EFFECTIVE DATE: 3/25/2011 EXPIRATION DATE: 3/31/2013 

(Reissue of P09-V-09)

PROGRAM POLICY LETTER NO. P11-V-09

FROM: KEVIN G. STRICKLIN

Administrator for

Coal Mine Safety and Health

NEAL H. MERRIFIELD

Administrator for

Metal and Nonmetal Mine Safety and Health

SUBJECT: Guidance on Issuance of Orders Under Sections 103(j) and (k)

of the Mine Act

Scope

This Program Policy Letter (PPL) is intended for Mine Safety and Health 

Administration personnel, mine operators, miners’ representatives, independent 

contractors, and other interested persons.

Purpose

The purpose of this PPL is to establish a uniform policy for the issuance of section 103(j) 

and 103(k) orders (orders issued under 30 U.S.C. 813(j) or (k) of the Federal Mine Safety 

and Health Act of 1977 (Mine Act)) in accidents where a Mine Safety and Health 

Administration (MSHA) Authorized Representative is not present at the mine site.

Policy

Upon learning of a mine emergency, unless MSHA is already present, MSHA should 

verbally issue a section 103(j) order to the operator, including initial instructions, as 

soon as possible. The order, including any instructions, should be reduced to writing 

and transmitted to the operator as soon as practicable. The order should be written so 

as to protect all persons engaged in the rescue and recovery operation, as well as any 

other persons on-site.
2

Upon MSHA’s arrival on-site and following assessment of conditions, the section 103(j) 

order, including all instructions, may be modified to reflect that MSHA is now 

proceeding under the authority of section 103(k) of the Mine Act. Parties on-site should 

be informed that any activities that are rescue or recovery related will be permitted 

through subsequent modifications of the section 103(k) order. The section 103(k) order 

is intended to protect all persons on-site, including those involved in the emergency 

operation or accident investigation. As such, all parties on-site are subject to the section 

103(k) order and any subsequent modifications. Each proposed action should be 

reviewed by the designated MSHA person on-site before the section 103(k) order is 

modified and before the action is commenced. MSHA has the authority to issue a 

section 103(k) order unilaterally. However, every effort should be made to gain 

consensus among the parties involved to obtain the safest and most effective outcome.

Background

MSHA has historically made greater use of orders under section 103(k) rather than 

section 103(j). A section 103(j) order is appropriate in certain circumstances; however, 

MSHA has the authority to issue discrete section 103(j) orders directing operators to 

take specific actions and it may do so without taking complete control over rescue and 

recovery operations. 

Section 103(j) provides: 

In the event of any accident occurring in any coal or other mine, the operator 

shall notify the Secretary thereof and shall take appropriate measures to prevent 

the destruction of any evidence which would assist in investigating the cause or 

causes thereof. For purposes of the preceding sentence, the notification required 

shall be provided by the operator within 15 minutes of the time at which the 

operator realizes that the death of an individual at the mine, or an injury or 

entrapment of an individual at the mine which has a reasonable potential to 

cause death, has occurred. In the event of any accident occurring in a coal or 

other mine, where rescue and recovery work is necessary, the Secretary or an 

authorized representative of the Secretary shall take whatever action he deems 

appropriate to protect the life of any person, and he may, if he deems it 

appropriate, supervise and direct the rescue and recovery activities in such mine.

Section 103(k) provides:

In the event of any accident occurring in a coal or other mine, an authorized 

representative of the Secretary, when present, may issue such orders as he deems 

appropriate to ensure the safety of any person in the coal or other mine, and the 

operator of such mine shall obtain the approval of such representative, in 

consultation with appropriate State representatives, when feasible, of any plan to 
3

recover any person in such mine or to recover the coal or other mine or return 

affected areas of such mine to normal.

Authority

Sections 103(j) and 103(k) of the Federal Mine Safety and Health Act of 1977, as 

amended, 30 U.S.C. 801 et seq. at §§ 813(j) and 813(k).

Filing Instructions

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

back of the Program Policy Manual.

Internet Availability

This program policy letter may be viewed on the World Wide Web by accessing the 

MSHA home page (http://www.msha.gov) and choosing "Compliance Info" and 

"Program Policy Letters."

Issuing Office and Contact Person

Coal Mine Safety and Health 

Terry L. Bentley, Accident Investigations Program Manager

(202) 693-9521

email: Bentley.Terry@dol.gov

Metal and Nonmetal Mine Safety and Health, Safety Division

Michael Hancher, Accident Investigations Program Manager

(202) 693-9600

email: Hancher.Michael@dol.gov

Distribution

MSHA Program Policy Manual Holders

MSHA Special Interest Groups

Coal Mine Operators and Metal and Nonmetal Mine Operators