EFFECTIVE DATE: 01/11/13 EXPIRATION DATE: 03/31/2015

(Reissue of P10-V-1)

PROGRAM POLICY LETTER NO. P13-V-1

FROM: KEVIN G. STRICKLIN

Administrator for

Coal Mine Safety and Health

SUBJECT: Implementation of Section 2 of the Mine Improvement and

New Emergency Response Act of 2006

Scope

This Program Policy Letter (PPL) is intended for underground coal mine operators, 

miners and miners' representatives, independent contractors, Mine Safety and Health 

Administration (MSHA) enforcement personnel, and other interested parties working 

in underground coal mines.

Purpose

Section 2 of the Mine Improvement and New Emergency Response Act of 2006 (MINER 

Act) requires underground coal mine operators to follow an approved Emergency 

Response Plan (ERP). This PPL provides policy and guidance to underground coal 

mine operators to facilitate the development of their ERPs. This PPL supersedes PPL 

P10-V-1.

Policy

The MINER Act addresses both the evacuation of miners endangered by an emergency 

and the maintenance of miners trapped underground. MSHA emphasizes that every 

effort must be made by miners to evacuate the mine in the event of a mine emergency. 

Refuge alternatives are shelters of last resort and should be used only when evacuation 

is not possible. Lifelines, tethers, Self-Contained Self-Rescuers (SCSRs), and proper 

training provide essential tools for miners to evacuate through smoke and irrespirable 

atmospheres. Post-accident wireless communications are critical to inform miners of 

the nature of the emergency so that the best evacuation and survival strategies may be

utilized. Electronic tracking helps the responsible person direct evacuation efforts and 

provides vital information to mine rescue efforts.
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In accordance with the MINER Act, underground coal mine operators must develop, 

adopt, and submit an Emergency Response Plan (ERP) to the appropriate MSHA 

District Manager. The MINER Act requires that ERPs address both the evacuation of 

miners endangered by an emergency and maintenance of miners trapped underground. 

These plans must: 

a. Afford miners a level of safety protection at least consistent with the existing 

standards, including standards mandated by law and regulation;

b. Reflect the most recent credible scientific research;

c. Be technologically feasible, make use of current commercially available 

technology, and account for the specific physical characteristics of the mine; and

d. Reflect the improvements in mine safety gained from experience under the 

MINER Act and other worker safety and health laws. 

In accordance with the MINER Act, MSHA will review the ERP at least once every six 

months. Operators must periodically update ERPs to incorporate changes in operations 

or conditions in the mine; such as changes in mining systems, alterations in mine 

layout, relocation of escapeways, advances in technology, or other relevant 

considerations.

Emergency Response Plan - Content

Post-accident Communication – ERPs must comply with section 316(b)(2)(F)(ii) of the 

MINER Act. MSHA provided guidance on systems that can comply with the MINER 

Act provisions in PPL P11-V-13, on wireless two-way communications systems or 

alternatives, and in Questions and Answers on PPL P11-V-13 ( May 24, 2011). 

Post-accident Tracking -ERPs must comply with section 316(b)(2)(F)(ii) of the MINER 

Act. MSHA provided guidance on systems that can comply with the MINER Act 

provisions in PPL P11-V-13, on wireless two-way electronic tracking systems or 

alternatives, and in Questions and Answers on PPL P11-V-13 (May 24, 2011). 

Post-accident Breathable Air 

1. SCSRs - SCSRs that may be needed for an emergency mine evacuation are 

addressed in 30 CFR § 75.1714-4. There is no need to approve these prescriptive 

requirements in the ERP. In addition to plotting SCSR storage locations on mine 

maps, as required by section § 75.1714-5, operators should list the types and 

numbers of SCSRs stored in those locations. The ERP should contain a provision 

adopting manufacturers’ recommendations for SCSR maintenance, routine 

examinations, storage, and retirement. The ERP should also address SCSR 

performance by specifying a schedule for opening, initiating the breathing cycle, 

and establishing operational reliability for a representative number of SCSR units 

on an annual basis. Units at the end of their service life, if available, may be used 
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for this purpose. The ERP should also provide for replacement of retired SCSRs 

with more technologically advanced SCSRs as they become commercially 

available and are approved for use in underground coal mines. 

2. Refuge Alternatives – ERP requirements for refuge alternatives are listed in 

§ 75.1507. ERPs providing for the use of refuge alternatives and components that 

are not approved pursuant to 30 CFR Part 7, but permitted pursuant to § 75.1507, 

must detail the manner in which breathable air will maintain miners for at least 

96 hours, unless the District Manager has determined that a greater or lesser 

period of time is appropriate based on mine-specific conditions or other 

particular factors or unless advanced arrangements have been made and 

approved to assure that persons who cannot be rescued within 48 hours will 

receive additional supplies to sustain them until rescue.

Post-accident Lifelines

Post-accident lifelines are addressed in § 75.380(d)(7) and § 75.381(c)(5). There is no 

need to approve these prescriptive requirements in the ERP.

Training

Training for post-accident evacuation is addressed in § 75.1502 and § 75.1504. Training 

for examining, maintaining and repairing refuge alternatives is addressed in § 75.1508. 

There is no need to approve these prescriptive requirements in the ERP.

Local Coordination

Consistent with the MINER Act, the ERP must include procedures for notifying key 

personnel, such as a call list for mine rescue teams, local emergency responders, mine 

personnel, state and federal officials, and other parties that may be needed in an 

emergency.

The ERP shall include the procedures the operator will follow to familiarize local 

emergency responders with surface functions that may be required in the course of 

mine rescue work, such as logistics, traffic control, and supplies on the surface. 

Operators should make every effort to arrange on-site visits by local emergency 

responders to familiarize them with the surface facilities at the mine and the functions 

that may be required of the responders. 

The ERP should include a provision to provide MSHA with advance notice of on-site 

activities related to local emergency response coordination so that MSHA has the 

opportunity to observe or participate. 

The ERP should include a list of readily available suppliers of mine emergency and 

rescue equipment. A means for satisfying this requirement is to include a copy of 

MSHA's Mine Emergency Operations database information for the mine in the ERP.
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The ERP should include plans for post-accident logistics and coordination that at a 

minimum address: the location, necessary equipment, and security of the command 

center; the facilities available to accommodate families and the security for families of 

the affected miners; the location for the press; and the arrangements for traffic control. 

Emergency Response Plan – Approval Procedure

Mine operators must develop and follow an ERP approved by the District Manager. 

The plan must be designed to safely and expediently evacuate miners in the event of an 

emergency or, if evacuation is not possible, provide refuge alternatives that are capable 

of sustaining trapped miners for at least 96 hours, or for 48 hours if advance 

arrangements are made. The approved ERP must be suitable for the conditions and 

mining system at the mine. Proposed plans and any revision to the plan must be 

submitted in writing to the District Manager. The District Manager will notify the 

operator in writing of the approval or denial of a proposed ERP or revision. No 

proposed ERP or revision may be implemented before it is approved by the District 

Manager. A copy of the approval notification will be sent to the representative of 

miners by the District Manager. Training on the ERP or revisions should be completed 

within thirty days of approval.

Section 2(b)(2)(B)(i) of the MINER Act requires that the ERP shall provide for the 

evacuation "of all individuals endangered" by an emergency. The individuals covered 

by this provision do not include properly trained and equipped persons essential to 

respond to a mine emergency, as permitted in 30 C.F.R. § 75.1501(b).

In considering comments from the miners or their representatives as specified in Section 

2(b)(2)(C) and (D) of the MINER Act, MSHA will follow the procedure outlined for 

submission and approval of ventilation plans as noted in 30 C.F.R. § 75.370(a)(3)(i) 

through (b) and (f).

Background

On June 15, 2006, the MINER Act became effective. Section 2 of the MINER Act amends 

Section 316 of the Mine Safety and Health Act of 1977 to address emergency response 

plans. Paragraph (b)(2) of Section 2 of the MINER Act requires that not later than 

August 14, 2006 (60 days after the date of enactment), each underground coal mine 

operator shall develop and adopt a written emergency response plan that provides for 

the evacuation of all individuals endangered by an emergency and the maintenance of 

individuals trapped underground in the event that miners are not able to evacuate the 

mine.

MSHA issued PPL P06-V-9 on August 4, 2006, to address Section 2 of the MINER Act. 

This PPL was superseded by P06-V-10 on October 24, 2006. On December 8, 2006, 

MSHA issued a final Emergency Evacuation rule to address the evacuation training, 

post-accident lifelines and SCSR requirements of Section 2 of the MINER Act. On 
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December 31, 2008, MSHA issued a final rule on Refuge Alternatives in response to

Section 13 of the MINER Act. On April 28, 2011, MSHA issued PPL P11-V-13 on postaccident two-way communications and electronic tracking requirements to provide

guidance that addresses these provisions in Section 2 of the MINER Act, and on May 24, 

2009, MSHA posted Questions and Answers on the scope and application of the PPL. 

On January 25, 2010, MSHA issued PPL P10-V-1 which superseded PPL P06-V-10.

Authority

The Federal Mine Safety and Health Act of 1977, 30 U.S.C. 801 as amended by the 

MINER Act, Pub. L. No. 109-236, June 15, 2006, 120 Stat. 493.

Internet Availability

This program policy letter may be viewed on the Internet accessing the MSHA’s 

homepage at (www.msha.gov) and then choosing “MSHA’s Major laws, Regulations 

and Policies” and then “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

Hubert Sherer (202) 693-9523

E-mail: sherer.hubert@dol.gov

Distribution

MSHA Program Policy Manual Holders

Miners' Representatives

Coal Mine Operators

Special Interest Groups