EFFECTIVE DATE: 06/24/13

PROGRAM POLICY LETTER NO. P13-III-01

FROM: KEVIN G. STRICKLIN

Administrator for

Coal Mine Safety and Health

SUBJECT: Reissue of P11-III-1 - Part 41 Legal Identification Numbers for Auger and 

Highwall Miner Operators and Providing MSHA Notification of the

Relocation of These Portable Mining Operations

Scope

This program policy letter applies to surface coal mine operators and Coal Mine Safety and 

Health (CMS&H) enforcement personnel, surface operators, auger operators, and highwall miner 

operators.

Purpose

The purpose of this program policy letter is to establish a uniform method to assign identification 

numbers to mobile or portable coal auger and highwall mining operations. These types of 

operations meet the definition of a production operator and will be assigned a seven-digit mine 

identification (ID) number. The number will be assigned to each machine and will stay with the 

machine wherever it operates, even if moved between different CMS&H districts. This 

identification method will facilitate consistent application of mandatory safety and health 

standards.

Policy

Portable auger and highwall coal mining operations are subject to requirements applicable to 

mine operators. Pursuant to Title 30, Code of Federal Regulations (30 C.F.R.), Part 41, 

Notification of Legal Identity, each mine operator must file a legal identity report and notify the 

Mine Safety and Health Administration (MSHA) of any changes in operational status.

This policy provides that a permanent seven-digit mine identification number will be assigned by 

MSHA to each auger or each highwall mining machine. These identification numbers will be 

assigned after the required Notification of Legal Identity is filed either by direct on-line 

completion of the form (MSHA Form 2000-7) on the MSHA website 

(http://www.msha.gov/forms/forms.asp) or submission of the form to the appropriate District 

Manager. 
The operator is to contact the District in which the portable auger or highwall mining unit will be 

first employed and that District will issue the identification number.

Some surface mine operators use auger and highwall mining machines to produce coal as an 

integral part of their mining cycle. Since these machines remain at the same mine, they are not 

subject to the identification number assignment as described here. These augers and highwall 

miners will operate under the same mine identification number as the surface mining operation.

Many auger and highwall operations move between locations and often switch between an active 

and an idled status. When these changes occur, the operator should notify the appropriate 

MSHA District(s) of each new operating location in a timely fashion.

In addition, under 30 C.F.R. §§ 77.1000 and 77.1000-1, each portable auger or highwall miner 

operation establishes and follows a suitable ground control plan. The plan addresses most 

generic situations and should be amended if conditions at a specific mine site are significantly 

different from this generic plan. However, this plan should, at a minimum, be updated to each 

new location and filed with the new location's MSHA District Manager.

No portable auger or highwall miner operator should relocate and commence mining until the 

MSHA District in which the auger or highwall mining machine is to operate has received and 

acknowledged that an appropriate highwall plan conforms to the requirements of 30 C.F.R. § 

77.1000.

The development of an appropriate highwall ground control plan, which addresses the web 

spacing and other measures necessary to safely conduct the high rates of recovery, is essential. 

The plan may also need to address other factors, such as depth of penetration and the confined 

work areas experienced by highwall mining operations.

Regarding training, each auger and highwall miner operator may now submit a single training 

plan to MSHA for approval that addresses typical conditions and operations. This training plan 

reflects the MSHA assigned identification number(s) and the machine(s) serial number(s) for the 

machine(s) that the training plan(s) covers. 

New employees receive either new miner or experienced miner training, as applicable. Hazard 

training that covers the specifics of the site is to be given when miners or entire mobile mining 

units are transferred to a new location. Annual refresher and task training requirements remain 

unchanged. 

Background

The Agency recognizes the unique needs of auger and highwall mining operators that are 

dictated by the mobile nature of their business. This policy provides a uniform method of 

assigning identification numbers to these types of operations and simplifies compliance with 

regulations. This method of assigning identification numbers will permit training plans to be 

moved from district to district. 
This will ease the burden on operators so they will not have to resubmit these documents and 

duplicate certain training when equipment is moved. The incorporation of portable mining units 

into MSHA's system of identifying coal mine activities subject to mandatory inspections will 

also improve uniformity of inspection and the continuity of accident and violation histories. 

Authority

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

Part 41, and 30 C.F.R. § 77.1000-1. 

Filing Instructions

This policy letter should be filed behind the tab marked "Program Policy Letters" at the back of 

Volume III of the Program Policy Manual. 

Internet Availability

This information may be viewed on the World Wide Web by accessing MSHA's home page 

(www.msha.gov) under MSHA’s Major Laws, Regulations and Policies choose "Compliance 

Information (PIBs, PILs, the PPM, and More” and select “Program Policy Letters.”

Issuing Office and Contact Person

Coal Mine Safety and Health, Safety Division

Don Braenovich, (202) 693-9551

E-mail: Braenovich.don@dol.gov

Distribution

Program Policy Manual Holders

Surface Coal Mine Operators

Auger Operators

Highwall Miner Operators