notice 

2-26-2010; NIOSH CSE User Notice 6-23-2010; NIOSH CSE User Notice 9-29-

2010; NIOSH CSE User Notice 10-20-2010; Q&As on Phase-out of the CSE SR100; and SCSR: 71 Fed. Reg. 71430 (Dec. 8, 2006 for further guidance and 

additional information. 
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Documentation Required: Each SCSR storage cache shall be inspected and 

documented in the inspector’s notes including the physical location. Each SCSR

required to be inspected should be documented in the inspection notes by including the 

SCSR manufacturer, model, serial number and physical location. A general statement,

for example: the approved SCSR storage plan parameters were evaluated (if applicable), 

would serve as documentation that the inspector evaluated the approved SCSR storage 

plan for the area covered by the inspection notes for that day. If the operator maintains 

an SCSR cache listing, the inspector may use that listing as inspection notes if the 

SCSR manufacturer, model number, serial number, and physical location are listed. 

The printed MSHA SCSR Inventory Report submitted with each E01 inspection shall 

be initialed on the front page by the inspector(s) conducting the inspection. The 

inspector should document in the remarks section, Item 17 of the Mine Activity Data 

sheet (MSHA Form 2000-22) that the storage plan (if applicable) is adequate or

otherwise note the deficiencies in the approved plan (for example, the approved storage 

plan parameters were evaluated at each of the designated storage caches identified in the 

approved plan and the plan is adequate). This would serve as documentation that the 

storage plan parameters were evaluated at each of the designated storage caches during 

this inspection as identified in the approved plan. A general statement that a discussion

with a representative number of miners to ensure effective donning and usage training 

was provided will be sufficient.

14. Smoking Program. During the course of the regular Safety and Health 

Inspection (E01) at underground mines, MSHA inspectors shall evaluate the 

mine operator’s compliance with the approved smoking articles search program 

and should determine whether an adequate search program exists and is being 

complied with. MSHA inspectors shall not search anyone for matches, lighters, 

or smoking materials. However, the inspector should:

a. Observe searches for smoking materials to ensure searches are done as 

prescribed in the mine’s search program;

b. Determine whether an adequate search program exists by reviewing the 

records;

c. Interview a number of miners concerning the search program; and

d. Be alert for evidence of smoking underground. 

The operator’s written program shall be reviewed. If a citation is issued to an 

individual for smoking or for carrying smokers’ articles in areas prohibited by 

Section 317(c) of the Mine Act or § 75.1702 (Smoking prohibition), the violation 

shall be served to the miner. An original shall be retained by the inspector. A 
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Release 1 (February 2013) 3-18

copy shall be given to the miner violating the statutory provision. A copy shall 

also be provided to the operator. 

Special assessment under Section 110(g) of the Mine Act is mandatory for the

violations cited to miners related to smoking or the carrying of smoking 

materials. 

15. Petitions for Modification. Inspectors should identify all granted petitions for 

modification when reviewing the UMF and evaluate them during the regular 

inspection to determine if they are still warranted. If the final order requires 

revisions to be implemented into the operator’s training plan, a review of the 

training plan(s) should be conducted to assure those provisions have been 

implemented and approved. The inspector(s), through their supervisor, should 

notify the District Manager if a granted modification is no longer appropriate or 

is not in use, in which case it should be considered for revocation. Mines which 

are permanently abandoned and sealed should initiate the revocation process.

(Refer to the Petitions for Modification Handbook for further guidance.)

Documentation Required: If the inspector determines that granted modifications are 

no longer appropriate or not in use, inspectors shall indicate on the inspector’s 

certification form that the modification should be considered for revocation. Otherwise, 

the inspectors’ documentation that the UMF was reviewed will suffice. 

16. Review of Training Plans and Training Records. The inspector shall review a 

representative number of training records (at least 10%) of all persons working 

at the mine. If the review indicates 25% of the records reviewed have 

deficiencies, then additional records shall be reviewed. If a 104(g) order is 

issued, an Educational Field Services Specialist should conduct a follow-up, and 

review each applicable approved training record for compliance with applicable 

standards and approved plans. This inspection shall include all applicable Part 

48 Subpart A, Part 48 Subpart B, Part 75, and Part 77 approved plans to 

reasonably assure that proper training was given to the miners in accordance 

with the operator’s approved plans. A thorough review of the training plans in 

the UMF should be conducted before going to the mine.

The inspector shall:

a. Try to obtain a list of employees from the mine operator and contractor (if 

applicable) containing names of employees, their hire date and classification; 

b. Review the required number of MSHA Form 5000-23s or equivalent 

approved form for completeness, including date, type of training, signature 

of company representative, mine ID, address, etc., for a two-year period; 
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c. Assure the annual refresher training has been conducted for each employee 

on or before the annual requirements with the exception of new employees 

hired as a New Miner or Experienced Miner. (Example: An employee’s 

training was conducted on July 1, 2011; was the annual refresher training 

conducted on or before July 31, 2012); 

d. Assure New Miner Training, Experienced Miner Training, Hazard Training, 

New Task Training, and Annual Refresher Training have been provided as 

required; and

e. Assure all applicable training courses required (New Miner Training, 

Experienced Miner Training, and Annual Refresher Training) have been 

conducted by an MSHA approved instructor qualified for the subject course. 

New Task Training of miners and Hazard Training do not have to be 

performed by MSHA-approved instructors.

Specific training requirements and types for miners and independent 

contractors may be found in Volume III of MSHA’s PPM. (Refer to the 

Education and Training Procedures Handbook for additional guidance.) 

Documentation Required: The inspector should document the specific type of

training record reviewed (annual refresher, hazard, newly employed inexperienced

miner, etc.) and the approximate number of training records reviewed.

17. Observation of Multi-Gas Detector Calibration. Observation of detector gas

calibrations shall be conducted to assure the proper calibration of gas detectors 

or otherwise determine that calibrations are being properly performed as 

recommended by the detector manufacturer. 

B. Underground and Surface of Underground Mine Records and Postings. All 

records and postings listed in this section shall be reviewed during a Regular Safety 

and Health inspection. Before the inspection is completed, all records required to be 

created and/or retained since the ending date of the previous Regular Safety and 

Health inspection shall be reviewed.

The purpose of an inspector’s review of the operator’s examination records is to 

assure that required examinations are performed at required intervals, properly 

recorded, and violations and/or hazardous conditions are recorded and corrected in 

a timely manner. The review should be used during inspections to assure all areas 

of the mine site are being examined in accordance with 30 CFR and any approved 

plans, and the ventilation of worked-out and outby areas has been properly 

evaluated. 
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During all onsite enforcement activities, inspectors should compare the results of 

their record and posting reviews to actual observations in or at the mine. The 

appropriate citation or order shall be issued when non-compliance has been 

determined during these reviews or observations. 

Underground and Surface of Underground Mine Records. 

1. AMS Alert/Alarm Signals, Malfunctions, Tests, Calibrations, and 

Maintenance– § 75.351(o). 

2. Annual AMS Operator Training - § 75.351(q)(i) – (iv). 

3. Annual Expectations Training for Donning and Transferring SCSRs - 

§ 75.1504(c). 

4. Annual Tests of Fire Hydrants and Fire Hoses - § 75.1103-11. 

5. Annual Training for Certified and Qualified Persons – § 75.161(a) - (b).

6. Annual Mine Rescue Physical – § 49.17(c). 

7. ATRS Certification - § 75.209(f). 

8. Audiometric Test Records - § 62.171(c). 

9. Bi-Monthly Tests of Hoist Safety Catches - § 75.1400-2. 

10. 14-Day Hoist Rope Examinations - § 75.1433(d). 

11. 14-Day Hoist Rope Examinations -§ 77.1433(d). 

12. Certification of Canopies or Cabs - § 75.1710-1(e).

13. Certification of ROPS & FOPS - § 77.403-1(d).

14. Certification of Certified Person Sampling – § 71.202. 

15. Certification of Certified Person Maintenance and Calibration – § 71.203. 

16. Check-In/Check-Out System and Belt Identification – § 75.1715. 

17. Cleanup Program - § 75.400-2.

18. Contractor Register - § 45.4(a) - (b). 
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19. Daily and Monthly Main Mine Fan Examinations - § 75.312(g)(1) and (h).

20. Daily Hoisting Equipment Examinations - § 77.1404. 

21. Daily Hoisting Equipment Examinations - § 75.1400-4. 

22. Daily Inspection of Active Surface Working Areas - § 77.1713(c). 

23. Daily Examination of Slope and Shaft Projects – § 77.1901(f). 

24. Daily Inspection of Man-Hoists for Slope and Shaft Sinking - § 77.1906(c). 

25. Diesel Exhaust Gas Samples Exceeding TLV® Action Levels for CO & NO2

(including hazards as per §§ 75.321, 75.322 and required to be recorded as per 

§§ 75.363(c) and 70.1900(d)). 

26. Diesel Equipment Inventory (updated within 7 days of changes) – 

§ 72.520(a) - (b). 

27. Diesel Fuel Evidence – § 75.1901(a). 

28. Diesel Training and Qualifications – § 75.1915(c). 

29. Diesel-Powered Equipment, Weekly Tests and Examinations – § 75.1914(h)(1).

30. Diesel-Powered Generators (Moving Equipment) – § 75.901(b)(12). 

31. Examinations of Trolley Systems for Off-Track Equipment Moves – 

§ 75.1003-2(b).

32. First-Aid Training of Surface Supervisory Employees - § 77.1703. 

33. First-Aid Training of Underground Supervisors (Initial Training) – 

§ 75.1713-3. 

34. First-Aid Training of Underground Supervisors (Retraining) – § 75.1713-5.

35. HazCom Program – § 47.31. 

36. Hearing Conservation Program Training – § 62.180(b). 

37. High-Voltage Power Centers and Transformers; Record of examinations as 

per §§ 75.812 and 75.812-2.

38. High-Voltage Continuous Mining Machines – § 75.832(g). 
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39. Impoundment Examinations – § 77.216-3(c). 

40. Initial Hoist Rope Stretch Measurements – § 75.1432. 

41. Initial Hoist Rope Stretch Measurements - § 77.1432. 

42. Inspections and Tests of Fire Suppression for Diesel-Powered Equipment – 

§ 75.1911(j). 

43. Inspections and Tests of Fire Suppression for UG Permanent Diesel Storage – 

§ 75.1912(i). 

44. Legal Identity Changes Within 30 Days – § 41.12. 

45. List of Certified and Qualified Person for Part 75 Duties – § 75.159. 

46. List of Certified and Qualified Person for Part 77 Duties – § 77.106. 

47. Main Mine Fan Pressure Recordings – § 75.310(a)(4). 

48. Map of Electrical System – § 75.508. 

49. Map of Electrical System (Change Made by End of Next Workday) – 

 § 75.508-2. 

50. Map of Roof Falls – § 75.223(b) - (c).

51. Material Safety Data Sheets – § 47.51. 

52. Measurements of Tensioned Roof Bolt Torque – § 75.204(f)(6). 

53. Methane Monitor Calibration – § 75.342(a)(4)(ii). 

54. Mine Accident, Injury, and Illness Reports (Form 7000-1) – § 50.20(a). 

55. Mine Accident Maintenance of Records – § 50.40(a) - (b).

56. Mine Emergency Evacuation Responsible Person Mine Emergency 

Evacuation Training and Drills – § 75.1504(d)(3). 

57. Mine Emergency-Training and Records for Examination, Maintenance, and 

Repairs of Refuge Alternatives and Components – § 75.1508(b). 
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58. Emergency Evacuation Training – § 75.1501(a)(3). 

59. Mine Map – § 75.1203. 

60. Miner Notification of Noise Exposure – § 62.110(e). 

61. Monthly Calibration of Fire Sensors and Warning Device Systems – § 75.1103-

8(c). 

62. Monthly Examinations of Surface Electrical Equipment – § 77.502. 

63. Monthly Fire Doors Tests (when non-fireproof structures are within 100’ of 

mine openings) – § 75.1708. 

64. Monthly Tests, Exams, & Maintenance of Surface High Voltage Circuit 

Breakers – § 77.800-2.

65. Monthly Tests, Exams, & Maintenance of Surface Low & Medium Voltage 

Circuit Breakers – § 77.900-2.

66. Monthly Tests, Exams, & Maintenance of UG High Voltage Circuit Breakers –

§ 75.800-4(a).

67. Monthly Tests, Exams, & Maintenance of UG Low and Medium Voltage 

Circuit Breakers – § 75.900-4.

68. Movement of Energized High Voltage Power Centers and Transformers – 

§§ 75.812 and 75.812-2.

69. Noise Records (Access to all Part 62 Records) – § 62.190. 

70. Post-Accident Communication and Tracking Component and System Failure 

and Corrective Action Records – Section 316(b)(2)(a) of the MINER Act. 

(Refer to ERP for specific requirements.) 

71. Post-Accident Communication and Tracking System Examination Records - 

Section 316(b)(2)(a) of the MINER Act. (Refer to ERP for specific 

requirements.) 

72. Post-Accident Tracking Miner Location Record – Section 316(b)(2)(a) of the 

MINER Act. (Refer to ERP for specific requirements – this may be maintained 

as a data record.) 

73. Preshift by Pumpers of Hazards Found – § 75.360(a)(2). 

74. Preshift/On-shift Examinations – § 75.360(g). 
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75. Quarterly Employment and Coal Production Reports (Form 7000-2) – 

§ 50.30(a). 

76. Quarterly Inspection and Calibration of Thermal Dryer Control Instruments –

§ 77.314(c). 

77. Quarterly Mine Emergency Evacuation Training and Drills – § 75.1504(a). 

78. Qualified Persons to Test for Methane – § 75.151. 

79. Record of Explosive Materials – 27 CFR § 555.125(b) and 555.127 (surface 

area). 

80. Record of Work on High Voltage – § 75.705–3.

81. Recording of Hazardous Conditions – § 75.363(b). 

82. Refuge Alternatives (Maintenance and Repair) – § 75.1508(b). 

83. Roof Bolt Manufacturer’s Certification – § 75.204(a)(2). 

84. Roof Control Plan Availability – § 75.220(e). 

85. Seal- Approved Seal Design - § 75.335(c)(1).

86. Seal Sampling and Monitoring – § 75.333(e). 

87. Seal Construction and Repair – § 75.337(c)(5).

88. Seal-Certification of Provision of Approved Seal Design is Addressed – 

§ 75.335(c)(2).

89. Seal-Certification of Seal Construction, Installation, and Materials - 

§ 75.337(d).

90. Seal-Certified Person Sampling Training (records maintained 2 years) - § 75.338(a).

91. Seal-Certification of Training for Persons that Perform Seal Construction and 

Repairs – § 75.338(b).

92. Seal-Gas Sampling Records - § 75.336(e)(2). 

93. Seal Recordkeeping Requirements (See Table) – § 75.339(a). 

94. Self-Rescuer Device Tests – § 75.1714-3(e).
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95. Self-Rescuer Inventory Update - § 75.1714-8(a), (b). 

96. Semi-Annual Hoist Rope Measurements and Nondestructive Tests – 

§ 75.1433(e). 

97. Semi-Annual Hoist Rope Measurements and Nondestructive Tests – 

§ 77.1433(e). 

98. Smoking Program – § 75.1702. 

99. Testing, Examination, and Maintenance of High Voltage Longwall 

Equipment – § 75.821(d). 

100. Training & Retraining of Surface Miners (Form 5000-23) – § 48.29. 

101. Training & Retraining of Underground Miners (Form 5000-23) – § 48.9. 

102. Training of Mine Rescue Team Members – § 49.18(g).

103. Trolley Overcurrent Tests and Calibrations – § 75.1001-1(c). 

104. Weekly Examination for Hazardous Conditions – § 75.364(h). 

105. Weekly Examination of Fire Sensors and Warning Device Systems – 

§ 75.1103-8(b) – (c). 

106. Weekly Examination of Underground Electric Equipment – § 75.512. 

107. Weekly Inspection of Fire Suppression Devices – § 75.1107-16(c).

Underground Mine Postings. 

1. Administrative Noise Control Procedures – § 62.130(a). 

2. AMS Map or Schematic – § 75.351(a)(3). 

3. Approved Respirable Dust Control Plan (Surface) – § 71.301(d). 

4. Approved Ventilation Plan and Revisions – § 75.370(f)(3). 

5. Bathhouse Waiver – § 71.403(c). 2000-87 Bathhouse Waiver Form. 
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6. Citations and Orders - Section 109(a). 

7. Contact Information for AMS Operators and Designated Responsible Persons 

– § 75.351(a)(4). 

8. Copy of Mine Rescue Availability - § 49.12(h). 

9. Copy of Mine Rescue (Alternative Capability Small and Remote Mines) - 

§ 49.13(d). 

10. Copy of Mine Rescue Notification Plan - § 49.19(b). 

11. Emergency Medical Assistance Arrangements Underground Mine as per 

 § 75.1713-1(a). 

12. Escapeway Map Posted at a Surface Location Where Miners Congregate – 

 § 75.1505(a)(4). 

13. Granted Petitions for Modification – § 44.5(b). 

14. Non-Final Petitions for Modification – § 44.9 (at mines with no representative 

of miners).

15. Pattern of Violation Notice – § 104.4(d). 

16. Proposed Ventilation Plan and Revisions – § 75.370(a)(3)(iii). 

17. Proposed Health and Safety Standards or Regulations Posted – Section 101(e). 

18. Representative of Miners – § 40.4. MSHA Form 2000-238 Miners Rep. 

19. Respirable Dust Sample Results (Surface) – § 71.210(b). 

20. Respirable Dust Sample Results (Underground) § 70.210(b). 

21. Roof Control Plan Available – § 75.220(e). 

22. X-Ray Plan – Mine Act 203(a), 42 CFR §§ 37.4(e) and 37.6(c). 

Note: This provision can only be enforced at underground mines and 

preparation plants or surface operations that have the same mine 

identification number as the underground mine. As per 42 CFR § 37.2(g), 

Miner means any individual including any coal mine construction worker 
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who is working in or at any underground coal mine, but does not include any 

surface worker who does not have direct contact with underground coal 

mining or with coal processing operations. (Refer to 42 CFR Part 37 for further 

guidance.) 

C. Surface Facility, Surface Mine Records and Postings. 

All records and postings listed in this section pertinent to the mine being inspected 

shall be reviewed during a Regular Safety and Health inspection. Before the 

inspection is complete, all records required to be created and/or retained since the 

ending date of the previous Regular Safety and Health inspection shall be 

reviewed. 

The purpose of an inspector’s review of the operator’s examination records is to 

assure that required examinations are performed at required intervals, properly 

recorded, and violations and/or hazardous conditions are recorded and corrected 

in a timely manner. The review should be used during inspections to assure all 

areas of the mine site are being examined in accordance with 30 CFR and any 

approved plans. 

During all onsite enforcement activities, inspectors should compare the results of 

their record and posting reviews to actual observations in or at the mine. The 

appropriate citation or order shall be issued when non-compliance has been 

determined during these reviews or observations.

 

Surface Facility and Surface Mine Records. 

 

1. Audiometric Test Records – § 62.171(c).

2. Auger Mining Inspections – § 77.1501(a) - (b).

3. Certification for ROPS – § 77.403-1(d).

4. Contractor Register – § 45.4(a) - (b).

5. Daily Examination of Active Areas of Mine – § 77.1713(c). 

6. Daily Examination of Hoist for Slope and Shaft Sinking - § 77.1906(c). 

7. Preshift and On-shift Examination of Slope and Shaft Areas – § 77.1901(f). 

8. Daily Hoist Examination – § 77.1404. 

9. First Aid Training for Supervisors – § 77.1703. 
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10. First Aid Retraining for Supervisors – § 48.29(a). 

11. Hazard Training Records – § 48.31(d).

12. HazCom Program – § 47.31(a). 

13. Hearing Conservation Program Training – § 62.180(b). 

14. Hoist Rope Examination and Tests – § 77.1433(d) - (e).

15. Hoist Rope Initial Measurement – § 77.1432. 

16. Impoundment Inspection – § 77.216-3(c). 

17. Investigation and Accident Reports (5 Years) – § 50.40(a) - (b).

18. Material Safety Data Sheets – § 47.51.

19. Mine Accident, Injury and Illness Reports (Form 7000-1) – § 50.20(a).

20. Miner Notification of Noise Exposure – § 62.110(e). 

21. Monthly Examination of Electrical Equipment – § 77.502. 

22. Monthly Examination of High Voltage Circuit Breakers - § 77.800-2.

23. Monthly Examination of Low & Medium Voltage Circuit Breakers – 

§ 77.900-2.

24. Qualified & Certified Persons – § 77.106. 

25. Quarterly Employment and Coal Production Reports (Form 7000-2) – 

§ 50.30(a).

26. Record of Equipment Pre-Operational Check – § 77.1606(a). 

27. Record of Explosive Materials – 27 CFR §§ 555.125(b) and 555.127. 

28. Thermal Dryer Examination – § 77.314(c). 

29. Training & Retraining of Surface Miners (Form 5000-23) – § 48.29(a). 

30. Work on Energized High Voltage Lines – § 77.704-3. 

31. Ventilation of Slopes and Shafts– § 77.1911(a). 
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Surface Facility and Surface Mine Postings. 

1. Administrative Noise Control Procedures – § 62.130(a). 

2. Approved Respirable Dust Control Plan (Surface) – § 71.301(d). 

3. Bathhouse Waiver – § 71.403(c). 2000-87 Bathhouse Waiver Form. 

4. Bathhouse Waiver Application – § 71.404(b). 

5. Citations and Orders - Section 109(c). 

6. Emergency Medical Assistance Arrangements (Surface Mine) – § 77.1702(e). 

7. Granted Petitions for Modification - § 44.5(b). 

8. Mine Map (Posted or Available) – § 77.1202. 

9. Non-Final Petitions for Modification – § 44.9 (at mines with no representative

of miners).

10. Pattern of Violation Notice – § 104.4(d). 

11. Proposed Health and Safety Standards or Regulations Posted – Section 101(e). 

12. Representative of Miners – § 40.4. 

13. Respirable Dust Sample Results (Surface) – § 71.210(b). 

14. Safety Program Instructions – § 77.1708. 

15. Training Plans (with no miners’ representative) – § 48.23(d). 

16. Training Plans – § 48.23(n). 
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D. Surface Areas of Underground Mines, Surface Facilities, or Surface Mines. 

1. Aerial Tramways. An inspection shall be conducted of all aerial tramways for 

existing and potential hazards, including structure condition, guarding, 

accumulations, lighting, electrical installation, and fire protection.

2. Auger Openings and Highwall Mining. Auger openings and highwall mining 

shall be inspected for compliance with applicable standards. 

3. Coal Stock Pile. Coal stockpiles shall be inspected for compliance with 

applicable standards including inspection for potential hazards such as fires, 

slope instability, or persons working in close proximity to active underground 

feeders.

4. Communications Installations. An inspection shall be conducted of all 

communication installations for compliance with applicable standards, 

including attention to the knowledge level of responsible persons when such 

persons are required by regulation or approved mine plans. The inspection 

should include attention to grounding, insulation, lightning protection, proper 

operation, compliance with the ERP and safe access.

5. Draw-Off Tunnels. An inspection shall be conducted of draw-off tunnels 

(including fire hazards, combustible accumulations, inadequate escapeways, air 

quality, guarding, and ventilation) for compliance with applicable standards. 

6. Drilling and Blasting. An inspection shall be conducted of any and all 

drilling or blasting operations on mine property for compliance with 

applicable standards and approved plans. The inspector should observe a 

complete drilling and blasting cycle to evaluate work practices if drilling or 

blasting is being conducted during the inspection. Attention should be given 

to maintenance of equipment, dust control practices, handling and use of 

explosives, and examinations.

Documentation Required: Locations of inspections and observations of drilling and 

blasting practices shall be inspected and documented including the area(s) inspected.

7. Dumping Facilities. An inspection shall be conducted of conditions and 

practices at all dumping facilities including the adequacy of illumination, safe 

access, stop blocks, berms, access road grades, warning signs, posted speed 

limits, and the presence of surface stress cracks for compliance with applicable 

standards and in accordance with guidance provided in the Dump Point 

Inspection Handbook. 
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Documentation Required: Each dumping facility shall be inspected per the 

procedural requirement and documented, including the area(s) inspected. 

8. Electrical Installations. The inspector shall compare the mine operator’s record 

of monthly examination to electrical installations that are in use and available

for use. All electrical installations that are in use and available for use should be 

listed and maintained in the ITS. An inspection shall be conducted of all surface 

electrical installations for compliance including existing and potential hazards, 

such as structure condition, guarding, combustible accumulations, lighting, fire 

protection, safety devices, examinations, circuit breaker identification and 

capacity, danger signs, and safe access. If an inspector finds that wiring of 

electric equipment is in a rundown condition, with many violations existing on 

one unit of equipment and if there is evidence that thorough and complete 

examinations are not being made or that the required tests are not being made, 

a citation should be issued under § 77.502 (Electric equipment; examination, 

testing, and maintenance). Please refer to the Coal Electrical Inspection 

Handbook, Chapter 2, for more information. A regular inspector shall not 

attempt to perform inspections or tests that require the expertise of an electrical 

specialist. 

Documentation Required: Each electrical installation shall be inspected and 

documented including the area(s) inspected. 

9. Equipment (Other), Including Electrical Equipment. The inspector should

compare the mine operator’s record of monthly examination to electrical 

equipment in use and available for use. All electrical equipment in use and 

available for use at the mine should be listed and maintained in the ITS. The 

inspector shall review the operator’s examination records and inspect aerial 

tramways, and in use and available for use haulage, mobile, and portable 

equipment. Areas where these types of equipment are used, such as custom 

coal preparation facilities, shall be inspected for compliance with applicable 

standards and to determine if hazardous or potentially hazardous conditions 

exist. Attention should be given to safe access, guards, equipment condition, 

braking systems, audible warning devices, back-up alarms, cab windows, 

examinations, fire detection systems, combustible materials, fire protection, 

condition of electrical cables, wiring, and circuit protection. This procedure also 

applies to independent contractor equipment in service at the mine. Spare 

surface equipment as defined under this section only and not routinely used, 

such as those maintained on a ready line, tagged out of service and disabled 

(such as the battery being removed), do not have to be inspected.

Documentation Required: Each piece of equipment inspected should be 

identified by equipment manufacturer, equipment type, an identifying number 

(serial number, company number, etc.), and the location(s) of the equipment 
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when inspected. All equipment inspected, regardless of whether the operator or an 

independent contractor owns it should be documented in the inspection notes. 

Equipment owned by the contractor is not required to be documented in the ITS (except 

for when the contractor is the operator as defined by Section 3(d) of the Mine Act. 

Small pieces of handheld electrical equipment are not required to be recorded or 

maintained in the ITS.

10. Equipment (Pit). The inspector shall review the examination records for all pit

equipment in use and available for use at the mine. All pit equipment in use 

and available for use at the mine and all portable equipment shall be inspected 

for compliance with applicable standards and to determine if hazardous or 

potentially hazardous conditions exist. Attention will be given to safe access, 

guards, equipment condition, braking systems, audible warning device, backup alarm, cab windows, examinations, fire detection systems, combustible 

materials, fire protection, condition of electrical cables, wiring, and circuit 

protection. This procedure will also apply to independent contractor 

equipment in service at the mine.

Documentation Required: Each piece of pit equipment inspected shall be identified by 

the equipment manufacturer, equipment type, an identifying number (serial number, 

company number, etc.), and the location of the equipment when inspected. All

equipment inspected, regardless of whether the operator or an independent contractor 

owns it should be documented in the inspection notes. Equipment owned by the 

contractor is not required to be documented in the ITS, except for when the contractor is 

the operator as defined by Section 3(d) of the Mine Act. 

11. Escapeways. An inspection shall be conducted of all work areas to determine if 

escapeways are adequate. Attention will be given to safe access, lighting, and 

escapeway maintenance. Inspections should include discussions with miners 

working in each area to determine compliance with applicable standards. 

Documentation Required: Each escapeway shall be inspected per the procedural 

requirement and documented and include the location description. 

12. Explosives Storage (Magazines). An inspection shall be conducted of all areas 

where explosives are stored on mine property. An inspection should include 

observing storage security, the presence of combustible materials, the handling 

of explosives, and recordkeeping for compliance with applicable standards. 

The inspector shall complete the appropriate listed ATF forms when explosives 

are present on the mine property. The inspector shall issue to the mine operator

a copy of the ATF form to be posted upon completion of inspection. (Refer to 

the ATF Federal Explosives Law and Regulations, ATF Publication 5400.7, 27 

CFR Part 555; List of explosive Materials; (ATF E-Form 5030.5 or ATF Form 

5030.5 (revised April 2005)); (ATF E-Form 5400.5 Report of Theft or Loss-
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Explosive Materials (revised March 2008)) and ATF Form 5400.5 for further 

guidance.) 

Documentation Required: Each explosives storage area shall be inspected per 

the procedural requirement and documented and include the location 

description. The appropriate ATF form(s) should be completed and included in the 

inspection report. 

13. Firefighting Equipment (Surface). An inspection shall be conducted on all

specialty or standalone firefighting equipment or apparatuses in use and

available for use. Also refer to the National Fire Protection Association®

(NFPA) Nos. NFPA 11A 1970 – High Expansion Foam Systems, NFPA 13 1969 – 

Installation of Sprinkler Systems, NFPA 13A 1971 – Care and Maintenance of 

Sprinkler Systems, NFPA 15 1969 – Water Spray Fixed Systems for Fire 

Protection, NFPA 17 1969 – Dry Chemical Extinguishing Systems, NFPA 72A 

1967 – Local Protective Signaling Systems or NFPA 198 1969 – Care, 

Maintenance and Use of Fire Hose for further guidance.

The electronic NFPA documents hyperlinked are being provided to serve as an 

additional resource to the electronic and hard copies you received previously.

Do not distribute copies of these codes to non-MSHA persons, mines, and 

companies, because they are copyrighted by the NFPA.

Again, it is being stressed that these are copyrighted documents and we have 

acquired them for only MSHA. Any further distribution outside of MSHA is 

a violation of MSHA’s license.

Documentation Required: Inspection of specialty or standalone fire protection 

equipment should be documented and identify the location and type of fire protection 

provided (e.g., water line systems, 125-pound or greater multipurpose dry powder 

extinguishers, etc.). For the purpose of documentation for all handheld portable fire 

extinguishers associated with protection of a designated piece of equipment or a 

designated location shall be considered inspected with that piece of equipment or 

designated location and does not require separate documentation.

14. Fuel Storage. An inspection shall be conducted of all areas where fuel is being 

stored including safe access, no smoking signs, combustible materials, handling, 

and fire protection for compliance with applicable standards. 

Documentation Required: The location(s) of fuel storage should be documented.

15. Haulage Facilities (including belts). An inspection shall be conducted of each 

haulage facility, including attention to safe access, handrails, guards, equipment 
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condition, fire hazards, combustible materials, fire protection, and electrical 

installations for compliance with applicable standards.

As per § 77.1607(cc) (Loading and haulage equipment; operation), unguarded 

conveyors with walkways shall be equipped with emergency stop devices or 

cords along their full length. Emergency stop devices or cords are electrical 

equipment under § 77.502 (Electric equipment; examination, testing, and 

maintenance), and must be examined, tested, and maintained by a qualified 

person to assure safe operating condition. § 77.502-2 (Electric equipment; 

frequency of examination and testing) requires that such examination and 

testing be conducted at least monthly. The Program Policy Manual (PPM) 

states that MSHA considers control switches or devices to be electric equipment 

covered by § 77.502. An emergency stop device includes a pull cord switch and 

its activating mechanical arm which controls the operation of a conveyer belt.

Emergency pull cord switches and their mechanical arms must be visually 

examined for physical damage during the monthly examinations. Although 

examination of the emergency pull cord switches and mechanical arms does not 

have to be recorded during the monthly examinations of electric equipment, a 

record of defective switches and arms must be kept.

Documentation Required: Documentation should include the location description. 

16. Health and Safety Discussions. The inspector shall discuss matters concerning 

health and safety and work practices with miners including recent accidents, 

accident history, mine-specific hazards, and occupation-specific health and 

safety concerns.

Documentation Required: Documentation should include the general location of 

discussions and number of miners present. 

17. Highwalls, Spoil Banks and Ground Control Plans. An inspection shall be 

conducted of all highwalls and spoil banks for compliance with applicable 

standards such as loose material, overhanging rock, or unstable spoil banks.

The inspector shall also evaluate compliance with the current ground control 

plan. The inspector shall evaluate the adequacy of the plan with observed 

conditions and poll the operator and a representative number of miners as to 

their knowledge of the plan. Enforcement action shall be taken for all 

noncompliance with the ground control plan. 

Highwall Inspection Preparation

 Prior to beginning an inspection, the inspector should: 

a. Carefully review the UMF, including the ground control plan, and carry a 
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 copy of the ground control plan for reference during the inspection; and

b. Review the accident and violation histories and consider them when issuing 

 enforcement actions. 

Discussions with the Mine Operator and Foremen/Examiners

The inspector should discuss the following with the appropriate mine officials 

during an inspection: 

a. Examination requirements of §§ 77.1713 (Daily inspection of surface coal 

mine; certified person; reports of inspection), 77.1004(a) (Ground control; 

inspection and maintenance; general), and, if applicable, 77.1501 (Auger 

mining; inspections), and recordkeeping; 

b. Ground control plan requirements to evaluate their knowledge and 

implementation of its provisions; 

c. Old underground workings that are depicted on the map required by 

§ 77.1200 (Mine maps) to determine how an operator determined their 

presence and extent, and any other condition shown on the map that is or 

may need to be addressed in the ground control plan; 

 

d. Reportable accidents at the mine and the methods used to prevent similar 

occurrences; 

e. Known near-miss accidents at the mine and similar occurrences at other 

mines and prevention methods; 

f. Rock falls, unstable and potentially hazardous conditions the mine is 

experiencing, and any changes that were made to the ground control plan 

or work practices; 

g. Hazard abatement and mitigation methods; 

 

h. Safety precautions specified in the ground control plan for working near 

highwalls and for compliance with § 77.1006(c) (Highwalls; men working); 

i. Barricading methods used at the mine; 

 

j. Communication of hazards to all miners; 

 

k. Methods used to monitor ground movement; and

 
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l. Methods used for stripping loose material and for sloping loose 

unconsolidated material as required by § 77.1001 (Filing of ground control 

plan). 

Highwall and Pit Area Inspection

During an inspection of a highwall and pit area, the inspector shall inspect for 

and consider the items below. Appropriate enforcement action must be taken 

for any violative condition or practice or any condition posing an imminent 

danger. 

a. Inspect for fallen material and fresh rubble in the pit as this may indicate 

highwall movement and instability.

b. Inspect for evidence of flyrock as this may be indicative of poor blasting 

practices.

c. Inspect highwalls and work activities for violative and potentially unstable 

and hazardous conditions that may be related to the following:

1) Excessive fracturing; 

2) Overhangs; 

3) Loose rocks; 

4) Discontinuities such as joints, faults, and bedding planes; 

5) Cracks on the highwall face and on tops of highwalls and benches, 

when safely accessible; 

6) Old underground mine workings; 

7) Inadequate webs for auger/highwall mining; 

8) Water from the highwall; 

9) Highwall points and corners; 

10) Scaling methods; and Undercutting. 

d. Inspect benches for stability and compliance with ground plan control 

provisions from a safe location. 

e. Measure heights and slopes of highwalls, benches, and spoil piles, where 

safe to do so, for compliance with the ground control plan. Electronic 

measuring devices may be used to accomplish this.

f. Inspect for the safe operation of equipment in the pit area.

g. Inspect for safety of any person working near a highwall or bench. 

h. Inspect for safe drilling and blasting work practices and coordination and 

communication prior to blasting.
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i. Talk with miners about the following:

1) Knowledge and awareness of potential rock falls; 

2) Scaling issues and safety; 

3) Effects of water and of freezing and thawing cycles on the highwall; 

4) Recent accidents and near misses; 

5) Unstable and potentially hazardous conditions; 

6) Hazards of working near a highwall; 

7) Limiting exposure to the highwall; 

8) Ground control plan provisions and training; 

9) Hazards they have observed; 

10) Barricading techniques at the mine; 

11) Using personal protective equipment; 

12) Maintaining equipment in safe operating condition; and

13) Remaining focused on the task being performed and limiting

distractions. 

j. Inspect for the effectiveness of water management. 

k. Inspect for loose material on the top of the highwall.

l. Inspect any monitoring equipment and instrumentation that is required by 

the ground control plan to ensure it is in proper working condition.

m. Inspect spoil piles to ensure safety of persons exposed and for compliance 

with ground control plan provisions.

n. Inspect dump points for compliance with regulations and ground control 

plan provisions.

Documentation Required: Documentation should include the location description. In 

addition, the inspector should document in the remarks section, Item 17 of the Mine 

Activity Data sheet (MSHA Form 2000-22) that the Ground Control Plan in effect at 

the mine is adequate or otherwise note the deficiencies in the plan. This would serve as 

documentation that the Ground Control Plan was evaluated during this inspection. 

18. Hoisting Equipment. An inspection shall be conducted of all hoisting 

equipment, including structure condition, guarding, accumulations, lighting, 

electrical installations, rope condition, fire protection, safety devices, and safe 

access for compliance with applicable standards. The inspector should observe 

at least one complete cycle of operation of all hoisting equipment including 

emergency hoists. 
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Documentation Required: Hoisting equipment shall be inspected per the procedural 

requirement. Documentation should include the equipment description and the 

company number, serial number, approval number, or other identifying method. 

19. Illumination of Work Areas. An inspection shall be conducted of all work 

areas to determine that they are sufficiently illuminated to provide safe working 

conditions including auger operations and highwall mining operations. The

evaluation should include observation of lighting and information obtained 

from miners.

20. Air Quality Tests in Required Locations (Surface). The inspector shall test for 

methane in all structures and areas where there is a potential for a hazardous 

accumulation of methane. Test for carbon monoxide (CO), methane (CH4), and

oxygen (O2) deficiency shall be conducted for compliance with applicable 

standards. 

Documentation Required: Documentation should include the time the tests were 

conducted; the concentrations of carbon monoxide (CO) in parts-per-million, methane

(CH4) percentage, and oxygen (O2) percentage; and the location of each test.

21. Mine Map (Surface). An inspection shall be conducted of all mine maps for 

compliance with applicable standards. The inspector shall review the mine 

map for consistency with approved mining methods, mining in proximity to 

underground mines, electrical power lines, oil and gas wells, fuel transmission 

lines, mines located adjacent to or below active workings, and any danger that 

surface mining may present to underground miners. 

22. Other Places Where Miners Work or Travel. Other work areas and travelways 

shall be inspected, including observations of work practices, illumination, safe 

access, combustible material accumulations, examinations, workplace 

maintenance, and air quality for compliance with applicable standards. (Refer 

to Q & As Tree Cutting on Mine Property for further guidance.) 

Fall Protection 

Backguards required by § 77.206(c) (Ladders; construction; installation and 

maintenance) for use with steep or vertical ladders may provide adequate fall 

protection if the backguard does not interfere with safe work methods of 

construction. The use of backguards may hinder safe work methods (such as 

the need to continually adjust scaffolding surrounding the ladders). 

Safety belts and lines shall be provided and are required to be worn where there 

is a danger of falling, including during construction activities. If backguards on 

ladders hinder safe work methods in constructing concrete storage silos, 

inspectors should determine if safety belts and lines provide adequate fall 
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protection without the use of such backguards and apply § 77.1710(g) 

(Protective clothing), rather than § 77.206(c), at such construction sites. The use 

of full-body safety harnesses and lines will allow for greater freedom of 

movement. 

Training in accordance with the applicable portion(s) of 30 CFR Part 48 shall be 

provided by the mine operator and specifically address the use and 

maintenance of safety harnesses and lines. 

23. Potable Water (Surface). The inspector shall determine if potable water is 

provided and available as required by §§ 71.600 (Drinking water; general) and 

71.601 (Drinking water; quality). This evaluation should include information 

obtained from the miners and the operator.

24. Preparation Plant. All preparation plants, including structure condition, 

guarding, accumulations of combustible materials, lighting, electrical 

installations, air quality, fire protection, examinations (where required), and 

safe access shall be inspected for compliance with applicable standards.

25. Refuse Piles and Impoundments. Refuse piles and impoundments shall be 

inspected in accordance with the MSHA Coal Mine Impoundment Inspection 

and Plan Review Handbook to determine compliance with applicable standards

and approved plans, including safe access, berms, proximity to underground 

mines, drainage, combustible materials around site, equipment condition, and 

fire protection. A comparison should be made between the operator’s 

examination records and the inspector’s observations. (Refer to MSHA Form 

2000-34 and Impoundment Checklist for form information.) 

Documentation Required: Each refuse pile or impoundment shall be inspected per the 

procedural requirement. Documentation shall include the location description. The 

inspector shall also complete the information required by MSHA Form 2000-22, Items 

12I and 12J. 

26. Sanitary Facilities (Bathhouse). An inspection shall be conducted of all 

sanitary facilities for compliance with §§ 71.400 (Bathing facilities; change 

rooms; sanitary flush toilet facilities); 71.401 (Location of facilities); and 71.402 

(Minimum requirements for bathing facilities, change rooms, and sanitary flush 

facilities). Special attention should be given to location, structure, cleanliness, 

safe access, and compliance with a bathing facilities waiver. (Refer to MSHA 

Form 2000-87 Bathhouse Waiver for form information.) 

27. Shop and Other Structures. All shops and other structures shall be inspected 

for compliance with applicable standards. Special attention should be given to 
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structure condition, guarding, accumulations of combustible materials, lighting, 

electrical installation, air quality, fire protection, safety devices, and safe access. 

Documentation Required: Each shop and other structure shall be inspected per the 

procedural requirement and identified by name and location.

28. Surface First–Aid Equipment. The surface first-aid equipment shall be 

inspected for compliance with § 77.1707 (First aid equipment; location; 

minimum requirements). 

Documentation Required: Inspections of first-aid equipment conducted per the 

procedural requirement and the general location of the equipment should be 

documented.

29. Thermal Dryer. An inspection shall be conducted of all thermal dryers for 

compliance with §§ 77.307(a) to 77.315. Special attention should be given to 

structure condition, guarding, accumulations of combustible materials, lighting, 

electrical installation, air quality, fire protection, safety devices, and safe access. 

30. Travelways and Active Roadways. An inspection shall be conducted of all 

travelways and active roadways for compliance with §§ 77.404(a), 77.807-1, 

77.1000 to 77.1006(a), and 77.1600 to 77.1608(a). Special attention shall be given 

to berms, road grades and design, visibility, and traffic control. (Refer to the 

Haul Road Inspection Handbook for further guidance.) 

Documentation Required: Each travelway and active roadway shall be inspected per 

the procedural requirement and identified by name and general location. 

31. Ventilating Fan Installations. An inspection shall be conducted of all 

ventilating fan installations for compliance with applicable standards. Special 

attention should be given to airway heaters, safe access, guards, equipment 

condition, fire detection systems, combustible material presence within 100 feet 

of the main mine fan installation, fire protection, condition of electrical cables, 

wiring and circuit capacity, pressure recording device, fan chart, and other 

monitoring devices installed in the fan house.

Documentation Required: Each ventilation fan installation shall be inspected per the 

procedural requirement and the location shall be documented.

32. Oil, Gas, and Coalbed Methane Wells. Many oil and gas well activities are not 

directly connected to mining, do not occur on mine property, and are not 

subject to MSHA jurisdiction. Longwall gob wells are specifically developed to 

assist with methane extraction from active longwall panels and are typically 

under MSHA jurisdiction. Well plugging activities that occur near active 

mining may be under MSHA jurisdiction. Contact your supervisor if there is 
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any question about jurisdiction and inspection requirements for the surface 

facilities and activities for oil, gas, and coalbed methane wells on or near mine 

property. The § 75.1200 (Mine map) map should show all oil and gas wells 

within 500 feet of active mining areas. A petition for modification of § 75.1700 

(Oil and gas wells) is needed to plug an oil, gas, or surface directionally drilled 

horizontal coalbed methane well that will be intersected by a coal mine.

Inspect the surface facilities and operation of wells under MSHA jurisdiction. 

This inspection should include a general safety inspection under Part 77. 

Inspect hoisting operations, personal protective equipment and machinery. 

Maintenance of wellhead equipment is inherently dangerous because explosive 

levels of methane may be present in piping and equipment. Before starting any 

maintenance activity that could result in an ignition, the well should be shut in 

and all piping and equipment that will be affected should be purged with inert 

gas. Tests for methane (CH4) leakage conducted by a qualified person should 

be made prior to any work on the wellhead and associated equipment. Verify 

that wellhead equipment (valves, blowers, stacks, etc.) corresponds to 

specifications in the mine ventilation plan.

(Refer to Informational Report 1346 – Consideration for Underground Coal 

Mines That Operate Near Coalbed Methane Wells for further guidance.) 

Documentation Required: Gas and oil well maintenance and plugging inspections 

should be documented in the inspection notes, including the location description. 

E. Underground Outby Areas. 

1. Aircourses (including Escapeways). During each regular inspection, the 

inspector should compare the mine operator’s weekly examination records of 

aircourses to the mine map to assure that the mine operator is examining the 

mine in its entirety. The inspector will assure that all aircourses required to be 

examined are maintained in the ITS by name and identified with an intake or 

return designation. If the aircourse is also an escapeway, it should be so 

identified with the aircourse name.

When aircourses cannot be examined weekly in their entirety, appropriate 

enforcement action shall be taken under § 75.364(b) (7 day examination). 

Rehabilitation or clean-up of the affected portion of the airway should be the 

primary focus in regard to termination of the citation with appropriate 

abatement time given considering the scope of the work involved. When 

rehabilitation or clean-up of the affected area is determined to be impracticable, 

the mine must submit a petition for modification and propose an alternate 

method that provides at least the same degree of safety as conducting an 

examination of the entire aircourse. The inspector shall give primary 
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consideration to the health and safety of miners in establishing abatement times. 

If a 104(b) order is issued, the affected portion of the mine must be closed, which 

may result in the closure of a working section or possibly the entire mine. 

At least one entry in each intake and return aircourse shall be inspected in its 

entirety for compliance with applicable standards and approved plans. Special 

attention should be given to ventilation controls, personnel door conditions 

and spacing, personnel door static pressures (refer to Mandoor Static Force

and Calculation of Static Force: 73 Fed. Reg. 80580 (Dec. 31, 2008) for further 

guidance), mine roof conditions, rock dust application, examination 

certifications, escape facilities, and any equipment operated in the aircourses.

Additional entries and/or crosscuts within a multiple entry aircourse may 

need to be traveled to fully evaluate operator compliance with applicable 

standards and approved ventilation plans. 

When inspecting escapeways, conduct a function test of the post-accident 

communication and tracking system by contacting the responsible person 

using the post-accident untethered communication device and requesting that 

the responsible person identify the location of a miner in the escapeway, who 

is at a location known to the inspector. 

Inspectors shall evaluate the carrying capacity of escape capsules to determine 

if all miners underground could be evacuated in a swift and timely manner, 

including disabled miners. Inspectors shall also determine if each escapeway 

is maintained in a safe condition to always assure passage of miners and 

disabled miners using an escape capsule to evacuate to the surface. 

Documentation Required: The inspector should record in the inspection notes each 

aircourse that is inspected. The aircourse should be identified in the inspection notes 

as it appears in the ITS. The inspector is not required to document the inspection of 

aircourses by date and initials in the ITS. If an aircourse is not inspected in its 

entirety, the starting and stopping points, as correlated to a permanent reference point 

such as a crosscut number or spad number on the mine map should be included in the 

inspection notes. The inspector should clearly mark the extent of daily travels that 

contribute to the E01 inspection by date and initials on the mine tracking map, 

including any approved evaluation or measurement point locations associated with the 

aircourse and the beginning and ending point of each day’s travel until each intake or 

return aircourse is fully inspected (this does not apply to routine travel of or incidental 

travel through an aircourse). 

2. Atmospheric Monitoring Systems (AMS). The inspector shall examine AMS

components and observe the operator making a required calibration of 

system sensors. Data and times obtained during the inspection should be 
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compared with information recorded by the system on the surface. 

Additionally, an evaluation should be made concerning the knowledge of the 

responsible person(s) about the system display, the actions required for any 

alert and alarm, and appropriate notification of miners and mine management 

when an alert or alarm occurs. The most recent records should also be 

reviewed to determine if proper notifications and corrective actions have been 

taken to address previous alerts, alarms, or system failures.

AMS Inspection Check Sheet

An AMS is a network consisting of hardware and software meeting the 

requirements of §§ 75.351 (Atmospheric monitoring systems) and 75.1103-2 

(Automatic fire sensors; approved components; installation) that are capable of 

measuring atmospheric parameters; transmitting the measurements to a 

designated surface location; providing alert, alarm, or warning signals; 

processing and cataloging atmospheric data; and providing reports. 

 Enforcement authority depends on the purpose of the installation. An AMS 

may be required: under § 75.323(d)(1)(ii) (Actions for excessive methane) to 

monitor for methane (CH4) in the return split alternative; under 

 § 75.340(a)(1)(ii) and (a)(2)(ii) (Underground electrical installations), to monitor 

intake air used to ventilate electrical installations; under § 75.350(b) (Belt air 

course ventilation) to use air from the belt entry to ventilate working sections 

or areas where mechanized mining equipment is being installed or removed; 

under § 75.350(d) (Belt air course ventilation), to monitor point-feed 

regulators; or § 75.362(f) (On-shift examination), to continuously monitor for 

methane (CH4) in return splits. Where an AMS is used to meet the above 

requirements, the AMS must meet the requirements contained in § 75.351 

(Atmospheric monitoring systems). 

 An AMS can also be used as an automatic fire sensor and warning device 

system that uses carbon monoxide (CO) sensors to provide identification of 

fire along belt conveyors. Where an AMS system is used as an automatic fire 

sensor and warning device system, the AMS must meet the requirements in 

§§ 75.1103-1 through 75.1103-8 (regarding automatic fire sensors). 

 Additional details of the AMS are contained in the approved mine ventilation 

plans. Failure to follow requirements set forth in that plan should be cited 

under § 75.371 (Mine ventilation plan; contents). 

The Approval and Certification Center (A&CC) evaluates AMS systems to 

ensure that the electric circuit feeding the sensors will not ignite methane (CH4). 

Components installed in areas where permissible equipment is required must 

be intrinsically safe or in explosion-proof enclosures. Systems evaluated and 
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Release 1 (February 2013) 3-44

accepted by A&CC must be installed and maintained as evaluated and must 

have an MSHA acceptance label attached to the blue outstations, classified 

sensors, and classified barriers. The failure to use systems maintained in 

permissible condition should be cited under §§ 75.503 (Permissible electric face 

equipment; maintenance), 75.507 (Power connection points), or 75.1002 

(Installation of electric equipment and conductors; permissibility) as 

appropriate.

The following checklist details the salient parts of an inspection of an AMS 

network. (Refer to Carbon Monoxide and Atmospheric Monitoring Systems 

Inspection Procedure Handbook for further guidance.) 

a. Surface Inspection

1. Review records of sensor calibrations and records of alert, alarm and 

 malfunction signals; 

2. Review records of weekly functional test; and 

3. Verify the names of designated AMS operators and other appropriate 

 personnel.

 Review the map or schematic

1. Determine if the schematic and other maps are properly displayed and 

are properly updated. 

 Observe operation of system

1. Determine the operational status of CO sensors; 

2. Review the AMS printout to determine any unusual history of sensors’ 

malfunctions, alert and alarm signals, and abnormal readings; and 

 3. Determine the means of disconnecting the data line.

 Visual and audible alarms on the surface 

 1. Verify that the AMS signals can be seen or heard by the AMS operator; 

 2. Determine if the visual and audible alarm signals are distinguishable from 

the alert signals; and 

 3. Observe the operation of the manual reset for automatic warning devices.

Communications

 1. Determine if the designated system operator has means of two-way 

communication with all working sections.

b. Underground Inspection

 Air currents

 1. Check the velocity (minimum and maximum) and direction of the air.
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 Air velocities

 1. Verify that sensor spacing does not exceed allowable limits specified in the 

applicable regulation, plans, or petition for modification. 

 Installations of sensors

 1. Verify that sensors are installed near the center of the entry, at a location 

where miners are not exposed to unnecessary hazards when maintaining, 

testing, or calibrating the sensor. 

 Locations of sensors

 1. Determine if sensors are installed at the locations identified on the mine 

maps; and 

2. Assure belt drives are properly monitored in belt entries (primary 

escapeway, and return air splits if applicable). 

 Inspection/Calibration of sensors

 1. Visually check sensors for damage and assure air flow patterns are not 

blocked; 

2. Compare sensor readings with handheld detector readings, if applicable; 

3. Have the agent of the operator simulate a malfunction at a sensor unit. 

 Verify that malfunctions are recorded at the designated surface location; 

4. Check permissibility of AMS sensors and alarm units, where applicable. 

 Each barrier classification must match associated component 

 classification; and

 5. Ensure that the manufacturer calibration procedures are used. Check 

 calibration of at least 10 percent, but no less than five CO sensors.

 Outstations

 1. Verify that all outstations are located in intake air; 

2. Verify that outstations are identified as "red" or "blue"; 

 3. Verify sensors located in an area where permissible equipment is required are 

connected to a blue outstation; 

 4. Verify compliance with the requirements of § 75.313 (Main mine fan stoppage 

with persons underground); and 

5. Verify compliance with the requirements of § 75.1103-7 (Electrical components; 

permissibility requirements). 

 Alarm units

 1. Verify that underground alarm units are installed at locations where they can 

be seen or heard by miners working in those areas. 

c. Response to alerts, alarms, warnings, and malfunctions
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1. Verify the actions taken by the system operator when an alert, alarm, warning, 

or malfunction signal is received; and

2. Verify that proper procedures are followed during a malfunction when the 

belts are running.

d. Training

1. Verify that system operators have been adequately trained in accordance with 

their duties and responsibilities; 

2. Verify that persons responsible for maintaining and installing components of 

the monitoring systems are trained in the requirements of these duties; 

3. Verify that miners are trained in the evacuation requirements when an alarm 

is activated; 

4. Verify that appropriate personnel required to be identified by § 75.351 

 (Atmospheric monitoring systems) are trained; and

5. Verify that persons monitoring for CO or smoke in the affected areas during a 

malfunction are trained.

Documentation Required: Compliance with this procedure should be recorded in the 

inspection notes, including the AMS manufacturer and model.

3. Belts, Skip Shaft Facilities, Bunkers. During each regular inspection, the 

inspector should compare the mine operator’s examination of conveyor belt 

flights to the mine map to assure the mine operator is examining all conveyor 

belts. The inspector will assure all conveyor belt flights required to be 

examined are maintained and identified in the ITS. Each conveyor belt flight, 

skip shaft, or bunker and all associated equipment of each system shall be 

inspected for compliance with applicable standards, with attention to safe 

access, guards, fire detection systems, combustible materials, fire protection 

(determining whether or not the 50 psi/50 gpm of water is available in water 

lines at or near the working section and other locations as deemed necessary 

by the inspector), condition of electrical cables and wiring, power source 

capacity, and general operating condition. Inspectors shall inspect all belt 

take-up storage units to assure that adequate fire protection is afforded. Also 

refer to the National Fire Protection Association® (NFPA) Nos. NFPA 11A 1970

- High Expansion Foam Systems, NFPA 13 1969 - Installation of Sprinkler 

Systems, NFPA 13A 1971 - Care and Maintenance of Sprinkler Systems, NFPA 

15 1969 - Water Spray Fixed Systems for Fire Protection, NFPA 17 1969 - Dry 

Chemical Extinguishing Systems NFPA 72A 1967 - Local Protective Signaling 

Systems or NFPA 198 1969 - Care, Maintenance and Use of Fire Hose. The 

weekly examination should conform to the checklist provided in MSHA Forms 

(not all inclusive) 2000-222, 2000-225, or 2000-234. 
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Inspectors should be mindful of any limitations included in the regulatory text 

of the following standards, which incorporate NFPA consensus codes: 

§§ 75.1101-7 (Installation of water sprinkler systems; requirements); 75.1101-8 

(Water sprinkler systems; arrangement of sprinklers); 75.1107-3(b) (Fire 

suppression devices; approved components; installation requirements); 

75.1107-4(b) (Automatic fire sensors and manual actuators; installation; 

minimum requirements); 75.1107-13(b) (Approval of other fire suppression 

devices); 75.1107-16(b) (Inspection of fire suppression devices); and 75.1107-17 

(Incorporation by reference; availability of publications). For example, in 

accordance with § 75.1101-7(a), each sprinkler system must be installed, as far 

as practicable, in accordance with NFPA 13, “Installation of Sprinkler 

Systems.” NFPA 13 is the NFPA consensus standard for installation of fire

protection sprinkler systems. Among other things, this consensus standard 

provides guidance on locating sprinklers, dealing with horizontal or vertical 

obstructions to sprinkler discharge water, specifying allowable types of pipes 

and fittings, and presenting methods for determining minimum pipes sizes. 

 The electronic NFPA documents hyperlinked are provided as an additional 

resource to the hard copies you received previously. Do not distribute copies 

of these codes to non-MSHA persons, mines, and companies, because they are 

copyrighted by the NFPA.

Again, it is being stressed that these are copyrighted documents and we 

have acquired them for only MSHA. Any further distribution outside of 

MSHA is a violation of MSHA’s license. 

The following check sheets may be used for inspector notes Form 2000-222 

Deluge; Form 2000-225 Dry Powder; Form 2000-234 Water Sprinkler. (Refer to 

Belt Air: 69 Fed. Reg. 17480 (April 2, 2004); and Flame-Resistant Belts 73 Fed. 

Reg. 80580 (Dec. 31, 2008) for additional information.) 

Documentation Required: The inspector should record in the inspection notes each 

belt flight, skip shaft facility and bunker that is inspected. The belt flight should be 

identified in the inspection notes as it appears in the ITS. The inspector is not required 

to document the inspection of conveyor belt flights by date and initials in the ITS. If a 

belt flight is not inspected in its entirety, the starting and stopping points, as 

correlated to a permanent reference point on the mine map such as a crosscut number 

or spad location should be included in the inspection notes. The inspector should

clearly mark the extent of daily travels that contribute to the E01 inspection by date 

and initials on the mine tracking map and the beginning and ending point of each 

day’s travel, until the belt flight is fully inspected (this does not apply to routine travel 

of or incidental travel into the belt flight). The inspector shall record the completion of 

the 50 psi/50 gpm of water availability check in water lines at or near the working 
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section in each ITS, MMU log. For the purpose of documentation, for all handheld 

portable firefighting extinguishers associated with protection for a designated piece of 

equipment or a designated location shall be inspected with that piece of equipment or 

designated location and does not require separate documentation.

4. Blasting Practices. An inspection for compliance with applicable standards 

and approved plans shall be conducted of all areas where explosives are 

observed being used in the mine. Observation of work practices and blasting 

cycle shall be conducted. Special attention shall be given to recordkeeping, the 

presence of combustible materials, and fire protection. 

Documentation Required: The inspector’s evaluation of blasting practices should be 

documented in the inspection notes to show the location where explosives being used 

were observed. 

5. Bleeders, Including Each Check Point. At the beginning of each regular 

inspection, the inspector should compare the mine operator’s examination of 

bleeder entries to the mine map to assure the mine operator is examining all 

bleeders. The inspector will assure all locations of bleeder entries required to 

be examined are maintained and identified in the ITS. At least one entry in 

each set of bleeder entries shall be inspected in its entirety, including any 

required check points specified in the currently approved mine ventilation 

plan. At mines that are in 103(i) status, bleeder entries should be inspected 

during coal producing shifts. Special attention should be given to ventilation 

controls, roof conditions, rock dust application, examination certifications, and 

equipment being operated in the bleeder entries. 

Documentation Required: The inspector should record in the inspection notes the

beginning and ending point of travel in bleeder entries (as correlated to a permanent 

reference on the mine map), results of the direction of air flow test, air quantity, 

the percentage of methane (CH4) and the percentage of oxygen (O2). The

inspector is not required to document the inspection of bleeder entries by date

and initials in the ITS. The inspector should clearly mark the extent of daily 

travels that contribute to the E01 inspection event by date and initials on a 

mine tracking map, including any approved check points, evaluation points, or 

measurement point locations associated with the bleeder entries and the 

beginning and ending point of each day’s travel until each bleeder is fully 

inspected. 

6. Diesel Fuel Storage. All areas where fuel is being stored underground shall 

be inspected, with attention to safe access, combustible materials, handling

fuel, fire protection, safety alarms, and recordkeeping for compliance with 

applicable standards.
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Documentation Required: The location of each diesel fuel storage area(s) inspected 

should be recorded in the inspection notes. 

7. Fire Protection. All specialty or standalone firefighting equipment in use or 

available for use outby the working section shall be inspected for compliance 

with approved programs, approved plans, and applicable standards (e.g., 

portable water cars, portable chemical cars, portable foam-generating 

machines, additional firefighting materials for conveyor belt flights exceeding 

2,000 feet in length, and emergency materials within 2 miles of each working 

section). A fire extinguisher with a 2-A:10-B:C designation that contains 

approximately 4.25 pounds of dry powder meets the intent of the standard and 

provides an acceptable level of protection. Also refer to the National Fire 

Protection Association® (NFPA) Nos. NFPA 11A 1970 - High Expansion Foam 

Systems, NFPA 13 1969 - Installation of Sprinkler Systems, NFPA 13A 1971 - 

Care and Maintenance of Sprinkler Systems, NFPA 15 1969 - Water Spray 

Fixed Systems for Fire Protection, NFPA 17 1969 - Dry Chemical Extinguishing 

Systems, NFPA 72A 1967 - Local Protective Signaling Systems or NFPA 198 

1969 - Care, Maintenance and Use of Fire Hose. 

The electronic NFPA documents hyperlinked are being provided to serve as an 

additional resource to the hard copies you received previously. Do not 

distribute copies of these codes to non-MSHA persons, mines, and companies, 

because they are copyrighted by the NFPA.

Again, it is being stressed that these are copyrighted documents and we 

have acquired them for only MSHA. Any further distribution outside of 

MSHA is a violation of MSHA’s license.

Documentation Required: Inspection of specialty or standalone fire protection 

equipment should be documented in the inspection notes to show the location and type 

of fire protection provided. For purpose of documentation, for all handheld portable 

fire extinguishers associated with protection for a designated piece of equipment or a 

designated location shall be considered inspected with that piece of equipment or 

designated location and does not require separate documentation.

8. Haulage or Mobile Equipment. The inspector shall review the operator 

examination records and inspect each piece of in use and available for use

haulage, mobile, and portable equipment to determine if hazardous or 

potentially hazardous conditions exist, with attention to braking mechanisms, 

batteries, audible warning devices, reflective devices, lights, tires, safe access, 

guards, equipment condition, fire suppression systems, combustible materials, 

fire protection, condition of trailing or inter-machine electrical cables, cable 

conduit, safety devices, and compliance with applicable standards. The 
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inspector should assure that all in use and available for use haulage, mobile 

and portable equipment is documented and maintained in the ITS. 

The inspector should evaluate the operator’s policy on towing methods and 

conditions that assure equipment being towed is properly coupled to the tow 

vehicle. When hazardous conditions are identified the inspector shall issue 

safeguard notices under § 75.1403 (Other safeguards). This procedure will also 

apply to independent contractor equipment encountered in service at the 

mine. 

Documentation Required: Each piece of equipment inspected should be entered in 

the inspection notes, including the equipment manufacturer, equipment type, an 

identifying number (e.g., serial number, company number, etc.), and the general 

location of the equipment when inspected. Inspection of equipment operated and 

maintained by independent contractors is not required to be documented in the ITS. 

9. Longwall Tailgate Entry. The inspector shall evaluate the mine operator’s 

examination of the longwall tailgate entry. The inspector will assure the 

longwall tailgate entry is maintained and identified in the ITS. Longwall 

tailgate travelways shall be inspected in their entirety, for compliance with 

applicable standards and approved plans, including attention to ventilation 

controls, man door location and placement, approaches to worked-out areas, 

mine roof conditions, rock dust application, examination certifications, and 

any equipment being operated in the tailgate travelway. 

Documentation Required: The inspector should record in the inspection notes the 

beginning and ending point of travel in each longwall tailgate entry (as correlated to a 

permanent reference on the mine map). The inspector is not required to document the 

inspection of the longwall tailgate entry by date and initials in the ITS. The inspector

should clearly mark the extent of daily travels that contribute to the E01 

inspection by date and initials on a mine tracking map and the beginning and 

ending point of each day’s travel in the tailgate entry until each tailgate entry 

is fully inspected.

10. Non-Pillared Worked Out Areas. The inspector shall evaluate the mine 

operator’s examination of non-pillared worked-out areas. The inspector will 

assure all non-pillared locations of worked-out areas required to be examined 

are maintained and identified in the ITS. Non-pillared worked-out areas shall 

be inspected to the point of deepest penetration or to alternative evaluation 

locations approved in the mine ventilation plan, to determine compliance with 

applicable standards and approved plans, including attention to ventilation 

controls, mine roof conditions, rock dust application, examination 

certifications, and any equipment being operated in the worked-out area. 
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Documentation Required: The inspector should record in the inspection notes the 

beginning and ending point of travel in non-pillared worked-out areas (as correlated to 

a permanent reference on the mine map), the air quantity, the percentage of methane 

and the percentage of oxygen. The inspector is not required to document the 

inspection of non-pillared worked out areas by date and initials in the ITS. The 

inspector should clearly mark the extent of daily travels that contribute to the 

E01 inspection by date and initials on a mine tracking map and the beginning 

and ending point of each day’s travel for worked-out areas until each nonpillared worked-out area is fully inspected. 

11. Other Places Where Miners Work or Travel (Underground). The inspector 

shall evaluate the mine operator’s examination of other areas where miners 

work or travel. The inspector will assure all areas where miners are required 

to work or travel are examined in accordance with applicable standards. 

Locations of other areas where miners work or travel shall be maintained and 

identified in the ITS. Other work areas and travelways should be inspected for 

compliance with applicable standards (example: high-voltage cable entries that 

are not located in regular travelways and other areas normally traveled by the 

mine personnel on a daily or weekly basis). The inspector shall look for 

evidence of examinations in the outby areas traveled and determine if the 

mine examiner had certified with dates, times, and initials (DTIs) that the 

required examinations were conducted for each area of travel. At least one 

test for oxygen (O2) deficiency and methane (CH4) content shall be 

conducted in each outby area inspected.

Documentation Required: The inspector should record in the inspection notes the

beginning and ending point of travel in other places where miners work or travel (as 

correlated to a permanent reference on the mine map), inspection of the mine 

examiner’s dates, times, and initials, the percentage of methane (CH4), and the 

percentage of oxygen (O2) (recorded in the inspection notes as a percentage).

The inspector is not required to document the inspection of other areas where miners 

work or travel by date and initials in the ITS. The inspector should clearly mark 

the extent of daily travels that contribute to the E01 inspection on a mine 

tracking map and the beginning and ending point of each day’s travel for other 

places where miners work or travel, including the inspector’s initials, and date 

of inspection until each other place where miners work or travel is fully 

inspected. 

12. Outby Electrical Equipment. The inspector shall compare the mine operator’s 

record of weekly examination of electrical equipment to all electrical 

equipment in use and available for use at the mine. The inspector shall also 

ensure that permanent electrical installations are identified on the electrical 

map required to be maintained by § 75.508. A list of all electrical equipment in 

use and available for use should be maintained in the ITS. An inspection shall 
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be conducted of each piece of in use and available for use permanent electrical 

equipment as listed in the operator examination records or observed in use by 

the inspector to determine compliance with applicable standards and to 

determine if hazardous or potentially hazardous conditions exist, with 

attention to safe access, guards, equipment condition, fire suppression 

systems, combustible materials, fire protection, condition of trailing or power 

cables, circuit breaker settings, cable conduit, braking mechanisms, reflective 

materials, and safety devices. If an inspector finds that wiring of electric 

equipment is in a rundown condition, with many violations existing on one 

unit of equipment, and if there is evidence that thorough and complete 

examinations are not being made or that the required tests are not being made, 

a citation should be issued under § 75.512 (Electric equipment; examination, 

maintenance and testing). Please refer to the Electrical Inspection Handbook, 

Chapter 2, for more information. Inspectors shall not attempt to perform 

inspections or tests that require the expertise of an electrical specialist. 

Documentation Required: Each piece of in use and available for use outby 

permanent or portable electrical equipment, including the equipment description and 

company number, serial number, approval number, or other positive identification,

inspected under this procedure should be listed in the inspection notes. Small pieces of 

handheld electrical equipment are not required to be listed in the ITS.

13. Seals. All seals must be inspected each quarter, including new seals and seals 

being constructed, except seals determined by MSHA to be gob isolation seals 

in an approved spontaneous combustion plan (§ 75.334(f) (Worked-out areas 

and areas where pillars are being recovered)). Seals that are constructed as 

part of an approved spontaneous combustion plan that are accessible, such as 

those outby the face on the tailgate or inby the face on the headgate, also need 

to be inspected. It may also be necessary to inspect seals during spot 

inspections under Section 103(i) of the Mine Act. All mine seals shall be 

inspected for compliance with applicable standards and approved plans,

including their condition and seals under construction, water traps, test pipes, 

examination certifications, and seal ventilation. MSHA seal sampling 

procedures shall be followed during inspection of mine seals. (Refer to MSHA 

Form 7000-10U; Q & A’s Sealing Abandoned Areas 12-2008; Seals: 73 Fed. Reg. 

21182 (April 18, 2008); and Seal Correction Notice: 73 Fed. Reg. 27729 (May 14, 

2008) for additional information.) 

 During the inspections, the following evaluations must be conducted: 

1. Review examination record books concerning seals and adjacent aircourses

before going underground, including the sampling records under 

§ 75.336(e) (Sampling and monitoring requirements). Any hazardous 
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conditions noted by the seal examiners recorded in the weekly or preshift 

exam books should be investigated. Review seal construction records 

under §§ 75.335(c)(1) and (2) (Seal strengths, design applications, and 

installations); and 75.337(c)(5), (d), and (e) (Construction and repair of 

seals). 

2. Inspect safe access for the examiner’s route of travel to and from seals. Roof 

support must be maintained to provide safe access to the seals. Check for 

hazardous conditions, test for methane (CH4) and oxygen (O2) deficiency, 

and determine if the air is moving in the proper direction under 

§§ 75.360(b)(5) (Preshift examination at fixed intervals); and 75.364(b)(4) 

and 75.364(c)(3) (Weekly examination). 

3. Verify the required operators’ examinations by checking initials, dates, and 

times.

4. Inspect seals for deterioration and for damage such as cracking, spalling, or 

bulging. Inspect the base of the seal for deterioration due to mine water 

and floor heave. Although some spalling of ribs and sloughing from the 

roof may accumulate near the seal, enough of the seal must be kept clear to 

facilitate a reasonable visual examination. 

5. Inspect the strata surrounding seals for rib sloughing, roof falls or floor 

deterioration that may affect the integrity of the seal. Ensure that the seal’s 

convergence is being measured and that the threshold as per design has not 

been exceeded. 

6. Evaluate rock dust around the seals and in adjacent aircourses.

7. Inspect sampling pipes and sample the atmosphere behind the seals. At a 

minimum, inspectors should sample at one location at each set of seals. 

Seals that have reached a design strength of at least 120 psi overpressure or 

greater do not have to be sampled. The determination of seal strength is 

based on the quality control test results specified in the seal design under 

§ 75.335(b)(1)(i) (Seal strengths, design applications, and installations) and 

reported to the District Manager under § 75.337(e)(3) (Construction and 

repair of seals). 

Sample the sealed atmosphere whether seals are outgassing or ingassing for 

seals with design strength less than 120 psi. Additional sampling locations 

may be specified in the approved ventilation plan. 
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Equipment that may be needed includes: 

1. Permissible vacuum pump with sufficient power to pull a sample through 

a sampling pipe in seals that are ingassing; 

2. Tubing, adapters, connectors, etc.; 

3. High range methane detector; 

4. Standard range methane detector (less than 5%); 

5. Oxygen (O2) detector; 

6. Carbon dioxide (CO2) detector, if an alternative method is approved under 

§ 75.336(d) to determine the inert status of the sealed atmosphere; 

7. Bags to collect samples; 

8. Double pointed needle syringe; and 

9. Gas sample tubes. 

Multi-gas detectors should be used during regular inspections and bag 

samples should only be used to verify compliance if a detector indicates the 

atmosphere behind a seal may be non-inert. If the handheld detector indicates 

oxygen (O2) levels of 8.5% or greater and methane (CH4) levels between 2.5% 

and 23%, a bag sample should be taken. It is not necessary to collect bag 

samples at each set of seals during quarterly inspections.

Pumping must continue long enough to purge the sampling tube and line with 

six times the volume of the sample system prior to extracting the sample. 

Note: The typical handheld gas detector uses catalytic heat-of-combustion 

sensing technology. These sensors require oxygen to operate. The IEC 

standard for selection, installation, use, and maintenance of combustible gas 

detectors indicates that the minimum oxygen concentration for use of this type 

of sensor is 10%. The ATX 620 or its equivalent is typically used for sampling 

areas with suspected oxygen content below normal ranges. This device has an 

infrared sensor that enables the instrument to properly measure methane 

content when oxygen levels are at or below 10%. 

Inspect the water drainage system and check for lack of air exchange (test with 

chemical smoke). Examine the drainage pipe system and verify that seals do 

not impound water or slurry. If a drainage system includes a valve, it must be 

opened as part of the inspection. 

Confirm that the certified persons conducting sampling have been trained in 

the use of the sampling equipment and sampling procedures. Check the 

required training records and certifications under § 75.338. 

New seal installations must be inspected by MSHA during construction. 

Inspectors should examine both sides of seals during construction. Section 
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75.337(e)(1) (Construction and repair of seals) requires the mine operator to 

notify the District Manager between 2 and 14 days prior to commencement of 

seal construction. An inspection, which may coincide with a quarterly 

inspection, a Section 103(i) spot inspection, or other inspection type events 

must be conducted during construction of each set of seals. This construction 

inspection will assist in determining the mine operator’s compliance with 

MSHA’s existing seals standard and the mine’s ventilation plan including:

1. Proper site preparation; 

2. Sealed area preparation; 

3. Seal construction; 

4. Training; 

5. Examinations; 

6. Recordkeeping including certifications; and 

7. Any other requirements specified in the approved ventilation plan. 

§ 75.337(e)(2) (Construction and repair of seals) includes a requirement for the 

mine operator to notify the District Manager in writing within five days of

completion of a set of seals. After construction is completed, seals must be 

inspected by MSHA during the next regular inspection. The focus of the 

inspection of newly completed seals should be to determine the mine 

operator’s compliance with the requirements of MSHA’s existing seals 

standard and the mine’s ventilation plan, including:

1. Seal construction; 

2. Quality control tests; 

3. Certifications; 

4. Examinations; 

5. Post-sealing ventilation; 

6. Rock-dusting; 

7. Sampling pipes and water drainage system; 

8. Roof support; and 

9. Any other requirements specified in the approved ventilation plan. 

Documentation Required: Each set of seals inspected under this procedure should be 

listed in the inspection notes and include the name, location, and the number of seals 

in the set. 

14. Track and Off-Track Haulage Roads. The inspector shall review the mine 

operator’s examination of track and off-track haulage roads to assure the mine 

operator is examining all haulage roads. The inspector will assure all haulage 

roads required to be examined are maintained and identified in the ITS. Each 

haulage road shall be inspected, for compliance with applicable standards, and
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to determine if hazardous or potentially hazardous conditions exist, including 

roadway conditions, clearance, switches, bonding, trolley guards, equipment, 

combustible materials, fire protection, and condition of electrical cables and 

wiring. The inspector shall compare information from examination records 

with observations made during the examination. Refer to the Electrical 

Inspection Handbook for additional track haulage and trolley wire 

information. A regular inspector shall not attempt to perform inspections or 

tests that require the expertise of an electrical specialist. 

Documentation Required: The inspector should record in the inspection notes each 

track and off-track haulage road inspected. The haulage road should be identified in the 

inspection notes as it appears in the ITS. The inspector is not required to document 

the inspection of haulage roads by date and initials in the ITS. If a haulage road is not 

inspected in its entirety, the starting and stopping points, as correlated to a permanent 

reference point on the mine map such as a crosscut number or spad location should be 

included in the inspection notes. The inspector should clearly mark the extent of daily 

travels that contribute to the E01 inspection by date and initials on the mine tracking 

map, and the beginning and ending point of each day’s travel until the haulage road is 

fully inspected. (This does not apply to routine travel of or incidental travel into the 

haulage entry.) 

F. Underground Working Sections. 

 

1. Blasting Practices. An inspection shall be conducted of all areas where 

explosives are being used on the section for compliance with applicable 

standards and approved plans. Observation of work practices and blasting 

cycle shall be conducted. Special attention shall be given to recordkeeping the 

presence of explosive storage practices, combustible materials, and fire 

protection. 

Documentation Required: The inspectors evaluation of blasting practices should be 

documented in the inspection notes to show the location where explosives being used 

were observed. 

2. Boreholes in Advance of Mining. The operator’s compliance with plans 

approved under §§ 75.388 (Boreholes in advance of mining) and 75.389 

(Mining into inaccessible areas) shall be evaluated by the inspector. Boreholes 

in advance of mining shall be inspected for compliance with applicable 

standards and approved plans. Approved plans shall be evaluated by the 

inspector. Discussions shall be conducted with affected miners and mine 

supervisors to evaluate their familiarity with plan requirements.
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3. Communications. An evaluation for compliance with applicable standards 

shall be conducted of all communication methods, including attention to 

grounding, insulation, proper operation, and safe access.

4. Dust Control Parameters. Dust controls used on the section shall be inspected 

to determine compliance with applicable standards and the approved mine 

ventilation plan. A representative number of miners shall be polled to 

determine if conditions observed represent normal mining conditions. The

inspector shall not travel to the mine for the sole purpose of conducting a dust 

control parameter inspection with plans to return on the next inspection day 

with the intent to conduct respirable dust sampling (dust control parameters 

shall be conducted on the same day respirable dust sampling is conducted). 

At least once during each inspection, the inspector will determine if the mine 

operator performed an adequate on-shift examination of the dust controls (§ 

75.362(a)(2)(On-shift examination)). Respirable coal mine dust samples shall 

be collected pursuant to the Coal Mine Health Inspection Procedures 

Handbook; and Chapter 1 Revision. To assure dust data cards are properly 

completed, special attention needs to be given when documenting the 

assigned occupational code, DAs, and MMU assigned numbers. (Refer to 

Coal Mine Occupations Form 2000-169 for further occupation information.)

When inspectors are present on working sections evaluating dust control 

parameters, they should take air quantity measurements and assure that the 

face ventilation control devices are installed and maintained in accordance 

with the approved ventilation plan under § 75.370(a)(1) (Mine ventilation plan; 

submission and approval). They should also discuss with section personnel 

the importance of maintaining face ventilation controls in accordance with the 

approved ventilation plan.

5. Dates, Times, and Initials. The inspector shall examine all working places on 

each working section and determine if the mine examiner had certified with 

dates, times, and initials that the required examinations were conducted.

6. Escapeway Map. The inspector shall determine if an up-to-date escapeway 

map is maintained on each working section and that the RA location and 

escapeway map coincide. Discussions shall be conducted with the miners to 

determine if they are familiar with the map location, the designated escape 

routes, and evacuation procedures.

7. Fire Protection. All firefighting equipment shall be inspected for compliance 

with applicable standards, including attention to equipment maintenance, 

placement for safe access, inspection record, and adequate capacity available 

for use on the section. Inspectors shall determine if the requirements of § 

75.1100-1(a) (Type and quality of firefighting equipment) are being complied 
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with. A fire extinguisher with a 2-A:10-B:C designation that contains 

approximately 4.25 pounds of dry powder meets the intent of the standard and 

provides an acceptable level of protection. Also refer to the National Fire 

Protection Association® (NFPA) Nos. NFPA 11A 1970 - High Expansion Foam 

Systems, NFPA 13 1969 - Installation of Sprinkler Systems, NFPA 13A 1971 - 

Care and Maintenance of Sprinkler Systems, NFPA 15 1969 - Water Spray 

Fixed Systems for Fire Protection, NFPA 17 1969 - Dry Chemical Extinguishing 

Systems, NFPA 72A 1967 - Local Protective Signaling Systems or NFPA 198 

1969 - Care, Maintenance and Use of Fire Hose. 

The electronic NFPA documents hyperlinked are being provided to serve as an 

additional resource to the hard copies you received previously. Do not 

distribute copies of these codes to non-MSHA persons, mines, and companies, 

because they are copyrighted by the NFPA.

Again, it is being stressed that these are copyrighted documents and we 

have acquired them for only MSHA. Any further distribution outside of 

MSHA is a violation of MSHA’s license. (Refer to Fire Extinguishers: 73 Fed. 

Reg. 53124 (Sept. 15, 2008) for additional information.) 

Documentation Required: Inspection of specialty or standalone fire protection 

equipment should be documented in the inspection notes to show the location and type 

of fire protection provided. For the purpose of documentation for all handheld portable 

fire extinguishers associated with protection for a designated piece of equipment or a 

designated location shall be considered inspected with that piece of equipment or 

designated location and does not require separate documentation.

8. First-Aid Equipment. An inspection shall be conducted of all underground 

working sections first-aid equipment for compliance with applicable 

standards.

9. Health and Safety Discussions. The inspector shall discuss matters 

concerning health and safety and work practices with the miners during 

inspection activities on a working section, including recent accidents, accident 

history, mine-specific hazards, and occupation-specific health and safety 

concerns. 

 To reinforce inspection and documentation elements related to ventilation 

plans, enforcement personnel should conduct the specific activities below. 

These activities are in addition to any other activities that are deemed 

necessary as part of their E01 Regular Safety and Health Inspections or during 

E21 Ventilation Technical Investigations by ventilation specialists.
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a. Discuss and question miners on current mining activities and conditions. 

Question the miners to determine whether their training with respect to the 

ventilation plans is complete and adequate for the mining activities. Ten 

example questions are listed below. These or other questions may be asked 

to determine the miners’ level of knowledge. These discussions should be 

documented.

 

1) Were you trained on the contents of the ventilation plan?

2) Do you know how far the ventilation control device set back should 

be? 

3) What is the required air quantity at the end of the ventilation control 

device? 

4) What is the scrubber quantity (if applicable)?

5) What is required quantity at the last open cross cut? 

6) What are the required quantity and/or velocity at the headgate?

7) What are the required quantity and/or velocity at the tailgate?

8) How often are you required to take gas checks?

9) Do you know what to do if the machine mounted methane monitor 

reaches 1%, 1.5%, or 2%?

10) Is belt air allowed to be used at the face?

b. All ventilation plans are to be reviewed on a six month basis, and 

necessary documentation of the plan reviews and evaluations, including 

MSHA Form 2000-204, is to be included with the E01 inspection report or 

the E21 investigation report.

c. Assistance may be requested from MSHA’s Educational Field Services 

(EFS) to evaluate training on retreat mining.

These measures should serve to strengthen our inspection efforts to ascertain the 

 adequacy of ventilation plans and to determine the effectiveness of 

 miner training concerning ventilation plans.

(Refer to Accident Rep: 74 Fed. Reg. 68918 (Dec. 29, 2009) and Part 50: 75 Fed. 

Reg. 21990 (April 27, 2010) for additional information.) 

Documentation Required: Health and safety discussions by the inspector should be 

documented in the inspection notes to show the mechanized mining unit number. 

Also a general statement about the discussion held with a representative number of 

miners for each MMU inspected about current mining activities and conditions, and 

training with respect to the ventilation plans is adequate will suffice.
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10. Location of Last Open Crosscut. The inspector shall determine the location of 

the last open crosscut on each working section identified by a permanent 

reference correlated to the mine map (e.g., survey spad number, crosscut 

number, etc.).

Installation of Permanent Stoppings on Working Sections

 Inspectors shall determine if the requirements of §§ 75.333(b)(1), and (b)(3), 

 75.350(c), and 75.380(g) regarding the installation of these permanent 

ventilation controls and each standard states a specific location where they 

shall be built and maintained. Unless the mine operator can provide a valid 

justification for the District Manager to approve a greater number of open 

crosscuts in the mine’s ventilation plan, permanent stoppings installed to

separate intake and return aircourses must be completed in the third crosscut 

outby the face by the time the face crosscut is cleaned, bolted, and ready for 

travel. Permanent stoppings installed to separate an intake air course or the 

primary escapeway from the belt haulage way are to be completed as part of 

the belt move and prior to the resumption of mining. 

Documentation Required: The location of the last open crosscut of a MMU should

be determined and documented in the inspection notes. The inspector should clearly 

mark only once the location of each MMU that contributes to the E01 inspection by 

date and initials on the mine tracking map. The documentation should be by MMU 

number and permanent reference to a location that will be included in the operator’s 

mine map submitted to the District Manager. 

11. Mining/ Work Cycle. The inspector shall observe the complete mining cycle 

on each active producing working section. The physical condition of the 

working section (roof and rib conditions, cleanup/rock dusting, ventilation 

controls, haulage practices, approved plan compliance, etc.) shall be carefully 

evaluated during these inspection activities. 

The inspector shall measure the air quantity in the last open crosscut in each 

set of entries or rooms on each working section, the quantity of air reaching the 

intake end of a pillar line, at the end of the face ventilating device (if required) 

where equipment is being operated, the air velocity at each end of the longwall 

face and the quantities approved in the ventilation plan. The inspector will

assure that the face ventilation control devices are installed and maintained in 

accordance with the approved ventilation plan and visually check that water 

sprays used for respirable dust suppression are properly maintained and 

functioning each time the mining/work cycle is observed. This evaluation is 

in addition to Item 4 of this chapter (Dust Control Parameters). 

Documentation Required: Inspector observation of the complete mining/work cycle 

should be documented in the inspection notes to show the MMU number, the method 
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of mining (continuous mining advance, continuous mining retreat, conventional 

mining advance, blasting from the solid advance, etc.) the date observation of the 

mining/work cycle was started, and the date this procedure was fully completed for 

that MMU. The inspector should document the results of air readings in the narrative 

portion of the inspection notes.

12. Operations Under Water. The operator’s compliance with plans approved 

under §§ 75.388(f) (Boreholes in advance of mining) or 75.1716 (Operations 

under water) shall be evaluated by the inspector for compliance with 

applicable standards and approved plans. Discussions shall be conducted 

with affected miners and mine supervisors to evaluate their familiarity with 

plan requirements. (Refer to Information Circular 8741 for further guidance.)

13. Post-Accident Communication and Tracking System. Conduct a functional 

test of the post-accident communication and tracking system by contacting the 

responsible person using the post-accident untethered communication device 

and requesting that the responsible person identify the location of a miner, 

who is at a location known to the inspector.

14. Potable Water (Working Section). The inspector shall determine if potable 

water is available and in compliance with §§ 75.1718 (Drinking water) and 

75.1718-1 (Drinking water; quality). This evaluation shall include information 

obtained from the miners and the operator.

15. Rock Dust Sampling. The inspector should collect rock dust samples on each 

advancing and retreating active working section in the mine. Most rock dust 

samples will be collected between 40 feet outby the working faces and 1,000 

feet outby the working faces. Rock dust samples should also be collected 

conducted in previously mined active areas. From 1,000 feet outby the 

working faces to the mouth of the section, inspectors will collect at least two 

band samples per air course. 

Note: Refer to chapter 5, Rock Dust Sampling section of this handbook for 

additional required procedures.

Documentation Required: The MMU number (Sampling Location Area), a 

description of the sampling area (Location In Mine), each sample collected identified by 

a permanent reference correlated to the mine map, e.g., survey spad number, crosscut 

number, etc.), and the percentage of methane detected on a handheld detector shall be 

documented in the inspection notes for each sample collected. 

16. Roof and Rib Conditions. The inspector shall observe roof and rib conditions 

on each active working section to determine compliance with applicable 

standards and approved plans. Special attention shall be given to roof control 
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failures, roof control plan requirements, and information obtained from the 

miners installing the roof supports and the mine operator. Approved roof 

control plans for the first panel in a longwall district are often unique. 

Inspectors should review the roof control plans carefully and focus on 

compliance with the plan requirements during inspection of longwalls. 

Supplemental roof support materials and the tools and equipment necessary to 

install them should be regularly examined during mandatory inspections to 

assure that supplies have not been used, lost, or misplaced. These materials 

must be available in sufficient quantity and in a readily accessible location to 

support the roof if adverse roof conditions are encountered or a roof fall 

accident occurs.

Inspection and Investigation Activities Related to Roof Control Plans and 

Related Miner Training:

To reinforce inspection and documentation elements related to roof control 

plans enforcement personnel shall conduct the specific activities below. These 

activities are in addition to any other activities that are deemed necessary, as 

part of their E01 Regular Safety and Health Inspections or during E20 Roof 

Control Technical Investigations by roof control specialists.

1. All sections where retreat mining is occurring must be inspected at least 

monthly. The inspection will be conducted by a roof control specialist, as 

resources permit, or by a regular inspector at a minimum. This 

requirement does not apply to longwall mining sections unless the mine 

has a history of bounce conditions or deep cover related issues.

2. Discuss and question miners on current mining activities and conditions. 

Ask them questions to determine their level of knowledge of the roof 

control plan. Question the miners to determine whether their level of 

knowledge and training with respect to the roof control plans is adequate, 

focusing especially on training with respect to retreat mining activities. 

These discussions should be documented.

3. All roof control plans are to be reviewed on a six month basis, and necessary 

documentation of the plan reviews and evaluations, including MSHA Form 

2000-204 (if applicable), must be included with the E01 inspection report or the 

E20 investigation report.
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4. Assistance may be requested from MSHA’s Educational Field Services (EFS) to 

evaluate training on retreat mining.

These measures should serve to strengthen our inspection efforts to ascertain the 

adequacy of roof control plans and to determine the effectiveness of miner 

training concerning roof control plans.

Roof Bolt Spacing 

When evaluating roof support spacing to determine compliance with an 

approved roof control plan, inspectors should measure the lengthwise and 

crosswise distances between roof bolts. Inspectors should use reasonable 

judgment in determining from these measurements whether enforcement 

action is appropriate. 

The Agency recognizes that roof bolt spacing specified in a plan represents 

nominal dimensions and that reasonable tolerances for installation are 

permitted. To require roof bolt operators to reach inby and make exact 

measurements may introduce hazards. Therefore, an occasional inadvertent 

deviation that slightly increases the spacing of roof bolts but does not 

detrimentally affect support performance may not constitute a violation. 

Typically, roof bolt spacing that occasionally exceeds the approved spacing 

pattern by less than 6 inches at intermittent locations and does not create a 

specific hazard should not be cited. 

Roof Support 

 No person shall proceed beyond the last full row of permanent supports 

except to: 

1. install roof supports; 

2. repair equipment according to procedures outlined in the roof-control plan; 

or 

3. extend ventilation controls when these controls must be extended to repair 

equipment. In this case, the procedures outlined in the roof control plan 

must have been implemented. When ventilation controls are extended as 

part of the normal mining cycle, they should be extended remotely from 

under permanently supported roof.

Whenever a citation or order is written for violating § 75.202(b) (Protection 

from falls of roof, face and ribs), the issuing inspector should notify the roof 

control supervisor and the field office supervisor. A copy of the citation/order 
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should be provided to the roof control supervisor as soon as practicable. 

(Refer to Methane Test Ext Cuts: 68 Fed. Reg. 40132 (July 7, 2003) for additional 

information.) 

Documentation Required: Roof and Rib observations should be documented in the 

inspection notes to show the MMU number, and that the roof and ribs appear 

adequately supported. If geological conditions that are abnormal to regular mining 

conditions (faults, interfaces, etc.) are observed, they should be noted. A general 

statement about the discussion held with miners for each MMU inspected about

current mining activities and conditions, and training with respect to the roof control 

plans is adequate; focusing especially on training with respect to retreat mining 

activities will suffice. 

17. Sanitary Facilities. Sanitary facilities located on a working section shall be 

inspected for compliance with §§ 75. 1712-6 (Underground sanitary facilities; 

installation and maintenance) and 75. 1712-10 (Underground sanitary facilities; 

maintenance). Special attention shall be given to the location and cleanness of 

these facilities. (Refer to Sanitary Toilets: 68 Fed. Reg. 37082 (June 23, 2003) for 

additional information.) 

18. Section Equipment. The inspector shall compare the mine operator’s record 

of weekly examination of electrical equipment to electrical equipment in use 

and available for use. All electrical equipment in use and available for use

should be maintained and listed in the ITS. An inspection shall be conducted 

of each piece of in use and available for use electrical equipment as listed in the 

operator examination records or observed in use by the inspector to determine 

compliance with applicable standards and to determine if hazardous or 

potentially hazardous conditions exist, with attention to permissibility, safe 

access, guards, equipment condition, fire suppression systems, combustible 

materials, fire protection, condition of trailing or inter-machine electrical 

cables, cable conduit, circuit breaker capacity and identification, methane 

monitor, and safety devices. Each piece of in use and available for use portable 

electrical equipment should be inspected. The inspector shall assure the circuit 

breaker, receptacle, and plug is labeled to be the same. On at least an annual basis

electrical specialists or inspectors who hold a current MSHA electrical qualification 

card should conduct a complete permissibility inspection of each longwall system. If 

an inspector finds that wiring of electric equipment is in a rundown condition, 

with many violations existing on one unit of equipment and if there is 

evidence that thorough and complete examinations are not being made or that 

the required tests are not being made, a citation should be issued under 

§ 75.512 (Electric equipment; examination, testing and maintenance). Please 

refer to the Coal Electrical Inspection Procedures Handbook, Chapter 2, for 

more information. Inspectors shall not attempt to perform inspections or tests 
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that require the expertise of an electrical specialist. (Refer to Q&As HighVoltage Longwall; Q&A s High-Voltage Longwall Addendum 2002; Emerg. 

Parking Brake: 54 Fed. Reg. 12406 (March 24, 1989); HV Longwall: 67 Fed. Reg. 

18822 (April 17, 2002); Part 18 Battery Powered Plugs: 68 Fed. Reg. 37077 (June 

23, 2003); Elect. Motor-Drive Equip: 69 Fed. Reg. 68078 (Nov. 23, 2004); 

Explosion-Proof Encl: 71 Fed. Reg. 28581 (May 17, 2006); and High-Voltage 

Continuous Miners: 75 Fed. Reg. 17529 (April 6, 2010) for further guidance and 

additional information.) 

 

Maintaining Methane Monitors in Proper Operating Condition for Mining 

Equipment. Under § 75.342 (Methane monitors), methane monitors on mining 

equipment must be maintained in permissible and proper operating condition.

To eliminate potential hazards associated with methane liberation in the 

working places, it is imperative that equipment with methane monitors be 

operated only when the methane monitor is functioning properly.

 

At least once during each regular inspection, the inspector shall conduct a 

visual examination and functional test of mining equipment provided with a 

methane monitor to ensure that the monitors are operating properly, are not 

“bridged out,” and do not have material covering the sensor head. The 

functional test may consist of activating a test circuit on the monitor or 

application of calibration gas. Inspectors shall test methane monitors with a 

known methane air test mixture when it is suspected that the monitor is 

defective or improperly calibrated. Enforcement action shall be taken for 

violation of § 75.342(a)(4) (Methane monitors) when a methane monitoring 

system gives a reading below 2.3% or above 2.7% when the typical 2.5% 

methane-in-air calibration gas is applied to the sensor head. Inspectors should 

also check the examination records to ensure the required calibration tests are 

being performed at least once every 31 days or as approved in the Mine

Ventilation Plan. 

Documentation Required: Inspection of each piece of in use and available for use

section equipment should be documented in the inspector’s notes and the ITS, 

including the MMU numbers, the company number, serial number, approval number, 

or other positive identifier. Documentation that the methane monitor was observed as 

being tested during the E01 inspection should be included in the inspection notes. 

Small pieces of handheld electrical equipment are not required to be recorded in the 

ITS. 

G. Ventilation (General Tests and Measurements). 

During each E01 regular inspection, the inspector shall compare the mine 

operator’s preshift and weekly examination records to assure the mine operator 

is properly evaluating the mine ventilation system. The inspector will assure 
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the mine operator is obtaining air quality and quantity readings at all locations 

required by the standards and any approved plans. Additionally, the inspector

shall determine the direction and quantity of airflow, and test for the presence 

of methane (CH4) and oxygen (O2) deficiency, at the following locations: 

1. In the last open crosscut of each set of entries or rooms on each section;

2. Areas where mechanized mining equipment is being installed or removed; 

3. On a longwall or shortwall, including areas where longwall or shortwall 

equipment is being installed or removed, in the intake entry or entries at 

the intake end of the longwall or shortwall. Approved ventilation plans for 

the first panel in a longwall district and the start up of each successive 

panel are often unique. Inspectors should review the ventilation plans 

carefully and focus on compliance with the plan requirements during 

inspection of longwalls; 

4. At each end of the longwall or shortwall face at the locations specified in 

the approved ventilation plan;

5. At the intake end of any pillar line;

6. Where air enters the mine at each main intake;

7. In each intake split that ventilates a working section;

8. In the return of each split of air that ventilates a working section, 

immediately before it enters the main returns;

9. Where the air leaves the main returns;

10. The point immediately before the bleeder air enters a return;

11. In belt entries, air for each belt flight, belt air dumps, belt point feeds (for 

compliance with applicable standards and approved plans); 

12. At least once on every E01 inspection of mines approved to use belt air to 

ventilate a working section at least 200 feet outby the tailpiece, but outby 

the point at which point feeding of air into the belt entry occurs; 

13. At the measurement points specified in the mine ventilation plan for 

evaluating bleeders systems and worked-out areas, including where air 

enters and leaves the worked-out areas; 

14. In the entry nearest each set of seals, immediately after the air passes the 

seals (airflow measurement not required);

15. In at least one location in each outby aircourse traveled during an 

inspection day (tests for presence of oxygen and methane only); and
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16. In each face, the presence of oxygen and of methane only. 

It should be noted that carbon dioxide (CO2) and nitric oxide (NO) are 

produced during the combustion of diesel fuel. These gases may pose a hazard 

to anyone receiving short-term exposure to harmful quantities. See chart 

located in section H of this chapter for additional information.

In some cases, the air quantities or velocities specified in the mine ventilation

plan or regulations may be inadequate to continuously dilute, render harmless, 

and carry away flammable, explosive, noxious, and harmful gases, dusts, 

smoke, and fumes. In those instances, or if the inspector determines the mine 

ventilation plan is not suitable to address mining conditions, the inspector

should submit an MSHA Form 2000-204 (Plan Review Form) through their 

supervisor immediately. 

When an inspector observes gas detectors in use at the mine, (s)he should 

physically examine a representative number of the instruments to determine 

whether the detector(s) is turned on and functions properly, and assess the 

worker’s knowledge concerning their use. (Refer to Q&As 1992 Ventilation 

Handbook; 1996 Vent. Final Rule: 61 Fed. Reg. 9764 (March 11, 1996); and

Corrections Notice 1996 Final Rule: 61 Fed. Reg. 29287 (June 10, 1996) for 

additional information.) 

Documentation Required: The results of Ventilation General Tests and 

Measurements (items 1 through 14 above) should be documented in the inspection notes 

to include the test location and the test and measurement results, until each area of the 

ventilation general tests and measurements is fully inspected. Methane (CH4) and 

oxygen (O2) tests shall be taken at each required location and recorded as a percentage. 

The air velocity and area (height and width of location where the required measurement 

was taken) shall be recorded with the air quantity calculated. In addition to completing 

this procedure for all outby areas, the inspector should only once clearly mark each 

working section air readings that contribute to the E01 inspection by date and initials 

on the mine tracking map, including the locations of any approved evaluation or 

measurement points associated with the aircourse.

 
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H. Mine Gas Exposure Levels

Gas TLV® Excursion Limit Explosive 

Range

Oxygen (O2) 19.5% min. Not Applicable Not Applicable

Carbon Dioxide 

(CO2)

0.5% 0.5%-statutory limit* Not Applicable

Carbon Monoxide 

(CO)

50 ppm 400 ppm for 15 min. 12% - 75%

Nitric Oxide (NO) 25 ppm 37.5 ppm for 15 min. Not Applicable

Nitrogen Dioxide 

(NO2)

5 ppm-ceiling 

limit

5 ppm-ceiling limit Not Applicable

Methane (CH4) Not Applicable Not Applicable 5% - 15%

*Persons who work or travel in bleeders or worked-out areas may be exposed to 

up to 3.0% carbon dioxide (CO2) for a time period not to exceed 15 minutes. 

Oxygen (O2) and carbon dioxide (CO2) limits are from § 75.321 (Air quality). 

Other limits are from ACGIH TLVs®, 1972 (§ 75.322 (Harmful quantities of 

noxious gases)).

 I. Underground Diesel Equipment. 

The inspector shall inspect all in use and available for use diesel equipment to 

determine compliance with applicable standards and the approved ventilation 

plan, including attention to: exhaust gas temperatures (for outby heavy-duty 

diesel equipment using non-ceramic paper/synthetic diesel particulate filters), 

diesel emissions compliance (in accordance with Chapter 5 Diesel Exhaust Gas 

Monitoring of the Coal Mine Health Inspection Procedures Handbook, § 75.322 

harmful quantities of noxious gases, and § 70.1900 Exhaust Gas Monitoring 

when used on the working sections), and compare the data from inspection 

records with observations made during the physical inspection of diesel 

equipment. Items such as permissibility, safe access, guards, equipment 

condition, fire suppression systems, combustible materials, fire protection, 

brakes, lighting, reflective devices, intake air systems, fuel system, electrical 

system, safety systems, hydraulic systems, audible warning devices, and other 

safety devices shall be evaluated as part of the inspection of diesel equipment. 

The data from the Diesel Inventory maintained by the mine operator on the 

MSHA Homepage, Online Tools, Online filing/forms Homepage/Diesel 

Inventory (provided by the supervisors at the beginning of each E01 regular 

inspection), should be compared to the equipment and records located at the 

mine site to determine if changes to the diesel inventory have been provided to 
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MSHA within 7 calendar days after changes are made (§ 72.520(b) (Diesel 

equipment inventory)). A copy of the current MSHA Diesel Inventory Report 

for the subject mine should be included with each E01 completed inspection 

report and initialed by the inspector(s), indicating that the operator’s records, 

physical inspection, and MSHA Diesel Inventory comparison was made. (Refer 

to Diesel Equipment Inventory Q&As; Diesel Compliance Guide Q&As; Q&As 

Diesel Regs 1999 Utah; Diesel 1996: 61 Fed. Reg. 55412 (Oct. 25, 1996); Diesel 

Exhaust: 63 Fed. Reg. 12647 (Mar. 16, 1998); and Diesel Part Generators: 70 Fed. 

Reg. 77728 (Dec. 30, 2005) for further guidance and additional information.) 

The District Diesel Coordinator shall be made aware of any discrepancies found 

prior to issuance of any inventory-related citation and to ensure that the diesel 

inventory database is updated to maintain its accuracy.

Evaluation of Non-Permissible Heavy-Duty Diesel-Powered Equipment, 

Compressors, and Generators Using an Adequate Diesel Particulate Matter 

(DPM) After-treatment Device:

 Inspectors will perform two specific evaluations to determine if an adequate 

DPM after-treatment device is being used. First, the operator’s diesel inventory 

will be reviewed. This review will determine if the listed DPM after-treatment 

control for each piece of diesel equipment will provide sufficient collection 

efficiency to reduce the DPM emissions to the level of 2.5 grams per hour. If the 

diesel inventory indicates the use of an inadequate DPM after-treatment device, 

the affected machine must be inspected to confirm the use of the stated device 

prior to taking enforcement action for violation of § 72.501(c) (Emission limits 

for nonpermissible heavy-duty diesel-powered equipment, generators and 

compressors). 

Second, inspectors, with adequate training and testing equipment, will measure 

the exhaust gas temperature of diesel-powered machines equipped with a nonceramic particulate filter. This evaluation is to verify that the DPM aftertreatment device is maintained in accordance with the manufacturer’s 

specifications as required by § 72.503(d) (Determination of emissions; filter 

maintenance). These specifications include conditions of use that are necessary 

to maintain the established collection efficiencies and are required to gain 

MSHA acceptance as a DPM after-treatment device. 

Currently accepted high-temperature disposable particulate filters (HTDPFs) 

must be operated in a diesel exhaust stream that is 650 degrees Fahrenheit (°F) 

or less to provide the established collection efficiency (80 or 83 percent 

depending on the model of the DPM after-treatment device). Specification 

sheets are hyperlinked for the two currently accepted HTDPFs (High Temp 
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Exhaust Filter Information). Paper/Synthetic diesel particulate filters are 

accepted with a collection efficiency of 95 percent at a maximum exhaust gas 

temperature of 302°F. Specifications for accepted non-ceramic filters may be 

found on MSHA’s web page as additional information with the acceptance list 

of filters.

MSHA will determine the exhaust gas temperature of diesel-powered 

equipment using the following test procedure:

1. Conduct the test when the engine is producing the maximum exhaust gas 

temperature. This test condition should be the same as that established by 

the mine operator to conduct the undiluted exhaust emissions weekly test 

required under § 75.1914(g) (Maintenance of diesel-powered equipment). 

This test condition is normally produced using torque converter stall or 

hydrostatic transmission load. 

2. Ensure that you are not exposed to undiluted exhaust gases or hot surfaces 

and that all persons participating in the test are aware of your location.

3. Measure the peak exhaust gas temperature in the undiluted exhaust using 

an electronic handheld thermocouple instrument with a maximum 6 inch, 

J-type thermocouple attached.

4. Place the thermocouple into the undiluted exhaust stream using an exhaust 

port near the inlet of the DPM exhaust filter and after any exhaust cooling 

device. The exhaust port must be located to permit measurement of the 

exhaust gas temperature before entering the DPM after-treatment device 

but after any exhaust cooling device. This may be the same port that the 

mine operator uses to determine the exhaust gas emissions concentrations 

for § 75.1914(g) (Maintenance of diesel-powered equipment). (Note: the 

thermocouple must not touch the wall of the exhaust pipe and should be as 

close as possible to the center of the exhaust pipe.) Run the test for a 

minimum of 60 seconds to a maximum of 120 seconds or until the exhaust 

gas temperature is reasonably stable, whichever is less.

5. Record the identification of the machine being tested, the engine’s serial 

number and the peak exhaust gas temperature measured. 

6. The following Exhaust Temperature Action Table summarizes the actions 

an inspector must take in response to peak temperature determinations and 

when additional testing is necessary.
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Exhaust Temperature Action Table

Test

No.

Peak Temperature Determination

Action To Be Taken

HTDPF

Type (°F)

Paper/Synthetic

Type (°F)

1 

≤ 650 ≤ 302 DPM Control is Adequate

≥ 700 ≥ 325 DPM Control is Not Adequate, 

Citation under § 72.503(d)

> 650 ≤ 699 > 302 ≤ 324 Retest according to items 1) – 6) 

2 

≥ 700 ≥ 325 Control is Not Adequate, Citation 

under § 72.503(d) using Test 2 

Peak Temp. as basis

> 650 ≤ 699 > 302 ≤ 324 Average Test 1 + Test 2 Peak 

Temp., use 

as basis of Citation under § 

72.503(d)

≤ 650 ≤ 302 Retest according to items 1) – 6) 

3 

≥ 700 ≥ 325 Control is Not Adequate, Citation 

under § 70.503(d) using Test 3 

Peak Temp. as basis

> 650 ≤ 699 > 302 ≤ 324 Average Test 1 + Test 3 Peak 

Temp., use

as basis of Citation under § 

72.503(d)

≤ 650 ≤ 302 Average Test 2 + Test 3 Peak 

Temp., use

as basis to determine control is 

adequate
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The following paragraphs detail the enforcement actions and additional testing 

 summarized in the Exhaust Temperature Action Table above: 

Scenario 1

The DPM control is adequate if the exhaust gas temperature measured is less 

than or equal to 650°F for an HTDPF or less than or equal to 302°F for a 

Paper/Synthetic filter.

A citation shall be issued for violation of § 72.503(d) (Determination of 

emissions; filter maintenance) if the exhaust gas temperature measured is 

greater than or equal to 700°F for a HTDPF or greater than or equal to 325°F for 

a Paper/Synthetic filter. The violation of § 72.503(d) should state that the DPM 

control being relied on to remove DPM from the diesel emissions was not 

maintained in accordance with the manufacturer’s specifications in that the 

filter was being operated at an exhaust gas temperature of XXX°F.

Scenario 2

If the exhaust gas temperature measured is 651°F to 699°F for an HTDPF or 

303°F to 324°F for a Paper/Synthetic filter, the inspector will re-test the machine 

in accordance with exhaust gas temperature test procedures (1 – 6) above. 

If the second temperature determination is greater than or equal to 700°F for 

HTDPF or greater than or equal to 325°F for a Paper/Synthetic filter, then this 

single determination shall be used as the basis of a citation for a violation of 

§ 72.503(d) as stated above.

If the second temperature determination is 651°F to 699°F for HTDPF or 303°F 

to 324°F for a Paper/Synthetic filter, the inspector shall average the two peak 

temperature determinations and use this average as the basis of a citation for a 

violation of § 72.503(d) as stated above. 

If the second temperature determination is less than or equal to 650°F for 

HTDPF or less than or equal to 302°F for a Paper/Synthetic filter, then the 

inspector shall conduct a third test of the machine in accordance with exhaust 

gas temperature test procedures (1 – 6) above. 

Scenario 3

If the third temperature determination is greater than or equal to 700°F for 

HTDPF or greater than or equal to 325°F for a Paper/Synthetic filter, then this 

single determination shall be used as the basis of a citation for a violation of 

§ 72.503(d) as stated above. 
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If the third temperature determination is 651°F to 699°F for HTDPF or 303°F to 

324°F for a Paper/Synthetic filter, the inspector shall average the two peak 

temperature determinations in this temperature range and use this average as 

the basis of a citation for a violation of § 72.503(d) as stated above. 

If the third temperature determination is less than or equal to 650°F for HTDPF 

or less than or equal to 302°F for a Paper/Synthetic filter, the inspector shall 

average the two peak temperature determinations in this temperature range 

and use this average as the basis for determining that the DPM control is 

adequate. (Refer to High Temp Exhaust Filter Information for further 

guidance.) 

Determination of Diesel Fuel Sulfur Content 

§ 75.1901(a) (Diesel fuel requirements) specifies only diesel fuel having a sulfur 

content no greater than 0.05 percent and a flash point of 100oF or greater be 

used in equipment operated in underground coal mines. The rule further 

requires that, on request, the mine operator shall provide to an inspector

evidence that the diesel fuel purchased for use in diesel-powered equipment 

underground meets these requirements. The color of diesel fuel cannot be used 

as evidence that the fuel meets the sulfur content limitation. 

A mine operator may provide documentation from the fuel supplier to 

demonstrate that the fuel’s sulfur content complies with the standard. 

However, in cases where there may be a reason to question this documentation 

offered by the mine operator, MSHA may elect to have the diesel fuel analyzed 

by a laboratory to confirm the actual sulfur concentration in a sample of the 

diesel fuel. If a diesel fuel sulfur content question arises, inspectors should 

request that their supervisor contact the Mechanical and Engineering Safety 

Division, A&CC, for assistance in locating a laboratory to perform a fuel sulfur 

analysis. 

Ventilation (Diesel Equipment)

At underground mines where diesel equipment is being operated, tests for the 

presence of carbon monoxide (CO) and nitrogen dioxide (NO2) shall be made at 

the following locations to determine compliance with applicable standards:

1. In the return of each working section where diesel equipment is used, at a 

location which represents the contribution of all diesel equipment on such 

section; In the area of the section loading point if diesel haulage equipment 

is operated on the working section; 

2. At a point inby the last piece of diesel equipment on the longwall or 

shortwall face when mining equipment is being installed or removed; 
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3. In any other area designated by the District Manager as specified in the mine 

operator’s approved ventilation plan where diesel equipment is operated in 

a manner that can result in significant concentrations of diesel exhaust; and

4. Other areas where the diesel equipment is being operated.

 

(Refer to Diesel: 61 Fed. Reg. 55412 (Oct. 25, 1996); and Diesel-Powered

Generators: 70 Fed. Reg. 77728 (Dec. 30, 2005) for additional information.) 

 

Documentation Required: The locations and results of Ventilation (Diesel Equipment) 

test for the presence of carbon monoxide (CO) and nitrogen dioxide (NO2) shall be 

documented in the inspection notes. Each piece of in use or available for use diesel 

equipment inspected should be entered in the inspection notes and ITS to include the 

equipment manufacturer, equipment type, a positive identifying number (e.g., serial 

number, company number, and etc.), and the location of the equipment when inspected 

along with the results of the diesel emissions test conducted (carbon monoxide (CO) and 

nitrogen dioxide (NO2)) and gas temperature readings (where required for outby nonpermissible heavy-duty diesel equipment using non-ceramic paper/synthetic diesel 

particulate filters). The printed MSHA Diesel Inventory Report (provided by the 

supervisor at the beginning of each E01 regular inspection) submitted with each E01 

inspection needs only to be initialed on the front page by the inspector(s) who conducted 

the inspection. The inspection notes must document that the inventory was reviewed 

and describe any discrepancy. 

 J. Air Sample Locations. 

The quantity of airflow shall be measured and samples of mine air collected for 

analysis to determine the quality of the air at the following locations:

1. In each of the working section immediate return entries, outby, and as close 

as practical to the last permanent stopping (to determine section face 

liberation); and

2. At all locations where air leaves the mine (to determine total mine methane 

liberation). On blowing ventilation systems this may include roadways, belt 

conveyor entries, and/or other areas where air leaves the mine.

Samples may also be collected at other locations deemed necessary to evaluate 

air quality. 

Documentation Required: The quantity of airflow measured (including velocity and 

area), the date and time collected, the handheld methane (CH4) and oxygen (O2) readings 

in percentage, the bottle number of samples collected, and the location of the 

measurement or collection, the type of sample (total liberation or other) and any special 
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remarks concerning sample collected, should be documented in the inspection notes and 

entered into the applicable areas of the ITS. 
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Chapter 4 – OTHER INSPECTION-RELATED ACTIVITIES

A. New Mines, Coal Facilities, and Other Sites. On the first visit to a new mining 

operation, the inspector should make the mine operator aware that the Act, the 

MINER Act of 2006, 30 CFR, and MSHA policy govern inspector actions at their mine.

The operator should be informed that these documents are available for viewing on 

MSHA’s website (www.msha.gov). Some of these documents are available in hard 

copy from MSHA’s National Mine Health and Safety Academy located at Beaver, WV. 

Additionally, a discussion should be conducted and the operator made aware of 

MSHA’s role concerning enforcement, education and training, and technical 

assistance.

Key MSHA contact names, positions, and phone numbers within the field office and 

district office having inspection jurisdiction over the mine should also be made 

available to the mine operator should questions arise regarding health, safety, 

compliance, or other concerns at a later date.

B. Shaft or Slope Construction Sites. Shaft and slope construction operations shall be 

inspected monthly for compliance with applicable standards §§ 77.1900(a) to 

77.1916(d) and approved plans. The inspection activity (normally conducted on an 

E18 inspection code) shall, to the extent possible, include an observation of all critical 

phases of the operation such as drilling and shooting, installation of water rings, 

operation of the hoisting rig lowering and raising materials and employees, etc. The 

inspector shall determine if adequate training has been given to all workers at these 

sites and that records of training are available (refer to Shaft and Slope Const: 70 Fed. 

Reg. 77716 (Dec. 30, 2005) for additional information). The provisions of Section 103(f) 

of the Mine Act apply, in that the representative of the miners shall be afforded the 

opportunity to participate in the inspection of shaft or slope construction sites. 

Until all work regarding the project outlined in the approved shaft and/or slope 

sinking plan is completed, 30 CFR Part 77 standards shall apply to the shaft 

construction site. The shaft sinking plan required by 30 CFR Part 77 should indicate 

when the applicable provisions of 30 CFR Part 75 shall be met by the responsible 

organization that commences the mining cycle.

C. Other Major Construction Sites. Regular safety and health inspections of major 

construction sites at existing underground mines shall be conducted at least four times 
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per fiscal year, and at surface mines and facilities at least two times per fiscal year to 

determine compliance with applicable standards and approved plans. At the 

discretion of the District Manager, inspections may be conducted more often to 

address unusual hazards. The provisions of Section 103(f) of the Mine Act apply, in 

that a representative of the miners shall be afforded the opportunity to participate in 

the inspection of shaft or slope construction sites.

D. Interconnected Mines. Where adjacent mines are connected underground but are 

considered separate mines, the inspector shall issue an order to each mine if any 

imminent dangers are found in one mine that may affect the safety of the miners in the 

connected mine. The inspector shall implement this procedure regardless of whether 

these mines are controlled by the same or different operators.

E. Non-producing Mines. Regular safety and health inspections shall be conducted at 

non-producing mines at which persons are working and at mines where persons do 

not regularly work that are placed in a non-producing status due to the presence of an 

impoundment on mine property to determine compliance with standards applicable to 

the activities at the mine. At underground mines that are declared inactive by the 

operator, permanently closed, or abandoned for more than 90 days, inspections of 

surface areas should be scheduled and conducted to determine compliance with 

§ 75.1711 (Sealing of mines). 

F. Abandoned Mines. As long as there is an active impoundment associated with a 

mine, an abandoned or abandoned and sealed status should not be applied to the

operator. In order for a mine operator to close and abandon a mine, the operator 

must submit appropriate documentation to MSHA (e.g., status change reports for 

dust sampling and underground mine abandonment and closure map). Once the 

notification has been submitted, the District Manager shall ensure that all impacted 

branches in the district (impoundment, roof control or ventilation departments) are 

notified that the mine is either being closed or abandoned. The District Manager 

shall also ensure that the underground mine openings are sealed in accordance 

with § 75.1711 (Sealing of mines). Inspections should not be conducted at 

abandoned mines with no coal production and no persons are working at the site. 

Enforcement personnel should work closely with supervisors when:

1. A mine’s status is changed to “abandoned.” Event reports for activities at 

mines found to be abandoned should be amended or revised; 

2. Dates entered for mine status change, including abandonment. The status is 

determined by MSHA and not dictated solely by operator information. A mine is 
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abandoned for inspection purposes when MSHA determines the entity is no 

longer a mine, preparation plant, or facility; and

3. A mine, preparation plant, or facility with an active impoundment submits a 

request to abandon the mine. An impoundment not abandoned in 

conformance with an approved plan as specified in § 77.216-5 (Water, 

sediment, or slurry impoundments and impounding structures) is an active 

impoundment and its associated entity is an active mine. The mine status code 

must be maintained as active or the impoundment should be transferred to an 

active mine identity. 

G. Reopening Inspections. A safety and health reopening inspection of the entire mine 

shall be conducted in accordance with § 75.373 (Reopening mines) before mining 

operations are resumed at mines that have been abandoned or declared inactive by the 

operator. The intent is to ensure the safety of miners at mines that have not been 

routinely examined during periods of inactivity. An exception is where there has only 

been a change of mine name or ownership and the mine has not actually been 

physically closed or abandoned. At underground mines, a safety and health 

inspection of the entire mine shall be conducted as soon as practical after notification 

from the operator that the mine is to be reopened.

The reopening inspector shall determine whether the provisions of §§ 75.1721 

(Opening of new underground coal mines, or reopening of abandoned coal mines; 

notification by operator) or 77.1712 (Reopening mines; notification; inspection prior to 

mining) have been complied with in full. Any citation or order of withdrawal issued 

during the course of a reopening inspection should reflect that this inspection was 

made prior to reopening the mine. Any violations caused by or attributed to the 

negligence of the current operator shall be issued on a separate spot inspection event 

code. Any citations or orders issued under this separate spot inspection are to be 

processed under normal routing for penalty assessment.

Only rehabilitation work may be performed on the surface areas of underground 

mines by an operator prior to notifying MSHA. Surface rehabilitation work may occur 

prior to or during a reopening inspection, but production of coal shall not begin until 

the reopening inspection has been completed. This affords MSHA the opportunity to 

accurately assess the proposed mining systems and also to identify any potential 

problems that may present hazards to miners before mining operations commence. If 

the inspection can be performed safely inby the point where a new section is to be 

started, the area may be released. Areas that cannot be inspected will be sealed or 

ventilated in a manner that will not affect working sections. At underground mines, a 
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Regular safety and health inspection of the entire mine shall be started within 30 days 

after the mine begins production.

H. Spot Inspections. Spot inspections can be conducted for a variety of purposes. They 

include, but are not limited to, determining the status of citations, notices to provide 

safeguards, or other MSHA enforcement documents issued during a previous 

inspection; collecting additional samples; and monitoring potentially hazardous 

conditions not covered by Section 103(i). Section 103(i) of the Act defines the 

conditions in mines under which spot inspections are to be conducted at various time 

intervals. Section 103(i) inspections shall not constitute a part of any other category of 

inspections and shall be directed specifically to the problems, hazards, or conditions 

under which the mine was classified as a Section 103(i) mine.

Designations for 103(i) spot inspection status shall not be delayed until the start of a 

new underground mine inspection quarter. New spot inspection status designations 

shall be made as soon as it has been determined that any coal mine liberates more than 

the required limits of methane within 24 hours in accordance with the 1977 Mine Act 

with regards to 103(i) spot inspection designations. 

The intervals of the 103(i) spot inspections are to be conducted in accordance with the 

Act that requires spot inspections at 5-, 10-, and 15-working-day intervals for mines 

liberating methane at certain rates. Using the 5-day language as an example with 

mines producing over 1,000,000 cfd of methane, the Act requires “...a minimum of one 

spot inspection by [an] authorized representative of all or part of such mine during 

every 5 working days at irregular intervals.” (Mines working a 7 day-per-week 

schedule must have an inspection frequency of one day for each 5-day spot block 

maintained on the spot calendar – holidays will be considered as a working day). A 

103(i) spot inspection should occur somewhere within each consecutive 5-day block of 

time. More than 5 days could pass between consecutive inspections so long as an 

inspection occurs within each block. This assures the required irregularity as well as 

meeting the frequency requirement. Over a 1-year period at the example mine, 73 

103(i) spot inspections would be conducted. The same principle governs mines in 10- 

and 15-day status.

Mines with standard 5-day weeks and which are idle on weekends may adjust their 

spot calendars to exclude weekends. Holidays will be considered as a working day. 

Any type of work in any mine other than normal mine examinations and water 

pumping shall be considered a working day (e.g., belt moves, mine clean up, rock 

dusting, power moves, work during vacation shut downs, etc., shall be considered 

working days). Mines working more than 5 days per week must receive the 
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appropriate 103(i) spot inspection at intervals determined by the mine’s actual 

working days. District Managers are to review the working status of mines subject to 

103(i) inspections and ensure that spot inspections are conducted at the appropriate 

interval of mine working days. 

When the mine is placed into a 103(i) status due to one (or more) of the conditions 

described below the information concerning the change shall be entered and submitted 

on a MSHA Form 2000-209 (2000-209 Instruction Sheet and 2000-209 Union Codes) 

immediately. 

1. Ignition – The mine is in 103(i) status due to an ignition or explosion. (Having had 

an ignition or explosion that resulted in death or serious injury within the past 5 

years.) 

2. Hazard - The mine is in 103(i) status due to especially hazardous conditions. 

3. 5 Day - The mine is in 103(i) status due to methane liberation. (Liberates more than 

1,000,000 cubic feet of methane or other explosive gases during a 24-hour period.) 

4. 10 Day - The mine is in 103(i) status due to methane liberation. (Liberates more 

than 500,000 cubic feet, but less than one million cubic feet of methane or other 

explosive gases during a 24-hour period.) 

5. 15 Day - The mine is in 103(i) status due to methane liberation. (Liberates more 

than 200,000 cubic feet, but less than 500,000 cubic feet of methane or other 

explosive gases during a 24-hour period.)

A limited on-site review of mine examination and/or ventilation records is considered 

essential to 103(i) inspection activities. The inspection shall pertain to the specific 

reason the mine was selected for a 103(i) inspection. For example, if a mine is included 

because it liberates excessive quantities of methane, 103(i) inspections should focus on 

working section ventilation, general mine ventilation, mining activities related to 

methane liberation, bleeder systems, seals (including new seal construction), or other 

areas where methane is likely to accumulate. This does not prevent another category of 

inspection or investigation from being conducted during the same visit to the mine.

Subsequent actions on previously issued citations and orders are permitted as long as 

they are in the same general area and they do not interfere with the requirements of 

the 103(i) inspection. The original inspector notes should be distinct and separate for 

each type of inspection and subsequently filed with the respective inspection report. 
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The following guidelines shall be implemented for 103(i) spot mines: 

1. Supervisors shall set up calendars to track mines that are included in 

the 103(i) inspection requirements. Section 103(i) spot inspections shall 

be conducted at irregular intervals, including off shifts and weekends, as 

resources and the budget permits. 

2. An inspection shift shall be dedicated to 103(i) spot inspections. This means 

that a “normal” or standard inspection shift (a minimum of 8-hour shift) 

which includes travel and related inspection activities, will suffice to meet a 

full day’s requirement. Thereafter, other inspection duties, primarily E01 

activity, may be conducted at the same mine or another mine.

3. While conducting the 103(i) spot inspection, activities shall pertain to the 

specific reason the mine was selected for a 103(i) inspection. For example, if a 

mine is included because it liberates excessive quantities of methane, 103(i) 

inspections should focus on mining activities, bleeders, and seals. If an 

evaluation of the active section takes less than a standard day, the remainder 

of that day should be spent in the bleeder entries, returns, or evaluating seals.

It may also be necessary to inspect seals during spot inspections under 

Section 103(i) of the Mine Act (including new seals and seals being 

constructed). Seals that are constructed as part of an approved spontaneous 

combustion plan that are accessible, such as those outby the face on the 

tailgate or inby the face on the headgate, also may be inspected.

When present on a working section, during 103(i) inspection (regarding liberation of 

excessive methane), the inspector should measure the air quantity in the last open 

crosscut in each set of entries or rooms on each working section, the quantity of air 

reaching the intake end of a pillar line, at the end of the face ventilating device (if 

required) where equipment is being operated, the air velocity at each end of the 

longwall face, and the quantities approved in the ventilation plan. The inspector will

assure that the face ventilation control devices are installed and maintained in 

accordance with the approved ventilation plan and visually check that water sprays 

used for respirable dust suppression are properly maintained and functioning each 

time the producing working section is inspected. 

Randomly, while conducting 103(i) inspections, the inspector should observe the mine 

operator calibrating the methane monitor of face equipment. 
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Checks may be randomly conducted for compliance with §§ 75.400 (Accumulation of 

combustible materials) and 75.403 (Maintenance of incombustible content of rock dust)

during Section 103(i) spot inspections at mines selected for such inspections due to 

excessive methane liberation, methane hazards, or ignitions if the inspector decides 

such samples are necessary.

Documentation Required: The inspector shall document the location and results of air 

readings in the narrative portion of the inspection notes.

I. Accident Investigations. Procedures for formal reports of accident investigations are 

covered in the Accident/Illness Investigations Procedures Handbook. Reports 

required in addition to the formal report will contain the citations and orders issued 

during the accident investigation for violations that contributed to the cause of the 

accident. Also, Section 103(j) or 103(k) orders issued during the investigation are to be 

included in the accident report. All other citations and orders issued that are not pertinent to the cause of the accident shall be included in a separate report, usually a spot 

inspection report. (Refer to Part 50 Direct Final Rule: 74 Fed. Reg. 68918 (Dec. 29, 2009)

for additional information.) 

Issuance of Citations for Failure to Immediately Notify MSHA of an Accident 

 Under § 50.10: 

 Violations for failure to immediately notify MSHA of accidents, as defined in 

§ 50.2(h), may not be cited under § 50.10 alone. Instead, violations of § 50.10 must be 

cited using one of the following paragraphs: 

1. § 50.10(a) for accidents involving death of an individual at the mine;

2. § 50.10(b) for accidents involving injury of an individual at the mine which has a 

reasonable potential to cause death;

3. § 50.10(c) for accidents involving entrapment of an individual at the mine which 

has a reasonable potential to cause death; or 

4. § 50.10(d) for any other accident [which would include an entrapment of an 

individual at a mine for more than 30 minutes and accidents defined in 

 § 50.2(h)(4) through (12)].
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J. Petitions for Modification Investigations. The procedures for investigating and 

processing Section 101(c) petitions for modification are found in the Petitions for 

Modification Handbook. 

K. Special Investigations. Procedures for special investigations are found in the Special 

Investigations Procedures Handbook. Instruction on filling out Possible 

Knowing/Willful Violation Review form, MSHA Form 7000-20, can be found in this 

handbook. (Refer to 7000-20 Possible Knowing/Willful Instructions for further 

guidance on filling out the form.) 

Note: Only a violation of a mandatory health or safety standard or order issued under 

the Mine Act, or MINER Act of 2006 shall be reviewed for possible further action. This 

includes violations of 30 CFR Parts 47, 48, 49, 50 (for 50.10 only), 62, 70, 71, 72, 75, 77, 

and 90. The inspector and their supervisor shall first review each citation or order to 

ensure that the violation has been properly cited.

L. Technical Investigations. Technical investigations are similar to spot inspections 

because the investigations are directed to a specific purpose or subject. Detailed 

reports of tests, observations, and conditions must also be maintained in the UMF, 

Special Attention Areas, for as long as they are applicable.

 Transmittal of Technical Support Reports with Recommendations for Mine 

Operators:

 

1. Immediately following a Technical Support investigation at a mine site resulting in 

recommendations for the mine operator, a close-out meeting will be held with mine 

management and the miners’ representative to discuss the preliminary results.

2. Technical Support on-site investigation reports containing recommendations to the 

mine operator will be sent to the District Manager and the Chief of Safety, Coal. 

The District Manager will transmit the report to the mine operator and miners’ 

representative. Delivery will be documented. 

3. Requests for Technical Support investigations will come from the District Manager 

or the Chief of Safety, Coal to the appropriate Technical Support Center Chief. The 

District Manager will notify the Chief of Safety when Technical Support assistance 

has been requested. 

4. A copy of the report will be placed in the mine file.
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M. Electrical Inspections/Investigations. Electrical inspection and investigation 

procedures are found in the Coal Electrical Inspection Procedures Handbook. A 

regular inspector shall not attempt to perform inspections or tests that require the 

expertise of an electrical specialist. 

N. Health Inspections/Investigations. Health inspection and investigation procedures 

are found in the Coal Mine Health Inspection Procedures Handbook, Chapter 1 

Revision, Chapter 3 Revision, Chapter 5 Revision, Chapter 6 Revision, and Chapter 9 

Revision. The inspector/specialist is not required to sign the dust sampling result on 

computer generated MSN 014 after the results are analyzed (only that there must be 

some type of identifier of who conducted the survey). A copy of MSN 014 should be 

maintained with the event inspection report on which it was conducted. The inspector 

/specialist should assure that all Respirable Dust Sampling and Monitoring Data 

MSHA Form 2000-86s are inserted in the event inspection report. MSHA Form 2000-

146 is no longer to be used. (Refer to MSHA Form 2000-86 Respirable Dust Sampling 

and Monitoring Data; MSHA Form 2000-84 Noise; 2000-96 Designated Occupation 

Change Notice; Q&As Noise Exposure 2000; Coal Mine Occupations Form 2000-169; 

Noise: 64 Fed. Reg. 49548 (Sept. 13, 1999); Asbestos: 73 Fed. Reg. 11284 (Feb. 29, 2008); 

and Dust Sampling: 75 Fed. Reg. 17512 (April 6, 2010) for additional information and 

available forms.) 

High Levels of Quartz: Each respirable dust sample that indicates quartz exposures 

that are determined to be greater than 100 μgm3 based on MSHA and/or operator 

collected samples shall be investigated. For underground mines and surface sampling 

entities with a dust-control plan, these actions will be addressed by notifying the mine 

operator of MSHA’s concerns about miners’ exposure to high quartz levels and the need 

to address these concerns by modifying the dust-control parameters to reduce the 

quartz in the miners’ work environment as measured by respirable dust samples. 

O. Part 50 Audit Program. The District Manager shall be responsible for the audit 

program. Audits will be conducted under the inspection and investigation authority of 

Section 103 of the Mine Act and 30 CFR Part 50. Audits shall be conducted when 

necessary as determined by the District Manager. To accomplish these audits, auditors 

shall review and document information related to accidents, injuries, and occupational 

illnesses. They will also review the quarterly employment and coal production 

reports, which MSHA considers relevant and necessary to determine compliance with 

the reporting requirements. The auditors will be inspectors selected by the District 

Manager, and they should have a thorough understanding of Part 50 and audit 

procedures.
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Responsibilities.

 1. District Manager. The District Manager will:

 a) Direct the audit program and provide the Administrator with a 

 report on the audit results;

 b) Initiate a Part 50 audit whenever circumstances indicate that it is 

appropriate. In all instances, however, a Part 50 audit will be required at mines at 

which a chargeable fatality occurred;

 c) Ensure that appropriate enforcement action is taken when required by audit 

 results;

 d) Provide applicable data and guidance to the auditors; and

 e) Furnish to the auditors documentation that establishes MSHA policy or 

 procedures concerning 30 CFR Part 50 and the audit program.

 Auditors. Part 50 auditors will:

 a) Request an audit package for the mine. There are two alternate methods for this:

1. The audit package can be obtained from the MSHA intranet website 

http://mshanet.msha.gov/ (hyperlink only accessible when connected to the 

MSHA network) by clicking on: 1) MSHA Report Center; 2) DW Production 

Reports; 3) Part 50 Reports; and 4) Part 50 Audit Checklist. Questions should be 

directed to the Office of Program Evaluation and Information Resources (PEIR), 

Information Technology Center (ITC), (303) 231-5475; or 

2. The computer-generated audit forms can be obtained from ITC. The forms that 

cover the preceding 3 years must be requested at least 2 weeks prior to 

conducting the audit.

 b) Coordinate the audit with the inspector conducting the regular 

 inspection at the mine being audited;

 c) Keep the District Manager informed of all changes in plans, schedules, problems

 that arise during each audit, and any other factors that could affect the progress 

 of the audit; and

 

d) Have some latitude in determining how the audit will be conducted (e.g., 

 number of days and scope of review).
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Structuring and Conducting the Audit. 

 a. Consistency. Data collection, data analysis, and audit review should 

 be as consistent as possible so that a National analysis can be based 

 on the same type of data.

Data Collection and Verification. The purpose of data collection in these audits is to 

allow auditors to check, to the extent possible, all data necessary to determine operator 

compliance with Part 50. The auditors will review records and conduct interviews, as 

well as observe mine operator procedures and practices.

In all instances, MSHA Form 7000-1, MSHA Form 7000-2, and the mine operator 

accident investigation report (where applicable) must be compared against the 

employment, hours worked, and injury and occupational illness data obtained from 

Office of Injury and Employment Information (OIEI). Operators who refuse access to 

such records will be cited.

In addition, auditors should verify compliance by using other data sources. Such 

sources may include miners’ representative and employee interviews and examination 

of other available records including state workers’ compensation records. (Also see 

§ 50.11.) If discrepancies are found, amended copies of forms shall be immediately

submitted by the operator/contractor to OIEI.

Protection of Personal Information. Personal information collected in an audit shall 

be protected from public disclosure under the Freedom of Information Act, 5 U.S.C. § 

552, and the Privacy Act, 5 U.S.C. § 552a, as applicable. 

Procedures for Safeguarding Personally Identifiable Medical or Other Sensitive 

Information: 

In conducting audits, it is often necessary for MSHA to collect personally identifiable 

medical information about miners-injuries or illnesses. Because, in general, access to 

personally identifiable medical or other sensitive information raises privacy 

concerns, the following procedures are being issued to protect the information 

collected. A copy of these procedures (HQ Memo dated Dec 13, 2010) shall be 

included in Part 50 audit files. 

1. Filing of information. Part 50 audit information shall be kept in a file (electronic or 

manual) separate from the uniform mine file or any other inspection records, and 
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shall be identified by the mine name and mine identification number. The cover of 

the file shall have a label stating: "May contain personally identifiable medical or 

other sensitive information-- Authorized Users Only." 

2. Storage of information. Information shall be stored in a locked file cabinet, safe, or 

secure room when not being reviewed. 

3. Authorized users. Access to the information shall be limited to persons whose 

official duties require them to work with such information, but may include 

persons who have a need to know the information to perform related duties. 

4. Access control system. A log or other method shall be used to identify persons 

who have access to the information and to account for removal of information from 

the stored area.

5. Safeguarding during transport. Persons shall maintain control of the information 

during transport and shall protect the information from unauthorized or 

unintentional access, disclosure, modification, or destruction.

Preparation and Distribution of Audit Results. The preparation of audit results and 

findings will include input and cooperation from all audit members. The auditors will 

furnish a copy of audit results to the District Manager. A review and discussion will 

be held if necessary. A copy of the audit results will be filed with background data 

and relevant documentation on the audit. 

The District Manager will send a copy of the completed audit to the Chief, OIEI. (Refer 

to the PC-7014 Yellow Jacket Pt 50 Q&As; Part 50 Accident Rep.: 74 Fed. Reg. 68918 

(Dec. 29, 2009); and Part 50: 75 Fed. Reg. 21990 (April 27, 2010) for further guidance 

and additional information.) 

P. Hazardous Condition Complaint Inspections. Hazardous conditions complaints

(HCC) whether classified as Section 103(g) or “Other” hazardous condition complaints 

are a necessary part of the safety and health effort and must be addressed in a manner 

consistent with the seriousness of the complaint. The Hazard Complaint Procedures 

Handbook establishes procedures for addressing hazardous condition complaints. 

Inspectors and specialists must follow the procedures established by the Hazard

Complaint Procedures Handbook when investigating hazardous condition complaints. 

The Mine Act and 30 CFR Part 43 require MSHA to perform an immediate inspection 

of a mine when any communication from a miner, representative of the miners, or 

other party alleging an imminent danger, a violation of a mandatory safety or health 
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standard, or a violation of the Mine Act or the MINER Act of 2006 at a mine is 

received. Activity codes E03 (for Section 103(g) complaints) and E04 (for complaints 

other than complaints made by a miner or representative of the miners) are designated 

for hazardous condition complaint investigations. The Act requires MSHA to initiate a 

separate investigation to determine whether the alleged violation or danger exists.

The Hazard Complaint Procedures Handbook instructs investigators to provide mine 

operators and miners representatives with a sanitized copy of the hazardous condition 

complaint allegations (version where all personal identifiable information has been 

removed), when investigating a Section 103(g) hazardous condition complaint. As 

described in the Hazard Complaint Procedures Handbook, the sanitized allegations 

must be written in a way that keeps the identity of complainants confidential. This 

sanitized notice shall be provided no later than at the time the investigator arrives at 

the site where the hazardous conditions allegedly exist. For example, if the hazard 

was alleged on No. 4 Belt the complaint notice should be given at the time the 

investigator arrives at the No. 4 Belt. If the hazardous condition complaint addresses 

more than one location or area of the mine, the written notice can be broken down in 

parts and each part issued to the operator at the time the investigator travels to the 

alleged site(s). For “Other” hazardous condition complaints, a copy of the 

complainant’s allegations is not provided to the mine operator or any other party.

When an imminent danger is alleged, the mine operator shall be informed of the 

allegation and directed to investigate the hazard immediately. See Hazard Complaint 

Procedures Handbook for further discussion of allegations of imminent danger and 

the actions to be taken by MSHA. 

For Section 103(g) complaints, when no violations are found or a special investigation 

is not warranted, the miner or representative of the miners shall be notified in writing 

of MSHA’s negative findings. A copy of the notice shall also be given to the operator 

prior to leaving the mine premises on a MSHA Form 7000-3a (Mine Citation/Order 

Continuation Form) or MSHA Form 7000-35 (Complaint Allegations and Findings

Form). Should the special investigation continue for more than one inspection day, the 

parties should be notified in writing that MSHA’s investigation is ongoing and has not 

reached a conclusion. A copy of the notice shall be provided prior to leaving the mine 

premises on a MSHA Form 7000-3a or MSHA Form 7000-35. These requirements for 

notification relate only to hazardous condition complaints categorized as Section 

103(g) complaints.
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If the inspector observes violations, the inspector shall take appropriate enforcement 

action. When violations are observed during the investigation, they shall be cited on a 

separate event. 

Filing Hazard Condition Complaints in the UMF On completion of all hazard 

condition complaint investigations, the sanitized version of the hazardous condition 

complaint shall be filed under the title “Miscellaneous” under subtitle “Hazard 

Complaints” in the appropriate mine file. All complaints received, with either a 

positive or negative finding, shall be filed in the UMF. The complaints are to be 

removed quarterly so that only one year of history is retained. Reports from the HCC 

application in MSIS should be used to meet this requirement. The HCC system is the 

official record of hazardous condition complaints received by MSHA. See the Hazard 

Complaint Procedures Handbook for more information on the HCC application. 

(Refer to 7000-33 Verbal Complaint Information; 7000-34 Notification of Hazard 

Conditions; 7000-35 Complaint Allegations and Findings; and One Call Does it All 1 

800 Number for available forms and additional information.) 

Q. Railroad Equipment. If an inspector encounters unsafe conditions involving railroad 

equipment owned by a railroad company (including trackbed, railroad cars, or other 

equipment) he/she should report the conditions to his or her immediate supervisor. 

The supervisor is to inform the District Manager of the unsafe conditions. If the issue 

involves a rail carrier and the carrier has responsibility over the track and/or 

equipment involved, then the District Manager shall contact the Federal Railroad 

Administration (FRA). This does not preclude appropriate actions taken by inspectors 

to protect the health and safety of miners exposed to the conditions in areas under 

MSHA jurisdiction. The inspector should gather the appropriate mine information, 

name of railroad company, the conditions or circumstances which are deemed unsafe, 

and any other relevant information. 

If the unsafe trackbed, railroad cars, or equipment owned by the railroad company 

presents an imminent danger, a Section 107(a) imminent danger withdrawal order, 

with no underlying violation, shall also be issued to the mine operator, requiring that 

the mine operator’s employees be removed from the unsafe area. If the above 

procedures have been followed and the hazard continues to exist, an appropriate 

citation or order may be issued to the railroad company requiring that the unsafe 

condition be corrected. The inspector should ensure that MSHA has jurisdiction over 

the unsafe equipment (i.e., the equipment is located on mine property). 

When the mining company owns the railroad trackbed, railroad cars, or other 

equipment and any of these are found to be in violation of the Act or standards, an 
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appropriate citation or order shall be issued to the mine operator. If warranted, a 

Section 107(a) imminent danger withdrawal order shall also be issued to the mining 

company.

R. Mining Sites, Milling Operations and Plants. An MSHA/OSHA (Occupational 

Safety and Health Administration) Interagency Agreement regarding jurisdiction over 

milling is currently in effect. Inspection personnel should be familiar with the 

agreement. Should a question on jurisdiction develop, refer to MSHA’s Program 

Policy Manual, PPM Volume 1, Section 4. If additional guidance is needed, the matter 

should be documented and brought to the attention of the immediate supervisor or 

District Manager.

S. Explosives. Compliance inspections of explosives storage facilities on mine property 

shall be conducted to determine if the facilities meet the requirements of the 

Commerce in Explosives standards (27 CFR Part 555, Subpart K – Storage). (Refer to 

the ATF Federal Explosives Law and Regulations Title 27 Part 555 ATF Publication 

5400.7, List of explosive Materials, and ATF Telephone List for additional information.) 

§§ 77.2(e)(4) (Definitions) and 77.1304(a) (Blasting agents; special provisions) reference 

the former Bureau of Mines Information Circular IC 8179 and IC 8746 (revision to IC 

8179) “Safety Recommendations for Sensitized Ammonium Nitrate Blasting Agents.” 

Where surface mines are close to underground operations, an inspection shall be 

conducted for any danger surface mining may present to underground miners. This 

includes shaft and slope sinking operations connected to underground mines and 

surface blasting directly over or adjacent to underground mine workings. 

The inspector shall: 

1. Inspect records of licensees and permittees under MSHA jurisdiction;

2. Inspect storage facilities where explosive materials are stored; 

3. Document noncompliance or compliance on ATF E-ATF Form 5030.5 or ATF 

5030.5 (revised 2005) and (ATF E-ATF Form 5400.5 or ATF Form 5400.5 Report of 

Theft or Loss-Explosive Materials (revised March 2008)); and 

4. Promptly notify a mine supervisor or manager of any noncompliance.

As a precaution against the use of deteriorated or damaged explosives, the inspector 

should check with mine operators concerning explosive materials they have 

purchased. If there is any indication that explosives recently purchased were in a 
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deteriorated or damaged condition, obtain the name of the explosives supplier. In 

addition, determine that any deteriorated or damaged explosives encountered are 

being handled and disposed of properly by the mine operator. 

Consider degraded explosives as non-permissible, as they can be unstable and 

unexpectedly detonate if mishandled. If degraded explosives are used, a misfire,

hang-fire, or fire can occur. Therefore, special precautions shall be taken in their 

removal and disposal. They shall be transported in limited quantities and in proper 

containers, preferably with a sawdust bed for insulation and absorption qualities.

Carefully consider and evaluate the following factors when dealing with degraded 

explosives: the amount of explosives, the location, the condition, the 

knowledge/capability of personnel, and mode of transportation. Whenever possible, 

allow the explosives supplier to remove degraded explosives.

ANFO-based Explosives – Ammonium Nitrate Fuel Oil (ANFO) is hygroscopic 

(readily absorbing and retaining moisture) due to a high percentage of ammonium 

nitrate as a constituent. For this reason, it is typically wrapped in plastic membrane. 

When deterioration occurs due to moisture, it is indicated by the wet or pasty 

condition of the powder usually at the machine-pack end. This condition renders the 

explosive useless for blasting and requires disposing the explosives following the 

manufacturer’s instructions. 

Nitroglycerin-based Explosives – Nitroglycerin (NG) leaks from explosives. Leakage 

is shown by the discoloration of the shell paper or by the presence of drops of 

nitroglycerin on the case liner and possible discoloration of the box. Leakage occurs 

over time when NG explosives are not rotated and gravity separates the NG from the 

inert stabilizing material that makes up the bulk of the explosive. The operator should 

consult the manufacturer if NG from degraded explosives has leaked onto the floor of 

the magazine. The floor should be washed thoroughly with an agent approved by the 

manufacturer for the purpose of desensitizing NG. If experienced personnel are not 

available for removal or disposal, or if there is any question about the safety of the 

undertaking, the handling and destruction of the explosives should not be attempted 

until a representative of the explosives manufacturer has been consulted.

The Memorandum of Understanding between MSHA and the Bureau of Alcohol, 

Tobacco, Firearms and Explosives (ATF MOU) currently in effect states that MSHA 

agrees to inspect explosive storage magazines for the ATF as part of normal E01

events. Specifically, MSHA has agreed to inspect explosives storage facilities (Subpart 

K, orange book) and explosives records and reports (Subpart G). 
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Violations of ATF regulations should be entered on ATF Form 5400.5 and distributed 

to the mine operator. All inspection results and all accidental or unintended 

detonations investigated by either MSHA or the mine operator must be reported to the 

appropriate ATF Regional Regulatory Administrator. Any theft of explosives or 

suspicious activities concerning explosives must be immediately reported to the ATF 

on ATF Form 5400.5. 

MSHA inspectors should use standard procedures when citing violations of 

§§ 75.1301(a) to 75.1328(c) or 77.1300(a) to 77.1304(d) (Explosives and blasting) 

pertaining to explosives. The ATF standards only apply to surface explosives storage 

and usage. All underground storage and usage is only covered by § 75.1300. For 

violations falling under 27 CFR (Subparts K and G), the inspector will document this 

violation on ATF Form 5030.5. Please note that the ATF storage and record regulations 

include items that are not included in 30 CFR. In those cases, the ATF violations will 

only be entered on ATF Form 5030.5 and no MSHA citation will be issued. 

The Surface Mining Control and Reclamation Act of 1977 requires approval of an 

operator’s blasting plan by MSHA and the Department of the Interior’s Office of 

Surface Mining (OSM), or the appropriate state agency, when surface blasting 

activities are planned in close proximity to an active underground coal mine. 

Therefore, MSHA shall evaluate such plans when they are received from the operator, 

from the state regulatory authority, or from OSM. Joint approval with MSHA is also 

required when a coal mine operator proposes to discharge slurry, water, or other coal 

mining waste into active, inactive, or abandoned underground mine workings. 

If the plans adequately address the health and safety of both surface and underground 

coal miners, MSHA must provide written notification to the originator of the plans and 

copies of the decisions must be mailed to the other concerned parties. Notification of 

disapprovals will be served in the same manner. 

Document a violation or noncompliance on ATF E-Form 5030.5 or ATF Form 5030.5 

(revised 2005), Report of Violations, and give the original to the licensee, permittee, or 

operator. The inspector shall make a recall inspection on a scheduled date, when 

necessary, and complete Part II of ATF E-Form 5030.5 or ATF Form 5030.5 at that time. 

If a second recall inspection is necessary, the inspector will complete Part III of ATF EForm 5030.5 or ATF Form 5030.5. 

If a condition is a violation of both 30 CFR and 27 CFR, issue a citation/order and 

document the action on the ATF E-Form 5030.5 or ATF Form 5030.5 (revised 2005). 
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For further reference, consult ATF P 5400.7 (11/07), “ATF: Explosives Law and 

Regulations” and 27 CFR Part 555, “Commerce in Explosives.”

Report each compliance inspection to the ATF Regional Regulatory Administrator and 

all copies of ATF Forms shall be forwarded to the District Manager who will retain a 

copy and forward copies to the appropriate ATF regional office. A report showing no 

violations may be submitted on any appropriate form (ATF E-Form 5030.5 or ATF 

Form 5030.5), provided the name, address, and license or permit number, if any, of the 

proprietor and the date of inspection are shown.

Submit a copy of the applicable form(s) with all E01 inspection reports for mines that 

use explosives and with any other inspection report where an ATF standard is cited. 

A contractor working on mine property may have their own licenses and permits thus 

requiring MSHA to conduct inspections of explosive use and storage under the 

contractor’s identification number. 

If the mine operator or contractor on mine property does not use or store explosives 

and has no licenses and permits for explosives, the ATF Forms do not need to be filled 

out.

Below are three examples of completed reports of noncompliance with ATF standards: 

ATF Form 5030.5 Example 1: Notice of noncompliance shall be issued even though the 

condition was corrected while the inspection was being made. This is a history of the 

total operation and could possibly be important in the future if the same condition is 

found. No recall is needed if the condition is corrected and future voluntary 

compliance is indicated. 

ATF Form 5030.5 Example 2: Notice of noncompliance issued since the condition was 

not corrected while the inspection was being made. Recall date set and indicated 

when the operator would be in compliance. A recall inspection is similar to an 

inspection made by an MSHA inspector following the expiration of the abatement time 

granted when a citation is first issued. 

ATF Form 5030.5 Example 3: Recall has been made and all violations apparent on 

August 22, 2011, have not been corrected and future voluntary compliance is not 

indicated. When a recall investigation is necessary a judgment must be made at this 

time to determine if the noncompliance is willful or non-willful. If some circumstances 

have prevented the compliance and the explanation is satisfactory, an additional recall 

can be made without further action. If the continuing violations are considered willful, 
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the investigation should be referred to ATF for further investigation. If the inspector 

cannot get the form signed by the owner or his or her agent, then the inspector will 

write in the name of the individual involved and so state that this is not a signature. A 

copy of the completed form should still be given to the owner or his or her agent.

Where the inspector is required to sign any of the ATF forms, the inspector should also 

print his or her name in the same block as has been done in the past to determine the 

name of the person who signed the form. 

Evaluating Applications to Become Qualified to Perform Blasting in Underground 

Coal Mines - Persons performing blasting in underground coal mines shall be either 

certified to perform blasting by the state in which the mine is located or be qualified by 

MSHA to perform blasting. To be qualified by MSHA, underground coal miners shall 

successfully demonstrate to an inspector their ability to safely use permissible 

explosives. In states lacking programs for certifying blasting personnel, MSHA is the 

qualifying agency and the District Managers have been delegated this responsibility.

The procedures listed below are to be used when evaluating applicants to become 

qualified to perform blasting in underground coal mines under provision of 

§ 75.1301 (Qualified person). The basic approach is for each potential qualified blaster 

to answer a series of questions on the use of explosives and demonstrate critical tasks 

associated with the blasting operation. The demonstration may either be held 

underground at the coal face or on the surface using a simulated coal face. Either way, 

knowledge of the same critical tasks shall be demonstrated. General instructions for 

inspectors to conduct the evaluations are given below. Demonstration questions and 

answers, an answer sheet, and drawings of an acceptable simulated coal face are 

available in the District Office. 

1. When the demonstration is held at a mine, the inspector should inform both mine 

management and the representative of the miners that he or she is there for a 

qualified blaster demonstration.

2. The inspector should briefly explain that the purpose of the demonstration is for 

the candidate to show the ability to use explosives under the provisions of 30 CFR

Part 75, Subpart N, by answering questions and performing certain tasks.

3. To successfully demonstrate this ability, the candidate for qualified blaster needs 

to answer at least 80 percent of the questions correctly and demonstrate the ability 

to perform the critical tasks. Demonstration of the critical tasks should be 

permitted only after the required percentage of questions is correctly answered.

4. All questions or tasks not answered or performed properly should be thoroughly 

discussed with the candidate on completion of the demonstration to assure 
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understanding of procedures necessary to safely perform blasting activities. 

Questions should be repeated as necessary.

Successful demonstrations will be documented on MSHA Form 5000-17 following

Form 5000-17 Instructions (Certification/Qualification Examination Report), and 

submitted to the Qualification and Certification Unit, P.O. Box 25367, Denver, 

Colorado 80225-0367. A “Qualified Person: Blasting” card will be issued by the Q & C 

Unit and mailed to the qualified person.

T. Mine Emergency Procedures. 

Dispatching MSHA Personnel and Emergency Equipment to Mine Site - On 

notification of an emergency, the District Manager or other designated district official 

shall immediately dispatch inspectors to the mine site.

Initial On-Site Procedures - The first MSHA personnel arriving at a mine after 

notification of a mine emergency shall initiate the following actions:

1. Issue the appropriate Orders of Withdrawal necessary to ensure the health and 

 safety of the miners.

 

 2. Obtain the following information (i.e., the answers to these following questions) 

 and promptly report it to the District Office:

 a) Are miners entrapped? Have they been communicated with?

 b) What is the nature and location of the emergency?

 c) Have mine rescue teams been alerted?

 d) Have firefighting or rescue and recovery operations started?

 e) Are the surface mine fans still operating?

 f) Is mine emergency assistance needed from the Office of Technical Support? 

 g) Are MSHA’s Mine Emergency Units needed?

3. Advise company officials that persons in contact with miners underground

 should determine if the miners are familiar with the emergency escapeway 

 routes and the emergency evacuation procedures in effect at the mine. If the 
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 miners are not familiar with the routes and procedures, instructions or directions 

 to the nearest escape route should be given.

4. Advise company officials to have the surface fans examined to determine their 

 condition. If a fan is not operating, it should remain off until examinations are 

 made and it is determined that the fan should be restarted. All responsible 

 agencies and company officials should be consulted before restarting a fan.

5. Advise company officials to have an attendant assigned to each operating surface 

 fan to ensure continued operation.

6. Advise company officials to have qualified persons make carbon monoxide 

 and methane tests at each exhausting surface fan and keep a log of the results 

 obtained.

7. Notify officials at interconnected mines of the emergency and inform them that 

 you are issuing them a verbal order of withdrawal.

8. Advise company officials to establish police lines to restrict entrance to mine 

 property except to authorized personnel and to assign guards for the entrances to 

 each mine opening.

9. Determine whether power is on in the mine and in what areas. Mine power 

 available outside of the affected area should be used for transporting mine 

 personnel to the surface and for transporting firefighting and rescue/recovery 

 personnel and supplies to the affected area.

10. Advise company officials to have power disconnected from the affected area, 

unless the power is needed to transport personnel to safety or for rescue/

recovery operations. If power is needed to transport personnel to safety, power 

should be removed upon evacuation or retreat, unless it is needed for rescue and 

recovery operations. Also, advise company officials to have power switches 

locked out or attended by a qualified person.

11. Advise company officials to have a positive check-in and check-out system in 

addition to the one established at the mine. Each person going in and out of the 

mine shall sign in and out.

12. Advise company officials to implement a search program, in conjunction with the

check-in and check-out system, to ensure that any person entering the 
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underground area of the mine does not carry smoking materials, matches, or 

lighters.

13. Advise company officials to alert mine rescue teams, doctors, and hospitals, if 

needed.

14. Advise company officials that current mine maps or prints will be needed. 

15. If another MSHA employee is not present at the mine, request that company 

officials assign someone on the surface to maintain a log of all rescue and 

recovery activities. As soon as another MSHA employee is available, he or she 

shall be assigned to maintain a separate log for MSHA.

16. After the above surface tasks have been completed, proceed underground if this 

 can be done safely, to monitor the firefighting and rescue/recovery operations 

 and look for additional information and causes. If two MSHA personnel are 

 dispatched to the emergency site, one may proceed directly underground, if this 

 can be done safely.

17. Relay all pertinent information to an MSHA person on the surface who shall 

 relay this information to the District Office. 

18. Upon arrival underground, check returns for methane, carbon monoxide, and 

 other gases if this can be done safely and advise company officials to assign 

 persons to continuously sample the returns and report the results.

 19. All MSHA personnel shall keep complete notes on all activities performed in 

 their work assignments. All such notes shall be submitted to the District 

 Manager or other designated District official.

 

 20. Report all gas readings and mine conditions to the MSHA person in charge of the 

 log, and keep a record of time, location, and gas readings in a notebook. Make 

 sure that the gas detecting devices are accurate.

 (Refer to MSHA Form 7000-10A for pocket card information and Headquarters Mine 

Emergency Response Guidelines Handbook.)

U. Use of 103 (j) and (k) orders. As specified in Item T.1 above, on learning of a mine 

emergency, as soon as possible, MSHA shall issue a 103(j) or (k) order (depending on 

whether or not an inspector is present at the mine site) to the operator along with 
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initial instructions. The order should be reduced to writing and served to the operator 

as quickly as practical. The order should be written so as to protect all persons 

engaged in the rescue and recovery operation as well as any other persons on site, and 

reduce the potential for miscommunication. Parties on site should be informed that 

any activities will be permitted through subsequent modifications of the 103(k) order. 

The 103(k) order is intended to protect all persons involved in the emergency 

operation. As such, all parties on site are subject to the 103(k) order and its subsequent 

modifications. Each proposed action should be reviewed by the designated senior 

MSHA person on site before the 103(k) order is modified and before the action is 

commenced. Even though the 103(k) order is controlling, consistent with federal 

primacy, every effort should be made to gain consensus among the parties present in 

the command center to obtain the safest most effective outcome. (Refer to 

Accident/Illness Investigation Procedures Handbook for further guidance.)

First Response Air Sampling Units:

In addition to following the above guidance, the first MSHA personnel arriving on site 

should establish baseline air quality readings at the main return or exhaust fan after a 

mine fire or explosion has occurred. The following items for the units will be 

maintained in each district and field office, except where field offices are located 

within the same building as the district office: 

a. 115 volt AC Vacuum Pump

b. Flame arrester

c. Two 500 ft. Rolls of 1⁄4-inch inside diameter vinyl tubing

d. ATX-620 Multi-gas Detector with IR Sensor or equivalent

e. Tubing connectors

These air sampling units will permit MSHA to set up a system to monitor the 

atmosphere from a safe location at specific mine locations such as a mine fan or an 

exhaust entry. As a first response system for monitoring air, it is envisioned that 

MSHA personnel will place the vinyl tubing at a mine fan or inside an exhaust entry 

and then run the tubing to a location that will not subject personnel to potentially high 

concentrations of carbon monoxide (CO) or methane (CH4). The vacuum pump will be 

attached to the tubing and operated by connecting to a 110 volt electrical source at the 

mine site. Connecting the vacuum pump, tubing, flame arrester and the ATX-620 

detector or equivalent detector in the manner shown on the attached sketch will 

permit MSHA personnel to monitor the mine atmosphere until additional mine 

emergency equipment is available. In addition, it will be necessary to collect a bag 

sample for documentation of the mine air for analysis by Technical Support or

MSHA’s Air Lab. At least on an hourly basis, a bag sample will be collected and 
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labeled with the date, time, person collecting the sample, and the mine location. The 

bag should be filled two times and emptied after each filling by rolling the bag to 

expel any air. This process ensures that the gas sample bag has been purged of any 

contaminate atmosphere. The gas sample bag should then be filled to approximately 

3⁄4 full or 1⁄2 full if the sample is to be shipped by air. 

First response air sampling equipment is being placed in CMS&H offices so that a unit 

is within approximately 1 hour of any underground coal mine. This results in a 

complete set of the above equipment being located in each Coal office. The vacuum 

pump, flame arrester and tubing should be maintained for mine emergency use only. 

The ATX-620 detector or equivalent detector should be used for inspection activities 

such as evaluating the atmosphere behind seals. Each District Manager will 

designate one person (supervisor, if available) in the office where these units are 

located to be responsible for maintaining the readiness of the equipment, including the 

ATX-620 detector. Each set of equipment should be checked at least quarterly to 

determine that it is ready for use if a mine emergency were to occur. The quarterly 

checks should be documented and the records maintained for 3 years. This check 

should note when the monthly calibrations of the ATX-620 or equivalent detector 

were performed and who performed these checks.

Since the ATX-620 detector or equivalent detector will be used in inspection work, the 

use of this instrument must be tracked by a log maintained in the office. Tracking who 

is using the detector will permit the responsible person to make the necessary contacts 

to arrange for the detector to be moved to the site of the mine emergency in a timely 

manner. Using this detector for inspection activities will help ensure the unit is always 

checked for proper operation and the required “bump checks” and calibration checks 

are conducted. (Refer to Air Sample Schematic for further guidance.)

MSHA should ensure that only necessary and appropriate parties are granted access to 

the mine site and surface areas. Persons permitted onsite may include mine 

employees, necessary contractors or consultants, labor representatives, mine rescue 

teams and support personnel, state and local government officials who have some 

responsibility at the operation, law enforcement, ambulances and medical personnel, 

fire department personnel, vendors delivering necessary supplies, food suppliers, and 

others deemed necessary to the emergency operation. Other persons such as elected 

officials, clergy, etc., who have no direct role in the rescue and recovery may be 

permitted access on a case-by-case basis following consultation with MSHA 

Headquarters. High-level elected officials, such as a Governor or U.S. Congressional 

members, should be allowed onsite with immediate notification to Headquarters. 

Family members may be permitted in designated areas unless nearby facilities are 
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provided off-site. Persons not allowed at the mine site should include: reporters, 

photographers, spectators, friends, curiosity seekers, and others not necessary to a safe 

and orderly emergency operation.

Access to underground areas of the mine is further restricted. Underground access 

should be restricted to only mine employees and contractors, state and federal mining 

officials, labor representatives, mine rescue teams, necessary consultants, and any 

others, only if approved on a case-by-case basis following consultation with 

Headquarters. No person should be allowed underground unless necessary to the 

safe and timely rescue or recovery efforts.

Section 103(j) and 103(k)

The term “accident” is defined in Section 3(k) of the Mine Act. Generally, the District 

Manager or District Accident Investigation Coordinator will determine which 

accidents will be investigated. On learning of an accident, unless MSHA is already 

present, enforcement personnel should verbally issue a Section 103(j) order to the 

operator, including initial instructions, as soon as possible. The order, including any 

instructions, should then be reduced to writing and transmitted to the operator as soon 

as practicable. 

The order should also require the operator to prevent the destruction of evidence at 

the accident site. In the event that a mine accident is not a mine emergency (i.e., there 

are no ongoing rescue and recovery efforts), MSHA may issue a 103(j) order 

prohibiting activity at the accident site to prevent the destruction of evidence which 

would assist in investigating the cause or causes of the accident.

On MSHA’s arrival on site and following assessment of conditions, MSHA may 

modify the Section 103(j) order, including all instructions, to reflect that MSHA is now 

proceeding under the authority of Section 103(k) of the Mine Act. MSHA should 

inform parties on site that any activities that are rescue or recovery related will be 

permitted through subsequent modifications of the Section 103(k) order. The Section 

103(k) order is intended to protect all persons involved in the emergency operation or 

accident investigation. As such, all parties on site are subject to the Section 103(k) 

order and any subsequent modifications. Each proposed action should be reviewed by

the designated MSHA person onsite before the Section 103(k) order is modified and 

before the action is commenced. MSHA has the authority to issue a Section 103(k) 

order unilaterally. However, every effort should be made to gain consensus among 

the parties involved to obtain the safest and most effective outcome. (Refer to 103(j) 

Sample Language for further guidance.) 
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In the event of a mine accident where rescue and recovery work is necessary, Section 

103(j) of the Act grants the inspector broad authority to take whatever action, 

including the issuance of orders, that the representative deems appropriate to protect 

the life of any person. Where appropriate, the inspector may supervise and direct the 

rescue and recovery activity.

Immediately on arrival at the mine accident scene, or later as mine rescue operations 

develop, the inspector may determine that direct control is necessary, either entirely or 

partially, particularly in situations where a less hazardous rescue procedure is 

desirable. Because of this broad authority, discretion and good judgment on the part 

of the inspector are imperative.

Under Section 103(k) of the Act, the inspector can issue any such order as deemed 

appropriate to ensure the safety of any person, including a Section 107(a) order if an 

imminent danger is found. Again, it is important to emphasize that the inspector must 

exercise discretion and good judgment when issuing a 103(k) order. The following 

instructions are provided to assist in exercising this discretion:

1. The Section 103(k) order is issued to ensure the safety of any person at the mine, 

and should apply to relevant areas of the mine to accomplish this. In some cases, the 

order will only apply to the accident site itself. In some accidents (for example, a 

fire, explosion, or inundation), the extent of the hazard may not immediately be 

known, and the order may apply to the entire underground mine until the extent of 

the hazard is clarified. Additionally, the inspector may apply the order to the entire 

underground portion of the mine if evidence reasonably indicates the same safety 

risks are present throughout the mine.

2. The Section 103(k) order should remain in effect until a systematic evaluation of the 

conditions and safety practices is conducted, and MSHA reasonably determines that 

hazards similar to those that caused or contributed to the accident have been 

eliminated. The evaluation can be made prior to the accident investigation or 

concurrent with it. After this evaluation and determination have been made, the 

Section 103(k) order may be modified to permit an area of the mine to resume 

operations, or terminated if appropriate, provided that such action will not pose a 

hazard to the miners. 

3. In addition, Section 103(k) requires the operator to obtain the inspector’s approval of 

any plan to recover any person in a mine, to recover the mine, or to return affected 

areas of the mine to normal.
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Notwithstanding the instructions above, during rescue and recovery work, when it is 

determined by the inspector that an order is appropriate to protect the life of any 

person, or that supervision and direction of rescue and recovery activities is 

appropriate, a Section 103(j) order shall be issued to the operator. When possible, the 

inspector should contact the District Manager or Assistant District Manager prior to 

issuing a Section 103(j) order.

An inspector, when present at the mine following an accident, may immediately 

determine that rescue and recovery work is necessary. In such a situation, the Section 

103(k) order issued under this section will generally be appropriate. Section 103(k) 

orders are not to be terminated without approval of the District Manager or his or her 

designee.

V. Special Assessment. Special assessment is mandatory for the following violations: 

those for which the daily penalty has been invoked under Section 110(b) of the Mine 

Act, those cited to miners related to smoking or the carrying of smoking materials 

under Section 110(g) of the Mine Act, flagrant violations as defined in the MINER Act, 

violations involving personal liability under Section 110(c) of the Mine Act, and 

violations involving discrimination under Section 105(c) of the Mine Act.

Special assessment review is required for all violations that contribute to a fatality or 

serious injury. However, special assessment is not mandatory for those violations as 

they may involve circumstances for which MSHA determines, in its discretion, special 

assessment is not warranted.

An inspector may recommend any enforcement action for special assessment if unique 

and/or aggravating circumstances exist. After the issuing inspector and the 

inspector’s supervisor review a violation, the District Manager shall make the final 

determination as to whether or not a special assessment is warranted. 

Completion of a Special Assessment Review (SAR) Form, MSHA 7000-32 Special 

Assessment Review, is mandatory for any violation submitted for special assessment. 

SARs must describe the facts and circumstances justifying the recommendation for a 

special assessment. An SAR package (copies of inspector notes, conference 

worksheets, sketches or photographs, relevant portions of required plans, accident 

reports or memoranda and other information that would assist the Office of 

Assessments in determining an appropriate civil penalty) will be included with each 

citation or order of withdrawal. In fatal accident cases, the MSHA Legal Identity Form 

must also be included with the SAR package. 
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For review of special assessments of Rules to Live By (RTLB) I (March 15, 2010), Rules 

to Live By II (Jan. 1, 2011), or Rules to Live By III (Jan. 31, 2012) standards, the AR 

should properly evaluate each violation and keep in mind that the RTLB standards are 

the standards that have and continue to contribute to serious accidents and fatalities. 

However, the pop-ups located in IPAL for the RTLB standards are merely reminders 

and should not dictate how the inspector evaluates the violation. Not every RTLB 

violation is significant and substantial or has high negligence associated with it.

When a RTLB standard is violated, the issuing inspector should continue to evaluate 

the violation for a special assessment review. If the inspector’s evaluation of the 

condition is high negligence or higher, an SAR form should be filled out. If 

the inspector determined that the violation was moderate or below, a SAR form 

should only be completed when a special assessment is warranted. 

Special Assessment Review of Violations for Requirements for Personal Protective 

Equipment (PPE).

The failure to provide, maintain, and use personal protection equipment (PPE), and 

train miners in its use continues to be a significant factor in injuries, illnesses, and 

fatalities in the mining industry. MSHA enforcement personnel are to take the 

following actions when PPE citations or orders of withdrawal are issued: 

1. If negligence is elevated as at least “high” due to mine operator’s failure to 

provide or maintain PPE, or train miners in its use, special assessment review is

required;

2. If negligence is evaluated less than “high” because evidence indicates that a mine 

operator provided or maintained PPE, or trained miners in its use, special 

assessment review is not required except where required under other Agency 

criteria such as investigations and imminent danger situations. 

(For additional information on special assessment matrix and guidance, refer to Part 

100.5, Volume III of MSHAs Program Policy Manual and the Citation and Order 

Writing Handbook.)

W. Appearance as a Witness in Litigation Involving MSHA. 

MSHA personnel who have been asked to participate in or expect to be called as a

witness in litigation to which MSHA is a party should:
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1. Thoroughly review all citations, orders, documents, investigative reports, and 

notes involved in the case, and provide legible copies to the attorney or 

Conference/Litigation Representative (CLR) handling the litigation;

2. Inform supervisory personnel of the litigation and their involvement therein, 

supervisory personnel will ensure that the affected employee is available to the 

attorney or CLR prior to deposition or trial to discuss the circumstances of the 

case and details of testimony;

3. Make necessary arrangements to attend any deposition or hearing and meet with 

the attorney or CLR prior to the deposition or hearing; and

4. Immediately inform the attorney or CLR handling the case of any changes in 

circumstances regarding the enforcement action, his or her availability to appear, 

and contacts with, or requests from, the opposing party or the opposing party’s 

representative, or subpoenas requiring attendance at any meetings or 

proceedings. Under no circumstances communicate with an opposing party’s 

representative without the knowledge and participation of the Solicitor’s Office or 

the CLR assigned to the case. MSHA personnel should not divulge 

communications between SOL attorneys or the CLR assigned to a case to 

opposing parties or third parties. Also, MSHA personnel shall not provide any 

written materials to opposing parties or third parties without the knowledge and 

permission of SOL or the CLR assigned to the case.

During litigation, including deposition and trial, MSHA personnel called as witnesses 

should:

1. Dress neatly and conduct themselves in a professional manner;

2. Be cooperative, respectful, and attentive to the judge, participating attorneys, 

 and other interested parties;

3. When testifying, truthfully answer questions asked and, if you do not know the 

answer, acknowledge that you do not know the answer;

4. Answer questions directly without volunteering extraneous information; 

5. Be prepared to describe the facts and circumstances that support the finding of a

 violation for each citation or order;

6. Be able to define each level of negligence (none, low, moderate, high, and reckless

 disregard) and be prepared to describe the facts and circumstances that support

 the negligence level assigned for each citation and/or order;

7. With respect to citations/orders that are designated “significant and substantial” 

(S&S) and/or “unwarrantable,” be able to define the elements of each designation 
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and to describe the facts that support the S&S and/or unwarrantable finding for 

each citation and/or order; and

8. Promptly correct misstatements in testimony or clarify a point that has clearly

 been misunderstood.

X. Appearance as a Witness or Other Participation in Private Litigation. MSHA follows 

the guidelines for Department of Labor employee testimony found in 29 CFR § 2.20. 

Specifically, this policy relates to:

1. Subpoenas served on MSHA employees requiring them to either (1) produce 

documents or other written materials, or (2) appear and testify in administrative or 

judicial proceedings (including labor arbitrations and actions brought by 

individuals under Section 105(c)(3) of the Mine Act) to which MSHA is not a party; 

and

2. Written or oral requests to informally interview MSHA employees or to produce 

official MSHA documents or other material that may be used in administrative or 

judicial proceedings (including labor arbitrations and actions brought by 

individuals under Section 105(c)(3) of the Mine Act) to which MSHA is not a party.

When subpoenas and requests outlined above are received by an MSHA employee, the 

employee’s supervisor shall be informed immediately. Field supervisors shall 

promptly refer the matter to the appropriate Regional Solicitor’s office or the MSH 

Division, Office of the Solicitor. No further action shall be taken until authorized by 

the Office of the Solicitor. In particular, the substance of the case should not be 

discussed with the party’s representative who issued the subpoena or made the 

informal request until the MSHA employee receives permission to do so. There 

should be no discussions with any outside parties about the substance of the requests. 

A copy of the subpoena or request, along with all available pertinent information, shall 

be forwarded to the appropriate Regional Solicitor’s office or the MSH Division, Office 

of the Solicitor immediately upon receipt.

Note that requests for MSHA documents should be handled under the normal FOIA 

processing procedures, regardless of the identity of the requester or the purposes for 

which the documents may be used.

These procedures are not applicable when the matter is initiated by MSHA or at the 

request of the U.S. Attorney’s office in an MSHA-related case. In these instances, the 

provisions of Section W above apply.

Y. Mine Information Form (MIF) MSHA Form 2000-209. The Mine Information Form, 
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 MSHA Form 2000-209 and 2000-209 Instruction Sheet, must be used whenever a 

change or update in the mine status occurs. (Refer to the Union Abbreviation Codes

for further guidance if filling out line 26.) The form is completed when a mine opens

or closes, or whenever it is necessary to enter or delete a mine from the system; to 

change the status of a mine; or to provide or change descriptive information about a 

mine. 

All other items on this form shall be reviewed for completeness and accuracy during 

each E01 inspection of the mine. However, it is not necessary to fill out the form 

completely during these reviews. Any time the information is being updated, it is 

necessary to complete the first four items plus the information that is being changed.

Mine operators are required by regulation to notify MSHA of certain changes to the 

operational status of each mine. However, it is the responsibility of MSHA 

personnel to determine the correct operational and auxiliary status of each mine and 

ensure that this status is updated. The mine status should be changed as often as 

necessary, either on notification from mine operators or from personal observation. 

If the operational and/or auxiliary status of a mine clearly differs from the status 

provided by the mine operator, MSHA personnel shall determine the correct status 

and update MSHA Form 2000-209 to reflect the actual mine status. At a minimum, 

both the operational status and the auxiliary status of each mine must be reviewed 

and, if necessary, changed by updating MSHA Form 2000-209 at the start of every 

inspection event (for mines with multipliable air samples to be conducted to calculate 

total methane liberation the form should be completed as soon as the analyses are 

received to determine such liberation). Total mine employees on line 15 and 

methane liberation on line 22a often change each quarter and an updated MIF needs 

to reflect any changes. A copy of the completed Form 2000-209 should be 

immediately submitted to the immediate supervisor for review so the information 

can be entered in the MSIS system by the appropriate Mine Safety and Health 

Assistant. A copy shall be maintained with the inspection report. The information 

from Form 2000-209 should be entered in the MSIS system within 3 working days 

after it has been received by the Mine Safety and Health Assistant.

Z. General Mine Status Information (MMU/DA/DWP Data). The status codes on 

MSHA Form 2000-142 are changed only when there are changes in the status of the 

complete mine. If there is a change in the status of a portion of a mine (MMU, DWP, 

DA) that does not apply to the complete mine, that change should be reported on the 

MMU/DA/DWP Data Form. The sampling requirements for the operator are based 

on the status of the individual sampling entities and not the mine itself. The general 

definition of a producing underground mine, as given in §§ 70.220 and 71.220, is one 
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that has at least one producing MMU. Quality control reports will be generated to 

show those mines in AA and AB status that do not meet this requirement. 

AA. Citation Disposition. Inspectors should track violation numbers issued to them from 

the MSIS terminal operator or person responsible for forms control on the Citation 

Disposition Form used to track the use of violation numbers. On receipt of a bank of 

violation numbers, the numbers should be documented on the Mine Citation/Order 

Form Receipt and Disposition Record (MSHA Form 7000-3b located in IPAL), Part I 

completed, and a signed copy should be given to the Mine Safety and Health Assistant

or person responsible for forms control. On use of the bank of violations numbers, 

Part II of the 7000-3b form shall be completed, and a signed copy should be given to 

the Mine Safety and Health Assistant or person responsible for forms control. 

Part I – The inspector will complete this part at the time he/she receives the forms 

listed in Part II. The original signed copies of all voided citations should be attached to 

7000-3b when filed and will be retained by the person responsible for forms control. 

Part II – As the inspector uses the Mine Citation/Order forms, he/she will indicate the 

appropriate disposition of each form opposite the control number. When all forms 

have been used or otherwise accounted for, the inspector should authenticate and date 

the duplicate copy of the form at the bottom and return it to the person responsible for 

forms control. 

(Refer to the IPAL User's Manual for further instructions guidance.)
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Chapter 5 - SAMPLING PROCEDURES

A. Air Samples. The location of samples collected shall be no less than 12 inches from 

the roof, face, floor and ribs. Special collection media may be required to sample for 

the presence of dusts, fumes, mists, and vapors. The Pittsburgh Safety and Health 

Technology Center (PSHTC) should be contacted for guidance on special collection 

media. (Refer to the IPAL User’s Manual for instructions on filling out MSHA Form 

2000-43, Mine Atmosphere Sample Record.)

Air samples sent to the lab are routinely analyzed for five gases: carbon dioxide 

(CO2), oxygen (O2), methane (CH4), ethane (C2H6), and nitrogen (N2) (note: the results 

of nitrogen are not reported on the analysis of air sample report). The 10-milliliter 

(ml) air sample bottles or ‘vac-u-tainers®’ shall be used to collect this type of sample. 

Additionally, when collecting air samples in vac-u-tainers®, a plunger (needle) shall 

be used to prevent contamination. When transferring air samples from gas sampling 

bags to air sample bottles, a double-sided plunger (needle) shall be used to prevent 

contamination. Air samples sent to the lab for fire gas analysis/calculations are 

routinely acetylene (C2H2), argon (Ar), carbon dioxide (CO2), carbon monoxide (CO), 

ethane (C2H6), ethylene (C2H4), hydrogen (H2), methane (CH4), nitrogen (N2), and 

oxygen (O2). For these gases and particularly for carbon monoxide (CO) and 

hydrogen (H2) analysis, 50-ml air sample bottles or bag containers shall be used. 

When collected, bag samples will be labeled with the date, time, person collecting 

the sample and the mine location. The bag should be filled two times and emptied 

after each filling by rolling the bag to expel any air. This process ensures that the gas 

sample bag has been purged of any contaminate atmosphere. The gas sample bag 

should then be filled to approximately 3⁄4 full or 1⁄2 full if the sample is to be shipped 

by air. If analysis for carbon monoxide (CO), hydrogen (H2), or other constituents is 

needed, indicate the chemical by symbol in the remarks section of MSHA Form 2000-

43. Do not use ordinary 10-ml or 50-ml bottles to sample for sulfur dioxide (SO2), 

hydrogen sulfide (H2S), oxides of nitrogen, or aldehydes; special testing tubes or 

vessels are needed. Contact Tech Support for appropriate sample media and 

techniques.

Air samples shall be collected to substantiate violations citing excessive methane 

(CH4), carbon monoxide (CO), carbon dioxide (CO2), and low oxygen (O2). When 

special samples are collected in connection with a problem arising at a mine or to 

substantiate a violation (e.g., less than 19.5 volume per centum of oxygen (O2), more 

than 0.5 volume per centum of carbon dioxide (CO2), harmful quantities of other 

noxious or poisonous gases), inform laboratory personnel of the problem involved. 

Mark the Mine Atmosphere Sample Record for special samples with a conspicuous 
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red “S” on the front of the MSHA Form 2000-43, IPAL printout in the upper left 

corner and on the outside shipment holder/mailer. Such samples are given 

preference over other samples and the analytical results will be promptly reported to 

the appropriate office. 

Procedures for Processing Air Samples taken to substantiate violations: 

a. Describe in the citation or order the location where the air samples were taken to 

substantiate the violation. 

b. Make a notation on the Mine Atmosphere Sample Record, in the “Remarks” 

section, stating the number of the citation or order, the initials of the inspector, 

and the date and time of issuance.

Determine the number of samples necessary to calculate total methane liberation 

(TL) for a mine - All total methane liberation bottle samples should be collected and 

submitted for analysis the first month, or at the beginning of a newly opened event of

the inspection quarter at mines that are on mandated 103(i) spot inspections. If 

possible, all air samples collected to satisfy the mine TL calculations should be 

collected on the E01 event; this helps the laboratory with the data retrieval and 

tracking process. If duplicate samples are collected at any location for any reason 

during a Regular Safety and Health Inspection, both samples shall be sent to the lab 

immediately but only one sample should be marked for use in the calculation of total 

methane liberation for the mine if taken in a TL sample (do not hold duplicate 

samples). To the extent possible, TL samples should be collected during normal 

production times so an accurate TL calculation can be conducted. If major air 

changes are planned in the early part of the inspection that may seriously affect the 

TL calculation the inspector may wait until those changes are made as long as the TL 

samples can be collected in a timely fashion. 

Where possible, mail the maximum number of samples that a holder/mailer will 

accommodate at one time. Send all air samples to the Gas Laboratory Dust Analysis 

Section within 3 working days (postmarked) of collection. Samples collected from 

more than one mine may be mailed in the same holder/mailer. A copy of the 

completed MSHA Form 2000-43 shall be included in the shipment holder/mailer, a 

copy submitted to the Mine Safety and Health Assistant, and a copy retained by the 

inspector until the analysis report is received. Mail all air samples (in accordance 

with postal regulations) to MSHA’s Gas Laboratory Dust Analysis Section at 100 

Bluestone Road, Mount Hope, WV 25880-1000. The results of all air samples sent to 

the MSHA laboratory for analysis will be emailed to the appropriate field and district 

office supervisor and assistant. The results should be included with the inspection 
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report. If the analysis of an air sample discloses a violation not determined with 

testing instruments during the inspection, the inspector shall issue the appropriate 

enforcement action.

B. Air Measurements. 

Anemometer - Use a properly calibrated anemometer to measure the velocity when 

calculating the volume of air for compliance with the Act and for calculating the 

liberation of methane in, but not limited to, a return aircourse. When determining air 

velocities, take a traverse reading of the cross section that is measured. Use correction factors for the individual anemometers to determine the actual air velocity. 

When measuring air velocities less than 100 feet-per-minute, the use of chemical 

smoke may be necessary. However, if the instrument is calibrated for a lower 

velocity, it is acceptable. 

 

 Pitot Tube - The pitot tube is a primary standard instrument for determining 

velocities of 750 to 10,000 fpm. Velocities in excess of 2,000 fpm may crack the 

bearings of ordinary vane anemometers and thus prohibit their use in high velocities. 

High airflow velocity measurements are often required in auxiliary fan tubing or 

main fan ducts. For such measurements the pitot tube is often the most practical 

instrument. Commercial-type pitot tubes generally are accurate to within 1.0 percent 

and specially made types can be accurate to within .01 percent. 

Use the pitot tube in conjunction with a differential pressure gauge, such as a 

manometer or water gauge, to determine the velocity pressure of the airflow. The 

pressure gauge most commonly used by MSHA is the “Magnehelic”, which provides 

a reading in inches of water (in. wg.). Using the inches of water reading, determine 

the velocity and air quantity by calculation or by using conversion tables. Further 

information about the techniques for using anemometers/chemical smoke and pitot 

tubes is available in the 1960 Bureau of Mines Bulletin 589, “Introduction to Mine 

Ventilation Principles and Practices.”

 To convert inches of water to velocity, use the following formula:

 V = 4005 √VP

 Where V = velocity in feet-per-minute (fpm)

 VP = velocity pressure in inches of water (in wg.)

NOTE: To correct centerline measurements, multiply velocity (V) by a method factor 

of 0.9. The true velocity is then multiplied by area (A) to obtain air quantity (Q). 
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Smoke Clouds - Do not use anemometers to measure velocity if the indicated 

velocity falls below the minimum shown on the anemometer’s correction chart. 

Timed smoke clouds are commonly used to determine air velocities that are too low 

to be measured with anemometers. The proper procedures for making timed smoke 

cloud measurements follow.

Location and Calculation of the Measurement - Select a smooth, straight, 

unobstructed section of the airway so that the air current will not be disturbed. 

(Refer to Figure 5-1.)

 

Measure distance (d) from the selected beginning point to the end point. This 

measured distance will be determined by the degree to which the smoke cloud 

remains intact, how well it can be seen, and the airflow rate over the measured area. 

Greater distances increase accuracy if the smoke cloud can be seen clearly. Ten (10) 

feet is usually adequate. At low flow rates, the distance may be reduced to 5 feet.

Calculate the airway area. When calculating air quantity for shorter times and 

distances, the airway area is usually measured at two points – one near the release 

point and one near the timing point. Three area measurements are recommended for 

distances of 10 ft. or more. Use the average value of the measured areas to compute 

the air quantity. More than three area measurements may be used to obtain a more 

accurate measurement when required or when the cross-sectional area is very irregular. 
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Figure 5-1: Taking Timed Smoke Cloud Readings

Taking Readings - For best results, two people should work together (one at each 

end of the measured distance).

a. The upstream person breaks off both ends of the chemical smoke tube and inserts 

one end into the rubber tubing of the aspirator bulb. Wear gloves when breaking 

off the tube ends and using smoke tubes to prevent serious cuts. Also wear eye 

protection when breaking off the ends of the smoke tube. Provisions are usually 

provided in the box or container to break tube ends cleanly. Do not dispose of 

used tubes in travelways.

b. The upstream person holds the aspirator bulb and smoke tube away from 

his/her body. Squeeze the aspirator bulb to force air through the glass tube 

which contains the smoke-generating chemical (only a small puff of smoke is 

necessary).

c. Release the smoke perpendicular to the airstream (facing the mine rib). When 

the upstream person signals release of the smoke cloud, the downstream person 
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starts timing, with a stopwatch, how long the smoke cloud takes to travel over 

the specified distance.

d. If a stopwatch is not available, use a watch with a sweep second hand. In this 

case, the downstream person should signal for release of the smoke cloud when 

the second hand reaches a reference point. 

e. Record the time interval from the release of the smoke until the leading edge 

(front) of the smoke cloud reaches the downstream person. The leading edge is 

used because the first part of the smoke should just be leaving the tube and 

starting to travel downstream in the air current when the timing begins.

f. Divide the airway cross section into four quadrants and time smoke clouds in 

each of the four quadrants. (Refer to Figure 5-2.) Make at least one measurement 

at the center point of each quadrant. Make several measurements in each 

quadrant for greater accuracy.

 Figure 5-2: Section Showing Quadrants (below) 
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Calculating Air Quantities from Timed Smoke Cloud Measurements. Use the four steps 

covered in this section to calculate air quantity from timed smoke cloud measurements.

STEP 1 – AVERAGING READINGS

Assume that the following data were recorded during smoke cloud measurements:

Smoke Travel Time In Seconds

Quadrant Trial 1 Trial 2 Trial 3 Trial 4 Trial 5 Average

Upper Right 5 6 6 5 6 5.6

Lower Right 7 7 8 14* 8 7.5

Upper Left 7 7 6 7 6 6.6

Lower Left 6 6 7 8 6 6.6

 * Throw this value out.

Times that are considerably longer or shorter than the others in a quadrant should not be 

used in figuring the average smoke cloud travel time. They probably result from a 

momentary fluctuation in velocity (e.g., someone opening a door, etc.). Such irregular 

times should be discarded (thrown out).

When calculating average times for each quadrant, do not use a zero for values that are 

“thrown out.” Base the average only on the number of trials “kept in.”

Example:

 Average time (tavg) for the lower right

 quadrant = 7 + 7 + 8 + 8 = 7.5 seconds

 4 

 

 tavg (upper right) = 5 + 6 + 6 + 5 + 6 

 5 

 

 tavg (upper right) = 5.6 seconds
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After calculating the average travel time (tavg) in each quadrant, the final average for the 

entire airway is determined. Using the data from the table above, the final average travel 

time would be:

 tavg (final) = total of average quadrant times

 number of quadrants

 tavg (final) = 5.6 + 7.5 + 6.6 + 6.6

 4 

 tavg (final) = 6.6 seconds

STEP 2: CALCULATING AIR VELOCITY

Now use the average smoke cloud travel time and the measured distance to compute the 

air velocity by using the formula:

V = d x 60 sec

 t min

Where V = calculated air velocity in feet per minute (fpm)

d = measured distance in feet (ft)

t = final average travel time over d in seconds (sec)

Example:

If the measured distance used to determine velocity is 10 feet, then

V = 10 ft. x 60 sec

 6.6 sec min

V = 90.0 fpm
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The average velocity obtained by the timed smoke cloud technique is about 10 percent 

higher than the true velocity when readings are taken at the centerline of four quadrants. 

Therefore, a correction called “method factor” should be applied. The method factor for 

smoke cloud measurements in four quadrants is equal to 0.9. This factor, when multiplied 

by the calculated velocity, yields the true velocity.

 True Velocity = Calculated Velocity x Method Factor 

 True Velocity = 90.0 fpm x 0.9 = 81.0 fpm

STEP 3: CALCULATING AVERAGE AREA

The next step in determining air quantity is to calculate the average (Avg) of the airway 

over the measured distance. 

Example:
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STEP 4: CALCULATING AIR QUANTITY

Air quantity can now be determined by using the formula Q = VA

Where: Q = air quantity in cfm

V = air velocity in fpm

A = airway cross-sectional area in square feet. 

(height x width (in feet) = area in square feet.

Therefore: V = 81.0 fpm

A = 74 sq. ft.

Q = 6053 cfm

Using Air Velocity Table - The Air Velocity Table (Figure 5-3, MSHA Form 7000-10F) can

be used as an alternative for calculating air velocity. When the final average time has 

been calculated (6.6 seconds in Step 1 above), locate the air velocity on the table.

Example:

Find 6.6 seconds in the “TIME SEC” column. For a measured distance of 10 ft., the air 

velocity equals 82 fpm.
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Figure 5-3: Velocity Table for Smoke Cloud Measurements
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C. Rock Dust Samples. 

Mine Dust Sampling

Mine operators are responsible for maintaining the minimum incombustible content 

specified in § 75.403 (Maintenance of incombustible content of rock dust) for mine 

dust (mixtures of coal dust, float coal dust and rock dust). This incombustible content 

must be maintained throughout all accessible areas of the coal mine except for within 

40 feet of working faces or where the dust is too wet or too high in incombustible 

content to propagate an explosion as specified in § 75.402. Completed crosscuts that 

are less than 40 feet from a working face must also be rock dusted. Accessible areas 

encompass travelable portions of the coal mine including bleeders and worked-out 

areas where pillars have not been removed. Areas that are unsafe to enter include 

areas with unsupported roof, subsiding areas, pillared areas and any other area that 

poses an identifiable risk to the examiner that cannot be reasonably mitigated (such 

as by deenergizing and locking out a belt drive). Accessible areas also include areas 

that are merely hard to access such as the area between a conveyor belt and an 

adjacent rib. 

The incombustible content of rock dust will be evaluated during regular inspections 

and spot inspections. This evaluation will include the collection and analysis of mine 

dust samples. Samples will be sent to the National Air and Dust Laboratory (NADL). 

MSHA’s collection of mine dust samples and analysis of incombustible content is 

only for oversight and enforcement of the mine operators compliance with § 75.403. 

To evaluate compliance, mine dust samples should be collected from various 

locations within the coal mine. Sample locations should be chosen by the mine 

inspector based on visual identification of potentially non-compliant conditions and 

other factors such as the proximity to float coal dust sources. Band samples, which 

are comprised of mine dust from the roof, ribs, and floor, may be collected from 

crosscuts or entries. All significant accessible air courses in the mine should be 

periodically sampled. A significant air course is of sufficient length to justify separate 

sampling. For example: near a return shaft bottom, several aircourses typically merge within 

a relatively short distance. Although each separate split that combines with another split 

starts a new air course, for mine dust sampling purposes, these short sections that merge 

should be treated as extension of the main aircourses. 

Likewise, a short split of air used to ventilate seals and is then directed to the return is 

not a significant air course. When evaluating the significance of an air course, the 

inspector should weigh the area involved and the potential for coal dust 
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accumulation. Sampling near advancing mining sections, retreat mining sections, 

belt transfers, and any other locations where coal dust is generated, or accumulates 

should be emphasized. Inspectors should collect enough samples to define problem 

areas. When collecting rock dust samples, inspectors should document in their notes 

the facts needed to evaluate negligence and gravity of potential § 75.403 violations. 

Visual confirmation that rock dust has been applied to the non-compliant area(s) may 

be used to terminate a violation. However, if fresh rock dust is not evident,

inspectors should resample non-compliant locations before terminating any 

enforcement actions. A green reading by MSHAs coal dust explosibility meter 

(CDEM) may be used for termination of a citation or order.

Guidelines for sample areas, the minimum number of samples and the frequency of 

sampling are: 

Quarterly Sampling

Working Sections

Continuous Miner and Conventional Working Sections

Mining coal generates an average of 0.1 pounds of float coal dust per ton of coal 

mined according to research published by the U.S. Bureau of Mines. Most of this 

float coal dust is deposited at or near the working sections. The likelihood of a 

methane ignition is greatest at the working faces due to the confluence of methane 

liberation during mining, frictional sparking from the mining process and 

potential permissibility problems. The effective control of coal dust on the 

working section is critical to prevent small methane ignitions at or near the 

working face from transitioning to a large coal dust explosion. 

Inspectors should collect at least four band samples per air course between 40 feet 

outby the working faces and 1,000 feet outby the working faces. Samples may be 

collected from completed (and roof-bolted) crosscuts within 40 feet of working 

faces. If the section has advanced less than 1,000 feet from the mouth of the 

section (where the section has broken off from a main or submain), samples may 

be collected from the portion of the main or submain aircourses within 1,000 feet 

of the working faces. At least one sample per air course should be collected inby 

the section loading point including, air courses separated by temporary 

ventilation controls similar to the sampling process of those separated by 

permanent ventilation controls. The inspector has the authority to close the 

necessary entries to mobile haulage equipment in order to collect the rock dust 

samples on a working section.
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Within the panel, advancing or retreating section, and gate road development, 

from 1,000 feet outby the working faces to the mouth of the section, inspectors 

should collect at least two band samples per air course. 

Longwalls

Inspectors should collect at least two band samples per air course within 1,000 feet 

of the longwall face. Inspectors should collect at least four band samples from the 

immediate longwall return within 1,000 feet of the longwall face. From 1,000 feet 

of the longwall face to the mouth of the panel, inspectors should collect at least 

two band samples per air course, on both headgate and tailgate sides. 

Bleeders 

Inspectors should collect at least one band sample per significant accessible 

bleeder aircourse that is used as a return for a working section.

Outby (not including the area from the faces to the mouth of the section)

Returns

Inspectors should collect at least one band sample per significant return

aircourse.

Haulageways (main track or rubber tired haulageways)

Inspectors should collect at least one band sample per haulageway aircourse.

Conveyor Belts/Conveyor Slopes

Inspectors should collect at least one band sample per belt flight.

Return Regulators from Belt Entries

Inspectors should collect at least one band sample downwind of each significant 

regulator.

Stageloader/Crusher, Glory Hole, Production Shafts, Inter Seam Shaft, Bunker, 

or Coal Storage Facility 

Inspectors should collect at least one band sample per unit.

Annual Sampling

Inspectors should collect at least one band sample from each significant accessible 

air course and bleeder that is not sampled quarterly.

These sampling parameters are basic recommendations and should be re-evaluated 
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each quarter by the field office supervisor and coal mine inspector(s) considering 

mine-specific conditions, the sources of float coal dust, the use of trickle dusters 

and high pressure dusters, and the mine’s compliance history. Potentially 

problematic areas of the mine identified in the quarterly review should be listed in 

the E01 inspection report and samples should be collected based on the reevaluation. The Subpart E violation history for the mine, float coal dust sources, 

the cleanup program and other pertinent information should considered in this 

review. This review should include an examination of the effectiveness of the mine 

operator’s cleanup program, identification of weaknesses in this program and 

formulation of a strategy to eliminate identified hazards and improve compliance. 

This quarterly review and any changes to sampling strategy, deficiencies in the 

cleanup program or Subpart E compliance issues should be documented in the E01 

inspection report. The District Manager and staff should periodically review mines 

with persistent or unusual combustible dust issues.

At each sample location, collect mine dust from a band approximately six inches 

wide around the perimeter of the mine entry or crosscut. The results of large-scale 

dust explosion testing by NIOSH indicate that only the uppermost 1⁄8th to 1⁄4-inch 

layer of mine dust contributes to an explosion. To get a representative sample of 

this potentially explosive mine dust, inspectors will collect the uppermost 1⁄8th inch 

(approximate depth) of mine dust from the surface of the band. By targeting a 1⁄8th 

inch depth, the 1⁄4 inch limit should not be exceeded. The limited depth sample will 

be collected by gently brushing the surface of the floor mine dust into the pan. See 

Figure 5-4 below.

 

Dust 

Lightly 

Brush

Surface 

Pan Sits on

Top of Dust

Floor Mine Dust 

Sample Collection

Floor 

Dust

1/8 inch

approximate 

depth

Figure 5-4
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A dust explosion can propagate in an entry with a layer of pure rock dust on the 

floor if non-compliant mine dust is present on the roof, ribs, timbers, and 

suspended items. 

Where float coal dust has accumulated or near sources of float coal dust, inspectors 

will collect two samples from each band location, one sample from the mine floor 

and one sample with dust from both ribs and the mine roof. 

Split Samples

Based on inspectors evaluation band samples may be split at any location where 

coal dust is visible on the roof, ribs, structures or suspended items. Issue a citation

if either of these samples from a band are non-compliant with the incombustible 

content requirements in § 75.403. In areas where the roof/ribs/and mine floor are 

uniformly rock dusted only a single band sample is needed.

Collect the mine dust sample from the dust pan and/or scoop. The mine dust 

sample should be shaken through the 10 mesh sieve. Any oversize material should 

be discarded. If the amount of the -10 mesh sample is greater than one-half of a 

sample bag, reduce the sample volume by the coning and quartering method. To 

cone and quarter a sample, place all of the -10 mesh dust on a piece of brattice cloth 

and mix thoroughly by successively lifting opposite corners of the cloth. After 

thoroughly mixing the dust sample, gather the dust in a cone-shaped pile in the 

center of the brattice cloth. Using the dust pan, divide the cone into 4 quarters. 

Remove the dust from two diagonally opposite quarters. If the quantity of dust 

that remains on the brattice cloth is the volume required to fill a sample bag about 

one-half full, carefully transfer this dust to a plastic sample bag. If too much dust 

still remains further reduce the volume by mixing, coning and quartering until an 

acceptable sample volume is obtained. The minimum quantity of mine dust that 

can be analyzed by the NADL is approximately 3 ounces or a depth of 2 1⁄2 inches. 

If the mine dust collected from the roof, ribs and suspended items is insufficient in 

quantity, a second 6-inch wide sample should be taken adjacent to the first strip. If 

the band sample is split between the floor and the roof/ribs, only the roof/ribs and 

suspended items portion of the band should be doubled. 
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A specialized tool may be required to collect dust samples from the roof, ribs and 

suspended items in high areas. An example of such a tool is shown in Figure 5-5. 

Wet locations will be bypassed with samples collected at bands from an adjacent 

dry area. In large areas with wet conditions, a dust sample from the roof, ribs and 

suspended items will be collected if possible. When wet areas dry out, band 

samples may be taken as a part of the periodic outby sampling protocol.

Tests for methane must be made at each rock dust sample location with a properly 

calibrated hand-held methane detector. The methane percentage measured will be 

used to determine compliance with § 75.403 (concerning additional incombustible 

content when methane is present in the ventilating current). 

MSHA’s policy for the issuance of citations and orders where there are multiple 

violations of the same standard which are observed in the course of an inspection 

and which are all related to the same piece of equipment or to the same area of the 

mine, such multiple violations should be treated as one violation, and one citation 

should be issued. Separate citations shall be issued for: violations of separate 

standards on one piece of equipment; violations of separate standards in a distinct 

area of a mine; identical violations on separate pieces of equipment; and, identical 

violations in distinct areas of a mine (MSHA Program Policy Manual, Vol. I).

Combine non-compliant mine dust samples on a single citation for each separate 

aircourse, bleeder or worked-out area of the mine. The extent of the non-compliant 

area sampled should be considered in assessing the gravity and the negligence of 

the citation. Extensive or persistent § 75.403 violations indicate potential violations 

Figure 5-5
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of examination standards that should be probed by the inspector.

Sample bags are long enough to permit tying a knot in the open ends. Securely tie 

the string of the identifying tag within the formed knot of the sample bag. Each tag 

is pre-printed with a unique alphanumeric code that will be used to identify the 

sample. Inspectors may include additional handwritten information on the tag, 

provided it does not obscure the pre-printed identifier. In order to process the 

sample, the laboratory needs the pre-printed tag attached firmly to the sample.

It is the responsibility of the NADL supervisor to ensure that rock dust analysis 

reports and accompanying analysis data are promptly made available for use by 

the districts. Software tools allow supervisors and others to monitor for prompt 

issuance of citations/orders for non-compliance and to generate oversight reports.

The responsible supervisor must assure that all rock dust analysis reports returned 

from the NADL are included within the appropriate inspection report. A citation 

or order must be promptly issued for non-compliant rock dust samples. 

Data Submittal and Mailing of Bagged Samples

Rock dust sampling data must be input into and submitted using the Inspectors 

Portable Application for Laptops (IPAL). Rock dust samples should be mailed to 

the NADL in accordance with postal regulations within 3 working days from when 

the samples were collected. Securely seal the shipping boxes to prevent loss of 

samples in transit. Include the return address on the shipping label. Place the 

return address of the office on the outside of the shipment box from which the 

samples are being mailed. Use a regular corrugated pasteboard carton, but fill 

voids around the bags with packing to keep the bags from breaking open from 

rough handling. Do not use crumpled manila envelopes, excelsior, paper towels, 

shredded paper, packing peanuts or tissues as packing. Dust Sampling Lab Report 

(MSHA Form 2000-156 – Rock Dust Sample Submission Form) must be prepared 

and uploaded to the NADL 

Server using the IPAL. A copy of MSHA Form 2000-156 must be printed and 

shipped with the bagged sample(s). Compliance/noncompliance concerning rock 

dust samples will be determined at the NADL and the results returned 

electronically. 

The NADL supervisor will notify the appropriate District Manager should boxed 

samples arrive at the lab and no accompanying MSHA Form 2000-156 data is 

available on the file server. Hard copies of MSHA Form 2000-156 will not be 
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accepted for submittal of rock dust samples to determine compliance with § 75.403. 

When rock dust samples are collected, sufficient information to complete MSHA 

Form 2000-156 must be included in the inspection notes. For citations issued, 

sample results should be attached to the citation. A rock dust sample is not 

required to be submitted and MSHA Form 2000-156 is not required to be filled out 

if a citation is issued for violation of § 75.400 based on visual observation.

Map 

A map of each mine will be maintained at the field office showing ventilation air 

courses, float coal dust sources, sample locations, sample collection dates, dust 

violations and other pertinent information. This map will be used in the E01 

regular inspection rock dust review and may be used in discussions with the mine 

operator. The previous E01 rock dust map(s) should be maintained with the 

affected E01 inspection report. 

Review of Compliance History

Each E01 regular inspection, field office supervisors are to review each mine’s 

compliance with Subpart E, Combustible Materials and Rock Dusting, including 

locations sampled, sources of float coal dust, trickle dusters, rock dust application 

methods and the mine’s cleanup program. Sample frequencies and locations are to 

be adjusted as necessary. Non-producing mines will be sampled up to date. 

Further sampling will not be necessary until production resumes or mine 

conditions warrant further sampling. For example, when the entire mine is idle for 

two consecutive quarters no sampling will be necessary. Deficiencies of the 

cleanup program are to be noted and targeted enforcement methods are to be used,

if necessary, to achieve compliance.

Float Coal Dust

Float coal dust consists of extremely fine coal particles that will pass through a No. 

200 sieve (§ 75.400-1(b)). The generation of float coal dust occurs whenever coal is 

cut or crushed. Float coal dust is generated in underground coal mines by 

continuous miners, longwall shearers, feeder breakers, stage loaders and the tires 

or wheels of mine equipment rolling over loose coal. The liberation of float coal 

dust occurs wherever coal is transferred, dumped or loaded. Float coal dust 

becomes airborne and may be transported long distances by ventilation air 

currents. 
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Float coal dust is one of the greatest potential hazards to underground coal miners 

today. Most reports of historic coal mine explosions list float coal dust as a 

contributing factor.

The following are proven techniques to reduce float coal dust accumulations and 

hazards: 

1. Minimize the production of float coal dust by maintaining sharp cutting bits 

on continuous miners and longwall shearers and by using and maintaining 

dust suppression sprays and scrubbers whenever coal is mined. 

2. Use a hand-held wash down hose or jet-type water sprays on the continuous

miner that is directed at the roof and ribs to clean the fine coal dust generated 

by mining prior to leaving the working face. The fine coal dust washed to the 

mine floor is easily diluted and rendered harmless with rock dust. The wet 

roof and ribs helps rock dust adhere to these surfaces. Shields, hoses and 

other areas where float coal dust accumulates on a longwall should be 

washed off at least once per shift or more often as necessary. 

3. Minimize the liberation of float coal dust at belt transfers, where coal is 

crushed and where coal is dumped through the use of water sprays, enclosed 

transfers and dust collection systems. Use belt scrapers and water sprays to 

prevent float dust liberation from the return side of conveyor belts.

4. Use trickle dusters or high-pressure rock dusters in the returns from working 

sections, the tailgate return of longwalls, in pillaring areas and down wind of 

belt transfers to dilute float coal dust. Areas where large quantities of float 

coal dust is generated or liberated may require that a trickle duster run 

continuously and other areas may only need trickle dusting a few hours per 

shift.

Periodically apply rock dust to areas where float coal dust may accumulate.

Note: Refer to chapter 3 of this handbook for additional information and required 

documentation on the evaluation of the mine operator’s Cleanup Program.
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Chapter 6 - APPENDICES

A. Other Miscellaneous Forms and Related Information. 

Other miscellaneous forms and related information not found in this Handbook are 

hyperlinked on the next 2 pages of this chapter. 

B. Supervisor Certification. 

The first-line supervisor responsible for E01 inspections at the mine shall review each 

Inspection Mine Postings and Records and Inspection Procedure Documentation page 

contained within the ITS and certify their review by dating and initialing in the bottom 

margin area of the front page. Additionally, the First Line Supervisor E01 Certification 

(included in these appendices) shall be completed by the supervisor. This certification 

shall be filed and maintained with the inspection report. 

C. Inspection Equipment and Supplies. 

A list of inspection equipment and supplies has been generated to help indicate what 

equipment and supplies are needed for inspectors to conduct their duties. All of the 

equipment and supplies may or may not be applicable to all inspectors and the type of 

mines they inspect. 

1. Inspector’s Equipment and Supplies. 

2. Field Office Equipment and Supplies. 

D. Forms and Information Needed in an E01 Inspection Report. 

 A list of forms has been generated to help indicate what forms may be needed to 

complete an E01 inspection report. All of the forms may or may not be applicable to 

all E01 inspection reports.

E. Inspector Tracking System. 

The documentation pages contained in the ITS as illustrated in the appendices of this 

Handbook should be printed by the inspector and used as inspection notes. These 

pages apply only to regular (E01) inspections and are not required to be used on other 

event codes. The pages are designed to provide a complete listing and documentation 

of the Mine Postings and Records and the Inspection Procedures that may or may not 

be applicable at a mine. The use of these pages will lessen the chance of inspection or 

documentation error by an inspector. 
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A. Other Miscellaneous Forms and Related Information. 

1. 1MSHA Form 7000 and 2000 series note pages to assist inspectors with their 

notetaking during inspections and investigations are provided as follows: 

Form 2000-169 Coal Mining Occupations 

 Form 2000-208 (revised 2010) 

 Form 2000-222 Deluge-Type Water Spray Systems 

 Form 2000-225 Dry Powder Chemical Systems 

 Form 2000-234 Water Sprinkler Systems 

 Form 7000-9 Closure Notice 

 Form 7000-10A Guidelines in the Event of a Mine Disaster 

 Form 7000-10B Documentation Required in Inspector’s Notes 

 Form 7000-10C Record and Training List (Partial) 

 Form 7000-10D Electrical Breaker Settings 

 Form 7000-10E Electrical Magnetic Trip Range 

 Form 7000-10F Smoke Tube Data Converted to Velocity 

 Form 7000-10G Ventilation Qavg for Tubing Size 

 Form 7000-10H , 7000-10HH General Information Cover Sheet 

 Form 7000-10I ; 7000-10II Daily Cover Sheet 

 Form 7000-10J ; 7000-10JJ Pre-printed Grid Pages 

 Form 7000-10K ; 7000-10KK Pre-printed Line Pages 

 Form 7000-10L ; 7000-10LL Line Diagram 

 Form 7000-10M; 7000-10MM Air Reading 

 Form 7000-10N ; 7000-10NN Respirable Dust 

 Form 7000-10P ; 7000-10PP Noise 
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 Form 7000-10R Glossary for Electrical Equipment 

 Form 7000-10S Glossary for Diesel Equipment 

 Form 7000-10T Roof Bolt Head Mks-ASTM F432-95 (two pages) 

 Form 7000-10U Seal Recordkeeping Requirements 75.339(a) 

 Form 7000-10V Static Force Req to Open a Mandoor (two pages) 

 Form 7000-10W Area of Circular Ducts 

 Form 7000-59 Pitot Card (two pages)

2. Other Miscellaneous Forms and Related Information

 2000-7 Legal Identity Report; 2000-7 Legal Identity Report Instructions

 2000-222 SCSR Operators' Inventory Form; 2000-222 SCSR Operators' Inventory 

Form Instructions

 5000-1 Certificate of Electrical Training

 5000-23 Certificate of Training

 5000-13 Instructor’s File Update

 5000-41 Certificate of Hoisting Engineer Request

 5000-46 MSHA MIIN

 7000-51 Mine Operator ID Request

MESA-MSHA Informational Report Index

Experienced Miners and Supervisors Training: 63 Fed. Reg. 53750 (Oct. 6, 1998)

 

Education & Training Handbook Procedures

Miners Rights

Rules to Live By I
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Rules to Live By II

Rules to Live By III

18 U.S.C. § 111 

MSHA Form 2000-238 Miners Rep

Notice on 103(f) of the Act: 43 Fed. Reg. 17546 (April 25, 1978)

 
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B. First-Line Supervisor E01 Certification. 

I certify that to the best of my knowledge and belief this inspection is thorough, based 

on a review of the information provided for Event No.__________________ and 

through discussions with inspector(s). If it is determined that there are inspection 

deficiencies, the event will be reopened and corrective actions taken prior to counting 

this inspection event complete for the official count of completed statutory E01 

inspections at the end of the fiscal year.

Supervisor's Signature:___________________________ Date:_______________ 

Note: This certification should be filed and maintained with the inspection report. 
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C. Inspection Equipment and Supplies. 

1. THE FOLLOWING EQUIPMENT AND SUPPLIES SHOULD BE PROVIDED TO 

EACH UNDERGROUND INSPECTOR AND EACH SURFACE INSPECTOR AS 

NEEDED (INCLUDING INSPECTORS-IN-TRAINING). 

Credentials and identification check tag 

Self-contained self-rescuer (SCSR)

Permissible electric cap lamp 

 Lamp belt with attached identification check

 Light meter (photometer)

 Portable water pressure gauge (to measure spray nozzle pressure) 

 Protective hat 

 Knee pads 

 Eye protection

 Hearing protection - ear plugs or ear muffs (whichever provides the needed 

 protection)

 Gloves

 Leg bands

 Footwear (safety shoes or boots) 

 Coveralls

 Clothes bag

 Respirator with appropriate cartridge (fit test required) 

 Carrying case for equipment

 Copies of the Act, 30 CFR, Inspection Procedures Handbooks, and Program Policy 

 Manual 

 Citation/order and continuation forms (7000-3 & 7000-3a) 

 Appropriate notebook (with informational inserts as needed), pencil, and ballpoint 

 pen

 Laptop computer/printer

 Digital camera/memory card (in unrestricted areas)

 Field equipment bag 

 Permissible multi-gas detector

 Dust collecting equipment and sample containers -incombustible (Bituminous Coal 

 and Lignite Mines)

 Magnehelic gage(s) and pitot tube

 Anemometer, a watch with a second hand or a stop watch, measuring tape, 

 measuring rule, smoke tubes, and aspirator bulb

 6-foot wooden rule

 Hammer

 Air sample bottles-10cc (and proper plunger needle assemblies) 
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 Feeler gauges – flat/radial (appropriate sizes) 

 1/8-inch Precision Key Stock for Packing Gland

 Roof testing device (required for underground inspections)

2. THE FOLLOWING EQUIPMENT SHOULD BE AVAILABLE TO

 EACH INSPECTOR AS NEEDED IN EACH FIELD OFFICE

 Noise dosimeters and calibrator

 Approved respirable dust sampling pumps, battery chargers, volt meter, sampling 

 head assemblies, and filter cassettes

 Calibrators for respirable dust pumps 

 Cap lamp chargers

 Forms 

 Mechanical in-line flow meter 

 Belt speed indicator (rpm indicator) (as needed)

 Roof bolt torque wrench and roof bolt finishing bit gauge

 Permissible multi-gas detector for air quality of seals (and pump as needed)

 High speed anemometer

 10-inch magnehelic gage 

 Fire Hydrants 50/50 gauge and appropriate adapters

 National Fire Protection Association® (NFPA) Nos. 11A, 13, 13A, 15, 17, 

 72A, and 198 

 Air sample bottles (10cc & 50cc) (and proper plunger needle assemblies) 

 Air sample bags 

 Pin gauges (appropriate sizes for measuring diametrical clearances of cylindrical 

 joints)

 Extendable probes for permissible multi-gas detector (as needed) 

 Electronic handheld thermocouple instrument (measure diesel exhaust 

 temperatures)

 Emergency Response Box: 10cc and 50cc air sample bottles, List of Emergency 

Phone Numbers, Up-to-date Inspection Procedures, Citation and Order Writing,

Program Policy, Electrical Inspection Manuals, 30 CFR, and Pocket Underground 

and Surface CFRs, Smoke Tubes and an Aspirator Bulb, Large High-Powered Hand 

Spot Light, Magnehelic Gage with Pitot Tube (Size appropriate to need), Supply of 

Inspection Note Blanks and Notebooks (Pocket and Letter Size), Measuring Tapes, 

100-, 50-, 25- ft. and Wooden 6-Foot Rule, Numbered Master Log Book, Evidence 

Tags, Chain-of Custody-Tags, and Itemized Receipt Tags, Pad Locks, Ziplock® Bags, 

Complete Copies of all Form 50 Accident Reports and Preliminary Forms, 

Mechanical Pencils, Pens, and Legal Pads, Hand-issued Form 7000-3 and Form 7000-

3a, MSHA Form 7000-9 Closure Notices, Glowsticks and Reflective Tape, Chalk and 

Spray Paint, and Set of Feeler Gauges – flat and radial. 
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 First Response Kit/Air Sampling Unit: 115VAC vacuum pump, flame arrester, two 

500-ft. rolls of 1⁄4-inch ID vinyl tubing, 1⁄4-inch tubing connectors (straight and tees), 

Plastic ties on clamps and tie tools, 24 AR sample bags and stick on labels, Pinch 

cock clamp or hose clamp, 1 extension cord, GFCI electrical switch, water trap, 

reducer bushing (as required to connect multi-gas detector), and ATX-620 multi-gas 

detector or its equivalent.
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D. Forms and Information Needed in an E01 Inspection Report.

E01 Inspection Report and Requested Order of Filing

 (all of the below forms may not be applicable for all inspection reports, which do 

 not have to be maintained in any particular order in the files)

_____ 2000-22 Mine Activity Data (if applicable with SCSR Plan, Cleanup Program, and 

 Ground Control Plan statements, documented on line No. 17-Remarks).

_____ Citations, Orders, and Safeguards (7000-3) with any photo mounting worksheets 

 (4000-125), with all subsequent actions (7000-3a) including any vacated issuances 

 and vacate memorandums if applicable, elevated enforcement actions paperwork 

 (7000-32 SAR). Citations and orders organized by date with the last issuance being 

 up front in the report. Previous issued citations, orders, and safeguard subsequent 

 actions shall be maintained in the event that the original enforcement action was 

 generated from. 

_____ General Inspection Cover Sheet (7000-10H), Daily Cover Sheets (7000-10I) if 

 applicable with all notes including any preprinted listings documented as notes 

 taken on the event.

_____ 2000-204 Roof & Vent Plan Evaluation.

_____ 2000-209 Mine Information Form (one copy must be submitted to health clerk or 

 supervisor immediately upon completion and one copy maintained in report).

_____ 2000-223 ERP Plan Review Form.

_____ Air Bottle Results for Each Sample Taken (Analytical Report).

_____ 2000-43 Mine Atmosphere Sampling Print Out (only if result not yet received, then a 

 copy of the submitted form showing that analytical report not yet received). 

_____ 2000-156 Rock Dust Sample Submission Form(s), sample forms with analysis results 

(if results not yet received by close date of inspection a copy of the submitted 2000-

156 showing that analysis results not yet received.

_____ 2000-86 Respirable Dust Form. 
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_____ MSN 014 Respirable Dust Results with Blue Cards Attached (not mandatory that 

 they be signed, but must have a positive identifier of who conducted the sample).

_____ 2000-84 Noise Survey Results.

_____ Results of other samples taken (asbestos, etc.). 

_____ 2000-207 Independent Contractor Form (only if new or updated). 

_____ 2000-208 Independent Contractor Form (for contractors on mine site).

_____ Impoundment Inspection Forms. (MSHA form number is currently being assigned)

_____ 2000-34 Coal Refuse Pile Periodic Inspection Form.

_____ ATF 5030.5 and/or ATF 5400.5 ATF Inspection Form.

_____ Diesel Equipment Inventory Records (print out).

_____ SCSRs Inventory Records (print out). Note: 2000-220 form is discontinued. 

_____ Part 49 Checklist (Mine Rescue Station). 

_____ ITS Tracking (print out).

_____ Mine Tracking Map(s).

_____First-Line Supervisors E01 Certification Sheet
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E. Inspection Tracking System. 

1. Inspection Tracking System (ITS) – Surface Facilities
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