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02-A12-345-67-890 Office of Inspector General—Office of Audit 

MINE SAFETY AND HEALTH 

ADMINISTRATION 

PATTERN OF SIGNIFICANT AND SUBSTANTIAL 

VIOLATION RATE EXTENDED ANALYSIS 

Date Issued: December 15, 2010

Report Number: 05-11-002-06-001
U.S. Department of Labor – Office of Inspector General 

 

Improvement Rates for Potential POV Mines 

Report No 05-11-002-06-001 

Table of Contents 

Assistant Inspector General’s Report.............................................................................. 1

Exhibits............................................................................................................................ 5

Exhibit 1 Reasons Why Mines Not Inspected....................................................... 6 

Exhibit 2 Reduced S&S Rates by MSHA 30% or National Average Metrics......... 7 

Exhibit 3 Reduced S&S Rates by Various Percentages or National 

Average Metrics .............................................................................................. 8 

Exhibit 4 Average Reduction Rates.................................................................... 10 

Exhibit 5 Graphs of S&S Rates Subsequent to Receipt of Potential POV 

Notification .................................................................................................... 11
U.S. Department of Labor – Office of Inspector General 

 

U.S. Department of Labor Office of Inspector General 

Washington, D.C. 20210 

December 15, 2010 

Assistant Inspector General’s Report 

Joseph A. Main 

Assistant Secretary for Mine Safety and Health 

Mine Safety and Health Administration 

1100 Wilson Boulevard 

Arlington, Virginia 22209 

On September 29, 2010, the U.S. Department of Labor’s (DOL) Office of Inspector 

General (OIG) published an audit report titled In 32 Years MSHA Has Never 

Successfully Exercised Its Pattern of Violations Authority (05-10-005-06-001). A portion 

of that audit examined whether mines notified by MSHA of a potential Pattern of 

Violations (POV) from 2007 – 2009 achieved and sustained required improvement 

levels beyond the one subsequent inspection period monitored by MSHA. That analysis 

showed that 94 percent of the potential POV mines monitored by MSHA satisfied 

established improvement metrics after the first inspection period. However, the success 

rate decreased to 89 percent after a second inspection period and further decreased to 

85 percent after a third inspection period. 

In response to a request from the U.S House Committee on Education and Labor, we 

expanded our analyses in this area to determine the extent to which safety 

improvements were maintained over a longer period of time. Specifically, for mines that 

received a potential POV notification from MSHA during 2007 – 2009, we performed 

analyses of MSHA’s enforcement data as of October 12, 2010, to determine the: 

1. rate at which mines met MSHA’s improvement metrics for Significant and 

Substantial (S&S) violations for up to 8 periods beyond the 90-day inspection 

period evaluated by MSHA, 

2. impact on success rates of increasing the improvement metrics, and 

3. trend in the rate of reduction of S&S violations at potential POV mines over 

subsequent inspection periods. 

 Improvement Rates for Potential POV Mines 

Report No 05-11-002-06-001. 1
U.S. Department of Labor – Office of Inspector General 

 

Results

1. The Percentage of Mines Meeting MSHA’s Improvement Metrics Declined 

When Evaluated Beyond One Inspection Period

Our analysis showed that 94 percent of mines successfully met MSHA’s improvement 

metrics after one complete inspection period, but the success rate gradually declined in 

subsequent periods. After eight inspection periods, the percentage of mines meeting 

MSHA’s improvement metrics had decreased to 79 percent. 

During 2007 – 2009, MSHA used a computer application to produce a list of potential 

POV mines on five separate occasions for the 24-month periods ending: 

• March 31, 2007 (Cycle 1) 

• September 30, 2007 (Cycle 2) 

• March 31, 2008 (Cycle 3) 

• December 31, 2008 (Cycle 4) 

• August 31, 2009 (Cycle 5) 

In total MSHA sent potential POV notification letters to a total of 68 mines. Two of these 

mines subsequently ceased operations. Another had its notification withdrawn because 

MSHA determined that it had been issued in error. Under the POV procedures in place 

during 2007 – 2009, MSHA monitored and evaluated the rate of S&S violations at the 

remaining 65 mines for the period covering one complete inspection following the 

notification. To avoid a POV designation, mine operators had to meet either of the 

following two improvement metrics: (1) reduce the rate of S&S citations and orders at 

the mine by at least 30 percent, or (2) reduce the rate of S&S citations and orders at the 

mine to at least the national average for similar mines. Ninety four percent (61 out of 65) 

successfully met one of the improvement metrics. 

To evaluate whether these mines maintained improved rates of S&S violations beyond 

the one inspection period evaluated by MSHA, we used MSHA’s methodology to 

calculate for each mine the cumulative rate of S&S violations as of the end of each 

subsequent Regular Health and Safety Inspection performed by MSHA on or before 

September 30, 2010 (to a maximum of 8 inspection periods). We compared the results 

against the two improvement metrics used by MSHA during the 2007 – 2009 timeframe. 

In reviewing the results of our analysis, it is important to note that the Federal Mine 

Safety and Health Act of 1977 mandates a different inspection frequency based on the 

type of mine. MSHA performs a complete inspection of each underground mine four 

times per year (approximately every three months) and each surface mine or facility 

twice per year (approximately every six months). Therefore, 8 complete inspections for 

an underground mine would typically cover a 2-year period, while the same number of 

complete inspections for a surface mine or facility would typically cover a 4-year period. 

Depending on several factors — the cycle in which the mine was identified as having a 

potential POV, the mine’s operating status, and changes in the owner or operator — an 

individual mine may have had fewer than eight complete inspections during our analysis 

 Improvement Rates for Potential POV Mines 

Report No 05-11-002-06-001. 2
U.S. Department of Labor – Office of Inspector General 

 

 Improvement Rates for Potential POV Mines 

Report No 05-11-002-06-001. 3

period. Some mines had fewer than 8 completed inspections in our analysis because 

they were abandoned, became idle, or had changed ownership. See Exhibit 1 for 

additional information. 

It is also important to note that the average S&S rate for similar mines used by MSHA 

as the second improvement metric was based on the 24-month period analyzed by 

MSHA in identifying potential POV mines. In monitoring mine performance over eight 

subsequent inspection periods, we did not compute an updated national average for 

these future time periods. As a result, in assessing a mine’s performance against the 

second improvement metric, we compared the actual rate of S&S violations against the 

historic national average from the original evaluation period. 

The ability of all mine operators’ to meet MSHA’s POV improvement metrics up to 8 

inspection periods after receiving the potential POV notification letter from MSHA fell 

from 94 percent to 79 percent. Surface mine and facilities operators met MSHA’s POV 

improvement metrics 100 percent of the time for 6 of the 8 inspection periods (periods 2 

and 3 were 83 percent). However, the ability of underground mine operators to meet 

MSHA’s POV improvement metrics declined from 92 percent to 79 percent over the 8 

inspection periods. Exhibit 2 contains all the rate information for mines for each 

inspection period. Exhibit 5 contains graphs showing each individual mine’s 

performance over the inspection periods analyzed. 

2. Changing the Improvement Standard by Increasing the Required S&S 

Reduction Rate Would Reduce the Number of Mines Meeting the Standard

Under the POV procedures in place during 2007 – 20091

, mine operators had to meet 

one of two improvement metrics: (1) reduce the rate of S&S citations and orders at the 

mine by at least 30 percent, or (2) reduce the rate of S&S citations and orders at the 

mine to at least the national average for similar mines. 

In most cases, MSHA’s first improvement standard (30 percent reduction in S&S rate) 

was the lower standard for potential POV mines to meet. So meeting MSHA’s twopronged improvement metric was generally dependent on meeting the 30 percent 

reduction in S&S rate. Strengthening this first standard (i.e., requiring a reduction of 

more than 30 percent in the rate of S&S violations), results in a gradual decrease in the 

percent of mines that successfully meet the overall improvement metrics. At the 30 

percent S&S reduction rate required by MSHA during 2007-2009, 79 percent of 

potential POV mines meet the standard after eight inspection periods. If the standard 

required a 40 percent S&S reduction rate, the percentage of potential POV mines 

meeting the standard after eight inspection periods declines to 76. At a 50 percent 

 

1

 On September 30, 2010, MSHA announced more stringent POV improvement provisions. Under the 

new provisions, mines that implement appropriate corrective action programs must achieve a 50 percent 

reduction in the rate of S&S violations or a rate within the top 50 percent for all mines of similar type and 

classification. Mines that do not choose to implement corrective action programs need to achieve a 70 

percent or more reduction in their S&S issuance rates or a rate within the top 35 percent for all mines of 

similar type and classification. 
U.S. Department of Labor – Office of Inspector General 

 

 Improvement Rates for Potential POV Mines 

required S&S reduction rate, 69 percent of potential POV mines would meet the 

standards after eight inspection periods. Increasing the rate above 50 percent appears 

to have little additional impact, as the percentage of mines meeting the standard after 

eight inspection periods remains at 69. Furthermore, requiring a reduction level greater 

than 70 percent would have no further impact on success rates. Beyond the 70 percent 

level, the second metric (reduction of S&S rate to the national average for similar mines) 

becomes the deciding standard. 

The tables in Exhibit 3 summarize the percent of mines that would have met 

improvement metrics if the required reduction in S&S rate had been increased in 

increments of 10 percentage points. 

3. Overall, Mines Lost Some of the Gains They Initially Achieved in Reducing 

Their Rates of S&S Violations 

The average improvement (reduction) in the rate of S&S violations declined when 

evaluated over eight subsequent inspection periods. Mines receiving a potential POV 

notification from MSHA reduced their rate of S&S violations by an average of 63 percent 

after one subsequent inspection period. After the eighth inspection period, the average 

reduction rate was 51 percent. 

Underground mines reduced their rate of S&S violations by an average of 62 percent 

after one subsequent inspection period; the average reduction rate was 51 percent after 

the eighth inspection period. Surface mines and facilities reduced their rate of S&S 

violations by an average of 67 percent after one subsequent inspection period; the 

average reduction rate after the eighth inspection period was 58 percent. See Exhibit 4 

for the rates for each inspection period.

We appreciate the cooperation and courtesies that MSHA personnel extended to the 

Office of Inspector General during this additional work. 

Elliot P. Lewis 

Assistant Inspector General 

 for Audit 

Report No 05-11-002-06-001. 4
U.S. Department of Labor – Office of Inspector General 

 

Exhibits 

 Improvement Rates for Potential POV Mines 

Report No 05-11-002-06-001. 5
U.S. Department of Labor – Office of Inspector General 

 

Exhibit 1 

Reasons Why Mines Not Inspected 

# of Mines 

Inspection 

Period Inspected Abandoned Idled Ownership

Change 

Inspection 

Started/Ended 

After 09/30/10 

Other Total

1 65 2 1 68 

2 62 1 3 1 1 68 

3 61 2 3 1 1 68 

4 56 4 3 1 3 1 68 

5 47 5 3 1 11 1 68 

6 40 6 4 3 14 1 68 

7 31 6 4 3 23 1 68 

8 29 6 4 3 25 1 68 

 Improvement Rates for Potential POV Mines 

Report No 05-11-002-06-001. 6
U.S. Department of Labor – Office of Inspector General 

 

Exhibit 2 

Reduced S&S Rates by MSHA 30% or National Average Metrics 

Reduce Rate of S&S Violations by 30% OR to National Average for Similar Mines 

Underground Mines Surface Mines / 

Facilities All Mines Inspection 

Period # 

Inspected 

% Meeting 

Either Metric

# 

Inspected 

% Meeting 

Either Metric 

# 

Inspected 

% Meeting 

Either Metric

1 52 92% 13 100% 65 94% 

2 50 90% 12 83% 62 89% 

3 49 86% 12 83% 61 85% 

4 48 85% 8 100% 56 88% 

5 39 85% 8 100% 47 87% 

6 35 80% 5 100% 40 83% 

7 28 79% 3 100% 31 81% 

8 28 79% 1 100% 29 79% 

 Improvement Rates for Potential POV Mines 

Report No 05-11-002-06-001. 7
U.S. Department of Labor – Office of Inspector General 

 

Exhibit 3 

Reduced S&S Rates by Various Percentages or National Average Metrics 

Reduce Rate of S&S Violations by 40% OR to National Average for Similar Mines 

Underground Mines Surface Mines / 

Facilities All Mines Inspection 

Period # 

Inspected 

% Meeting 

Either Metric

# 

Inspected 

% Meeting 

Either Metric 

# 

Inspected 

% Meeting 

Either Metric

1 52 85% 13 85% 65 85% 

2 50 76% 12 83% 62 77% 

3 49 86% 12 75% 61 84% 

4 48 75% 8 100% 56 79% 

5 39 69% 8 100% 47 74% 

6 35 71% 5 100% 40 75% 

7 28 79% 3 100% 31 81% 

8 28 75% 1 100% 29 76% 

Reduce Rate of S&S Violations by 50% OR to National Average for Similar Mines 

Underground Mines Surface Mines / 

Facilities All Mines Inspection 

Period # 

Inspected 

% Meeting 

Either Metric

# 

Inspected 

% Meeting 

Either Metric 

# 

Inspected 

% Meeting 

Either Metric

1 52 79% 13 69% 65 77% 

2 50 74% 12 83% 62 76% 

3 49 82% 12 75% 61 80% 

4 48 73% 8 88% 56 75% 

5 39 67% 8 100% 47 72% 

6 35 66% 5 80% 40 68% 

7 28 71% 3 67% 31 71% 

8 28 68% 1 100% 29 69% 

Reduce Rate of S&S Violations by 60% OR to National Average for Similar Mines 

Underground Mines Surface Mines / 

Facilities All Mines Inspection 

Period # 

Inspected 

% Meeting 

Either Metric

# 

Inspected 

% Meeting 

Either Metric 

# 

Inspected 

% Meeting 

Either Metric

1 52 73% 13 69% 65 72% 

2 50 72% 12 75% 62 73% 

3 49 73% 12 75% 61 74% 

4 48 69% 8 88% 56 71% 

5 39 67% 8 100% 47 72% 

6 35 66% 5 80% 40 68% 

7 28 71% 3 67% 31 71% 

8 28 68% 1 100% 29 69% 

 Improvement Rates for Potential POV Mines 

Report No 05-11-002-06-001. 8
U.S. Department of Labor – Office of Inspector General 

 

 Exhibit 3, continued 

Reduced S&S Rates by Various Percentages or National Average Metrics 

Reduce Rate of S&S Violations by 70% OR to National Average for Similar Mines 

Underground Mines Surface Mines / 

Facilities All Mines Inspection 

Period # 

Inspected 

% Meeting 

Either Metric

# 

Inspected 

% Meeting 

Either Metric 

# 

Inspected 

% Meeting 

Either Metric

1 52 71% 13 62% 65 69% 

2 50 70% 12 67% 62 69% 

3 49 73% 12 50% 61 69% 

4 48 67% 8 75% 56 68% 

5 39 67% 8 88% 47 70% 

6 35 66% 5 60% 40 65% 

7 28 71% 3 67% 31 71% 

8 28 68% 1 100% 29 69% 

Reduce Rate of S&S Violations by 80% OR to National Average for Similar Mines 

Underground Mines Surface Mines / 

Facilities All Mines Inspection 

Period # 

Inspected 

% Meeting 

Either Metric

# 

Inspected 

% Meeting 

Either Metric 

# 

Inspected 

% Meeting 

Either Metric

1 52 71% 13 54% 65 68% 

2 50 70% 12 67% 62 69% 

3 49 73% 12 50% 61 69% 

4 48 67% 8 75% 56 68% 

5 39 67% 8 88% 47 70% 

6 35 66% 5 60% 40 65% 

7 28 71% 3 67% 31 71% 

8 28 68% 1 100% 29 69% 

Reduce Rate of S&S Violations by 90% OR to National Average for Similar Mines 

Underground Mines Surface Mines / 

Facilities All Mines Inspection 

Period # 

Inspected 

% Meeting 

Either Metric

# 

Inspected 

% Meeting 

Either Metric 

# 

Inspected 

% Meeting 

Either Metric

1 52 71% 13 54% 65 68% 

2 50 70% 12 67% 62 69% 

3 49 73% 12 50% 61 69% 

4 48 67% 8 75% 56 68% 

5 39 67% 8 88% 47 70% 

6 35 66% 5 60% 40 65% 

7 28 71% 3 67% 31 71% 

8 28 68% 1 100% 29 69% 

 Improvement Rates for Potential POV Mines 

Report No 05-11-002-06-001. 9
U.S. Department of Labor – Office of Inspector General 

 

 Improvement Rates for Potential POV Mines 

Report No 05-11-002-06-001. 10

Exhibit 4 

Average Reduction Rates 

Average Percentage Reduction in Rate of S&S Violations 

Underground Mines Surface Mines / 

Facilities All Mines 

Inspection 

Period # 

Inspected 

Average % 

Reduction in 

Rate of S&S 

Violations 

# 

Inspected 

Average % 

Reduction in 

Rate of S&S 

Violations 

# 

Inspected 

Average % 

Reduction in 

Rate of S&S 

Violations 

1 52 62% 13 67% 65 63% 

2 50 58% 12 66% 62 60% 

3 49 54% 12 62% 61 56% 

4 48 52% 8 69% 56 54% 

5 39 51% 8 70% 47 54% 

6 35 50% 5 65% 40 52% 

7 28 53% 3 57% 31 53% 

8 28 51% 1 58% 29 51% 
U.S. Department of Labor – Office of Inspector General 

Exhibit 5 

 Improvement Rates for Potential POV Mines 

Report No 05-11-002-06-001. 11

Graphs of S&S Rates Subsequent to Receipt of Potential POV Notification 

Improvement in S&S Rate After PPOV Notice

Mine ID 4606188

Massey Energy Company - Chess Processing (Coal - Facility)

PPOV Monitoring Start Date = 07/16/07 

Starting S&S Rate = 19.55

67.15%

47.37%

71.03% 63.56% 67.03% 65.35% 66.92%

-100.00%

-80.00%

-60.00%

-40.00%

-20.00%

0.00%

20.00%

40.00%

60.00%

80.00%

100.00%

08/27/07 03/24/08 09/05/08 03/31/09 09/30/09 03/31/10 09/27/10

Inspection Period

Percent Improvement

Percent Improvement in S&S Rate from PPOV Notice 30% Improvement to 13.69 

Improvement to Reach Industry Average of 6.57

Cycle 1 (04/01/05 - 03/31/07)

123 4 5 6 7

10.29

5.66 7.12 6.45 6.77 6.47 6.42

Notes: The number presented above each bar of the graph is the actual rate of S&S 

violations from the “Monitoring Start Date” shown in the heading through the ending 

date of the inspection period. 

The number presented inside each bar of the graph represents the percent reduction 

in the mine’s rate of S&S violations from the “Monitoring Start Date” shown in the 

heading through the ending date of the inspection period. 

Dates shown along the bottom of the graph represent the ending date of each 

inspection period. 

 

 
U.S. Department of Labor – Office of Inspector General 

Exhibit 5, Continued 

 Improvement Rates for Potential POV Mines 

Report No 05-11-002-06-001. 12

Graphs of S&S Rates Subsequent to Receipt of Potential POV Notification

Improvement in S&S Rate After PPOV Notice

Mine ID 4608553

Massey Energy Company - Black King I North Portal (Coal - Underground)

PPOV Monitoring Start Date = 07/02/07

Starting S&S Rate = 12.94

26.75%

21.94% 18.32%

71.61%

60.32%

54.39% 53.45% 53.90%

-100.00%

-80.00%

-60.00%

-40.00%

-20.00%

0.00%

20.00%

40.00%

60.00%

80.00%

100.00%

09/10/07 12/05/07 03/26/08 05/21/08 09/04/08 12/29/08 03/31/09 06/26/09

Inspection Period

Percent Improvement

Percent Improvement in S&S Rate from PPOV Notice 30% Improvement to 9.06

Improvement to Reach Industry Average of 7.23 

Cycle 1 (04/01/05 - 03/31/07)

10.57

3.67

5.14

5.90 6.02 5.97

10.10

9.48

1 2 3 4 5678

Notes: The number presented above each bar of the graph is the actual rate of S&S 

violations from the “Monitoring Start Date” shown in the heading through the ending 

date of the inspection period. 

The number presented inside each bar of the graph represents the percent reduction 

in the mine’s rate of S&S violations from the “Monitoring Start Date” shown in the 

heading through the ending date of the inspection period. 

Dates shown along the bottom of the graph represent the ending date of each 

inspection period. 
U.S. Department of Labor – Office of Inspector General 

Exhibit 5, Continued 

 Improvement Rates for Potential POV Mines 

Report No 05-11-002-06-001. 13

Graphs of S&S Rates Subsequent to Receipt of Potential POV Notification 

Improvement in S&S Rate After PPOV Notice

Mine ID 1509636

James River Coal Company - #77 (Coal - Underground) 

PPOV Monitoring Start Date = 07/11/07

Starting S&S Rate = 13.19 

46.42% 49.72% 47.83% 49.58%

52.81%

46.13%

60.87%

70.74%

-100.00%

-80.00%

-60.00%

-40.00%

-20.00%

0.00%

20.00%

40.00%

60.00%

80.00%

100.00%

09/24/07 12/21/07 03/31/08 06/19/08 09/24/08 12/29/08 03/30/09 06/08/09

Inspection Period

Percent Improvement

Percent Improvement in S&S Rate from PPOV Notice 30% Improvement to 9.23

Improvement to Reach Industry Average of 7.23

Cycle 1 (04/01/05 - 03/31/07)

12 3 4 5678

3.86

5.16

7.11

6.22 6.65 6.88 7.07

6.63

Notes: The number presented above each bar of the graph is the actual rate of S&S 

violations from the “Monitoring Start Date” shown in the heading through the ending 

date of the inspection period. 

The number presented inside each bar of the graph represents the percent reduction 

in the mine’s rate of S&S violations from the “Monitoring Start Date” shown in the 

heading through the ending date of the inspection period. 

Dates shown along the bottom of the graph represent the ending date of each 

inspection period. 
U.S. Department of Labor – Office of Inspector General 

Exhibit 5, Continued 

 Improvement Rates for Potential POV Mines 

Report No 05-11-002-06-001. 14

Graphs of S&S Rates Subsequent to Receipt of Potential POV Notification 

Improvement in S&S Rate After PPOV Notice

Mine ID 1512564

Ben Bennett - Straight Creek #1 Mine (Coal - Underground)

PPOV Monitoring Start Date =07/10/07

Starting S&S Rate =18.10 

59.83% 62.81% 64.44% 62.03% 62.55% 61.66% 61.80% 62.90%

-100.00%

-80.00%

-60.00%

-40.00%

-20.00%

0.00%

20.00%

40.00%

60.00%

80.00%

100.00%

09/19/07 12/04/07 03/31/08 05/06/08 09/16/08 12/31/08 03/31/09 06/29/09

Inspection Period 

Percent Improvement

Percent Improvement in S&S Rate from PPOV Notice 30% Improvement to 12.67

Improvement to Reach Industry Average of 7.23

1 2 34 6 5 7

7.27 6.73 6.44 6.87 6.78 6.94 6.91 6.72

Cycle 1 (04/01/05 - 03/31/07)

8

Notes: The number presented above each bar of the graph is the actual rate of S&S 

violations from the “Monitoring Start Date” shown in the heading through the ending 

date of the inspection period. 

The number presented inside each bar of the graph represents the percent reduction 

in the mine’s rate of S&S violations from the “Monitoring Start Date” shown in the 

heading through the ending date of the inspection period. 

Dates shown along the bottom of the graph represent the ending date of each 

inspection period. 
U.S. Department of Labor – Office of Inspector General 

Exhibit 5, Continued 

 Improvement Rates for Potential POV Mines 

Report No 05-11-002-06-001. 15

Graphs of S&S Rates Subsequent to Receipt of Potential POV Notification 

Improvement in S&S Rate After PPOV Notice

Mine ID 0100851

Questor Management Company LLC et al - Oak Grove Mine (Coal - Underground) 

PPOV Monitoring Start Date = 07/10/07 

Starting S&S Rate = 12.54

32.22%

59.22% 58.19% 56.55% 58.50% 57.86% 57.81% 58.41%

-100.00%

-80.00%

-60.00%

-40.00%

-20.00%

0.00%

20.00%

40.00%

60.00%

80.00%

100.00%

09/28/07 12/31/07 03/31/08 06/30/08 09/29/08 12/30/08 03/31/09 06/30/09

Inspection Period

Percent Improvement

Percent Improvement in S&S Rate from PPOV Notice 30% Improvement to 8.78

Improvement to Reach Industry Average of 7.23 

1 2 3 4 5 6 7 8

8.50

5.11 5.24 5.45 5.20 5.28 5.29 5.22

Cycle 1 (04/01/05 - 03/31/07)

Notes: The number presented above each bar of the graph is the actual rate of S&S 

violations from the “Monitoring Start Date” shown in the heading through the ending 

date of the inspection period. 

The number presented inside each bar of the graph represents the percent reduction 

in the mine’s rate of S&S violations from the “Monitoring Start Date” shown in the 

heading through the ending date of the inspection period. 

Dates shown along the bottom of the graph represent the ending date of each 

inspection period. 

Cliffs Natural Resources became the Controller of this mine on 07/31/2007. 
U.S. Department of Labor – Office of Inspector General 

Exhibit 5, Continued 

 Improvement Rates for Potential POV Mines 

Report No 05-11-002-06-001. 16

Graphs of S&S Rates Subsequent to Receipt of Potential POV Notification 

Improvement in S&S Rate After PPOV Notice

Mine ID 2000422

Ontario Tilden Company; Cliffs TIOP Inc. - Tilden Mine (MNM - Surface ) 

PPOV Monitoring Start Date = 08/08/07 

Starting S&S Rate = 12.68 

57.07% 59.76% 56.80% 58.06%

47.27%

24.05% 23.01%

44.64%

-100.00%

-80.00%

-60.00%

-40.00%

-20.00%

0.00%

20.00%

40.00%

60.00%

80.00%

100.00%

09/24/07 01/04/08 05/22/08 08/28/08 01/23/09 04/30/09 03/11/10 06/09/10

Inspection Period

Percent Improvement

Percent Improvement in S&S Rate from PPOV Notice 30% Improvement to 8.88

Improvement to Reach Industry Average of 6.57

12345678

7.02

9.63

9.76

6.69

5.44 5.10 5.48 5.32

Cycle 1 (04/01/05 - 03/31/07)

Notes: The number presented above each bar of the graph is the actual rate of S&S 

violations from the “Monitoring Start Date” shown in the heading through the ending 

date of the inspection period. 

The number presented inside each bar of the graph represents the percent reduction 

in the mine’s rate of S&S violations from the “Monitoring Start Date” shown in the 

heading through the ending date of the inspection period. 

Dates shown along the bottom of the graph represent the ending date of each 

inspection period. 
U.S. Department of Labor – Office of Inspector General 

Exhibit 5, Continued 

 Improvement Rates for Potential POV Mines 

Report No 05-11-002-06-001. 17

Graphs of S&S Rates Subsequent to Receipt of Potential POV Notification 

Improvement in S&S Rate After PPOV Notice

Mine ID 0400011

Texas Industries Inc. - Oro Grande Quarry (MNM - Facility)

PPOV Monitoring Start Date = 7/23/07

Starting S&S Rate = 13.24

54.31%

82.47%

62.65% 57.70%

52.18% 46.39% 46.30%

-100.00%

-80.00%

-60.00%

-40.00%

-20.00%

0.00%

20.00%

40.00%

60.00%

80.00%

100.00%

08/09/07 12/06/07 08/26/08 01/15/09 08/27/09 03/23/10 09/01/10

Inspection Period

Percent Improvement

Percent Improvement in S&S Rate from PPOV Notice 30% Improvement to 9.27

Improvement to Reach Industry Average of 6.99

Cycle 1 (04/01/05 - 03/31/07)

6.05

2.32

4.94 5.60 6.33 7.10 7.11

1 234567

Notes: The number presented above each bar of the graph is the actual rate of S&S 

violations from the “Monitoring Start Date” shown in the heading through the ending 

date of the inspection period. 

The number presented inside each bar of the graph represents the percent reduction 

in the mine’s rate of S&S violations from the “Monitoring Start Date” shown in the 

heading through the ending date of the inspection period. 

Dates shown along the bottom of the graph represent the ending date of each 

inspection period. 
U.S. Department of Labor – Office of Inspector General 

Exhibit 5, Continued 

 Improvement Rates for Potential POV Mines 

Report No 05-11-002-06-001. 18

Graphs of S&S Rates Subsequent to Receipt of Potential POV Notification 

Improvement in S&S Rate After PPOV Notice

Mine ID 1504469

Cemex S A - KOSMOS CEMENT CO. (MNM - Facility)

PPOV Monitoring Start Date =03/03/08

 Starting S&S Rate = 22.66

69.29% 72.11% 67.85%

59.88% 61.32%

30.76%

-100.00%

-80.00%

-60.00%

-40.00%

-20.00%

0.00%

20.00%

40.00%

60.00%

80.00%

100.00%

03/06/08 07/24/08 10/02/08 04/28/09 02/24/10 09/01/10

Inspection Period

Percent Improvement

Percent Improvement in S&S Rate from PPOV Notice 30% Improvement to 16.00

Improvement to Reach Industry Average of 6.68

1 3 2 45

 15.69 

 9.09 8.77 

 7.29 6.32 6.96 

Cycle 2 (10/01/05 - 09/30/07)

6

Notes: The number presented above each bar of the graph is the actual rate of S&S 

violations from the “Monitoring Start Date” shown in the heading through the ending 

date of the inspection period. 

The number presented inside each bar of the graph represents the percent reduction 

in the mine’s rate of S&S violations from the “Monitoring Start Date” shown in the 

heading through the ending date of the inspection period. 

Dates shown along the bottom of the graph represent the ending date of each 

inspection period. 
U.S. Department of Labor – Office of Inspector General 

Exhibit 5, Continued 

 Improvement Rates for Potential POV Mines 

Report No 05-11-002-06-001. 19

Graphs of S&S Rates Subsequent to Receipt of Potential POV Notification 

Improvement in S&S Rate After PPOV Notice

Mine ID 4601437

CONSOL Energy Inc. - McElroy Mine (Coal - Underground)

PPOV Monitoring Start Date =01/08/08

Starting S&S Rate = 9.80 

31.75% 35.64%

41.74% 36.34% 39.15%

45.04% 50.44% 50.69%

-100.00%

-80.00%

-60.00%

-40.00%

-20.00%

0.00%

20.00%

40.00%

60.00%

80.00%

100.00%

03/31/08 06/30/08 09/30/08 12/31/08 03/31/09 06/30/09 09/28/09 12/22/09

Inspection Period

Percent Improvement

Percent Improvement in S&S Rate from PPOV Notice 30% Improvement to 6.86

Improvement to Reach Industry Average of 7.55

12345678

 4.86 4.83 5.39 5.71 

 6.24 5.96 6.31 6.69 

Cycle 2 (10/01/05 - 09/30/07)

Notes: The number presented above each bar of the graph is the actual rate of S&S 

violations from the “Monitoring Start Date” shown in the heading through the ending 

date of the inspection period. 

The number presented inside each bar of the graph represents the percent reduction 

in the mine’s rate of S&S violations from the “Monitoring Start Date” shown in the 

heading through the ending date of the inspection period. 

Dates shown along the bottom of the graph represent the ending date of each 

inspection period. 
U.S. Department of Labor – Office of Inspector General 

Exhibit 5, Continued 

 Improvement Rates for Potential POV Mines 

Report No 05-11-002-06-001. 20

Graphs of S&S Rates Subsequent to Receipt of Potential POV Notification 

Improvement in S&S Rate After PPOV Notice

Mine ID 4607273

Massey Energy Company - Justice #1 (Coal - Underground)

PPOV Monitoring Start Date = 01/07/08

Starting S&S Rate = 11.80

90.30%

78.34%

64.41%

50.81% 51.88% 49.40% 48.53% 41.84%

-100.00%

-80.00%

-60.00%

-40.00%

-20.00%

0.00%

20.00%

40.00%

60.00%

80.00%

100.00%

03/09/08 06/26/08 09/30/08 12/30/08 03/31/09 06/24/09 09/10/09 12/17/09

Inspection Period

Percent Improvement

Percent Improvement in S&S Rate from PPOV Notice 30% Improvement to 8.28

Improvement to Reach Industry Average of 7.55

1 2 3 4 5 678

 1.14 

 2.56 

 4.20 

 5.80 5.68 5.97 6.07 

6.86 

Cycle 2 (10/01/05 - 09/30/07)

Notes: The number presented above each bar of the graph is the actual rate of S&S 

violations from the “Monitoring Start Date” shown in the heading through the ending 

date of the inspection period. 

The number presented inside each bar of the graph represents the percent reduction 

in the mine’s rate of S&S violations from the “Monitoring Start Date” shown in the 

heading through the ending date of the inspection period. 

Dates shown along the bottom of the graph represent the ending date of each 

inspection period. 
U.S. Department of Labor – Office of Inspector General 

Exhibit 5, Continued 

 Improvement Rates for Potential POV Mines 

Report No 05-11-002-06-001. 21

Graphs of S&S Rates Subsequent to Receipt of Potential POV Notification 

Improvement in S&S Rate After PPOV Notice

Mine ID 4608315

Massey Energy Company - Brushy Eagle (Coal - Underground)

PPOV Monitoring Start Date = 01/07/08

Starting S&S Rate = 12.90

60.52%

65.70% 61.55% 58.98%

65.46% 67.68%

86.29%

51.77%

-100.00%

-80.00%

-60.00%

-40.00%

-20.00%

0.00%

20.00%

40.00%

60.00%

80.00%

100.00%

03/19/08 06/02/08 09/22/08 12/23/08 03/20/09 06/29/09 09/30/09 12/29/09

Inspection Period

Percent Improvement

Percent Improvement in S&S Rate from PPOV Notice 30% Improvement to 9.03

Improvement to Reach Industry Average of 7.55

123 45 6 78

 6.22 

 1.77 

 4.17 

 4.46 5.29 4.96 4.42 5.09 

Cycle 2 (10/01/05 - 09/30/07)

Notes: The number presented above each bar of the graph is the actual rate of S&S 

violations from the “Monitoring Start Date” shown in the heading through the ending 

date of the inspection period. 

The number presented inside each bar of the graph represents the percent reduction 

in the mine’s rate of S&S violations from the “Monitoring Start Date” shown in the 

heading through the ending date of the inspection period. 

Dates shown along the bottom of the graph represent the ending date of each 

inspection period. 
U.S. Department of Labor – Office of Inspector General 

Exhibit 5, Continued 

 Improvement Rates for Potential POV Mines 

Report No 05-11-002-06-001. 22

Graphs of S&S Rates Subsequent to Receipt of Potential POV Notification 

Improvement in S&S Rate After PPOV Notice

Mine ID 4608436

Massey Energy Company - Upper Big Branch Mine-South (Coal - Underground)

PPOV Monitoring Start Date = 01/07/08

Starting S&S Rate = 11.60

-2.38%

16.63%

4.31%

19.97%

36.22% 34.58%

53.05%

44.12%

-100.00%

-80.00%

-60.00%

-40.00%

-20.00%

0.00%

20.00%

40.00%

60.00%

80.00%

100.00%

03/24/08 06/30/08 09/30/08 12/31/08 03/30/09 06/29/09 09/30/09 12/30/09

 Inspection Period

Percent Improvement

Percent Improvement in S&S Rate from PPOV Notice 30% Improvement to 8.10

Improvement to Reach Industry Average of 7.55

1 2 3 4 5 6 8 7

 6.48 

 5.45 

 7.40 7.59 

 9.28 

 11.88 11.10 

 9.67 

Cycle 2 (10/01/05 - 09/30/07)

Notes: The number presented above each bar of the graph is the actual rate of S&S 

violations from the “Monitoring Start Date” shown in the heading through the ending 

date of the inspection period. 

The number presented inside or below each bar of the graph represents the percent 

reduction in the mine’s rate of S&S violations from the “Monitoring Start Date” 

shown in the heading through the ending date of the inspection period. 

Dates shown along the bottom of the graph represent the ending date of each 

inspection period. 
U.S. Department of Labor – Office of Inspector General 

Exhibit 5, Continued 

 Improvement Rates for Potential POV Mines 

Report No 05-11-002-06-001. 23

Graphs of S&S Rates Subsequent to Receipt of Potential POV Notification 

Improvement in S&S Rate After PPOV Notice

Mine ID 4608645

Massey Energy Company - Twilight Mtr Surface Mine (Coal - Surface )

PPOV Monitoring Start Date = 01/07/08

Starting S&S Rate = 30.20 

84.48%

86.42% 85.63%

85.76%

87.13%

85.47%

-100.00%

-80.00%

-60.00%

-40.00%

-20.00%

0.00%

20.00%

40.00%

60.00%

80.00%

100.00%

03/14/08 09/16/08 03/26/09 09/30/09 03/31/10 09/29/10

Inspection Period

Percent Improvement

Percent Improvement in S&S Rate from PPOV Notice 30% Improvement to 21.11

Improvement to Reach Industry Average of 6.09

123456

 4.10 4.34 4.30 3.89 4.39 4.69 

Cycle 2 (10/01/05 - 09/30/07)

Notes: The number presented above each bar of the graph is the actual rate of S&S 

violations from the “Monitoring Start Date” shown in the heading through the ending 

date of the inspection period. 

 The number presented inside each bar of the graph represents the percent 

reduction in the mine’s rate of S&S violations from the “Monitoring Start Date” 

shown in the heading through the ending date of the inspection period. 

Dates shown along the bottom of the graph represent the ending date of each 

inspection period. 

 
U.S. Department of Labor – Office of Inspector General 

Exhibit 5, Continued 

 Improvement Rates for Potential POV Mines 

Report No 05-11-002-06-001. 24

Graphs of S&S Rates Subsequent to Receipt of Potential POV Notification 

Improvement in S&S Rate After PPOV Notice

Mine ID 4608890

Peabody Energy - Rivers Edge Mine (Coal - Underground)

PPOV Monitoring Start Date = 01/07/08

Starting S&S Rate = 10.80

91.29% 89.61% 90.20% 87.28% 86.93% 84.72%

78.08% 75.38%

-100.00%

-80.00%

-60.00%

-40.00%

-20.00%

0.00%

20.00%

40.00%

60.00%

80.00%

100.00%

02/14/08 06/29/08 09/25/08 11/12/08 02/23/09 05/19/09 09/29/09 11/30/09

Inspection Period

Percent Improvement

Percent Improvement in S&S Rate from PPOV Notice 30% Improvement to 7.56

Improvement to Reach Industry Average of 7.55

1 2345678

 0.94 1.12 1.06 1.37 1.41 1.65 

 2.37 2.66 

Cycle 2 (10/01/05 - 09/30/07)

Notes: The number presented above each bar of the graph is the actual rate of S&S 

violations from the “Monitoring Start Date” shown in the heading through the ending 

date of the inspection period. 

 The number presented inside each bar of the graph represents the percent 

reduction in the mine’s rate of S&S violations from the “Monitoring Start Date” 

shown in the heading through the ending date of the inspection period. 

Dates shown along the bottom of the graph represent the ending date of each 

inspection period. 

Patriot Coal Corporation became the Controller of this mine on 10/31/2007. 
U.S. Department of Labor – Office of Inspector General 

Exhibit 5, Continued 

 Improvement Rates for Potential POV Mines 

Report No 05-11-002-06-001. 25

Graphs of S&S Rates Subsequent to Receipt of Potential POV Notification 

Improvement in S&S Rate After PPOV Notice

Mine ID 4608994

James H Booth - Deep Mine No. 8 (Coal - Underground)

PPOV Monitoring Start Date = 01/07/08

Starting S&S Rate = 11.10

11.07%

16.83% 15.50%

29.19%

23.33%

66.06%

24.01% 26.77%

-100.00%

-80.00%

-60.00%

-40.00%

-20.00%

0.00%

20.00%

40.00%

60.00%

80.00%

100.00%

02/28/08 06/18/08 09/11/08 12/22/08 03/03/09 06/23/09 09/30/09 11/23/09

 Inspection Period

Percent Improvement

Percent Improvement in S&S Rate from PPOV Notice 30% Improvement to 7.79

Improvement to Reach Industry Average of 7.55

1 2 345 678

 3.77 

 8.51 

 8.13 7.86 

 8.43 

 9.23 9.38 

 9.87 

Cycle 2 (10/01/05 - 09/30/07)

Notes: The number presented above each bar of the graph is the actual rate of S&S 

violations from the “Monitoring Start Date” shown in the heading through the ending 

date of the inspection period. 

 The number presented inside each bar of the graph represents the percent 

reduction in the mine’s rate of S&S violations from the “Monitoring Start Date” 

shown in the heading through the ending date of the inspection period. 

Dates shown along the bottom of the graph represent the ending date of each 

inspection period. 
U.S. Department of Labor – Office of Inspector General 

Exhibit 5, Continued 

 Improvement Rates for Potential POV Mines 

Report No 05-11-002-06-001. 26

Graphs of S&S Rates Subsequent to Receipt of Potential POV Notification 

Improvement in S&S Rate After PPOV Notice

Mine ID 4609020

James C Justice II et al - No 65 (Coal - Underground)

PPOV Monitoring Start Date = 01/07/08

Starting S&S Rate = 10.10

33.84%

40.51% 39.72% 41.92% 45.11%

57.42% 55.20%

69.06%

-100.00%

-80.00%

-60.00%

-40.00%

-20.00%

0.00%

20.00%

40.00%

60.00%

80.00%

100.00%

03/03/08 05/23/08 09/04/08 12/22/08 03/31/09 06/30/09 09/30/09 12/01/09

Inspection Period

Percent Improvement

Percent Improvement in S&S Rate from PPOV Notice 30% Improvement to 7.05

Improvement to Reach Industry Average of 7.55

12345678

 3.13 

 4.30 4.52 

 5.54 5.87 6.01 6.09 

 6.68 

Cycle 2 (10/01/05 - 09/30/07)

Notes: The number presented above each bar of the graph is the actual rate of S&S 

violations from the “Monitoring Start Date” shown in the heading through the ending 

date of the inspection period. 

 The number presented inside each bar of the graph represents the percent 

reduction in the mine’s rate of S&S violations from the “Monitoring Start Date” 

shown in the heading through the ending date of the inspection period. 

Dates shown along the bottom of the graph represent the ending date of each 

inspection period. 

Mechel Oao became the Controller of this mine on 05/07/2009. 
U.S. Department of Labor – Office of Inspector General 

Exhibit 5, Continued 

 Improvement Rates for Potential POV Mines 

Report No 05-11-002-06-001. 27

Graphs of S&S Rates Subsequent to Receipt of Potential POV Notification 

 Improvement in S&S Rate After PPOV Notice

Mine ID 4404946

Alpha Natural Resources LLC - No 2 (Coal - Underground)

PPOV Monitoring Start Date = 01/02/08

Starting S&S Rate = 12.00

83.49% 85.25% 84.71% 81.58% 80.60% 77.97% 74.75%

92.59%

-100.00%

-80.00%

-60.00%

-40.00%

-20.00%

0.00%

20.00%

40.00%

60.00%

80.00%

100.00%

02/14/08 05/29/08 08/11/08 12/01/08 03/18/09 06/25/09 09/21/09 12/21/09

Inspection Period

Percent Improvement

Percent Improvement in S&S Rate from PPOV Notice 30% Improvement to 8.43

Improvement to Reach Industry Average of 7.55

12345678

 0.89 

 3.03 2.64 2.21 2.33 1.98 1.77 1.83 

Cycle 2 (10/01/05 - 09/30/07)

Notes: The number presented above each bar of the graph is the actual rate of S&S 

violations from the “Monitoring Start Date” shown in the heading through the ending 

date of the inspection period. 

 The number presented inside each bar of the graph represents the percent 

reduction in the mine’s rate of S&S violations from the “Monitoring Start Date” 

shown in the heading through the ending date of the inspection period. 

Dates shown along the bottom of the graph represent the ending date of each 

inspection period. 
U.S. Department of Labor – Office of Inspector General 

Exhibit 5, Continued 

 Improvement Rates for Potential POV Mines 

Report No 05-11-002-06-001. 28

Graphs of S&S Rates Subsequent to Receipt of Potential POV Notification 

Improvement in S&S Rate After PPOV Notice

Mine ID 4407029

Charles D Mullins - No 1 Washer (Coal - Facility )

PPOV Monitoring Start Date = 02/19/08

Starting S&S Rate = 24.50

81.34% 82.35%

36.39%

-100.00%

-80.00%

-60.00%

-40.00%

-20.00%

0.00%

20.00%

40.00%

60.00%

80.00%

100.00%

03/03/08 06/26/08 11/19/08

Inspection Period

Percent Improvement

Percent Improvement in S&S Rate from PPOV Notice 30% Improvement to 17.18

Improvement to Reach Industry Average of 7.32

1 2 3

 15.58 

 4.57 4.32 

Cycle 2 (10/01/05 - 09/30/07)

Notes: The number presented above each bar of the graph is the actual rate of S&S 

violations from the “Monitoring Start Date” shown in the heading through the ending 

date of the inspection period. 

 The number presented inside each bar of the graph represents the percent 

reduction in the mine’s rate of S&S violations from the “Monitoring Start Date” 

shown in the heading through the ending date of the inspection period. 

Dates shown along the bottom of the graph represent the ending date of each 

inspection period. 
U.S. Department of Labor – Office of Inspector General 

Exhibit 5, Continued 

 Improvement Rates for Potential POV Mines 

Report No 05-11-002-06-001. 29

Graphs of S&S Rates Subsequent to Receipt of Potential POV Notification 

Improvement in S&S Rate After PPOV Notice

Mine ID 4407081

Ervin Stiltner - No. 2 (Coal - Underground)

PPOV Monitoring Start Date = 02/01/08

Starting S&S Rate = 18.40 

92.80%

80.73% 83.48% 80.77% 83.17% 86.64% 83.32% 82.78%

-100.00%

-80.00%

-60.00%

-40.00%

-20.00%

0.00%

20.00%

40.00%

60.00%

80.00%

100.00%

03/06/08 05/30/08 09/30/08 12/31/08 02/27/09 06/09/09 09/14/09 12/22/09

Inspection Period

Percent Improvement

Percent Improvement in S&S Rate from PPOV Notice 30% Improvement to 12.90

Improvement to Reach Industry Average of 7.55

1 2 3 4 5 6 7 8

 1.32 

 3.55 3.04 3.54 3.10 2.46 3.07 3.17 

Cycle 2 (10/01/05 - 09/30/07)

Notes: The number presented above each bar of the graph is the actual rate of S&S 

violations from the “Monitoring Start Date” shown in the heading through the ending 

date of the inspection period. 

 The number presented inside each bar of the graph represents the percent 

reduction in the mine’s rate of S&S violations from the “Monitoring Start Date” 

shown in the heading through the ending date of the inspection period. 

Dates shown along the bottom of the graph represent the ending date of each 

inspection period. 
U.S. Department of Labor – Office of Inspector General 

Exhibit 5, Continued 

 Improvement Rates for Potential POV Mines 

Report No 05-11-002-06-001. 30

Graphs of S&S Rates Subsequent to Receipt of Potential POV Notification 

Improvement in S&S Rate After PPOV Notice

Mine ID 1508079

Alliance Resource Partners LP - Mine No 3 (Coal - Underground)

PPOV Monitoring Start Date = 01/07/08

Starting S&S Rate = 10.20

62.04% 61.12% 59.51% 61.88% 62.32% 59.53%

65.67%

74.14%

-100.00%

-80.00%

-60.00%

-40.00%

-20.00%

0.00%

20.00%

40.00%

60.00%

80.00%

100.00%

03/31/08 06/30/08 09/30/08 12/31/08 03/31/09 06/25/09 09/28/09 12/31/09

Inspection Period

Percent Improvement

Percent Improvement in S&S Rate from PPOV Notice 30% Improvement to 7.17

Improvement to Reach Industry Average of 7.55

123 45678

 2.64 

 3.50 

 4.13 3.89 3.84 3.87 3.97 4.13 

Cycle 2 (10/01/05 - 09/30/07)

Notes: The number presented above each bar of the graph is the actual rate of S&S 

violations from the “Monitoring Start Date” shown in the heading through the ending 

date of the inspection period. 

 The number presented inside each bar of the graph represents the percent 

reduction in the mine’s rate of S&S violations from the “Monitoring Start Date” 

shown in the heading through the ending date of the inspection period. 

Dates shown along the bottom of the graph represent the ending date of each 

inspection period. 
U.S. Department of Labor – Office of Inspector General 

Exhibit 5, Continued 

 Improvement Rates for Potential POV Mines 

Report No 05-11-002-06-001. 31

Graphs of S&S Rates Subsequent to Receipt of Potential POV Notification 

Improvement in S&S Rate After PPOV Notice

Mine ID 1518381

Massey Energy Company - Taylor Fork Energy (Coal - Underground)

PPOV Monitoring Start Date = 01/02/08 

Starting S&S Rate = 14.10 

68.83% 64.65% 69.75% 72.91%

78.78%

89.74% 88.50% 85.01%

-100.00%

-80.00%

-60.00%

-40.00%

-20.00%

0.00%

20.00%

40.00%

60.00%

80.00%

100.00%

03/24/08 06/30/08 09/29/08 12/31/08 03/31/09 06/30/09 09/15/09 12/31/09

Inspection Period

Percent Improvement

Percent Improvement in S&S Rate from PPOV Notice 30% Improvement to 9.87

Improvement to Reach Industry Average of 7.55

1234 5 7 6

 2.11 1.45 1.62 

2.99 3.82 

 4.27 4.40 4.98 

Cycle 2 (10/01/05 - 09/30/07)

8

Notes: The number presented above each bar of the graph is the actual rate of S&S 

violations from the “Monitoring Start Date” shown in the heading through the ending 

date of the inspection period. 

 The number presented inside each bar of the graph represents the percent 

reduction in the mine’s rate of S&S violations from the “Monitoring Start Date” 

shown in the heading through the ending date of the inspection period. 

Dates shown along the bottom of the graph represent the ending date of each 

inspection period. 
U.S. Department of Labor – Office of Inspector General 

Exhibit 5, Continued 

 Improvement Rates for Potential POV Mines 

Report No 05-11-002-06-001. 32

Graphs of S&S Rates Subsequent to Receipt of Potential POV Notification 

Improvement in S&S Rate After PPOV Notice

Mine ID 1502502

James River Coal Company - Shamrock #18 Series (Coal - Underground)

PPOV Monitoring Start Date = 01/15/08

 Starting S&S Rate = 17.60

40.71%

47.49% 48.09% 44.07% 41.89% 47.79% 52.32%

57.70%

-100.00%

-80.00%

-60.00%

-40.00%

-20.00%

0.00%

20.00%

40.00%

60.00%

80.00%

100.00%

03/31/08 06/24/08 09/30/08 12/31/08 03/11/09 06/08/09 09/22/09 12/22/09

Inspection Period

Percent Improvement

Percent Improvement in S&S Rate from PPOV Notice 30% Improvement to 12.33

Improvement to Reach Industry Average of 7.55

12345678

 10.43 

 7.44 8.39 

 9.19 9.84 10.23 9.24 9.14 

Cycle 2 (10/01/05 - 09/30/07)

Notes: The number presented above each bar of the graph is the actual rate of S&S 

violations from the “Monitoring Start Date” shown in the heading through the ending 

date of the inspection period. 

 The number presented inside each bar of the graph represents the percent 

reduction in the mine’s rate of S&S violations from the “Monitoring Start Date” 

shown in the heading through the ending date of the inspection period. 

Dates shown along the bottom of the graph represent the ending date of each 

inspection period. 
U.S. Department of Labor – Office of Inspector General 

Exhibit 5, Continued 

 Improvement Rates for Potential POV Mines 

Report No 05-11-002-06-001. 33

Graphs of S&S Rates Subsequent to Receipt of Potential POV Notification 

Improvement in S&S Rate After PPOV Notice

 Mine ID 1511065

James River Coal Company - #4 (Coal - Underground)

PPOV Monitoring Start Date = 01/19/08 

Starting S&S Rate = 18.40

72.86% 73.34%

57.30%

74.40%

-100.00%

-80.00%

-60.00%

-40.00%

-20.00%

0.00%

20.00%

40.00%

60.00%

80.00%

100.00%

03/18/08 06/28/08 09/20/08 11/18/08

Inspection Period

Percent Improvement

Percent Improvement in S&S Rate from PPOV Notice 30% Improvement to 12.87

Improvement to Reach Industry Average of 7.55

1234

 7.86 

 4.71 4.99 4.90 

Cycle 2 (10/01/05 - 09/30/07)

Notes: The number presented above each bar of the graph is the actual rate of S&S 

violations from the “Monitoring Start Date” shown in the heading through the ending 

date of the inspection period. 

 The number presented inside each bar of the graph represents the percent 

reduction in the mine’s rate of S&S violations from the “Monitoring Start Date” 

shown in the heading through the ending date of the inspection period. 

Dates shown along the bottom of the graph represent the ending date of each 

inspection period. 
U.S. Department of Labor – Office of Inspector General 

Exhibit 5, Continued 

 Improvement Rates for Potential POV Mines 

Report No 05-11-002-06-001. 34

Graphs of S&S Rates Subsequent to Receipt of Potential POV Notification 

Improvement in S&S Rate After PPOV Notice

Mine ID 1518182

Horace Garrison Hill - D & C Mining Corp. (Coal - Underground) 

PPOV Monitoring Start Date = 01/22/08

Starting S&S Rate = 20.50 

45.52% 45.00% 45.56%

35.38% 37.60%

50.28% 46.93% 43.44%

-100.00%

-80.00%

-60.00%

-40.00%

-20.00%

0.00%

20.00%

40.00%

60.00%

80.00%

100.00%

03/12/08 06/30/08 09/09/08 12/30/08 01/30/09 05/28/09 09/30/09 12/31/09

Inspection Period

Percent Improvement

Percent Improvement in S&S Rate from PPOV Notice 30% Improvement to 14.33

Improvement to Reach Industry Average of 7.55

12345678

Cycle 2 (10/01/05 - 09/30/07)

 11.59 10.88 10.19 

 13.25 12.79 

 11.17 11.27 11.16 

Notes: The number presented above each bar of the graph is the actual rate of S&S 

violations from the “Monitoring Start Date” shown in the heading through the ending 

date of the inspection period. 

 The number presented inside each bar of the graph represents the percent 

reduction in the mine’s rate of S&S violations from the “Monitoring Start Date” 

shown in the heading through the ending date of the inspection period. 

Dates shown along the bottom of the graph represent the ending date of each 

inspection period. 
U.S. Department of Labor – Office of Inspector General 

Exhibit 5, Continued 

 Improvement Rates for Potential POV Mines 

Report No 05-11-002-06-001. 35

Graphs of S&S Rates Subsequent to Receipt of Potential POV Notification 

Improvement in S&S Rate After PPOV Notice

Mine ID 1518267

Ben Bennett - RB #10 (Coal - Underground) 

PPOV Monitoring Start Date = 01/22/08 

Starting S&S Rate = 24.70 

68.20% 72.91% 72.26% 71.47% 71.40% 69.42% 73.24%

60.88%

-100.00%

-80.00%

-60.00%

-40.00%

-20.00%

0.00%

20.00%

40.00%

60.00%

80.00%

100.00%

02/14/08 05/28/08 09/30/08 12/09/08 03/17/09 06/09/09 08/25/09 12/08/09

Inspection Period

Percent Improvement

Percent Improvement in S&S Rate from PPOV Notice 30% Improvement to 17.30

Improvement to Reach Industry Average of 7.55

Cycle 2 (10/01/05 - 09/30/07)

12345678

 9.66 

 7.55 6.61 7.85 6.69 6.85 7.05 7.06 

Notes: The number presented above each bar of the graph is the actual rate of S&S 

violations from the “Monitoring Start Date” shown in the heading through the ending 

date of the inspection period. 

 The number presented inside each bar of the graph represents the percent 

reduction in the mine’s rate of S&S violations from the “Monitoring Start Date” 

shown in the heading through the ending date of the inspection period. 

Dates shown along the bottom of the graph represent the ending date of each 

inspection period. 
U.S. Department of Labor – Office of Inspector General 

Exhibit 5, Continued 

 Improvement Rates for Potential POV Mines 

Report No 05-11-002-06-001. 36

Graphs of S&S Rates Subsequent to Receipt of Potential POV Notification 

Improvement in S&S Rate After PPOV Notice

Mine ID 4003237

National Coal Corporation - Mine No. 11 (Coal - Underground)

PPOV Monitoring Start Date = 01/11/08

 Starting S&S Rate = 10.20 

66.09% 66.52% 64.65% 64.55%

79.90%

-100.00%

-80.00%

-60.00%

-40.00%

-20.00%

0.00%

20.00%

40.00%

60.00%

80.00%

100.00%

03/17/08 06/23/08 09/30/08 12/31/08 02/17/09

Inspection Period

Percent Improvement

Percent Improvement in S&S Rate from PPOV Notice 30% Improvement to 7.13

Improvement to Reach Industry Average of 7.55

Cycle 2 (10/01/05 - 09/30/07)

12345

 2.05 

 3.61 3.62 

 3.46 3.42 

Notes: The number presented above each bar of the graph is the actual rate of S&S 

violations from the “Monitoring Start Date” shown in the heading through the ending 

date of the inspection period. 

 The number presented inside each bar of the graph represents the percent 

reduction in the mine’s rate of S&S violations from the “Monitoring Start Date” 

shown in the heading through the ending date of the inspection period. 

Dates shown along the bottom of the graph represent the ending date of each 

inspection period. 
U.S. Department of Labor – Office of Inspector General 

Exhibit 5, Continued 

 Improvement Rates for Potential POV Mines 

Report No 05-11-002-06-001. 37

Graphs of S&S Rates Subsequent to Receipt of Potential POV Notification 

Improvement in S&S Rate After PPOV Notice

Mine ID 4608194

United Company - Pleasant Hill Mine (Coal - Underground) 

PPOV Monitoring Start Date = 07/02/08

Starting S&S Rate = 12.32 

71.04% 69.90% 66.30% 67.73% 69.76% 69.65% 64.08%

74.03%

-100.00%

-80.00%

-60.00%

-40.00%

-20.00%

0.00%

20.00%

40.00%

60.00%

80.00%

100.00%

09/15/08 12/17/08 03/31/09 06/15/09 09/30/09 12/30/09 03/25/10 06/29/10

Inspection Period

Percent Improvement

Percent Improvement in S&S Rate from PPOV Notice 30% Improvement to 8.62

Improvement to Reach Industry Average of 7.31

 3.20 

4.43

3.98

3.73 3.74 4.15

3.57 3.71

Cycle 3 (04/01/06 - 03/31/08)

1 2345 6 7 8

Notes: The number presented above each bar of the graph is the actual rate of S&S 

violations from the “Monitoring Start Date” shown in the heading through the ending 

date of the inspection period. 

 The number presented inside each bar of the graph represents the percent 

reduction in the mine’s rate of S&S violations from the “Monitoring Start Date” 

shown in the heading through the ending date of the inspection period. 

Dates shown along the bottom of the graph represent the ending date of each 

inspection period. 

Metinvest B V became the Controller of this mine on 04/30/2009. 
U.S. Department of Labor – Office of Inspector General 

Exhibit 5, Continued 

 Improvement Rates for Potential POV Mines 

Report No 05-11-002-06-001. 38

Graphs of S&S Rates Subsequent to Receipt of Potential POV Notification 

Improvement in S&S Rate After PPOV Notice

Mine ID 4608759

Franklin D Robertson & James O Bunn et al - Eagle Mine (Coal - Underground) 

PPOV Monitoring Start Date = 07/02/08

Starting S&S Rate = 18.43

82.15%

70.76%

64.32% 62.93% 66.11% 65.83% 66.47% 66.74%

-100.00%

-80.00%

-60.00%

-40.00%

-20.00%

0.00%

20.00%

40.00%

60.00%

80.00%

100.00%

09/12/08 12/16/08 03/17/09 06/29/09 09/30/09 12/02/09 03/31/10 06/10/10

Inspection Period

Percent Improvement

Percent Improvement in S&S Rate from PPOV Notice 30% Improvement to 12.90

Improvement to Reach Industry Average of 7.31 

3.29

5.39 6.58 6.83 6.25 6.30 6.18 6.13

Cycle 3 (04/01/06 - 03/31/08)

1 234 5 678

Notes: The number presented above each bar of the graph is the actual rate of S&S 

violations from the “Monitoring Start Date” shown in the heading through the ending 

date of the inspection period. 

 The number presented inside each bar of the graph represents the percent 

reduction in the mine’s rate of S&S violations from the “Monitoring Start Date” 

shown in the heading through the ending date of the inspection period. 

Dates shown along the bottom of the graph represent the ending date of each 

inspection period. 

Robert E Ellis became the Controller of this mine on 04/01/2008. 
U.S. Department of Labor – Office of Inspector General 

Exhibit 5, Continued 

 Improvement Rates for Potential POV Mines 

Report No 05-11-002-06-001. 39

Graphs of S&S Rates Subsequent to Receipt of Potential POV Notification 

Improvement in S&S Rate After PPOV Notice

Mine ID 4608994

James H Booth - Deep Mine No. 8 (Coal - Underground)

PPOV Monitoring Start Date = 07/17/08

Starting S&S Rate = 14.31

50.64%

74.77%

32.87% 31.99% 27.75% 23.75% 22.47%

41.44%

-100.00%

-80.00%

-60.00%

-40.00%

-20.00%

0.00%

20.00%

40.00%

60.00%

80.00%

100.00%

09/11/08 12/22/08 03/03/09 06/23/09 09/30/09 11/23/09 02/26/10 06/22/10

Inspection Period

Percent Improvement

Percent Improvement in S&S Rate from PPOV Notice 30% Improvement to 10.02

Improvement to Reach Industry Average of 7.31

Cycle 3 (04/01/06 - 03/31/08)

3.61

7.06

8.38 9.61 9.73 10.34 10.91 11.09

12 3 4 5 6 7 8

Notes: The number presented above each bar of the graph is the actual rate of S&S 

violations from the “Monitoring Start Date” shown in the heading through the ending 

date of the inspection period. 

 The number presented inside each bar of the graph represents the percent 

reduction in the mine’s rate of S&S violations from the “Monitoring Start Date” 

shown in the heading through the ending date of the inspection period. 

Dates shown along the bottom of the graph represent the ending date of each 

inspection period. 
U.S. Department of Labor – Office of Inspector General 

Exhibit 5, Continued 

 Improvement Rates for Potential POV Mines 

Report No 05-11-002-06-001. 40

Graphs of S&S Rates Subsequent to Receipt of Potential POV Notification 

Improvement in S&S Rate After PPOV Notice

Mine ID 4609020

James C Justice II et al - No. 65 (Coal - Underground)

PPOV Monitoring Start Date = 07/21/08

Starting S&S Rate = 10.09

20.88% 24.62% 23.55% 30.88% 29.29% 31.09% 31.64%

65.41%

-100.00%

-80.00%

-60.00%

-40.00%

-20.00%

0.00%

20.00%

40.00%

60.00%

80.00%

100.00%

09/04/08 12/22/08 03/31/09 06/30/09 09/30/09 12/01/09 03/23/10 06/24/10

Inspection Period

Percent Improvement

Percent Improvement in S&S Rate from PPOV Notice 30% Improvement to 7.06

Improvement to Reach Industry Average of 7.31 

Cycle 3 (04/01/06 - 03/31/08)

6.97

3.49

7.13 6.95 6.90 7.61 7.71 7.98

12345678

Notes: The number presented above each bar of the graph is the actual rate of S&S 

violations from the “Monitoring Start Date” shown in the heading through the ending 

date of the inspection period. 

 The number presented inside each bar of the graph represents the percent 

reduction in the mine’s rate of S&S violations from the “Monitoring Start Date” 

shown in the heading through the ending date of the inspection period. 

Dates shown along the bottom of the graph represent the ending date of each 

inspection period. 

Mechel Oao became the Controller of this mine on 05/07/2009. 
U.S. Department of Labor – Office of Inspector General 

Exhibit 5, Continued 

 Improvement Rates for Potential POV Mines 

Report No 05-11-002-06-001. 41

Graphs of S&S Rates Subsequent to Receipt of Potential POV Notification 

Improvement in S&S Rate After PPOV Notice

Mine ID 4407137

Ervin Stiltner; Keith Stiltner - No. 2 (Coal - Underground)

PPOV Monitoring Start Date = 08/25/08

Starting S&S Rate = 12.85 

52.68%

69.44% 70.15% 75.23% 75.02% 74.07% 72.17% 71.59%

-100.00%

-80.00%

-60.00%

-40.00%

-20.00%

0.00%

20.00%

40.00%

60.00%

80.00%

100.00%

09/09/08 11/20/08 02/24/09 05/27/09 09/23/09 11/27/09 02/23/10 06/21/10

Inspection Period

Percent Improvement

Percent Improvement in S&S Rate from PPOV Notice 30% Improvement to 9.00

Improvement to Reach Industry Average of 7.31 

Cycle 3 (04/01/06 - 03/31/08)

1 3 5 67 2 4

6.08

3.93 3.84

3.18 3.21 3.33 3.58 3.65

8

Notes: The number presented above each bar of the graph is the actual rate of S&S 

violations from the “Monitoring Start Date” shown in the heading through the ending 

date of the inspection period. 

 The number presented inside each bar of the graph represents the percent 

reduction in the mine’s rate of S&S violations from the “Monitoring Start Date” 

shown in the heading through the ending date of the inspection period. 

Dates shown along the bottom of the graph represent the ending date of each 

inspection period. 
U.S. Department of Labor – Office of Inspector General 

Exhibit 5, Continued 

 Improvement Rates for Potential POV Mines 

Report No 05-11-002-06-001. 42

Graphs of S&S Rates Subsequent to Receipt of Potential POV Notification 

Improvement in S&S Rate After PPOV Notice

Mine ID 1509571

Alliance Resource Partners LP - Mine No. 2 (Coal - Underground)

PPOV Monitoring Start Date = 07/02/08

Starting S&S Rate = 10.95

73.99% 73.12%

64.93%

71.83%

87.40%

-100.00%

-80.00%

-60.00%

-40.00%

-20.00%

0.00%

20.00%

40.00%

60.00%

80.00%

100.00%

09/10/08 12/31/08 03/31/09 06/23/09 07/29/09

Inspection Period

Percent Improvement

Percent Improvement in S&S Rate from PPOV Notice 30% Improvement to 7.66

Improvement to Reach Industry Average of 7.31

Cycle 3 (04/01/06 - 03/31/08)

1.38

3.84

3.08 2.85

2.94

12345

Notes: The number presented above each bar of the graph is the actual rate of S&S 

violations from the “Monitoring Start Date” shown in the heading through the ending 

date of the inspection period. 

 The number presented inside each bar of the graph represents the percent 

reduction in the mine’s rate of S&S violations from the “Monitoring Start Date” 

shown in the heading through the ending date of the inspection period. 

Dates shown along the bottom of the graph represent the ending date of each 

inspection period. 
U.S. Department of Labor – Office of Inspector General 

Exhibit 5, Continued 

 Improvement Rates for Potential POV Mines 

Report No 05-11-002-06-001. 43

Graphs of S&S Rates Subsequent to Receipt of Potential POV Notification 

Improvement in S&S Rate After PPOV Notice

Mine ID 1510271

Clark D Pergrem - #1 Plant (Coal - Facility)

PPOV Monitoring Start Date = 07/17/08

Starting S&S Rate = 21.86 

70.00% 69.08% 75.25%

77.77% 81.74%

-100.00%

-80.00%

-60.00%

-40.00%

-20.00%

0.00%

20.00%

40.00%

60.00%

80.00%

100.00%

09/04/08 02/04/09 06/01/09 03/29/10 08/19/10

Inspection Period

Percent Improvement

Percent Improvement in S&S Rate from PPOV Notice 30% Improvement to 15.30

Improvement to Reach Industry Average of 6.81 

Cycle 3 (04/01/06 - 03/31/08)

1 2345

4.86

6.56 6.76

5.41

3.99

Notes: The number presented above each bar of the graph is the actual rate of S&S 

violations from the “Monitoring Start Date” shown in the heading through the ending 

date of the inspection period. 

 The number presented inside each bar of the graph represents the percent 

reduction in the mine’s rate of S&S violations from the “Monitoring Start Date” 

shown in the heading through the ending date of the inspection period. 

Dates shown along the bottom of the graph represent the ending date of each 

inspection period. 
U.S. Department of Labor – Office of Inspector General 

Exhibit 5, Continued 

 Improvement Rates for Potential POV Mines 

Report No 05-11-002-06-001. 44

Graphs of S&S Rates Subsequent to Receipt of Potential POV Notification 

Improvement in S&S Rate After PPOV Notice

Mine ID 1517651

Massey Energy Company - Mine #1 (Coal - Underground)

PPOV Montioring Start Date = 07/01/08

Starting S&S Rate = 11.73

32.14% 35.24% 41.86%

51.32% 54.33% 57.62% 60.59% 57.53%

-100.00%

-80.00%

-60.00%

-40.00%

-20.00%

0.00%

20.00%

40.00%

60.00%

80.00%

100.00%

09/10/08 12/31/08 03/27/09 06/08/09 09/30/09 12/31/09 03/31/10 06/29/10

Inspection Period

Percent Improvement

Percent Improvement in S&S Rate from PPOV Notice 30% Improvement to 8.21

Improvement to Reach Industry Average of 7.31 

Cycle 3 (04/01/06 - 03/31/08)

12 3 4 5 6 7 8

7.96 7.60

5.71

4.97

6.82

5.36

4.62 4.98

Notes: The number presented above each bar of the graph is the actual rate of S&S 

violations from the “Monitoring Start Date” shown in the heading through the ending 

date of the inspection period. 

 The number presented inside each bar of the graph represents the percent 

reduction in the mine’s rate of S&S violations from the “Monitoring Start Date” 

shown in the heading through the ending date of the inspection period. 

Dates shown along the bottom of the graph represent the ending date of each 

inspection period. 
U.S. Department of Labor – Office of Inspector General 

Exhibit 5, Continued 

 Improvement Rates for Potential POV Mines 

Report No 05-11-002-06-001. 45

Graphs of S&S Rates Subsequent to Receipt of Potential POV Notification 

Improvement in S&S Rate After PPOV Notice

Mine ID 1517165

Cumberland Resources Corporation - Mine # 1 (Coal - Underground)

PPOV Monitoring Start Date = 07/14/08

Starting S&S Rate = 9.61

75.44% 77.26% 76.65% 76.45% 75.59% 78.57% 78.02% 77.42%

-100.00%

-80.00%

-60.00%

-40.00%

-20.00%

0.00%

20.00%

40.00%

60.00%

80.00%

100.00%

09/09/08 12/29/08 03/31/09 06/29/09 09/24/09 12/31/09 03/31/10 06/30/10

Inspection Period

Percent Improvement

Percent Improvement in S&S Rate from PPOV Notice 30% Improvement to 6.73

Improvement to Reach Industry Average of 7.31 

Cycle 3 (04/01/06 - 03/31/08)

2.36 2.19 2.24 2.26 2.35 2.06 2.11 2.17

12345678

Notes: The number presented above each bar of the graph is the actual rate of S&S 

violations from the “Monitoring Start Date” shown in the heading through the ending 

date of the inspection period. 

 The number presented inside each bar of the graph represents the percent 

reduction in the mine’s rate of S&S violations from the “Monitoring Start Date” 

shown in the heading through the ending date of the inspection period. 

Dates shown along the bottom of the graph represent the ending date of each 

inspection period. 

Massey Energy Company became the Controller of this mine on 04/19/2010. 
U.S. Department of Labor – Office of Inspector General 

Exhibit 5, Continued 

 Improvement Rates for Potential POV Mines 

Report No 05-11-002-06-001. 46

Graphs of S&S Rates Subsequent to Receipt of Potential POV Notification 

Improvement in S&S Rate After PPOV Notice

Mine ID 1517478

James River Coal Company - #75 (Coal - Underground)

PPOV Monitoring Start Date = 07/11/08

Starting S&S Rate = 9.16

53.06% 52.38% 58.66% 57.26%

65.87% 66.45% 66.30%

61.90%

-100.00%

-80.00%

-60.00%

-40.00%

-20.00%

0.00%

20.00%

40.00%

60.00%

80.00%

100.00%

09/17/08 12/31/08 03/27/09 06/25/09 09/30/09 12/29/09 03/31/10 06/23/10

Inspection Period

Percent Improvement

Percent Improvement in S&S Rate from PPOV Notice 30% Improvement to 6.41

Improvement to Reach Industry Average of 7.31 

Cycle 3 (04/01/06 - 03/31/08)

123 45 678

3.49 3.13 3.07 3.09

3.79 3.91 4.30 4.36

Notes: The number presented above each bar of the graph is the actual rate of S&S 

violations from the “Monitoring Start Date” shown in the heading through the ending 

date of the inspection period. 

 The number presented inside each bar of the graph represents the percent 

reduction in the mine’s rate of S&S violations from the “Monitoring Start Date” 

shown in the heading through the ending date of the inspection period. 

Dates shown along the bottom of the graph represent the ending date of each 

inspection period. 
U.S. Department of Labor – Office of Inspector General 

Exhibit 5, Continued 

 Improvement Rates for Potential POV Mines 

Report No 05-11-002-06-001. 47

Graphs of S&S Rates Subsequent to Receipt of Potential POV Notification 

Improvement in S&S Rate After PPOV Notice

Mine ID 1518182

Horace Garrison Hill - D &C Mining Corp. (Coal - Underground)

PPOV Monitoring Start Date = 07/09/08

Starting S&S Rate = 18.38

22.98% 29.25%

37.73% 38.72% 38.05%

18.19%

7.09%

57.56%

-100.00%

-80.00%

-60.00%

-40.00%

-20.00%

0.00%

20.00%

40.00%

60.00%

80.00%

100.00%

09/09/08 12/30/08 01/30/09 05/28/09 09/30/09 12/31/09 03/31/10 05/26/10

Inspection Period

Percent Improvement

Percent Improvement in S&S Rate from PPOV Notice 30% Improvement to 12.87

Improvement to Reach Industry Average of 7.31 

Cycle 3 (04/01/06 - 03/31/08)

7.80

17.08 15.04

11.39 11.44 11.26

13.00 14.16

1234 567 8

Notes: The number presented above each bar of the graph is the actual rate of S&S 

violations from the “Monitoring Start Date” shown in the heading through the ending 

date of the inspection period. 

 The number presented inside each bar of the graph represents the percent 

reduction in the mine’s rate of S&S violations from the “Monitoring Start Date” 

shown in the heading through the ending date of the inspection period. 

Dates shown along the bottom of the graph represent the ending date of each 

inspection period. 
U.S. Department of Labor – Office of Inspector General 

Exhibit 5, Continued 

 Improvement Rates for Potential POV Mines 

Report No 05-11-002-06-001. 48

Graphs of S&S Rates Subsequent to Receipt of Potential POV Notification 

Improvement in S&S Rate After PPOV Notice

Mine ID 1518861

James H Hurley - Mine No. 1 (Coal - Underground)

PPOV Monitoring Start Date = 07/09/08

Starting S&S Rate = 15.36

74.74%

69.39% 66.20% 65.02%

58.31% 57.91% 55.42%

33.07%

-100.00%

-80.00%

-60.00%

-40.00%

-20.00%

0.00%

20.00%

40.00%

60.00%

80.00%

100.00%

09/09/08 12/08/08 03/31/09 06/30/09 08/28/09 11/17/09 02/02/10 06/30/10

Inspection Period

Percent Improvement

Percent Improvement in S&S Rate from PPOV Notice 30% Improvement to 10.75

Improvement to Reach Industry Average of 7.31

Cycle 3 (04/01/06 - 03/31/08)

12 34 5 67 8

3.88

4.70

5.19 6.40 5.37 6.47 6.85

10.28

Notes: The number presented above each bar of the graph is the actual rate of S&S 

violations from the “Monitoring Start Date” shown in the heading through the ending 

date of the inspection period. 

 The number presented inside each bar of the graph represents the percent 

reduction in the mine’s rate of S&S violations from the “Monitoring Start Date” 

shown in the heading through the ending date of the inspection period. 

Dates shown along the bottom of the graph represent the ending date of each 

inspection period. 
U.S. Department of Labor – Office of Inspector General 

Exhibit 5, Continued 

 Improvement Rates for Potential POV Mines 

Report No 05-11-002-06-001. 49

Graphs of S&S Rates Subsequent to Receipt of Potential POV Notification 

Improvement in S&S Rate After PPOV Notice

Mine ID 0500266

GCC of America - King I (Coal - Underground)

PPOV Monitoring Start Date = 07/10/08

Starting S&S Rate = 10.66 

56.87%

45.71% 51.69%

-100.00%

-80.00%

-60.00%

-40.00%

-20.00%

0.00%

20.00%

40.00%

60.00%

80.00%

100.00%

09/09/08 12/30/08 03/31/09

Inspection Period

Percent Improvement

Percent Improvement in S&S Rate from PPOV Notice 30% Improvement to 7.46

Improvement to Reach Industry Average of 7.31 

Cycle 3 (04/01/06 - 03/31/08)

123

5.15

5.79

4.60

Notes: The number presented above each bar of the graph is the actual rate of S&S 

violations from the “Monitoring Start Date” shown in the heading through the ending 

date of the inspection period. 

 The number presented inside each bar of the graph represents the percent 

reduction in the mine’s rate of S&S violations from the “Monitoring Start Date” 

shown in the heading through the ending date of the inspection period. 

Dates shown along the bottom of the graph represent the ending date of each 

inspection period. 
U.S. Department of Labor – Office of Inspector General 

Exhibit 5, Continued 

 Improvement Rates for Potential POV Mines 

Report No 05-11-002-06-001. 50

Graphs of S&S Rates Subsequent to Receipt of Potential POV Notification 

Improvement in S&S Rate After PPOV Notice

Mine ID 2000422

Ontario Tilden Company; Cliffs TIOP Inc - Tilden Mine (MNM - Surface)

PPOV Monitoring Start Date = 08/04/08

Starting S&S Rate = 9.71

79.61%

64.86% 64.97%

79.69% 83.95%

-100.00%

-80.00%

-60.00%

-40.00%

-20.00%

0.00%

20.00%

40.00%

60.00%

80.00%

100.00%

08/28/08 01/23/09 04/30/09 03/11/10 06/09/10

Inspection Period

Percent Improvement

Percent Improvement in S&S Rate from PPOV Notice 30% Improvement to 6.80

Improvement to Reach Industry Average of 5.79 

Cycle 3 (04/01/06 - 03/31/08)

12 345

1.98

1.56 1.97

3.40 3.41

Notes: The number presented above each bar of the graph is the actual rate of S&S 

violations from the “Monitoring Start Date” shown in the heading through the ending 

date of the inspection period. 

 The number presented inside each bar of the graph represents the percent 

reduction in the mine’s rate of S&S violations from the “Monitoring Start Date” 

shown in the heading through the ending date of the inspection period. 

Dates shown along the bottom of the graph represent the ending date of each 

inspection period. 
U.S. Department of Labor – Office of Inspector General 

Exhibit 5, Continued 

 Improvement Rates for Potential POV Mines 

Report No 05-11-002-06-001. 51

Graphs of S&S Rates Subsequent to Receipt of Potential POV Notification 

Improvement in S&S Rate After PPOV Notice

Mine ID 1505484

Carmeuse Holding SA; Lafarge SA - Plant Black River Operations (MNM - Facility)

PPOV Monitoring Start Date = 07/28/08

Starting S&S Rate = 9.67

79.75% 82.56%

100.00% 90.93%

94.84%

-100.00%

-80.00%

-60.00%

-40.00%

-20.00%

0.00%

20.00%

40.00%

60.00%

80.00%

100.00%

07/31/08 10/17/08 04/18/09 01/19/10 06/23/10

Inspection Period

Percent Improvement

Percent Improvement in S&S Rate from PPOV Notice 30% Improvement to 6.77

Improvement to Reach Industry Average of 6.26 

Cycle 3 (04/01/06 - 03/31/08)

0.00 0.88 0.50

1.69 1.96

1 234 5

Notes: The number presented above each bar of the graph is the actual rate of S&S 

violations from the “Monitoring Start Date” shown in the heading through the ending 

date of the inspection period. 

 The number presented inside each bar of the graph represents the percent 

reduction in the mine’s rate of S&S violations from the “Monitoring Start Date” 

shown in the heading through the ending date of the inspection period. 

Dates shown along the bottom of the graph represent the ending date of each 

inspection period. 
U.S. Department of Labor – Office of Inspector General 

Exhibit 5, Continued 

 Improvement Rates for Potential POV Mines 

Report No 05-11-002-06-001. 52

Graphs of S&S Rates Subsequent to Receipt of Potential POV Notification 

Improvement in S&S Rate After PPOV Notice

Mine ID 4609136

Coalfield Transport Inc - Broad Run Mine (Coal - Underground)

PPOV Monitoring Start Date = 04/01/09

Starting S&S Rate = 9.82

3.16% 5.48% 10.39%

16.97%

34.03%

72.51%

-100.00%

-80.00%

-60.00%

-40.00%

-20.00%

0.00%

20.00%

40.00%

60.00%

80.00%

100.00%

06/10/09 09/30/09 12/29/09 03/31/10 06/07/10 09/27/10

Inspection Period

Percent Improvement

Percent Improvement in S&S Rate from PPOV Notice 30% Improvement to 6.87

Improvement to Reach Industry Average of 6.75

Cycle 4 (01/01/07- 12/31/08)

12 3456

2.70

6.48

8.15

8.80

9.51 9.28

Notes: The number presented above each bar of the graph is the actual rate of S&S 

violations from the “Monitoring Start Date” shown in the heading through the ending 

date of the inspection period. 

 The number presented inside each bar of the graph represents the percent 

reduction in the mine’s rate of S&S violations from the “Monitoring Start Date” 

shown in the heading through the ending date of the inspection period. 

Dates shown along the bottom of the graph represent the ending date of each 

inspection period. 
U.S. Department of Labor – Office of Inspector General 

Exhibit 5, Continued 

 Improvement Rates for Potential POV Mines 

Report No 05-11-002-06-001. 53

Graphs of S&S Rates Subsequent to Receipt of Potential POV Notification 

Improvement in S&S Rate After PPOV Notice

Mine ID 4603755

Massey Energy Company - Liberty Processing (Coal - Facility)

PPOV Monitoring Start Date = 04/07/09

Starting S&S Rate = 22.87

24.52% 27.98%

60.82%

-100.00%

-80.00%

-60.00%

-40.00%

-20.00%

0.00%

20.00%

40.00%

60.00%

80.00%

100.00%

04/20/09 12/10/09 05/11/10

Inspection Period

Percent Improvement

Percent Improvement in S&S Rate from PPOV Notice 30% Improvement to 16.01

Improvement to Reach Industry Average of 6.28

Cycle 4 (01/01/07- 12/31/08)

12 3

 8.96 

16.47 17.26

Notes: The number presented above each bar of the graph is the actual rate of S&S 

violations from the “Monitoring Start Date” shown in the heading through the ending 

date of the inspection period. 

 The number presented inside each bar of the graph represents the percent 

reduction in the mine’s rate of S&S violations from the “Monitoring Start Date” 

shown in the heading through the ending date of the inspection period. 

Dates shown along the bottom of the graph represent the ending date of each 

inspection period. 
U.S. Department of Labor – Office of Inspector General 

Exhibit 5, Continued 

 Improvement Rates for Potential POV Mines 

Report No 05-11-002-06-001. 54

Graphs of S&S Rates Subsequent to Receipt of Potential POV Notification 

Improvement in S&S Rate After PPOV Notice

Mine ID 4607009

Massey Energy Company - Castle Mine (Coal - Underground)

PPOV Monitoring Start Date = 04/07/09

Starting S&S Rate = 9.90

77.31% 79.53% 75.74% 77.33% 79.33%

61.62%

-100.00%

-80.00%

-60.00%

-40.00%

-20.00%

0.00%

20.00%

40.00%

60.00%

80.00%

100.00%

06/01/09 09/30/09 12/23/09 03/22/10 06/28/10 09/30/10

Inspection Period

Percent Improvement

Percent Improvement in S&S Rate from PPOV Notice 30% Improvement to 6.93

Improvement to Reach Industry Average of 6.75

Cycle 4 (01/01/07- 12/31/08)

3.80

2.05 2.40 2.24 2.25 2.03

12 3 4 5 6

Notes: The number presented above each bar of the graph is the actual rate of S&S 

violations from the “Monitoring Start Date” shown in the heading through the ending 

date of the inspection period. 

 The number presented inside each bar of the graph represents the percent 

reduction in the mine’s rate of S&S violations from the “Monitoring Start Date” 

shown in the heading through the ending date of the inspection period. 

Dates shown along the bottom of the graph represent the ending date of each 

inspection period. 
U.S. Department of Labor – Office of Inspector General 

Exhibit 5, Continued 

 Improvement Rates for Potential POV Mines 

Report No 05-11-002-06-001. 55

Graphs of S&S Rates Subsequent to Receipt of Potential POV Notification 

Improvement in S&S Rate After PPOV Notice

Mine ID 4608249

Rhonda Marcum - Surface No. 1 (Coal - Surface)

PPOV Monitoring Start Date = 04/06/09

Starting S&S Rate = 28.23

60.72%

75.06%

62.38%

-100.00%

-80.00%

-60.00%

-40.00%

-20.00%

0.00%

20.00%

40.00%

60.00%

80.00%

100.00%

04/27/09 11/30/09 05/04/10

Inspection Period

Percent Improvement

Percent Improvement in S&S Rate from PPOV Notice 30% Improvement to 19.76

Improvement to Reach Industry Average of 5.99

Cycle 4 (01/01/07- 12/31/08)

12 3

7.04

10.62 11.09

Notes: The number presented above each bar of the graph is the actual rate of S&S 

violations from the “Monitoring Start Date” shown in the heading through the ending 

date of the inspection period. 

 The number presented inside each bar of the graph represents the percent 

reduction in the mine’s rate of S&S violations from the “Monitoring Start Date” 

shown in the heading through the ending date of the inspection period. 

Dates shown along the bottom of the graph represent the ending date of each 

inspection period. 
U.S. Department of Labor – Office of Inspector General 

Exhibit 5, Continued 

 Improvement Rates for Potential POV Mines 

Report No 05-11-002-06-001. 56

Graphs of S&S Rates Subsequent to Receipt of Potential POV Notification 

Improvement in S&S Rate After PPOV Notice

Mine ID 4406685

United Company - Paw Paw Mine (Coal - Underground)

PPOV Monitoring Start Date = 04/13/09

Starting S&S Rate = 12.47

66.64% 66.61%

24.50%

55.21%

31.93% 30.40%

-100.00%

-80.00%

-60.00%

-40.00%

-20.00%

0.00%

20.00%

40.00%

60.00%

80.00%

100.00%

05/28/09 08/28/09 12/10/09 03/26/10 06/15/10 09/23/10

Inspection Period

Percent Improvement

Percent Improvement in S&S Rate from PPOV Notice 30% Improvement to 8.73

Improvement to Reach Industry Average of 6.75

Cycle 4 (01/01/07- 12/31/08)

4.16 4.16

5.58

9.42 8.49 8.68

1 23 456

Notes: The number presented above each bar of the graph is the actual rate of S&S 

violations from the “Monitoring Start Date” shown in the heading through the ending 

date of the inspection period. 

 The number presented inside each bar of the graph represents the percent 

reduction in the mine’s rate of S&S violations from the “Monitoring Start Date” 

shown in the heading through the ending date of the inspection period. 

Dates shown along the bottom of the graph represent the ending date of each 

inspection period. 

Metinvest B V became the Controller of this mine on 04/30/2009. 
U.S. Department of Labor – Office of Inspector General 

Exhibit 5, Continued 

 Improvement Rates for Potential POV Mines 

Report No 05-11-002-06-001. 57

Graphs of S&S Rates Subsequent to Receipt of Potential POV Notification 

Improvement in S&S Rate After PPOV Notice

Mine ID 4406866

Robin M Lambert; Philip T Lambert - Mine No. 2 (Coal - Underground)

PPOV Monitoring Start Date = 04/13/09

Starting S&S Rate = 14.44 

100.00% 100.00%

-100.00%

-80.00%

-60.00%

-40.00%

-20.00%

0.00%

20.00%

40.00%

60.00%

80.00%

100.00%

05/26/09 07/17/09

Inspection Period

Percent Improvement

Percent Improvement in S&S Rate from PPOV Notice 30% Improvement to 10.11

Improvement to Reach Industry Average of 6.75

1 2

0.00 0.00

Cycle 4 (01/01/07- 12/31/08)

Notes: The number presented above each bar of the graph is the actual rate of S&S 

violations from the “Monitoring Start Date” shown in the heading through the ending 

date of the inspection period. 

 The number presented inside each bar of the graph represents the percent 

reduction in the mine’s rate of S&S violations from the “Monitoring Start Date” 

shown in the heading through the ending date of the inspection period. 

Dates shown along the bottom of the graph represent the ending date of each 

inspection period. 
U.S. Department of Labor – Office of Inspector General 

Exhibit 5, Continued 

 Improvement Rates for Potential POV Mines 

Report No 05-11-002-06-001. 58

Graphs of S&S Rates Subsequent to Receipt of Potential POV Notification 

Improvement in S&S Rate After PPOV Notice

Mine ID 4406947

James A Sigmon - #1 Mine (Coal - Underground) 

PPOV Monitoring Start Date = 04/13/09

Starting S&S Rate = 9.49 

23.85% 30.56%

51.46%

86.51% 85.87%

-100.00%

-80.00%

-60.00%

-40.00%

-20.00%

0.00%

20.00%

40.00%

60.00%

80.00%

100.00%

06/03/09 09/10/09 12/22/09 03/29/10 06/21/10

Inspection Period

Percent Improvement

Percent Improvement in S&S Rate from PPOV Notice 30% Improvement to 6.64

Improvement to Reach Industry Average of 6.75

Cycle 4 (01/01/07- 12/31/08)

1 23 45

1.28 1.34

4.61

6.59 7.23

Notes: The number presented above each bar of the graph is the actual rate of S&S 

violations from the “Monitoring Start Date” shown in the heading through the ending 

date of the inspection period. 

 The number presented inside each bar of the graph represents the percent 

reduction in the mine’s rate of S&S violations from the “Monitoring Start Date” 

shown in the heading through the ending date of the inspection period. 

Dates shown along the bottom of the graph represent the ending date of each 

inspection period. 

James C Justice II became the Controller of this mine on 07/28/2010. 
U.S. Department of Labor – Office of Inspector General 

Exhibit 5, Continued 

 Improvement Rates for Potential POV Mines 

Report No 05-11-002-06-001. 59

Graphs of S&S Rates Subsequent to Receipt of Potential POV Notification 

Improvement in S&S Rate After PPOV Notice

Mine ID 1517651

Massey Energy Company - Mine #1 (Coal - Underground)

PPOV Monitoring Start Date = 03/30/09

Starting S&S Rate = 9.86 

60.29% 58.48%

70.21% 68.06% 69.06%

77.38%

-100.00%

-80.00%

-60.00%

-40.00%

-20.00%

0.00%

20.00%

40.00%

60.00%

80.00%

100.00%

06/08/09 09/30/09 12/31/09 03/31/10 06/29/10 09/30/10

Inspection Period

Percent Improvement

Percent Improvement in S&S Rate from PPOV Notice 30% Improvement to 6.90

Improvement to Reach Industry Average of 6.75

Cycle 4 (01/01/07- 12/31/08)

2.23

2.94 3.15 3.05

3.92 4.09

12 3 4 5 6

Notes: The number presented above each bar of the graph is the actual rate of S&S 

violations from the “Monitoring Start Date” shown in the heading through the ending 

date of the inspection period. 

 The number presented inside each bar of the graph represents the percent 

reduction in the mine’s rate of S&S violations from the “Monitoring Start Date” 

shown in the heading through the ending date of the inspection period. 

Dates shown along the bottom of the graph represent the ending date of each 

inspection period. 
U.S. Department of Labor – Office of Inspector General 

Exhibit 5, Continued 

 Improvement Rates for Potential POV Mines 

Report No 05-11-002-06-001. 60

Graphs of S&S Rates Subsequent to Receipt of Potential POV Notification 

Improvement in S&S Rate After PPOV Notice

Mine ID 1509636

James River Coal Company - #77 (Coal - Underground)

PPOV Monitoring Start Date = 04/01/09

Starting S&S Rate = 10.02

18.45%

12.72% 11.25%

68.26% 64.27%

21.14%

-100.00%

-80.00%

-60.00%

-40.00%

-20.00%

0.00%

20.00%

40.00%

60.00%

80.00%

100.00%

06/08/09 08/24/09 12/30/09 03/16/10 06/28/10 09/29/10

Inspection Period

Percent Improvement

Percent Improvement in S&S Rate from PPOV Notice 30% Improvement to 7.01

Improvement to Reach Industry Average of 6.75 

Cycle 4 (01/01/07- 12/31/08)

 3.58 

 3.18 

 8.75 8.89 8.17 7.90 

12 3 4 5 6

Notes: The number presented above each bar of the graph is the actual rate of S&S 

violations from the “Monitoring Start Date” shown in the heading through the ending 

date of the inspection period. 

 The number presented inside each bar of the graph represents the percent 

reduction in the mine’s rate of S&S violations from the “Monitoring Start Date” 

shown in the heading through the ending date of the inspection period. 

Dates shown along the bottom of the graph represent the ending date of each 

inspection period. 
U.S. Department of Labor – Office of Inspector General 

Exhibit 5, Continued 

 Improvement Rates for Potential POV Mines 

Report No 05-11-002-06-001. 61

Graphs of S&S Rates Subsequent to Receipt of Potential POV Notification 

Improvement in S&S Rate After PPOV Notice

Mine ID 1518924

Broe Companies Inc - Butcher Branch (Coal - Underground)

PPOV Monitoring Start Date = 04/01/09

Starting S&S Rate = 11.84

57.65% 62.16% 61.58%

34.78%

89.70%

-100.00%

-80.00%

-60.00%

-40.00%

-20.00%

0.00%

20.00%

40.00%

60.00%

80.00%

100.00%

05/27/09 09/29/09 12/21/09 03/11/10 06/22/10

Inspection Period

Percent Improvement

Percent Improvement in S&S Rate from PPOV Notice 30% Improvement to 8.29

Improvement to Reach Industry Average of 6.75

Cycle 4 (01/01/07- 12/31/08)

12345

 1.22 

 4.48 4.55 5.01 

 7.72 

Notes: The number presented above each bar of the graph is the actual rate of S&S 

violations from the “Monitoring Start Date” shown in the heading through the ending 

date of the inspection period. 

 The number presented inside each bar of the graph represents the percent 

reduction in the mine’s rate of S&S violations from the “Monitoring Start Date” 

shown in the heading through the ending date of the inspection period. 

Dates shown along the bottom of the graph represent the ending date of each 

inspection period. 

Douglas McClain and Jim Miceli became the Controller of this mine on 07/28/2010. 
U.S. Department of Labor – Office of Inspector General 

Exhibit 5, Continued 

 Improvement Rates for Potential POV Mines 

Report No 05-11-002-06-001. 62

Graphs of S&S Rates Subsequent to Receipt of Potential POV Notification 

Improvement in S&S Rate After PPOV Notice

Mine ID 4202074

America West Resources, Inc. - Horizon Mine (Coal - Underground)

PPOV Monitoring Start Date = 04/22/09

Starting S&S Rate = 14.56

42.65% 37.62% 39.17% 37.04%

32.90% 36.08%

-100.00%

-80.00%

-60.00%

-40.00%

-20.00%

0.00%

20.00%

40.00%

60.00%

80.00%

100.00%

06/09/09 09/30/09 12/30/09 03/30/10 06/28/10 09/30/10

Inspection Period

Percent Improvement

Percent Improvement in S&S Rate from PPOV Notice 30% Improvement to 10.19

Improvement to Reach Industry Average of 6.75 

Cycle 4 (01/01/07- 12/31/08)

 9.77 9.31 8.35 9.08 8.86 9.17 

1 2 34 5 6

Notes: The number presented above each bar of the graph is the actual rate of S&S 

violations from the “Monitoring Start Date” shown in the heading through the ending 

date of the inspection period. 

 The number presented inside each bar of the graph represents the percent 

reduction in the mine’s rate of S&S violations from the “Monitoring Start Date” 

shown in the heading through the ending date of the inspection period. 

Dates shown along the bottom of the graph represent the ending date of each 

inspection period. 
U.S. Department of Labor – Office of Inspector General 

Exhibit 5, Continued 

 Improvement Rates for Potential POV Mines 

Report No 05-11-002-06-001. 63

Graphs of S&S Rates Subsequent to Receipt of Potential POV Notification 

Improvement in S&S Rate After PPOV Notice

Mine ID 0402848

Imerys S A - Lompoc Plant (MNM - Surface)

PPOV Monitoring Start Date = 05/19/09

Starting S&S Rate = 7.50

31.49%

47.81%

77.07%

-100.00%

-80.00%

-60.00%

-40.00%

-20.00%

0.00%

20.00%

40.00%

60.00%

80.00%

100.00%

05/28/09 12/17/09 09/02/10

Inspection Period

Percent Improvement

Percent Improvement in S&S Rate from PPOV Notice 30% Improvement to 5.25

Improvement to Reach Industry Average of 4.09

Cycle 4 (01/01/07- 12/31/08)

12 3

 1.72 

 3.91 

 5.14 

Notes: The number presented above each bar of the graph is the actual rate of S&S 

violations from the “Monitoring Start Date” shown in the heading through the ending 

date of the inspection period. 

 The number presented inside each bar of the graph represents the percent 

reduction in the mine’s rate of S&S violations from the “Monitoring Start Date” 

shown in the heading through the ending date of the inspection period. 

Dates shown along the bottom of the graph represent the ending date of each 

inspection period. 
U.S. Department of Labor – Office of Inspector General 

Exhibit 5, Continued 

 Improvement Rates for Potential POV Mines 

Report No 05-11-002-06-001. 64

Graphs of S&S Rates Subsequent to Receipt of Potential POV Notification 

Improvement in S&S Rate After PPOV Notice

Mine ID 2602512

Newmont Mining Corp. - Leeville (MNM - Underground)

PPOV Monitoring Start Date = 05/27/09

Starting S&S Rate = 6.82 

-0.65%

5.14% 12.81% 11.73%

19.79%

37.83%

-100.00%

-80.00%

-60.00%

-40.00%

-20.00%

0.00%

20.00%

40.00%

60.00%

80.00%

100.00%

06/11/09 07/27/09 11/12/09 02/08/10 05/13/10 09/14/10

Inspection Period

Percent Improvement

Percent Improvement in S&S Rate from PPOV Notice 30% Improvement to 4.77

Improvement to Reach Industry Average of 3.83

Cycle 4 (01/01/07- 12/31/08)

12 3 45 6

 4.24 

 6.86 

 5.47 

 6.47 5.95 6.02 

Notes: The number presented above each bar of the graph is the actual rate of S&S 

violations from the “Monitoring Start Date” shown in the heading through the ending 

date of the inspection period. 

 The number presented inside or below each bar of the graph represents the percent 

reduction in the mine’s rate of S&S violations from the “Monitoring Start Date” shown 

in the heading through the ending date of the inspection period. 

Dates shown along the bottom of the graph represent the ending date of each 

inspection period. 
U.S. Department of Labor – Office of Inspector General 

Exhibit 5, Continued 

 Improvement Rates for Potential POV Mines 

Report No 05-11-002-06-001. 65

Graphs of S&S Rates Subsequent to Receipt of Potential POV Notification 

Improvement in S&S Rate After PPOV Notice

Mine ID 2300457

Renco Group - Buick Mine/Mill (MNM - Underground)

PPOV Monitoring Start Date = 11/02/09

Starting S&S Rate = 5.95 

-42.64% -40.67%

-66.68% -70.92%

-100.00%

-80.00%

-60.00%

-40.00%

-20.00%

0.00%

20.00%

40.00%

60.00%

80.00%

100.00%

11/12/09 01/28/10 04/15/10 08/19/10

Inspection Period

Percent Improvement

Percent Improvement in S&S Rate from PPOV Notice 30% Improvement to 4.17

Improvement to Reach Industry Average of 4.44

1 2 3 4

 8.37 

 9.92 10.17 

 8.49 

Cycle 5 (09/01/07 - 08/31/09)

Notes: The number presented above each bar of the graph is the actual rate of S&S 

violations from the “Monitoring Start Date” shown in the heading through the ending 

date of the inspection period. 

 The number presented inside each bar of the graph represents the percent 

reduction in the mine’s rate of S&S violations from the “Monitoring Start Date” 

shown in the heading through the ending date of the inspection period. 

Dates shown along the bottom of the graph represent the ending date of each 

inspection period. 
U.S. Department of Labor – Office of Inspector General 

Exhibit 5, Continued 

 Improvement Rates for Potential POV Mines 

Report No 05-11-002-06-001. 66

Graphs of S&S Rates Subsequent to Receipt of Potential POV Notification 

Improvement in S&S Rate After PPOV Notice

Mine ID 4608808

Massey Energy Company - Ruby Energy (Coal - Underground)

PPOV Monitoring Start Date = 10/21/09

Starting S&S Rate = 20.32

53.60% 55.78%

40.65%

57.99%

-100.00%

-80.00%

-60.00%

-40.00%

-20.00%

0.00%

20.00%

40.00%

60.00%

80.00%

100.00%

12/29/09 03/26/10 06/02/10 09/23/10

Inspection Period

Percent Improvement

Percent Improvement in S&S Rate from PPOV Notice 30% Improvement to 14.22

Improvement to Reach Industry Average of 6.22

1 234

 12.06 

 8.54 8.99 9.43 

Cycle 5 (09/01/07 - 08/31/09)

Notes: The number presented above each bar of the graph is the actual rate of S&S 

violations from the “Monitoring Start Date” shown in the heading through the ending 

date of the inspection period. 

 The number presented inside each bar of the graph represents the percent 

reduction in the mine’s rate of S&S violations from the “Monitoring Start Date” 

shown in the heading through the ending date of the inspection period. 

Dates shown along the bottom of the graph represent the ending date of each 

inspection period. 
U.S. Department of Labor – Office of Inspector General 

Exhibit 5, Continued 

 Improvement Rates for Potential POV Mines 

Report No 05-11-002-06-001. 67

Graphs of S&S Rates Subsequent to Receipt of Potential POV Notification 

Improvement in S&S Rate After PPOV Notice

Mine ID 4608949

Clarence R Peters; Richard N Nester - Winifrede 12 Mine (Coal - Underground) 

PPOV Monitoring Start Date = 10/21/09

 Starting S&S Rate = 11.13

15.29% 13.79%

21.10% 16.80%

-100.00%

-80.00%

-60.00%

-40.00%

-20.00%

0.00%

20.00%

40.00%

60.00%

80.00%

100.00%

12/03/09 03/23/10 04/29/10 08/17/10

Inspection Period

Percent Improvement

Percent Improvement in S&S Rate from PPOV Notice 30% Improvement to 7.79

Improvement to Reach Industry Average of 6.22

1234

 9.26 8.78 9.43 9.59 

Cycle 5 (09/01/07 - 08/31/09)

Notes: The number presented above each bar of the graph is the actual rate of S&S 

violations from the “Monitoring Start Date” shown in the heading through the ending 

date of the inspection period. 

 The number presented inside each bar of the graph represents the percent 

reduction in the mine’s rate of S&S violations from the “Monitoring Start Date” 

shown in the heading through the ending date of the inspection period. 

Dates shown along the bottom of the graph represent the ending date of each 

inspection period. 
U.S. Department of Labor – Office of Inspector General 

Exhibit 5, Continued 

 Improvement Rates for Potential POV Mines 

Report No 05-11-002-06-001. 68

Graphs of S&S Rates Subsequent to Receipt of Potential POV Notification 

Improvement in S&S Rate After PPOV Notice

Mine ID 4609221

Massey Energy Company - Slabcamp (Coal - Underground)

PPOV Monitoring Start Date = 10/22/09

Starting S&S Rate = 9.53

80.27% 76.34%

83.02%

61.81%

-100.00%

-80.00%

-60.00%

-40.00%

-20.00%

0.00%

20.00%

40.00%

60.00%

80.00%

100.00%

12/22/09 03/24/10 05/20/10 09/30/10

Inspection Period

Percent Improvement

Percent Improvement in S&S Rate from PPOV Notice 30% Improvement to 6.67

Improvement to Reach Industry Average of 6.22

1234

 1.88 2.25 

1.62 

 3.64 

Cycle 5 (09/01/07 - 08/31/09)

Notes: The number presented above each bar of the graph is the actual rate of S&S 

violations from the “Monitoring Start Date” shown in the heading through the ending 

date of the inspection period. 

 The number presented inside each bar of the graph represents the percent 

reduction in the mine’s rate of S&S violations from the “Monitoring Start Date” 

shown in the heading through the ending date of the inspection period. 

Dates shown along the bottom of the graph represent the ending date of each 

inspection period. 
U.S. Department of Labor – Office of Inspector General 

Exhibit 5, Continued 

 Improvement Rates for Potential POV Mines 

Report No 05-11-002-06-001. 69

Graphs of S&S Rates Subsequent to Receipt of Potential POV Notification 

Improvement in S&S Rate After PPOV Notice

 Mine ID 4406804

Massey Energy Company - Tiller No 1 (Coal - Underground) 

PPOV Monitoring Start Date = 10/23/09

Starting S&S Rate = 13.79

16.53%

52.01% 51.30% 50.11%

-100.00%

-80.00%

-60.00%

-40.00%

-20.00%

0.00%

20.00%

40.00%

60.00%

80.00%

100.00%

11/30/09 03/29/10 06/01/10 09/09/10

Inspection Period

Percent Improvement

Percent Improvement in S&S Rate from PPOV Notice 30% Improvement to 9.65

Improvement to Reach Industry Average of 6.22

1234

 11.51 

 6.62 6.72 

 6.88 

Cycle 5 (09/01/07 - 08/31/09)

Notes: The number presented above each bar of the graph is the actual rate of S&S 

violations from the “Monitoring Start Date” shown in the heading through the ending 

date of the inspection period. 

 The number presented inside each bar of the graph represents the percent 

reduction in the mine’s rate of S&S violations from the “Monitoring Start Date” 

shown in the heading through the ending date of the inspection period. 

Dates shown along the bottom of the graph represent the ending date of each 

inspection period. 
U.S. Department of Labor – Office of Inspector General 

Exhibit 5, Continued 

 Improvement Rates for Potential POV Mines 

Report No 05-11-002-06-001. 70

Graphs of S&S Rates Subsequent to Receipt of Potential POV Notification 

Improvement in S&S Rate After PPOV Notice

 Mine ID 1518775

James River Coal Company - Mine #15 (Coal - Underground) 

PPOV Monitoring Start Date = 10/21/09

Starting S&S Rate = 13.33

70.59%

76.89% 81.89% 79.42%

-100.00%

-80.00%

-60.00%

-40.00%

-20.00%

0.00%

20.00%

40.00%

60.00%

80.00%

100.00%

12/18/09 03/30/10 06/29/10 09/29/10

Inspection Period

Percent Improvement

Percent Improvement in S&S Rate from PPOV Notice 30% Improvement to 9.33

Improvement to Reach Industry Average of 6.22

1234

 3.08 2.41 2.74 

 3.92 

Cycle 5 (09/01/07 - 08/31/09)

Notes: The number presented above each bar of the graph is the actual rate of S&S 

violations from the “Monitoring Start Date” shown in the heading through the ending 

date of the inspection period. 

 The number presented inside each bar of the graph represents the percent 

reduction in the mine’s rate of S&S violations from the “Monitoring Start Date” 

shown in the heading through the ending date of the inspection period. 

Dates shown along the bottom of the graph represent the ending date of each 

inspection period. 
U.S. Department of Labor – Office of Inspector General 

Exhibit 5, Continued 

 Improvement Rates for Potential POV Mines 

Report No 05-11-002-06-001. 71

Graphs of S&S Rates Subsequent to Receipt of Potential POV Notification 

Improvement in S&S Rate After PPOV Notice

Mine ID 1202010

Peabody Energy - Air Quality #1 Mine (Coal - Underground) 

PPOV Monitoring Start Date = 10/01/09

Starting S&S Rate = 9.30 

57.41% 53.64% 56.48%

61.72%

-100.00%

-80.00%

-60.00%

-40.00%

-20.00%

0.00%

20.00%

40.00%

60.00%

80.00%

100.00%

12/18/09 03/24/10 06/28/10 09/24/10

Inspection Period

Percent Improvement

Percent Improvement in S&S Rate from PPOV Notice 30% Improvement to 6.51

Improvement to Reach Industry Average of 6.22

1 2 3 4

 3.56 4.05 4.31 3.96 

Cycle 5 (09/01/07 - 08/31/09)

Notes: The number presented above each bar of the graph is the actual rate of S&S 

violations from the “Monitoring Start Date” shown in the heading through the ending 

date of the inspection period. 

 The number presented inside each bar of the graph represents the percent 

reduction in the mine’s rate of S&S violations from the “Monitoring Start Date” 

shown in the heading through the ending date of the inspection period. 

Dates shown along the bottom of the graph represent the ending date of each 

inspection period. 
U.S. Department of Labor – Office of Inspector General 

Exhibit 5, Continued 

 Improvement Rates for Potential POV Mines 

Graphs of S&S Rates Subsequent to Receipt of Potential POV Notification 

Improvement in S&S Rate After PPOV Notice

Mine ID 1517232

Gary E Peyton - Richland No 9 (Coal - Underground)

PPOV Monitoring Start Date = 11/02/09 

Starting S&S Rate = 10.23

74.32% 70.52% 74.08%

82.01%

-100.00%

-80.00%

-60.00%

-40.00%

-20.00%

0.00%

20.00%

40.00%

60.00%

80.00%

100.00%

12/29/09 03/17/10 06/22/10 09/27/10

Inspection Period

Percent Improvement

Percent Improvement in S&S Rate from PPOV Notice 30% Improvement to 7.16

Improvement to Reach Industry Average of 6.22

1 2 3 4

 1.84 

 2.65 3.02 2.63 

Cycle 5 (09/01/07 - 08/31/09)

Notes: The number presented above each bar of the graph is the actual rate of S&S 

violations from the “Monitoring Start Date” shown in the heading through the ending 

date of the inspection period. 

 The number presented inside each bar of the graph represents the percent 

reduction in the mine’s rate of S&S violations from the “Monitoring Start Date” 

shown in the heading through the ending date of the inspection period. 

Dates shown along the bottom of the graph represent the ending date of each 

inspection period. 

Report No 05-11-002-06-001. 72