MSHA HANDBOOK SERIES 

U. S. Department of Labor 

Mine Safety and Health Administration 

Coal Mine Safety and Health 

January 1, 2008 

Handbook Number: PH-08-V-1 

GENERAL COAL MINE 

INSPECTION PROCEDURES

and 

INSPECTION TRACKING SYSTEM
PREFACE 

This handbook sets forth general procedures for conducting inspections of coal mines. 

Previously issued procedural and administrative instructions for this subject material are 

superseded by this handbook. 

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

when conducting mine inspections. When the text describes an action which the inspector 

“shall” do or specifies steps which the inspector “shall” perform in some sequence, then the 

inspector is to do so consistent with the specific conditions at a mine and any determination 

not to conduct such action is to be based on his or her sound discretion and that of the 

inspector’s supervisors. When the action is one which “should” be followed, then the 

inspector who does them is engaging in the best practices for such inspection and should do 

them consistent with the specific conditions at a mine. 

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

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

Agreement. 

Approved: 

Kevin G. Stricklin 

Kevin G. Stricklin 

Administrator for Coal Mine Safety and Health 

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TABLE OF CONTENTS

I. INTRODUCTION.................................................................................................................................7

A. Purpose.......................................................................................................................................7

B. Authority....................................................................................................................................7

C. Responsibility. ...........................................................................................................................7

D. Health and Safety Rules...........................................................................................................7

E. Danger Boards/Hazardous Areas..........................................................................................7

F. Supervisory Coal Mine Inspectors Accompanying an Inspector. .....................................7

G. Inspectors-in-Training..............................................................................................................8

H. Inspection Equipment and Supplies. .....................................................................................8

I. MSHA Personnel – Former Mine Employee.........................................................................8

J. Mine Labor/Management Relations......................................................................................8

II. GENERAL PROCEDURES .................................................................................................................9

A. General Information Cover Sheet...........................................................................................9

B. Uniform Mine File Review. .....................................................................................................9

C. Daily Cover Sheet......................................................................................................................9

D. Arrival at the Mine....................................................................................................................9

E. Examination Records..............................................................................................................10

F. Inspecting Working Places for Imminent Dangers............................................................10

G. Conference Procedures. .........................................................................................................10

1. Pre-inspection Conference.................................................................................................... 10

2. Post-Inspection Conferences. ............................................................................................... 11

III. REGULAR SAFETY and HEALTH INSPECTION PROCEDURES ..........................................12

A. General......................................................................................................................................12

1. First Day Arrival in Advance of Starting Time. ................................................................ 12

2. Mine Map Review (First Day for Hazards)........................................................................ 13

3. Check In And Out System. ................................................................................................... 13

4. Independent Contractors. ..................................................................................................... 13

5. Travel with Mine Examiners. ............................................................................................... 13

6. Inspection Shifts. .................................................................................................................... 14

7. Man-trip Operation................................................................................................................ 14

B. Underground Mine Records and Postings..........................................................................14

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C. Surface Facility Records and Postings. ................................................................................20

D. Surface Mine Records and Postings. ....................................................................................22

E. Surface Areas of Underground Mines, Surface Facilities, or Surface Mines..................25

1. Auger Openings. .................................................................................................................... 25

2. Coal Stock Pile. ....................................................................................................................... 25

3. Communications Installations. ............................................................................................ 25

4. Draw-Off Tunnels. ................................................................................................................. 26

5. Drilling and Blasting.............................................................................................................. 26

6. Dumping Facilities................................................................................................................. 26

7. Electrical Installations............................................................................................................ 27

8. Equipment (Other)................................................................................................................. 27

9. Equipment (Pit). ..................................................................................................................... 27

10. Escapeways......................................................................................................................... 28

11. Explosives Storage. ............................................................................................................ 28

12. Fire Fighting Equipment (Surface). ................................................................................. 30

13. Fuel Storage. ....................................................................................................................... 30

14. Ground Control.................................................................................................................. 30

15. Haulage Facilities (including Belts)................................................................................. 30

16. Health and Safety Discussions......................................................................................... 31

17. Highwalls and Spoil Banks............................................................................................... 31

18. Hoisting Equipment. ......................................................................................................... 31

19. Illumination of Work Areas.............................................................................................. 32

20. Methane Tests in Required Locations (Surface). ........................................................... 32

21. Mine Map (Surface). .......................................................................................................... 32

22. Non-Major Construction Sites.......................................................................................... 32

23. Other Places Where Miners Work or Travel.................................................................. 33

24. Potable Water (Surface)..................................................................................................... 33

25. Preparation Plant. .............................................................................................................. 33

26. Refuse Piles and Impoundments..................................................................................... 34

27. Sanitary Facilities (Bathhouse)......................................................................................... 34

28. Self-Contained Self-Rescuer (SCSR)................................................................................ 34

29. Shop. .................................................................................................................................... 35

30. Surface First -Aid Equipment........................................................................................... 35

31. Thermal Dryer. ................................................................................................................... 35

32. Travelways and Active Roadways. ................................................................................. 35

33. Ventilating Fan Installations. ........................................................................................... 36

F. Underground Outby Areas ...................................................................................................36

1. Air Courses (including Escapeways). ................................................................................. 36

2. AMS Alarm Systems (AMS)................................................................................................. 37

3. Belts, Skip Shaft Facilities, Bunkers..................................................................................... 37

4. Blasting Practices.................................................................................................................... 38

5. Bleeders Including Each Check Point. ................................................................................ 38

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6. Diesel Fuel Storage................................................................................................................. 38

7. SCSR Storage Locations. ....................................................................................................... 38

8. Haulage or Mobile Equipment............................................................................................. 39

9. Longwall Tailgate Entry........................................................................................................ 39

10. Non-Pillared Worked Out Area....................................................................................... 40

11. Outby Electrical Equipment. ............................................................................................ 40

12. Seals...................................................................................................................................... 40

13. Track Haulage Roads. ....................................................................................................... 41

G. Underground Working Sections...........................................................................................42

1. Boreholes In Advance of Mining. ........................................................................................ 42

2. Communications. ................................................................................................................... 42

3. Dust Control Parameters. ..................................................................................................... 42

4. Dates, Times, and Initials...................................................................................................... 43

5. Escapeway Map...................................................................................................................... 43

6. Fire Protection. ....................................................................................................................... 43

7. First-Aid Equipment.............................................................................................................. 43

8. Health and Safety Discussions............................................................................................. 44

9. Location of Last Open Crosscut........................................................................................... 44

10. Mining/Work Cycle. ......................................................................................................... 44

11. Operations Under Water................................................................................................... 44

12. Potable Water (Working Section). ................................................................................... 45

13. Rock Dust Survey............................................................................................................... 45

14. Sanitary Facilities. .............................................................................................................. 45

15. Section Equipment............................................................................................................. 46

16. Self-Rescue Devices (Working Section). ......................................................................... 46

H. Ventilation (General Tests and Measurements). ................................................................47

I. Mine Gas Exposure Levels ....................................................................................................48

J. Ventilation (Diesel Equipment). ...........................................................................................48

K. Air Sample Locations. ............................................................................................................49

IV. OTHER INSPECTION-RELATED ACTIVITIES ..........................................................................50

A. New Mines, Coal Facilities, and Other Sites. ......................................................................50

B. Shaft or Slope Construction Sites..........................................................................................50

C. Other Major Construction Sites. ...........................................................................................50

D. Interconnected Mines. ............................................................................................................51

E. Non-producing Mines............................................................................................................51

F. Reopening Inspections. ..........................................................................................................51

G. Spot Inspections. .....................................................................................................................52

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H. Railroad Equipment................................................................................................................52

I. Explosives.................................................................................................................................53

J. Evaluating Applications.........................................................................................................54

K. Appearance as a Witness in Litigation Involving MSHA.................................................55

L. Appearance as a Witness or Other Participation in Private Litigation. ..........................57

V. SAMPLING PROCEDURES ............................................................................................................58

A. Air Samples..............................................................................................................................58

B. Rock Dust Samples .................................................................................................................60

VI. INSPECTION DOCUMENTATION..............................................................................................67

A. Field Notes. ..............................................................................................................................67

B. Inspection Tracking System...................................................................................................69

APPENDICES..........................................................................................................................................70

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I. INTRODUCTION 

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

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

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

(Act); as amended by the MINER ACT of 2006; (2) conducting education and training 

activities; and (3) providing technical assistance to the mining community. 

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

conducting inspections and investigations of underground and surface coal mines and 

facilities. The instructions in this handbook are primarily procedural and administrative. 

This handbook supersedes previously issued procedural and administrative instructions 

on this subject.

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

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

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

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

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

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

interested parties before conducting an inspection or investigation.

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

primary responsibility for enforcing the Act and implementing the regulations as they 

relate to coal mines. This responsibility ultimately rests with the ARs (inspectors and 

their supervisors). The ARs are responsible for conducting thorough inspections and 

investigations. Inspectors should discuss safety and health practices with mine 

operators and the miners during every inspection. Stakeholder participation is essential 

to achieving an effective safety and health program at each mine. 

D. Health and Safety Rules. A thorough knowledge of Title 30, Code of Federal 

Regulations, and the Act is required. MSHA employees shall comply with state and 

company rules and regulations except when they conflict with Federal standards or 

interfere with the performance of their duties.

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

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

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

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

air quality standards. In case of an emergency, inspectors should protect themselves 

with use of a self-contained self-rescuer. 

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

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

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

supervisor participates in the inspection event. The supervisor must use care to correctly 

code their time and activity after accompanying an AR during inspection activities. 

G. Inspectors-in-Training. When an inspector-in-training accompanies an AR to learn 

proper inspection procedures, include only the name of the AR in the report.

H. Inspection Equipment and Supplies. Each AR should have equipment and supplies 

sufficient to safely complete the projected type of inspection or investigation. Personal 

Protective Equipment (PPE) applicable to mine conditions and MSHA directives shall be 

worn. Inspectors should immediately notify their supervisor if equipment deemed 

essential for planned inspection activity (including that necessary to address anticipated 

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

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

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

such mine. 

J. Mine Labor/Management Relations. MSHA employees shall remain impartial toward 

both labor and management. MSHA employees shall refrain from offering opinions on 

labor management relations matters which are not covered under the Act, regulations, or 

standards. When a picket line is present at a mine site, inspectors should discuss the 

purpose of their presence on mine property with the individuals on the picket line. If 

access to mine property is delayed or denied, inspectors shall give consideration to 

whether the mine is in production or just being maintained and the type of inspection 

activity to be performed in determining whether crossing the picket line is appropriate. 

Under no circumstances should inspectors put anyone, including themselves, in danger 

while crossing a picket line. Inspectors should contact their supervisor when necessary 

in making this determination. The supervisor may consider contacting the labor 

representatives to attempt to resolve the problem, accompanying the inspector, or 

sending an additional inspector if the situation warrants. 

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II. GENERAL PROCEDURES 

This section covers the general procedures that shall be addressed by ARs during any 

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

procedures listed in other handbooks may also apply. ARs must provide the minimum 

documentation when such requirement is listed in the Documentation Required section below 

an inspection procedure. Inspectors should document pertinent general observations made 

during their inspections in the narrative portion of the hard-copy notes. 

A. General Information Cover Sheet. The General Information Cover Sheet shall be 

started on the first day of the inspection and completed with the post-inspection 

conference. Information for this sheet will be obtained from the Uniform Mine File 

binder, the inspection event sheet, and from the mine site. 

Documentation Required: The inspector shall complete a General Information Cover Sheet for 

each inspection or investigation. 

B. Uniform Mine File Review. Inspectors shall review the Uniform Mine File (UMF) just 

prior to conducting an inspection or investigation. The type of event and the area to be 

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

Procedures Handbook. 

Documentation Required: The inspector shall provide the date of the Uniform Mine File review 

on the General Information Cover Sheet. 

C. Daily Cover Sheet. 

Documentation Required: Each day’s inspection activity shall be started with the daily cover 

sheet. The inspector shall date and initial each page of the hard-copy notes. Each page shall be 

numbered sequentially each day, starting with the daily cover sheet as Page 1. The inspector shall 

identify the members of the inspection party in the spaces provided. A summary the areas 

physically inspected shall be documented in the “Areas of Inspection Activity” (Example: #1 Belt, 

#2 Belt, etc.). 

D. Arrival at the Mine. ARs should arrive at the mine in time for pre-inspection contacts, a 

preliminary review of the record books, and an overview of the mine map to determine 

which area of the mine to begin the inspection or investigation. The arrival time at the 

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

arrival. The arrival time shall be independent from other agency time reporting data 

(People Time, Weekly Time and Activity, etc.). A departure time is not required. MSHA 

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

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arriving at the mine site. 

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

record books before the underground portion of the inspection begins, this fact shall be noted and a 

reason given.

E. Examination Records. Before physically inspecting an area of a mine, the inspector 

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

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

apply to an area, such as preshift, on-shift, daily, and weekly examinations. When a 

record of examination lists a condition that may identify a serious hazard, the inspector 

should thoroughly document the hazards in the narrative portion of the inspection notes 

and proceed to this area immediately. If additional areas are inspected (other than those 

planned at the start of the shift), pertinent examination records shall also be examined 

prior to leaving the mine property. In all cases, mine records pertinent to the issuance of 

a citation, order, or safeguard shall be reviewed prior to placing the enforcement action 

in writing.

Documentation Required: The inspector shall document the records inspected on the daily cover 

sheet or in the narrative portion of the hard-copy notes. 

F. Inspecting Working Places for Imminent Dangers. When inspecting a working section, 

the inspector shall check all working places for imminent dangers as soon as practical 

after arrival on the section and before examining equipment or observing any cycle of 

operation. If travel to the section is of short duration and entirely incidental to inspecting 

other areas of the mine, an imminent danger examination is not required. 

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

dangers conducted in the hard-copy notes to include the Mechanized Mining Unit (MMU) 

number and a short statement such as “No imminent dangers observed” or “NIDO”. No other 

documentation is required unless an imminent danger or violation is observed.

G. Conference Procedures. Inspectors should prepare carefully for conferences as they will 

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

programs at the mine.

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

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

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

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

30 CFR 100.6(b). The inspector should notify the representatives of the operator and 

miners of the inspection and afford them the opportunity to exercise their rights 

under 103(f) of the Mine Act. 

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Documentation Required: The inspector shall document on the General Information Cover 

Sheet or in the hard-copy notes the conference type, the date conducted, the name of the 

operator and/or miner representative in attendance and any comments or concerns voiced by 

the representatives. 

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

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

taken, including the root causes of hazards associated with violations, and any 

observations concerning conditions or practices. Accidents at the mine and the 

available results of any samples or surveys taken during the inspection shall be 

discussed. A means to prevent recurrence of violations, hazards, and accidents 

should be formulated by the mine operator and fully discussed by all parties. The 

inspector’s immediate supervisor should be made aware of the post-inspection 

conference date and briefed immediately regarding concerns voiced during any 

portion of an inspection or investigation.

Documentation Required: The inspector shall document on the General Information Cover 

Sheet or in the hard-copy notes the conference type, the date conducted, the name of the 

operator and/or miners’ representative in attendance and any comments or concerns voiced 

by the representatives. 

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III. REGULAR SAFETY and HEALTH INSPECTION PROCEDURES 

A Regular Safety and Health Inspection is one in which a mine is inspected in its entirety to 

meet the requirements of Section 103(a) (3) and (4) of the Act. This inspection is to determine 

if imminent dangers exist and to ascertain compliance with mandatory health and safety 

standards approved plans (including suitability to current mine conditions); with any 

citation, order, or decision issued; and other requirements of the Act. If other types of 

inspections, excluding 103(i) inspections, are utilized to complete a Regular Safety and 

Health Inspection, comments shall be included on the regular inspection event sheet to 

clearly show the event numbers utilized. 

No portion of a 103(i) inspection, (including inspection notes, reports, bottle samples, etc.), 

may be utilized to complete any other type of inspection, including a Regular Safety and 

Health Inspection. 

 

When conducting inspections while riding on mobile equipment, the mode of transportation 

shall allow a complete and effective inspection of the areas from a safe position. When 

extremely low coal seams are inspected, it may not be possible to either completely, 

effectively or safely conduct an inspection from mobile equipment. Conveyor belts shall be 

inspected from within the entry where the belt is located and the entire conveyor length 

traveled. 

Problems encountered during inspection activities that could affect the health or safety of 

miners should be promptly communicated to the inspector’s immediate supervisor. It is 

especially important that this information is shared when other inspectors travel to the mine 

or mine assignments change. 

A. General. All procedural headers listed in this section (example: First Day Arrival in 

Advance of Starting Time) shall be included with the inspection hard-copy notes. The 

inspector may use the listing provided in the appendices section of this handbook or in 

an equivalent pre-printed format to serve as the hard-copy notes. If the procedure does 

not apply then a statement such as “N/A” or “Not Applicable” shall be listed with the 

procedural header. Inspectors should document pertinent general observations made 

during their inspections in the narrative portion of the hard-copy notes.

1. First Day Arrival in Advance of Starting Time. The inspector should arrive at the 

mine on the first day of the inspection in advance of the inspection starting time. A 

physical inspection of the mine shall begin immediately after the pre-inspection 

contacts are made. The inspector should enter the mine with the mantrip on the first 

inspection day. At surface coal mines, the surface pit and related mining operations 

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should be inspected before any preparation facilities. At underground coal mines, 

working sections should be inspected before the surface facilities. However, this 

does not preclude inspecting other areas (including surface areas) where the 

inspector determines a serious problem or condition needs immediate attention. If a 

physical inspection of the mine cannot begin on the first day of a regular inspection, 

MSHA supervision or management shall be informed as soon as practicable. 

Documentation Required: The inspector shall document their completion of this procedure 

as a general statement in the hard-copy inspection notes such as “Arrived first day in 

advance of mine shift starting time”. 

2. Mine Map Review (First Day for Hazards). Prior to going underground on the first 

day of the inspection, the inspector shall review the mine maps for consistency with 

approved mining methods and to determine whether mining is being conducted in 

proximity to worked-out areas, oil and gas wells, fuel transmission lines, bodies of 

water that could present an underground flood hazard, mines located adjacent to, 

above and below active workings, and any danger that surface mining may present 

to underground miners. 

Documentation Required: The inspector shall document their completion of this procedure 

on the Daily Cover Sheet of the hard-copy inspection notes. 

3. Check In And Out System. The inspector shall determine if the system being used 

at the mine complies with 30 CFR 75.1715. 

Documentation Required: The inspector shall document their completion of this procedure 

in the hard-copy inspection notes. A short statement such as “No Violations Observed” or 

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

documentation is required unless a violation is observed.

4. Independent Contractors. All independent contractors encountered shall be 

inspected for compliance with applicable standards. 

Documentation Required: The inspector shall document inspections of independent 

contractors in the hard-copy inspection notes utilizing MSHA Form 2000-208. 

5. Travel with Mine Examiners. The inspector shall travel with and evaluate at least 

one pre-shift, one on-shift, and one weekly examiner to determine if adequate 

examinations are being conducted. Observations should be made of the examiner’s 

equipment to determine that it is appropriate for the measurements and tests 

required on these examinations and that calibrations are current when such 

calibration is required. It should be noted that a mine examiner may by MSHA 

regulation satisfy more than one examination requirement during their travel 

through an area.

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Documentation Required: The inspector shall document the examination type, the 

examiner by name, and the area examined in the hard-copy inspection notes. If the examiner 

is satisfying the requirements of more than one examination (a combination of pre-shift, 

onshift, or weekly) it shall be documented in the inspection notes and the inspector may also 

consider the procedure complete for those examinations.

6. Inspection Shifts. Inspections shall be conducted on all working shifts (including 

weekend only crews) to the extent necessary to gauge the general attitude of 

supervisors and miners toward health and safety. Inspection of mines or facilities on 

idle shifts should focus on activities specific to that shift, such as maintenance work. 

Otherwise, inspections on idle shifts should be limited to places where conditions 

during idle shifts are similar to the conditions that normally exist on working shifts 

e.g., escapeways, travelways, and explosives and storage areas for which conditions 

would be similar for both working and idle shifts.

Documentation Required: The inspector shall document the mine shift(s) inspected each 

day on the cover sheet of hard-copy inspection notes to identify the mine shift and shift type 

(production, maintenance, or idle).

7. Man-trip Operation. The inspector shall evaluate mantrip operating practices for 

safety by observing at least one mantrip in or out of the mine. 

Documentation Required: The inspector shall document their completion of this procedure 

in the hard-copy inspection notes. A short statement such as “No Violations Observed” or 

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

B. Underground Mine Records and Postings.

All records and postings listed in this section pertinent to the mine being inspected shall 

be reviewed during a Regular Safety and Health inspection. Before the inspection is 

completed, records shall be reviewed back in time to the ending date of the previous 

Regular Safety and Health inspection. 

When inspecting on event activity codes other than a Regular Safety and Health 

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

intended inspection need be reviewed. These reviews shall be sufficient to provide a 

reasonable assurance that the operator is complying with MSHA recording and posting 

requirements. 

During all onsite enforcement activities, inspectors shall compare the results of their 

record and posting reviews to actual observations in or at the mine. The appropriate 

citation or order shall be issued when non-compliance has been determined during these 

reviews or observations. 

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Documentation Required: Each record pertinent to the inspection activity being performed shall 

be reviewed per the procedural requirement and documented in the hard-copy notes checklist. 

Additionally, each review of a mine record or posting shall be entered into the Inspection Tracking 

System Postings/Records section when that record or posting type has been fully reviewed per the 

procedural requirements. No other documentation is required unless a violation is observed. 

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Underground Mine Records 

1. AMS Alert/Alarm Signals, Malfunctions, Tests, Calibrations, and Maintenance - 

75.351(o). 

2. Annual AMS Operator Training - 75.351(q). 

3. Annual Expectations Training for Donning and Transferring SCSRs - 75.1504(c). 

4. Annual Tests of Fire Hydrants and Fire Hoses - 75.1103-11. 

5. ATRS Certification - 75.209(f). 

6. Audiometric Test Records - 62.171(c). 

7. Bi-Monthly Tests of Hoist Safety Catches - 75.1400-2. 

8. Bi-Weekly Hoist Rope Examinations - 75.1433(d). 

9. Bi-Weekly Hoist Rope Examinations - 77.1433(d). 

10. Certification of Canopies or Cabs - 75.1710-1(e). 

11. Certification of ROPS & FOPS - 77.403-1(d). 

12. Check-In/Check-Out System and Belt Identification - 75.1715. 

13. Clean-up Program - 75.400-2. 

14. Contractor Register - 45.4(b). 

15. Daily and Monthly Main Mine Fan Examinations - 75.312(g)(1) & (h). 

16. Daily Hoisting Equipment Examinations - 77.1404. 

17. Daily Hoisting Equipment Examinations - 75.1400-4. 

18. Daily Inspection of Active Surface Working Areas - 77.1713. 

19. Daily Inspection of Man-Hoists for Slope and Shaft Sinking - 77.1906(c). 

20. Diesel Exhaust Gas Samples Exceeding TLV® Action Levels for CO & NO2 - 

70.1900(d). 

21. Diesel Fuel Evidence - 75.1901(a). 

22. Diesel Training and Qualifications - 75.1915(c). 

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23. Diesel-Powered Equipment, Weekly Tests and Examinations - 75.1914(h) (1). 

24. Examinations of Trolley Systems for Off-Track Equipment Moves - 75.1003-2(b). 

25. First-Aid Training of Surface Supervisory Employees - 77.1703. 

26. First-Aid Training of Underground Supervisors - 75.1713-3. 

27. HazCom Program - 47.31. 

28. Hearing Conservation Program Training - 62.180(b). 

29. Impoundment Examinations - 77.216-3(c). 

30. Initial Hoist Rope Stretch Measurements - 75.1432. 

31. Initial Hoist Rope Stretch Measurements - 77.1432. 

32. Inspections and Tests of Fire Suppression for Diesel-Powered Equipment - 

75.1911(j). 

33. Inspections and Tests of Fire Suppression for UG Permanent Diesel Storage - 

75.1912(i). 

34. List of Certified and Qualified Person for Part 75 Duties - 75.159. 

35. List of Certified and Qualified Person for Part 77 Duties - 77.106. 

36. Main Mine Fan Pressure Recordings - 75.310(a)(4). 

37. Map of Electrical System - 75.508. 

38. Map of Roof Falls - 75.223(b) & (c). 

39. Material Safety Data Sheets - 47.51. 

40. Measurements of Tensioned Roof Bolt Torque - 75.204(f)(6). 

41. Methane Monitor Calibration - 75.342(a)(4)(ii). 

42. Mine Accident, Injury, and Illness Reports (Form 7000-1) - 50.20(a). 

43. Mine Emergency Evacuation - 75.1502(c)(3). 

44. Mine Map - 75.1203. 

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45. Miner Notification of Noise Exposure - 62.110(e). 

46. Monthly Examinations of Surface Electrical Equipment - 77.502. 

47. Monthly Fire Doors Tests (when non-fireproof structures are within 100’ of mine 

openings) - 75.1708. 

48. Monthly Tests, Exams, & Maintenance of Surface High Voltage Circuit Breakers - 

77.800-2. 

49. Monthly Tests, Exams, & Maintenance of Surface Low & Medium Voltage Circuit 

Breakers – 77.900-2. 

50. Monthly Tests, Exams, & Maintenance of UG High Voltage Circuit Breakers - 

75.800-4(a). 

51. Monthly Tests, Exams, & Maintenance of UG Low & Medium Voltage Circuit 

Breakers - 75.900-4. 

52. Movement of Energized High Voltage Power Centers and Transformers - 75.812. 

53. Pre-shift/On-shift Examinations - 75.360(f). 

54. Quarterly Employment and Coal Production Reports (Form 7000-2) - 50.30(a). 

55. Quarterly Inspection and Calibration of Thermal Dryer Control Instruments - 

77.314. 

56. Quarterly Mine Emergency Evacuation Training and Drills - 75.1504(a). 

57. Record of Work on High Voltage - 75.705–3. 

58. Recording of Hazardous Conditions - 75.363(b). 

59. Roof Bolt Manufacturer’s Certification - 75.204(a) (2). 

60. Roof Control Plan Availability - 75.220(e). 

61. Self-Rescuer Device Tests - 75.1714-3(e). 

62. Semi-Annual Hoist Rope Measurements and Nondestructive Tests - 75.1433(e). 

63. Semi-Annual Hoist Rope Measurements and Nondestructive Tests - 77.1433(e). 

64. Smoking Program - 75.1702. 

Release 1 (January 2008) 18
65. Testing, Examination, and Maintenance of High Voltage Longwall Equipment - 

75.821(d). 

66. Training & Retraining of Surface Miners (Form 5000-23) – 48.29. 

67. Training & Retraining of Underground Miners (Form 5000-23) - 48.2. 

68. Training of Mine Rescue Team Members - 49.8(g). 

69. Trolley Overcurrent Tests and Calibrations - 75.1001-1(c). 

70. Weekly Examination for Hazardous Conditions - 75.364(h). 

71. Weekly Examination of Fire Sensors and Warning Device Systems - 75.1103-8(b). 

72. Weekly Examination of Underground Electric Equipment - 75.512. 

73. Weekly Inspection of Fire Suppression Devices - 75.1107-16(c). 

Underground Mine Postings

1. Administrative Noise Control Procedures – 62.138. 

2. AMS Map or Schematic - 75.351(a)(3). 

3. Approved Respirable Dust Control Plan (Surface) - 71.301(d). 

4. Approved Ventilation Plan and Revisions - 75.370(f)(3). 

5. Bathhouse Waiver - 71.403(c). 

6. Citations and Orders - §109(a). 

7. Contact Information for AMS Operators and Designated Responsible Persons - 

75.351(a)(4). 

8. Copy of Mine Rescue Notification Plan - 49.9(b). 

9. Emergency Medical Assistance Arrangements (Underground Mine) - 75.1713-1(e). 

10. Escapeway Map Posted at a Surface Location Where Miners Congregate - 

75.383(a). 

Release 1 (January 2008) 19
11. Granted Petitions for Modification - 44.5(b). 

12. Non-Final Petitions for Modification - 44.9 (at mines with no representative of 

miners). 

13. Proposed Ventilation Plan and Revisions - 75.370(a)(3)(iii). 

14. Representative of Miners - 40.4. 

15. Respirable Dust Sample Results (Surface) - 71.210(b). 

16. Respirable Dust Sample Results (Underground) 70.210(b). 

17. Roof Control Plan Available - 75.220(e). 

18. X-Ray Plan - §204(a). 

C. Surface Facility Records and Postings.

All records and postings listed in this section pertinent to the mine being inspected shall be 

reviewed during a Regular Safety and Health inspection. Before the inspection is complete, 

records shall be reviewed back in time to the ending date of the previous Regular Safety and 

Health inspection. 

When inspecting on event activity codes other than a Regular Safety and Health inspection, 

only the records or postings pertinent to that activity code and area of intended inspection 

need be reviewed. These reviews shall be sufficient to provide a reasonable assurance that 

the operator is complying with MSHA recording and posting requirements. 

During all onsite enforcement activities, inspectors shall compare the results of their record 

and posting reviews to actual observations in or at the mine. The appropriate citation or 

order shall be issued when non-compliance has been determined during these reviews or 

observations. 

Documentation Required: Each record pertinent to the inspection activity being performed shall be 

reviewed per the procedural requirement and documented in the hard-copy notes checklist. 

Additionally, each review of a mine record or posting shall be entered into the Inspection Tracking 

System Postings/Records section when that record or posting type has been fully reviewed per the 

procedural requirements. No other documentation is required unless a violation is observed.

Surface Facility Records

1. Audiometric Test Records - 62.171(c). 

Release 1 (January 2008) 20
2. Auger Mining Inspections - 77.1501(a). 

3. Certification for ROPS - 77.403-1(d). 

4. Contractor Register - 45.4(b). 

5. Daily Examination of Active Areas of Mine - 77.1713 (c). 

6. Daily Examination of Hoist at Shaft and Slope Sinking Projects - 77.1906 (c). 

7. Daily Hoist Examination - 77.1404. 

8. First Aid Training for Supervisors - 77.1703. 

9. HazCom Program - 47.31(a). 

10. Hearing Conservation Program Training - 62.180(b). 

11. Hoist Rope Examination and Tests - 77.1433 (d). 

12. Hoist Rope Initial Measurement - 77.1432. 

13. Impoundment Inspection - 77.216-3 (c). 

14. Material Safety Data Sheets - 47.51. 

15. Mine Accident, Injury and Illness Reports (Form 7000-1) - 50.20(a). 

16. Miner Notification of Noise Exposure - 62.110(e). 

17. Monthly Examination of Electrical Equipment - 77.502 

18. Monthly Examination of High Voltage Circuit Breakers - 77.800-2. 

19. Monthly Examination of Low & Medium Voltage Circuit Breakers - 77.900-2. 

20. Qualified & Certified Persons - 77.106. 

21. Quarterly Employment and Coal Production Reports (Form 7000-2) - 50.30(b). 

22. Record of Equipment Pre-Operational Check - 77.1606(a). 

23. Thermal Dryer Examination - 77.314(c). 

24. Training & Retraining of Surface Miners (Form 5000-23) - 48.29(a). 

Release 1 (January 2008) 21
Surface Facility Postings

1. Administrative Noise Control Procedures - 62.130(a). 

2. Approved Respirable Dust Control Plan (Surface) - 71.301(d). 

3. Bathhouse Waiver - 71.403 (c). 

4. Citations and Orders - §109(c). 

5. Emergency Medical Assistance Arrangements (Surface Mine) - 77.1702(e). 

6. Granted Petitions for Modification - 44.5(b). 

7. Mine Map (Posted or Available) - 77.1202. 

8. Non-Final Petitions for Modification - 44.9 (at mines with no representative of 

miners). 

9. Representative of Miners - 40.4. 

10. Respirable Dust Sample Results (Surface) - 71.210(b). 

11. Safety Program Instructions - 77.1708. 

D. Surface Mine Records and Postings.

All records and postings listed in this section pertinent to the mine being inspected shall be 

reviewed during a Regular Safety and Health inspection. Before the inspection is complete, 

records shall be reviewed back in time to the ending date of the previous Regular Safety and 

Health inspection.

When inspecting on event activity codes other than a Regular Safety and Health inspection, 

only the records or postings pertinent to that activity code and area of intended inspection 

need be reviewed. These reviews shall be sufficient to provide a reasonable assurance that 

the operator is complying with MSHA recording and posting requirements. 

During all onsite enforcement activities, inspectors shall compare the results of their record 

and posting reviews to actual observations in or at the mine. The appropriate citation or 

order shall be issued when non-compliance has been determined during these reviews or 

observations. 

Documentation Required: Each record pertinent to the inspection activity being performed shall be 

reviewed per the procedural requirement and documented in the hard-copy notes checklist. 

Release 1 (January 2008) 22
Additionally, each review of a mine record or posting shall be entered into the Inspection Tracking 

System Postings/Records section when that record or posting type has been fully reviewed per the 

procedural requirements. No other documentation is required unless a violation is observed. 

Surface Mine Records

1. Audiometric Test Records - 62.171(c). 

2. Auger Mining Inspections - 77.1501(a). 

3. Certification for ROPS - 77.403-1(d). 

4. Contractor Register - 45.4(b). 

5. Daily Hoist Examination - 77.1404. 

6. Daily Inspection of Active Areas of Mine - 77.1713(c). 

7. Daily Inspection of Hoist at Shaft and Slope Sinking Mines - 77.1906(c). 

8. First Aid Training for Supervisors - 77.1703. 

9. HazCom Program - 47.31(a). 

10. Hearing Conservation Program Training - 62.180(b). 

11. Hoist Rope Examination and Tests - 77.1433(d). 

12. Initial Hoist Rope Stretch Measurements - 77.1432. 

13. Impoundment Examination - 77.216-3(c). 

14. Material Safety Data Sheets - 47.51. 

15. Mine Accident, Injury and Illness Reports (Form 7000-1) - 50.20(a). 

16. Miner Notification of Noise Exposure - 62.110(e). 

17. Monthly Examination of Electrical Equipment - 77.502. 

18. Monthly Examination of High Voltage Circuit Breakers - 77.800-2. 

19. Monthly Examination of Low, Medium Voltage Circuit Breakers – 77.900-2. 

20. Qualified & Certified Persons - 77.106. 

Release 1 (January 2008) 23
21. Quarterly Employment and Coal Production Reports (Form 7000-2) - 50.30(b). 

22. Record of Equipment Pre-Operational Check - 77.1606(a). 

23. Thermal Dryers Examination - 77.314(c). 

24. Training & Retraining of Surface Miners (Form 5000-23) - 48.29(a). 

Surface Mine Postings

1. Administrative Noise Control Procedures - 62.130(a). 

2. Approved Respirable Dust Control Plan (Surface) - 71.301(d). 

3. Bathhouse Waiver - 71.403(c). 

4. Citations and Orders - §109(a). 

5. Emergency Medical Assistance Arrangements (Surface Mine) - 77.1702(e). 

6. Granted Petitions for Modification - 44.5(b). 

7. Mine Map (Posted or Available) - 77.1202. 

8. Non-Final Petitions for Modification - 44.9 (at mines with no representative of 

miners). 

9. Representative of Miners - 40.4. 

10. Respirable Dust Sample Results (Surface) - 71.210(b). 

11. Safety Program Instruction - 77.1708. 

Release 1 (January 2008) 24
E. Surface Areas of Underground Mines, Surface Facilities, or Surface Mines.

All procedural headers listed in this section (example: (Auger Openings) shall be included 

with the inspection hard-copy notes. The inspector may use the listing provided in the 

appendices section of this handbook or an equivalent pre-printed format to serve as the 

hard-copy notes. If the procedure does not apply then a statement such as “N/A” or “Not 

Applicable” shall be listed with the procedural header. Inspectors should document 

pertinent general observations made during their inspections in the narrative portion of the 

hard-copy notes. 

1. Auger Openings. Auger openings shall be inspected for compliance with applicable 

standards.

Documentation Required: Each set of auger openings shall be inspected per the procedural 

requirement and documented in the hard-copy notes to include the area(s) inspected. A short 

statement such as “No Violations Observed” or “NVO” shall be included when no hazards or 

violations are observed. No other documentation is required unless a violation is observed. 

2. Coal Stock Pile. Coal stockpiles shall be inspected for compliance with applicable 

standards.

Documentation Required: Each coal stock pile shall be inspected per the procedural 

requirement and documented in the hard-copy notes to include the area(s) inspected. After the 

initial inspection has been completed and all coal stock piles have been documented in the 

Inspection Tracking System, on subsequent inspections that listing may be used as hard-copy 

notes for items inspected on a daily basis. The date, inspector initials, and a page number must 

be provided. A short statement such as “No Violations Observed” or “NVO” shall be 

included when no hazards or violations are observed. Additionally, each inspection of a coal 

stock pile shall be entered into the Inspection Tracking System Surface (Structures, Work 

Areas, Refuse Impoundments, Electrical Installations & Major Construction) section by the 

inspector to include the area description, the date inspected, and the inspector’s initials. No 

other documentation is required unless a violation is observed. 

3. Communications Installations. An inspection shall be conducted of all 

communication installations for compliance with applicable standards, including 

attention to: the knowledge level of responsible persons when such persons are 

required by regulation or approved mine plans. 

Documentation Required: Each communications installation shall be inspected per the 

procedural requirement and documented in the hard-copy notes to include the area(s) 

inspected. After the initial inspection has been completed and all communications installations 

documented in the Inspection Tracking System, on subsequent inspections that listing may be 

Release 1 (January 2008) 25
used as hard-copy notes for items inspected on a daily basis. The date, inspector initials, and a 

page number must be provided. A short statement such as “No Violations Observed” or 

“NVO” shall be included when no hazards or violations are observed. Additionally, each 

inspection of a communications installation shall be entered into the Inspection Tracking 

System Surface (Structures, Work Areas, Refuse Impoundments, Electrical Installations & 

Major Construction) section by the inspector to include the area description, the date 

inspected, and the inspector’s initials. No other documentation is required unless a violation is 

observed

4. Draw-Off Tunnels. An inspection shall be conducted of draw-off tunnels (including 

escapeways) for compliance with applicable standards. 

Documentation Required: Each draw-off tunnel shall be inspected per the procedural 

requirement and documented in the hard-copy notes to include the area(s) inspected. After the 

initial inspection has been completed and all draw-off tunnels documented in the Inspection 

Tracking System, on subsequent inspections that listing may be used as hard-copy notes for 

items inspected on a daily basis. The date, inspector initials, and a page number must be 

provided. A short statement such as “No Violations Observed” or “NVO” shall be included 

when no hazards or violations are observed. Additionally, each inspection of a draw-off tunnel 

shall be entered into the Inspection Tracking System Surface (Structures, Work Areas, Refuse 

Impoundments, Electrical Installations & Major Construction) section by the inspector to 

include the area description, the date inspected, and the inspector’s initials. No other 

documentation is required unless a violation is observed.

5. Drilling and Blasting. An inspection should be conducted of any and all drilling and 

blasting sites on mine property. The inspector should observe a complete drilling and 

blasting cycle to evaluate work practices if drilling or blasting is being conducted 

during the inspection.

Documentation Required: Locations of inspections and observations of drilling and blasting 

practices are being conducted shall be inspected per the procedural requirement and 

documented in the hard-copy notes to include the area(s) inspected. A short statement such as 

“No Violations Observed” or “NVO” shall be included when no hazards or violations are 

observed. No other documentation is required unless a violation is observed.

6. Dumping Facilities. An inspection shall be conducted of conditions and practices at 

all dumping facilities for compliance with applicable standards and in accordance 

with guidance provided in the Dump Point Inspection Handbook.

Documentation Required: Each dumping facility shall be inspected per the procedural 

requirement and documented in the hard-copy notes to include the area(s) inspected. After the 

initial inspection has been completed and all dumping facilities documented in the Inspection 

Tracking System, on subsequent inspections that listing may be used as hard-copy notes for 

items inspected on a daily basis. The date, inspector initials, and a page number must be 

provided. A short statement such as “No Violations Observed” or “NVO” shall be included 

Release 1 (January 2008) 26
when no hazards or violations are observed. Additionally, each inspection of a dumping 

facility shall be entered into the Inspection Tracking System Surface (Structures, Work Areas, 

Refuse Impoundments, Electrical Installations & Major Construction) section by the inspector 

to include the area description, the date inspected, and the inspector’s initials. No other 

documentation is required unless a violation is observed

7. Electrical Installations. An inspection shall be conducted of all permanent surface 

electrical installations for compliance with applicable standards. Temporary electrical 

installations should be inspected as encountered.

Documentation Required: Each permanent electrical installation shall be inspected per the 

procedural requirement and documented in the hard-copy notes to include the area(s) 

inspected. After the initial inspection has been completed and all electrical installations 

documented in the Inspection Tracking System, on subsequent inspections that listing may be 

used as hard-copy notes for items inspected on a daily basis. The date, inspector initials, and a 

page number must be provided. A short statement such as “No Violations Observed” or 

“NVO” shall be included when no hazards or violations are observed. Additionally, each 

inspection of a permanent electrical installation shall be entered into the Inspection Tracking 

System Surface (Structures, Work Areas, Refuse Impoundments, Electrical Installations & 

Major Construction) section by the inspector to include the area description, the date 

inspected, and the inspector’s initials. No other documentation is required unless a violation is 

observed.

8. Equipment (Other). The inspector shall review the operator examination records and 

inspect aerial tramways, in-service haulage, mobile, and portable equipment as 

encountered for compliance with applicable standards. This procedure will also 

apply to independent contractor equipment encountered in-service at the mine.

Documentation Required: Each piece of equipment inspected shall be entered in the hardcopy notes to include the equipment manufacturer, equipment type, an identifying number 

(serial number, company number, etc.), and the location(s) of the equipment when inspected. 

After the initial inspection has been completed and all equipment (other) documented in the 

Inspection Tracking System, on subsequent inspections that listing may be used as hard-copy 

notes for items inspected on a daily basis. The date, inspector initials, and a page number must 

be provided. A short statement such as “No Violations Observed” or “NVO” shall be 

included when no hazards or violations are observed. Additionally, each piece in-use haulage 

or mobile equipment inspected under this procedure shall be entered into the Inspection 

Tracking System Other Equipment section to include the equipment description and company 

number, serial number or other positive identification, the date inspected, and the inspector’s 

initials that inspected the equipment. No other documentation is required unless a violation is 

observed. 

9. Equipment (Pit). The inspector shall review the examination and safety records for 

all pit equipment in-service at the mine and inspect all pit equipment in-use at the 

Release 1 (January 2008) 27
mine for compliance with applicable standards. This procedure will also apply to 

independent contractor pit equipment in-service at the mine.

Documentation Required: Each piece of pit equipment inspected shall be entered in the hardcopy notes to include the equipment manufacturer, equipment type, an identifying number 

(serial number, company number, etc.), and the location of the equipment when inspected. 

After the initial inspection has been completed and all equipment (pit) documented in the 

Inspection Tracking System, on subsequent inspections that listing may be used as hard-copy 

notes for items inspected on a daily basis. The date, inspector initials, and a page number must 

be provided. A short statement such as “No Violations Observed” or “NVO” shall be 

included when no hazards or violations are observed. Additionally, each piece in-use haulage 

or mobile equipment inspected under this procedure shall be entered into the Inspection 

Tracking System Pit Equipment section to include the equipment description and company 

number, serial number or other positive identification, the date inspected, and the inspector’s 

initials that inspected the equipment. No other documentation is required unless a violation is 

observed.

10. Escapeways. An inspection shall be conducted of all work areas to determine if 

escapeways are adequate for compliance with applicable standards.

Documentation Required: Each escapeway shall be inspected per the procedural 

requirement and documented in the hard-copy notes to include the location description. After 

the initial inspection has been completed and all escapeways documented in the Inspection 

Tracking System, on subsequent inspections that listing may be used as hard-copy notes for 

items inspected on a daily basis. The date, inspector initials, and a page number must be 

provided. A short statement such as “No Violations Observed” or “NVO” shall be included 

when no hazards or violations are observed. Additionally, each inspection of an escapeway 

shall be entered into the Inspection Tracking System (Structures, Work Areas, Refuse 

Impoundments, Electrical Installations & Major Construction) section by the inspector to 

include the escapeway description, the date inspected, and the inspector’s initials. No other 

documentation is required unless a violation is observed.

11. Explosives Storage. An inspection shall be conducted of all areas where explosives 

are stored on mine property for compliance with applicable standards. The inspector 

shall complete the appropriate ATF forms.

Documentation Required: Each explosives storage area shall be inspected per the procedural 

requirement and documented in the hard-copy notes to include the location description. After 

the initial inspection has been completed and all explosives storage locations documented in the 

Inspection Tracking System, on subsequent inspections that listing may be used as hard-copy 

notes for items inspected on a daily basis. The date, inspector initials, and a page number must 

be provided. A short statement such as “No Violations Observed” or “NVO” shall be 

included when no hazards or violations are observed. Additionally, each inspection of an 

explosives storage area shall be entered into the Inspection Tracking System Surface 

(Structures, Work Areas, Refuse Impoundments, Electrical Installations & Major 

Release 1 (January 2008) 28
Construction) section by the inspector to include the explosives storage location description, 

the date inspected, and the inspector’s initials. The appropriate ATF forms shall be completed. 

No other documentation is required unless a violation is observed. 

Release 1 (January 2008) 29
12. Fire Fighting Equipment (Surface). An inspection shall be conducted of all surface 

fire fighting equipment or apparatus not incorporated within a surface structure or on 

a piece of equipment for compliance with applicable standards. 

Documentation Required: Surface fire fighting equipment shall be inspected per the 

procedural requirement and the location(s) and type of fire fighting equipment or apparatus 

documented in the hard-copy notes. A short statement such as “No Violations Observed” or 

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

documentation is required unless a violation is observed.

13. Fuel Storage. An inspection shall be conducted of all areas where fuel is being stored 

for compliance with applicable standards.

Documentation Required: Fuel storage locations shall be inspected per the procedural 

requirement and the location(s) of fuel storage documented in the hard-copy notes. A short 

statement such as “No Violations Observed” or “NVO” shall be included when no hazards or 

violations are observed. No other documentation is required unless a violation is observed.

14. Ground Control. The inspector shall evaluate compliance with the current ground 

control plan. The inspector shall also evaluate the adequacy of the plan with observed 

conditions and poll the operator and a representative number of the miners as to their 

knowledge of the plan.

Documentation Required: Evaluations of ground control plan compliance and adequacy 

shall be made per the procedural requirement and the evaluation documented in the hard-copy 

notes. A short statement such as “No Violations Observed” or “NVO” shall be included when 

no hazards or violations are observed. No other documentation is required unless a violation is 

observed. 

15. Haulage Facilities (including Belts). An inspection shall be conducted of each 

haulage facility for compliance with applicable standards.

Documentation Required: Each haulage facility or belt conveyor shall be inspected per the 

procedural requirement and documented in the hard-copy notes to include the location 

description. After the initial inspection has been completed and all haulage facilities (including 

belts) documented in the Inspection Tracking System, on subsequent inspections that listing 

may be used as hard-copy notes for items inspected on a daily basis. The date, inspector initials, 

and a page number must be provided. A short statement such as “No Violations Observed” or 

“NVO” shall be included when no hazards or violations are observed. Additionally, each 

inspection of a haulage facility or belt conveyor shall be entered into the Inspection Tracking 

System Surface (Structures, Work Areas, Refuse Impoundments, Electrical Installations & 

Major Construction) section by the inspector to include the location description, the date 

Release 1 (January 2008) 30
inspected, and the inspector’s initials. No other documentation is required unless a violation is 

observed. 

16. Health and Safety Discussions. The inspector shall discuss matters concerning 

health and safety and work practices with each production crew. 

Documentation Required: Health and safety discussions shall be made per the procedural 

requirement and documented in the hard-copy notes to include the location of discussion, time 

and number of miners present. 

17. Highwalls and Spoil Banks. An inspection shall be conducted of all highwalls and 

spoil banks for compliance with applicable standards.

Documentation Required: Each highwall or spoil bank shall be inspected per the procedural 

requirement and documented in the hard-copy notes to include the location description. After 

the initial inspection has been completed and all highwalls and spoil banks documented in the 

Inspection Tracking System, on subsequent inspections that listing may be used as hard-copy 

notes for items inspected on a daily basis. The date, inspector initials, and a page number must 

be provided. A short statement such as “No Violations Observed” or “NVO” shall be 

included when no hazards or violations are observed. Additionally, each inspection of a 

highwall or spoil bank shall be entered into the Inspection Tracking System Surface 

(Structures, Work Areas, Refuse Impoundments, Electrical Installations & Major 

Construction) or Pit Log section by the inspector to include the location description, the date 

inspected, and the inspector’s initials. No other documentation is required unless a violation is 

observed.

18. Hoisting Equipment. An inspection shall be conducted of all hoisting equipment for 

compliance with applicable standards.

Documentation Required: Hoisting equipment shall be inspected per the procedural 

requirement and documented in the hard-copy notes to include the equipment description and 

the company number, serial number, approval number, or other identifying method. After the 

initial inspection has been completed and all hoisting equipment documented in the Inspection 

Tracking System, on subsequent inspections that listing may be used as hard-copy notes for 

items inspected on a daily basis. The date, inspector initials, and a page number must be 

provided. A short statement such as “No Violations Observed” or “NVO” shall be included 

when no hazards or violations are observed. Additionally, each inspection of each piece of inuse hoisting equipment shall be entered into the Inspection Tracking System Surface Pit 

Equipment or Other Equipment section by the inspector to include the equipment description 

and the company number, serial number, approval number, or other identifying method, the 

date inspected, and the inspector’s initials. No other documentation is required unless a 

violation is observed. 

Release 1 (January 2008) 31
19. Illumination of Work Areas. An inspection shall be conducted of all work areas to 

determine that they are sufficiently illuminated to provide safe working conditions. 

Documentation Required: A general statement regarding the adequacy of illumination of 

work areas such as “No Violations Observed” or “NVO” shall be documented in the hard-copy 

notes. No other documentation is required unless a violation is observed.

20. Methane Tests in Required Locations (Surface). The inspector shall test for methane 

in all structures and areas where there is a potential for a hazardous accumulations of 

methane. 

Documentation Required: The time, methane percentile and the location of each test shall 

be documented in the hard-copy notes. If no methane is detected, a general statement to that 

effect and the location of each test will suffice. No other documentation is required unless a 

violation is observed.

21. Mine Map (Surface). The inspector shall review the mine map for consistency with 

approved mining methods, mining in proximity to underground mines, electrical 

power lines, oil and gas wells, fuel transmission lines, mines located adjacent to or 

below active workings, and any danger that surface mining may present to 

underground miners.

Documentation Required: Reviews of the mine map conducted per the procedural 

requirement shall be documented in the hard-copy notes. No other documentation is required 

unless a violation is observed.

22. Non-Major Construction Sites. Independent contractors encountered at non-major 

construction sites shall be inspected for compliance with applicable standards. MSHA 

Form 2000-208 (inspection notes page) shall be completed and submitted as part of the 

inspection report.

Documentation Required: Each non-major construction site shall be inspected per the 

procedural requirement and documented in the hard-copy notes to include the location 

description and a short statement such as “No Violations Observed” or “NVO” when no 

hazards or violations are observed. Additionally, each inspection of a non-major construction 

site shall be entered into the Inspection Tracking System Surface (Structures, Work Areas, 

Refuse Impoundments, Electrical Installations & Major Construction) section by the inspector 

to include the location description, the date inspected, and the inspector’s initials. No other 

documentation is required unless a violation is observed. 

Release 1 (January 2008) 32
23. Other Places Where Miners Work or Travel. Other work areas and travelways shall 

be inspected for compliance with applicable standards.

Documentation Required: Other places where miners work or travel shall be inspected per 

the procedural requirement and documented in the hard-copy notes to include the location 

description. After the initial inspection has been completed and other places where miners 

work or travel documented in the Inspection Tracking System, on subsequent inspections that 

listing may be used as hard-copy notes for items inspected on a daily basis. The date, inspector 

initials, and a page number must be provided. A short statement such as “No Violations 

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

Additionally, other places where miners work or travel shall be entered into the Inspection 

Tracking System (Structures, Work Areas, Refuse Impoundments, Electrical Installations & 

Major Construction) section by the inspector and include the location description, the date 

inspected, and the inspector’s initials. No other documentation is required unless a violation is 

observed.

24. Potable Water (Surface). The inspector shall determine if potable water is provided 

and available.

Documentation Required: Availability of potable water shall be determined per the 

procedural requirement and documented in the hard-copy notes to include the location 

description. A short statement such as “No Violations Observed” or “NVO” shall be included 

when no hazards or violations are observed. Additionally, availability of potable water shall be 

entered into the Inspection Tracking System Pit section by the inspector and include the date 

inspected and the inspector’s initials. No other documentation is required unless a violation is 

observed.

25. Preparation Plant. All preparation plants shall be inspected for compliance with 

applicable standards.

Documentation Required: Each preparation plant shall be inspected per the procedural 

requirement and documented in the hard-copy notes. After the initial inspection has been 

completed and preparation plants documented in the Inspection Tracking System, on 

subsequent inspections that listing may be used as hard-copy notes for items inspected on a 

daily basis. The date, inspector initials, and a page number must be provided. A short 

statement such as “No Violations Observed” or “NVO” shall be included when no hazards or 

violations are observed. Additionally, each preparation plant inspected shall be entered into 

the Inspection Tracking System Surface (Structures, Work Areas, Refuse Impoundments, 

Electrical Installations & Major Construction) section by the inspector and include the 

location description, the date inspected, and the inspector’s initials. No other documentation is 

required unless a violation is observed.

Release 1 (January 2008) 33
26. Refuse Piles and Impoundments. Refuse piles and impoundments shall be inspected 

in accordance with the Coal Mine Impoundment Inspection Procedures Handbook. A 

comparison shall be made between the operator’s examination records and the 

inspector's observations.

Documentation Required: Each refuse pile or impoundment shall be inspected per the 

procedural requirement and documented in the hard-copy notes to include the location 

description. After the initial inspection has been completed and all refuse piles and 

impoundments documented in the Inspection Tracking System, on subsequent inspections that 

listing may be used as hard-copy notes for items inspected on a daily basis. The date, inspector 

initials, and a page number must be provided. A short statement such as “No Violations 

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

Additionally, each refuse pile or impoundment shall be entered into the Inspection Tracking 

System Surface (Structures, Work Areas, Refuse Impoundments, Electrical Installations & 

Major Construction) section by the inspector and include the location description, the date 

inspected, and the inspector’s initials. No other documentation is required unless a violation is 

observed.

27. Sanitary Facilities (Bathhouse). An inspection shall be conducted of all sanitary 

facilities for compliance with applicable standards. 

Documentation Required: Each sanitary facility (bathhouse) shall be inspected per the 

procedural requirement and documented in the hard-copy notes to include the location 

description. A short statement such as “No Violations Observed” or “NVO” shall be included 

when no hazards or violations are observed. After the initial inspection has been completed 

and sanitary facilities (bathhouse) documented in the Inspection Tracking System, on 

subsequent inspections that listing may be used as hard-copy notes for items inspected on a 

daily basis. The date, inspector initials, and a page number must be provided. Additionally, 

each bathhouse inspected shall be entered into the Inspection Tracking System Surface 

(Structures, Work Areas, Refuse Impoundments, Electrical Installations & Major 

Construction) section by the inspector and include the location description, the date inspected, 

and the inspector’s initials. No other documentation is required unless a violation is observed.

28. Self-Contained Self-Rescuer (SCSR). If SCSRs are in-use at surface areas of an 

underground mine, surface facility, or surface mine they shall be inspected.

Documentation Required: Each SCSR in-use shall be inspected per the procedural 

requirement and documented in the hard-copy notes to include the SCSR manufacturer, the 

model, and the serial number. If the operator maintains a SCSR listing, the inspector may use 

that listing as hard-copy notes if the SCSR manufacturer, the model, and the serial number are 

listed and the inspector indicates the date inspected for each SCSR observed in-use and initials 

the operator provided listing. Additionally, the date inspections of SCSRs inspection begin 

and completion date shall be entered into the Inspection Tracking System Surface Pit Log 

section by the inspector, including the inspector’s initials. No other documentation is required 

unless a violation is observed. 

Release 1 (January 2008) 34
29. Shop. All shops shall be inspected for compliance with applicable standards. 

Documentation Required: Each shop shall be inspected per the procedural requirement and 

documented in the hard-copy notes to include the location description of the shop inspected. 

After the initial inspection has been completed and shops documented in the Inspection 

Tracking System, on subsequent inspections that listing may be used as hard-copy notes for 

items inspected on a daily basis. The date, inspector initials, and a page number must be 

provided. A short statement such as “No Violations Observed” or “NVO” shall be included 

when no hazards or violations are observed. Additionally, each shop inspected shall be entered 

into the Inspection Tracking System Surface (Structures, Work Areas, Refuse Impoundments, 

Electrical Installations & Major Construction) section by the inspector and include the 

location description, the date inspected, and the inspector’s initials. No other documentation is 

required unless a violation is observed.

30. Surface First -Aid Equipment. The surface first-aid equipment shall be inspected for 

compliance with applicable standards.

Documentation Required: Inspections of first-aid equipment conducted per the procedural 

requirement shall be documented in the hard-copy notes to include location. A short statement 

such as “No Violations Observed” or “NVO” shall be included when no hazards or violations 

are observed. No other documentation is required unless a violation is observed.

31. Thermal Dryer. An inspection shall be conducted of all thermal dryers for 

compliance with applicable standards.

Documentation Required: Inspections of thermal dryers conducted per the procedural 

requirement shall be documented in the hard-copy notes to include location. After the initial 

inspection has been completed and each thermal dryer documented in the Inspection Tracking 

System, on subsequent inspections that listing may be used as hard-copy notes for items 

inspected on a daily basis. The date, inspector initials, and a page number must be provided. A 

short statement such as “No Violations Observed” or “NVO” shall be included when no 

hazards or violations are observed. Additionally, each thermal dryer inspected shall be entered 

into the Inspection Tracking System Surface (Structures, Work Areas, Refuse Impoundments, 

Electrical Installations & Major Construction) section by the inspector and include the 

location description, the date inspected, and the inspector’s initials. No other documentation is 

required unless a violation is observed.

32. Travelways and Active Roadways. An inspection shall be conducted of all 

travelways and active roadways for compliance with applicable standards.

Documentation Required: Each travelway and active roadway shall be inspected per the 

procedural requirement and documented in the hard-copy notes to include the location 

description of the travelway or active roadway inspected. After the initial inspection has been 

completed and all travelways and active roadways documented in the Inspection Tracking 

System, on subsequent inspections that listing may be used as hard-copy notes for items 

Release 1 (January 2008) 35
inspected on a daily basis. The date, inspector initials, and a page number must be provided. A 

short statement such as “No Violations Observed” or “NVO” shall be included when no 

hazards or violations are observed. Additionally, each travelway and active roadway inspected 

shall be entered into the Inspection Tracking System Surface (Structures, Work Areas, Refuse 

Impoundments, Electrical Installations & Major Construction) section by the inspector to 

include the location description, the date inspected, and the inspector’s initials. No other 

documentation is required unless a violation is observed.

33. Ventilating Fan Installations. An inspection shall be conducted of all ventilating fan 

installations for compliance with applicable standards.

Documentation Required: Each ventilation fan installation shall be inspected per the 

procedural requirement and documented in the hard-copy notes to include the location 

description. After the initial inspection has been completed and all ventilating fan installations 

documented in the Inspection Tracking System, on subsequent inspections that listing may be 

used as hard-copy notes for items inspected on a daily basis. The date, inspector initials, and a 

page number must be provided. A short statement such as “No Violations Observed” or 

“NVO” shall be included when no hazards or violations are observed. Additionally, each 

ventilating fan installation inspected shall be entered into the Inspection Tracking System 

Surface (Structures, Work Areas, Refuse Impoundments, Electrical Installations & Major 

Construction) section by the inspector to include the location description, the date inspected, 

and the inspector’s initials. No other documentation is required unless a violation is observed. 

F. Underground Outby Areas. All procedural headers listed in this section (example: Air 

Courses (including Escapeways)) shall be included with the inspection hard-copy notes. 

The inspector may use the listing provided in the appendices section of this handbook or 

in an equivalent pre-printed format to serve as the hard-copy notes. If the procedure 

does not apply then a statement such as “N/A” or “Not Applicable” shall be listed with 

the procedural header. Inspectors should document pertinent general observations 

made during their inspections in the narrative portion of the hard-copy notes.

1. Air Courses (including Escapeways). At least one entry in each intake and return 

aircourse shall be inspected in its entirety for compliance with applicable standards 

and approved plans. Additional entries and/or crosscuts within a multiple entry 

aircourse may need to be traveled to fully evaluate operator compliance with 

applicable standards and approved ventilation plans.

Documentation Required: The aircourse name plus an intake or return designation (e.g., 1 

Right Panel Left Return, South Mains Track (Intake), etc.) and the beginning and ending 

point of each day’s travel in each intake and return aircourse (as correlated to a permanent 

reference on the mine map such as a spad number, crosscut number, etc.) shall be recorded in 

the inspection hard-copy notes. If an air course is also an escapeway it shall be so identified 

with the aircourse name (Example: 1 Right Intake (PE) as the primary escapeway or 1 Right 

Release 1 (January 2008) 36
Intake (AE) if it is the alternate escapeway). After the initial inspection has been completed 

and all air courses documented in the Inspection Tracking System, on subsequent inspections 

that listing may be used as hard-copy notes for items inspected on a daily basis. The date, 

inspector initials, and a page number must be provided. A short statement such as “No 

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

The extent of travels in each intake and return aircourse shall also be recorded in the Inspection 

Tracking System Aircourses section until each intake or return aircourse is fully inspected. 

Additionally, the inspector shall clearly mark the extent of daily travels that 

contribute to an E01 inspection event in each air course on a mine map, line diagram 

or combination of a mine map and line diagram until each intake or return aircourse 

is fully inspected. No other documentation is required unless a violation is observed.

2. AMS Alarm Systems (AMS). The inspector shall examine AMS system components 

and observe the operator making a required calibration of system sensors. Data and 

times obtained during the inspection shall be compared with information recorded by 

the system on the surface. Additionally, an evaluation shall be made concerning the 

responsible person(s) about the AMS system display, the actions required for any alert 

and alarm, and appropriate notification of miners and mine management when an 

alert or alarm occurs. The most recent AMS records shall also be reviewed to 

determine if proper notifications and corrective actions have been taken to address 

previous alerts, alarms, or system failures.

Documentation Required: Compliance with this procedure shall be recorded in the 

inspection hard-copy notes to include the AMS manufacturer and model. A short statement 

such as “No Violations Observed” or “NVO” shall be included when no hazards or violations 

are observed. No other documentation is required unless a violation is observed.

3. Belts, Skip Shaft Facilities, Bunkers. Each belt flight, skip shaft, or bunker and all 

associated equipment of each system shall be inspected for compliance with 

applicable standards. 

Documentation Required: Each belt, skip shaft facility, or bunker inspected under this 

procedure shall be listed in the hard-copy notes and include a beginning and ending point for 

daily travel until the belt, skip shaft facility, or bunker is fully inspected. After the initial 

inspection has been completed and all belts, skip shaft facilities and bunkers documented in the 

Inspection Tracking System, on subsequent inspections that listing may be used as hard-copy 

notes for items inspected on a daily basis. The date, inspector initials, and a page number must 

be provided. A short statement such as “No Violations Observed” or “NVO” shall be 

included when no hazards or violations are observed. Additionally, each belt, skip shaft 

facility, or bunker inspected under this procedure shall be entered into the Inspection Tracking 

System Haulage Systems section to include a description, the date inspected, and the 

inspector’s initials who inspected the belt, skip shaft facility, or bunker. No other 

documentation is required unless a violation is observed. 

Release 1 (January 2008) 37
4. Blasting Practices. An inspection shall be conducted of all areas where explosives are 

observed being used in the mine for compliance with applicable standards.

Documentation Required: Inspector evaluation of blasting practices shall be documented in 

the hard-copy inspection notes to show the location. A short statement such as “No Violations 

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

documentation is required unless a violation is observed.

5. Bleeders Including Each Check Point. At least one entry in each set of bleeder 

entries shall be inspected in its entirety or to evaluation points approved in the mine 

ventilation plan to determine compliance with applicable standards and approved 

plans.

Documentation Required: The beginning and ending point of travel in bleeder entries (as 

correlated to a permanent reference on the mine map), the air quantity, the percentile of 

methane and the percentile of oxygen shall be recorded in the inspection hard-copy notes. After 

the initial inspection has been completed and all bleeders including each check point 

documented in the Inspection Tracking System, on subsequent inspections that listing may be 

used as hard-copy notes for items inspected on a daily basis. The date, inspector initials, and a 

page number must be provided. A short statement such as “No Violations Observed” or 

“NVO” shall be included when no hazards or violations are observed. The extent of daily 

travel in each bleeder system shall also be recorded in the Inspection Tracking System Bleeders 

and Worked Out Areas section until each bleeder is fully inspected, Additionally, the 

inspector shall clearly mark the extent of daily travels that contribute to a Regular 

Safety and Health inspection event in each bleeder on a mine map, line diagram or 

combination of a mine map and line diagram until each bleeder is fully inspected. No 

other documentation is required unless a violation is observed.

6. Diesel Fuel Storage. All areas where fuel is being stored underground shall be 

inspected for compliance with applicable standards.

Documentation Required: The location of each diesel fuel storage area(s) inspected shall be 

recorded in the inspection hard-copy notes. A short statement such as “No Violations 

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

documentation is required unless a violation is observed.

7. SCSR Storage Locations. All locations where SCSRs are required to be stored shall be 

inspected to determine compliance with applicable standards, including attention to: 

comparing the data from inspection records with observations made during the 

physical inspection of a representative number of self rescue devices. Miners 

encountered during inspections in outby areas should be randomly polled concerning 

knowledge of SCSR donning procedures.

Documentation Required: The location of the SCSR storage area and the manufacturer, 

model, and serial numbers of the SCSRs inspected shall be recorded in the inspection hard-copy 

Release 1 (January 2008) 38
notes. The inspector may use the operators’ SCSR listing as hard-copy notes if the SCSR 

manufacturer, the model, and the serial number are listed and the inspector indicates the SCSR 

storage area location and the date inspected for each SCSR inspected. If the inspector uses the 

operators’ SCSR listing as hard-copy notes, each SCSR inspected must be identified on the list. 

Inspector evaluations of SCSR donning procedures shall be entered as a general statement in 

the hard copy notes. Each page must be initialed and numbered. No other documentation is 

required unless a violation is observed.

8. Haulage or Mobile Equipment. The inspector shall review the operator examination 

records and inspect in-service haulage, mobile, and portable equipment as they are 

encountered for compliance with applicable standards. This procedure will also 

apply to independent contractor equipment encountered in-service at the mine. 

Documentation Required: Each piece of equipment inspected shall be entered in the hardcopy notes to include the equipment manufacturer, equipment type, an identifying number 

(e.g., serial number, company number, etc.), and the location of the equipment when inspected. 

After the initial inspection has been completed and all haulage or mobile equipment 

documented in the Inspection Tracking System, on subsequent inspections that listing may be 

used as hard-copy notes for items inspected on a daily basis. The date, inspector initials, and a 

page number must be provided. A short statement such as “No Violations Observed” or 

“NVO” shall be included when no hazards or violations are observed. Additionally, each piece 

of in-use haulage or mobile equipment inspected under this procedure shall be entered into the 

Inspection Tracking System Haulage Equipment section to include the equipment description 

and company number, serial number or other positive identification, the date inspected, and 

the inspector’s initials who inspected the equipment. No other documentation is required 

unless a violation is observed. 

9. Longwall Tailgate Entry. Longwall tailgate travelways shall be inspected in their 

entirety for compliance with applicable standards and approved plans.

Documentation Required: The beginning and ending point of travel in each longwall 

tailgate (as correlated to a permanent reference on the mine map) shall be recorded in the 

inspection hard-copy notes. After the initial inspection has been completed and all longwall 

tailgate entries documented in the Inspection Tracking System, on subsequent inspections that 

listing may be used as hard-copy notes for items inspected on a daily basis. The date, inspector 

initials, and a page number must be provided. A short statement such as “No Violations 

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

extent of travels in each longwall tailgate shall also be recorded in the Inspection Tracking 

System Aircourses section until each longwall tailgate is fully inspected. Additionally, the 

inspector shall mark the extent of daily travels that contribute to a Regular Safety and Health 

inspection event in each longwall tailgate on a mine map, line diagram or combination of a 

mine map or line diagram until each longwall tailgate is fully inspected. No other 

documentation is required unless a violation is observed.

Release 1 (January 2008) 39
10. Non-Pillared Worked Out Area. Non-pillared worked out areas shall be inspected to 

the point of deepest penetration or to alternative evaluation locations approved in the 

mine ventilation plan to determine compliance with applicable standards and 

approved plans.

Documentation Required: The beginning and ending point of travel in non-pillared worked 

out areas (as correlated to a permanent reference on the mine map), the air quantity, the 

percentile of methane and the percentile of oxygen shall be recorded in the inspection hard-copy 

notes. After the initial inspection has been completed and all non-pillared worked out areas 

documented in the Inspection Tracking System, on subsequent inspections that listing may be 

used as hard-copy notes for items inspected on a daily basis. The date, inspector initials, and a 

page number must be provided. A short statement such as “No Violations Observed” or 

“NVO” shall be included when no hazards or violations are observed. The extent of daily 

travel in each worked out area shall also be recorded in the Inspection Tracking System 

Bleeders and Worked Out Areas section until each worked out area is fully inspected. 

Additionally, the inspector shall mark the extent of daily travels that contribute to a Regular 

Safety and Health inspection event in each worked-out area on a mine map, line diagram or 

combination of a mine map or line diagram until each worked-out area is fully inspected. No 

other documentation is required unless a violation is observed.

11. Outby Electrical Equipment. An inspection shall be conducted of each piece of in-use 

or available-for-use permanent electrical equipment as listed in the operator 

examination records or observed in-use by the inspector to determine compliance 

with applicable standards. Portable electrical equipment should be inspected as 

encountered. A regular inspector shall not attempt to perform inspections or tests that 

require the expertise of an electrical specialist. 

Documentation Required: Each piece of in-use or available-for-use outby permanent or 

portable electrical equipment inspected under this procedure shall be listed in the hard-copy 

notes to include the equipment description and company number, serial number, approval 

number or other positive identification. After the initial inspection has been completed and all 

outby electrical equipment documented in the Inspection Tracking System, on subsequent 

inspections that listing may be used as hard-copy notes for items inspected on a daily basis. 

The date, inspector initials, and a page number must be provided. A short statement such as 

“No Violations Observed” or “NVO” shall be included when no hazards or violations are 

observed. Additionally, each piece of in-use permanent electrical equipment inspected under 

this procedure shall be entered into the Inspection Tracking System Outby Equipment section 

to include the equipment description and company number, serial number, approval number or 

other positive identification, the date inspected, and the inspector’s initials who inspected the 

equipment. No other documentation is required unless a violation is observed.

12. Seals. All mine seals (including seals under construction) shall be inspected for 

compliance with applicable standards and approved plans. MSHA seal sampling 

procedures shall be followed during inspection of mine seals.

Release 1 (January 2008) 40
Documentation Required: Each set of seals inspected under this procedure shall be listed in 

the hard-copy notes and include the name or location, and the number of seals in the set. After 

the initial inspection has been completed and all seals have been documented in the Inspection 

Tracking System, on subsequent inspections that listing may be used as hard-copy notes for 

items inspected on a daily basis. The date, inspector initials, and a page number must be 

provided. A short statement such as “No Violations Observed” or “NVO” shall be included 

when no hazards or violations are observed. Additionally, each set of seals inspected under this 

procedure shall be entered into the Inspection Tracking System Seals section to include the 

number of seals in the set, and the construction type, the date inspected, and the inspector’s 

initials who inspected the seal set until all seals in that set are fully inspected. No other 

documentation is required unless a violation is observed.

13. Track Haulage Roads. Each track haulage road shall be inspected for compliance 

with applicable standards. The inspector shall compare information from 

examination records with observations made during the examination.

Documentation Required: Each track haulage road inspected under this procedure shall be 

listed in the hard-copy notes and include a beginning and ending point for daily travel until 

the track haulage road is fully inspected. After the initial inspection has been completed and all 

track haulage roads documented in the Inspection Tracking System, on subsequent inspections 

that listing may be used as hard-copy notes for items inspected on a daily basis. The date, 

inspector initials, and a page number must be provided. A short statement such as “No 

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

Additionally, track haulage roads inspected under this procedure shall be entered into the 

Inspection Tracking System Haulage Systems section to include the area(s) inspected, the date 

inspected, and the inspector’s initials. No other documentation is required unless a violation is 

observed. 

Release 1 (January 2008) 41
G. Underground Working Sections All procedural headers listed in this section (example: 

Boreholes in Advance of Mining) shall be included with the inspection hard-copy notes. 

The inspector may use the listing provided in the appendices section of this handbook or 

in an equivalent pre-printed format to serve as the hard-copy notes. If the procedure 

does not apply then a statement such as “N/A” or “Not Applicable” shall be listed with 

the procedural header. Inspectors should document pertinent general observations 

made during their inspections in the narrative portion of the hard-copy notes. 

1. Boreholes In Advance of Mining. The operator's compliance with plans approved 

under 30 CFR 75.388 and 75.389 shall be evaluated by the inspector. Discussions shall 

be conducted with affected miners and mine supervisors to evaluate their familiarity 

with plan requirements.

Documentation Required: Inspector evaluation of boreholes in advance of mining shall be 

documented in the hard-copy inspection notes to show the mechanized mining unit number 

(MMU), the date started, and the date this procedure was fully completed for that MMU. A 

short statement such as “No Violations Observed” or “NVO” shall be included when no 

hazards or violations are observed. No other documentation is required unless a violation is 

observed.

2. Communications. An evaluation shall be conducted of all communication methods 

for compliance with applicable standards.

Documentation Required: Evaluations of communication methods shall be documented in 

the hard-copy inspection notes to show the mechanized mining unit number (MMU), the date 

started, and the date this procedure was fully completed for that MMU. After the initial 

inspection has been completed and communication systems documented in the Inspection 

Tracking System, on subsequent inspections that listing may be used as hard-copy notes for 

items inspected on a daily basis. The date, inspector initials, and a page number must be 

provided. A short statement such as “No Violations Observed” or “NVO” shall be included 

when no hazards or violations are observed. Additionally, the inspection of communication 

installations shall be documented in the Inspection Tracking System MMU Log to show the 

MMU number, the inspector’s initials, the date started and the date fully completed. No other 

documentation is required unless a violation is observed.

3. Dust Control Parameters. Dust controls used on the section shall be inspected to 

determine compliance with applicable standards and the approved mine ventilation 

plan. A representative number of miners shall be polled to determine if conditions 

observed represent normal mining conditions.

Documentation Required: Inspection of dust control parameters shall be documented in the 

hard-copy inspection notes to show the mechanized mining unit number (MMU), the date 

started, and the date this procedure was fully completed for that MMU. A short statement 

Release 1 (January 2008) 42
such as “No Violations Observed” or “NVO” shall be included when no hazards or violations 

are observed. No other documentation is required unless a violation is observed.

4. Dates, Times, and Initials. The inspector shall examine all working places on each 

working section and determine if the mine examiner had certified with dates, times, 

and initials that the required examinations were conducted.

Documentation Required: Inspection of dates, times, and initials shall be documented in the 

hard-copy inspection notes to show the mechanized mining unit number (MMU), the date 

started, and the date this procedure was fully completed for that MMU. A short statement 

such as “No Violations Observed” or “NVO” shall be included when no hazards or violations 

are observed. No other documentation is required unless a violation is observed.

5. Escapeway Map. The inspector shall determine if an up-to-date escapeway map is 

maintained on each working section. Discussions shall be conducted with the miners 

to determine if they are familiar with the map location, the designated escape routes, 

and evacuation procedures.

Documentation Required: Inspection of the escapeway map shall be documented in the 

hard-copy inspection notes to show the mechanized mining unit number (MMU), the date 

started, and the date this procedure was fully completed for that MMU. A short statement 

such as “No Violations Observed” or “NVO” shall be included when no hazards or violations 

are observed. Additionally, the inspection of escapeway map shall be documented in the 

Inspection Tracking System MMU Log to show the MMU number, the inspector’s initials, the 

date started and the date fully completed. 

6. Fire Protection. All fire fighting equipment available for use on the section shall be 

inspected for compliance with applicable standards. 

Documentation Required: Inspection of fire protection shall be documented in the hard-copy 

inspection notes to show the mechanized mining unit number (MMU), the date started, and 

the date this procedure was fully completed for that MMU. After the initial inspection has 

been completed and all fire protection equipment documented in the Inspection Tracking 

System, on subsequent inspections that listing may be used as hard-copy notes for items 

inspected on a daily basis. The date, inspector initials, and a page number must be provided. A 

short statement such as “No Violations Observed” or “NVO” shall be included when no 

hazards or violations are observed. Additionally, inspection of MMU fire protection shall be 

documented in the Inspection Tracking System MMU Log to show the MMU number, the 

inspector’s initials, the date started and the date fully completed. No other documentation is 

required unless a violation is observed.

7. First-Aid Equipment. An inspection shall be conducted of all underground first-aid 

equipment for compliance with applicable standards.

Release 1 (January 2008) 43
Documentation Required: Inspection of first-aid equipment shall be documented in the 

hard-copy inspection notes to show the mechanized mining unit number (MMU), the date 

started, and the date this procedure was fully completed for that MMU. A short statement 

such as “No Violations Observed” or “NVO” shall be included when no hazards or violations 

are observed. Additionally, inspection of first-aid equipment shall be documented in the 

Inspection Tracking System MMU Log to show the MMU number, the inspector’s initials, the 

date started and the date fully completed. No other documentation is required unless a 

violation is observed.

8. Health and Safety Discussions. The inspector shall discuss matters concerning 

health and safety and work practices with the miners during inspection activities on a 

working section.

Documentation Required: Health and safety discussions by the inspector shall be 

documented in the hard-copy inspection notes to show the mechanized mining unit number. 

No other documentation is required.

9. Location of Last Open Crosscut. The inspector shall determine the location of the last 

open crosscut on each working section identified by a permanent reference correlated 

to the mine map (survey spad number, crosscut number, etc.).

Documentation Required: The location of the last open crosscut of a mechanized mining 

unit (MMU) shall be determined and documented in the hard-copy inspection notes if the 

section has advanced since the last visit. The documentation shall be by MMU number and 

permanent reference to a location that will be included in the operators’ update of the mine 

map.

10. Mining/Work Cycle. The inspector shall observe the complete mining cycle on each 

active producing working section. The physical condition of the working section (roof 

and rib conditions, cleanup/rock dusting, ventilation controls, approved plan 

compliance, etc. shall be carefully evaluated during these inspection activities.

Documentation Required: Inspector observation of the complete mining/work cycle shall be 

documented in the hard-copy inspection notes to show the mechanized mining unit number 

(MMU), the method of mining (continuous mining advance, continuous mining retreat, 

conventional mining advance, blasting from the solid advance, etc.) the date observation of the 

mining/work cycle was started, and the date this procedure was fully completed for that 

MMU. A short statement such as “No Violations Observed” or “NVO” shall be included 

when no hazards or violations are observed. Additionally, observation of complete mining 

cycle shall be documented in the Inspection Tracking System MMU Log to show the MMU 

number, the date started and the date fully completed. No other documentation is required 

unless a violation is observed. 

11. Operations Under Water. The operator's compliance with plans approved under 30 

CFR 75.388(f) or 75.1716 shall be evaluated by the inspector. Discussions shall be 

Release 1 (January 2008) 44
conducted with affected miners and mine supervisors to evaluate their familiarity 

with plan requirements.

Documentation Required: The inspector’s evaluation of mining near a potential body of 

water or under water shall be documented in the hard-copy inspection notes to show the inmine location), the date started, and the date this procedure was fully completed. A short 

statement such as “No Violations Observed” or “NVO” shall be included when no hazards or 

violations are observed. No other documentation is required unless a violation is observed.

12. Potable Water (Working Section). The inspector shall determine if potable water is 

available.

Documentation Required: Availability of potable water shall be documented in the hardcopy inspection notes to show the mechanized mining unit number (MMU). A short 

statement such as “No Violations Observed” or “NVO” shall be included when no hazards or 

violations are observed. Additionally, availability of the potable water shall be documented in 

the Inspection Tracking System MMU Log to show the MMU number. No other 

documentation is required unless a violation is observed.

13. Rock Dust Survey. The inspector shall conduct a rock dust survey to within 50 feet 

outby the section dumping point on each advancing active working section in the 

mine. Rock dust surveys shall also be conducted in previously mined active areas. 

Locations where samples were not previously collected due to wet conditions shall be 

tracked and inspected for a period of one year.

Documentation Required: The mechanized mining unit number (MMU), the sampling area 

description, the survey begin zero point, each sampling point (referenced in feet from the zero 

point), the percentile of methane detected on a hand-held detector and the number of any air 

bottle collected at each sampling location shall be documented in the inspection hard-copy notes 

for each survey collected. Additionally, a minimum amount of rock dust survey information 

shall be documented in the Inspection Tracking System MMU Log to show the MMU number, 

the date survey was started and the date fully completed. No other documentation is required 

unless a violation is observed.

14. Sanitary Facilities. Sanitary facilities located on a working section shall be inspected 

for compliance with applicable standards.

Documentation Required: Sanitary facility observations shall be documented in the hardcopy inspection notes to show the mechanized mining unit number (MMU), the date started, 

and the date this procedure was fully completed for that MMU. A short statement such as 

“No Violations Observed” or “NVO” shall be included when no hazards or violations are 

observed. Additionally, sanitary facilities observations shall be documented in the Inspection 

Tracking System MMU Log to show the MMU number. No other documentation is required 

unless a violation is observed.

Release 1 (January 2008) 45
15. Section Equipment. Each piece of in-service section equipment shall be inspected to 

determine compliance with applicable standards.

Documentation Required: Inspection of each piece of in-service section equipment shall be 

documented in the hard-copy inspection notes to show the mechanized mining unit number 

(MMU), the company number, serial number, approval number, or other positive identifier. 

After the initial inspection has been completed and all section equipment documented in the 

Inspection Tracking System, on subsequent inspections that listing may be used as hard-copy 

notes for items inspected on a daily basis. The date, inspector initials, and a page number must 

be provided. A short statement such as “No Violations Observed” or “NVO” shall be 

included when no hazards or violations are observed. Additionally, inspection of each piece of 

section equipment shall be documented in the Inspection Tracking System MMU Log MMU 

Equipment section to show the MMU number, to show the mechanized mining unit number 

(MMU), the company number, serial number, approval number, or other identifier, the 

inspection date, and the initials of the inspector. No other documentation is required unless a 

violation is observed.

16. Self-Rescue Devices (Working Section). SCSRs carried by the miners or stored on 

each working section shall be inspected. These inspections should be conducted in 

accordance with the manufacturer’s approved daily inspection procedures. The 

inspector shall evaluate the adequacy of SCSR training by discussing donning 

procedures with a representative number of individual miners to ascertain their 

understanding of how to use the SCSR. If inspectors are made aware of any selfrescuer training deficiencies, they should report them to the District training 

liaison/specialist.

Documentation Required: Inspections of self-rescue devices (SCSRs) on each working 

section shall be documented in the hard-copy inspection notes to show the mechanized mining 

unit number (MMU), the manufacturer, model, and serial numbers of the SCSRs inspected. 

The inspector may use the operators’ SCSR listing as hard-copy notes if the SCSR 

manufacturer, the model, and the serial number are listed and the inspector indicates the 

mechanized mining unit number (MMU) and the date inspected for each SCSR. A general 

statement stating that donning procedures were discussed shall be listed in the hard copy 

notes. Individual names or occupations are not required. Additionally, minimum information 

concerning inspections of self-rescue devices (SCSRs) shall be documented in the Inspection 

Tracking System MMU Log to show the MMU number, the date started and the date fully 

completed. No other documentation is required unless a violation is observed.

Release 1 (January 2008) 46
H. Ventilation (General Tests and Measurements). The direction and quantity of airflow 

shall be determined and tests for the presence of methane and oxygen deficiency shall be 

made at the following locations: 

1. In the last open crosscut of each set of entries or rooms on each section. 

2. Areas where mechanized mining equipment is being installed or removed; 

3. On a longwall or shortwall, including areas where longwall or shortwall equipment is 

being installed or removed, in the intake entry or entries at the intake end of the 

longwall or shortwall; 

4. At each end of the longwall or shortwall face at the locations specified in the approved 

ventilation plan; 

5. At the intake end of any pillar line; 

6. Where air enters the mine at each main intake; 

7. In each intake split that ventilates a working section; 

8. In the return of each split of air that ventilates a working section, immediately before 

it enters the main returns; 

9. Where the air leaves the main returns; 

10. The point where bleeder air enters a return; 

11. In the entry nearest each set of seals, immediately after the air passes the seals (airflow 

measurement not required); 

12. At the measurement points specified in the mine ventilation plan for evaluating 

bleeders systems and worked-out areas, including where air enters and leaves the 

worked-out areas; and 

13. In at least one location in each outby aircourse traveled during an inspection day (tests 

for oxygen deficiency and methane only). 

It should be noted that carbon dioxide (CO2) and nitric oxide (NO) are produced during 

the combustion of diesel fuel. These gases may pose a hazard to anyone receiving shortterm exposure to harmful quantities. See the following chart for additional information. 

When an inspector observes gas detectors in use at the mine, they should physically 

examine a representative number of the instruments to determine whether the detector(s) 

function properly and assess the workers knowledge concerning their use.

Documentation Required: The results of Ventilation General Tests and Measurements (items 

1 through 12 above) shall be documented in the inspection hard-copy notes to include the test or 

measurement location and results. *The inspector shall include an identifier and location of use 

for each gas detector examined in their inspection notes (Example: Solaris / Co.# 127 - #1 Section 

Release 1 (January 2008) 47
foreman). A short statement such as “No Violations Observed” or “NVO” shall be included 

when no hazards or violations are observed. No other documentation is required unless a violation 

is observed.

I. Mine Gas Exposure Levels

Gas TLV® Excursion Limit Explosive Range 

Oxygen (O2) 19.5% min. Not Applicable Not Applicable 

Carbon Dioxide 

(CO2) 

0.5% 0.5%-statutory 

limit* 

Not Applicable 

Carbon Monoxide 

(CO) 

50 ppm 400 ppm for 15 min. 12.5% - 74.2% 

Nitric Oxide (NO) 25 ppm 37.5 ppm for 15 min. Not Applicable 

Nitrogen Dioxide 

(NO2) 

5 ppm-ceiling 

limit 

5 ppm-ceiling limit Not Applicable 

Methane (CH4) Not Applicable Not Applicable 5% - 15% 

*Persons who work or travel in bleeders or worked out areas may be exposed to up to 3.0% 

carbon dioxide for a time period not to exceed 15 minutes. Oxygen and carbon dioxide 

limits from 30 CFR 75.321. Other limits from ACGIH TLV’s®, 1972 (30 CFR 75.322). 

J. Ventilation (Diesel Equipment). At underground mines where diesel equipment is 

being operated tests for the presence of carbon monoxide and nitrogen dioxide shall be 

made at the following locations to determine compliance with applicable standards: 

1. In the return of each working section where diesel equipment is used, at a location 

which represents the contribution of all diesel equipment on such section; 

2. In the area of the section loading point if diesel haulage equipment is operated on the 

working section; 

3. At a point inby the last piece of diesel equipment on the longwall or shortwall face 

when mining equipment is being installed or removed; 

4. In any other area designated by the district manager as specified in the mine 

operator's approved ventilation plan where diesel equipment is operated in a manner 

which can result in significant concentrations of diesel exhaust; and 

5. Other areas where the diesel equipment is being operated. 

Release 1 (January 2008) 48
Documentation Required: The locations and results of Ventilation (Diesel Equipment) tests for 

the presence of carbon monoxide and nitrogen dioxide shall be documented in the inspection hardcopy notes. No other documentation is required unless a violation is observed.

K. Air Sample Locations. The quantity of airflow shall be measured and samples of mine 

air collected for analysis to determine the quality of the air at the following locations: 

1. In each of the working section return entries, outby and as close as practical to the 

last permanent stopping (to determine section face liberation); and 

2. At all locations where air leaves the mine (to determine total mine methane 

liberation). On blowing ventilation systems this may include roadways, belt 

conveyor entries, and/or other areas where air leaves the mine. 

Samples of mine air shall also be collected and submitted for analysis where methane is 

detected at or above 1.0 percent on a hand-held methane detector at a rock dust survey 

or spot sampling location. Samples may also be collected at other locations deemed 

necessary to evaluate air quality. 

Documentation Required: The quantity of airflow measured, the hand-held methane and 

oxygen readings in percentile, the bottle number of samples collected, and the location of the 

measurement or collection shall be documented in the hard-copy notes. Additionally, where it 

will be considered for total liberation of methane at the mine the bottle number and location 

description shall be entered by the inspector into the Inspection Tracking System Air Samples for 

Total Liberation section. Samples collected that will not be considered for total liberation 

purposes shall be entered by the inspector into the Inspection Tracking System Air Samples 

Collected section

Release 1 (January 2008) 49
IV. OTHER INSPECTION-RELATED ACTIVITIES 

A. New Mines, Coal Facilities, and Other Sites. On the first visit to a new 

mining operation, the inspector should make the mine operator aware that 

the Act, 30 CFR, and MSHA policy govern inspector actions at their mine.

The operator should be informed that these documents are available for 

viewing on MSHA’s website (www.msha.gov). It should also be pointed out 

that some of these documents are available in hard copy from MSHA’s 

National Mine Health and Safety Academy located at Beaver, West Virginia. 

Additionally, a discussion should be conducted and the operator made 

aware of MSHA’s role concerning enforcement, education & training, and 

technical assistance. 

Key MSHA contact names, positions, and phone numbers within the field 

office and district office having inspection jurisdiction over the mine should 

also be made available to the mine operator should questions arise regarding 

health, safety, compliance, or other concerns at a later date. 

B. Shaft or Slope Construction Sites. Shaft and slope construction operations 

shall be inspected monthly for compliance with applicable standards and 

approved plans. The inspection activity shall, to the extent possible, include 

an observation of all critical phases of the operation such as drilling and 

shooting, installation of water rings, operation of the hoisting rig lowering 

and raising materials and employees, etc. The inspector shall determine if 

adequate training has been given to all workers at these sites and that 

records of training are available.

Until all work regarding the project outlined in the approved shaft and/or 

slope sinking plan is completed, 30 CFR Part 77 standards shall apply to the 

shaft construction site. The shaft sinking plan required by 30 CFR Part 77 

should indicate when the applicable provisions of 30 CFR Part 75 shall be 

met by the responsible organization that commences the mining cycle. 

C. Other Major Construction Sites. Regular Safety and Health Inspections of 

major construction sites at existing underground mines shall be conducted at 

least four times per fiscal year, and at surface mines and facilities, at least 

two times per fiscal year to determine compliance with applicable standards 

and approved plans. At the discretion of the District Manager, inspections 

may be conducted more often to address unusual hazards.

Release 1 (January 2008) 50
D. Interconnected Mines. Where adjacent mines are connected underground 

but are considered separate mines, the inspector shall issue an order to each 

mine if any imminent dangers are found in one mine that may affect the 

safety of the miners in the connected mine. The inspector shall implement 

this procedure regardless of whether these mines are controlled by the same 

or different operators. 

E. Non-producing Mines. Regular Safety and Health Inspections shall be 

conducted at non-producing mines at which persons are working and at 

mines where persons do not regularly work that are placed in a nonproducing status due to the presence of an impoundment on mine property 

to determine compliance with standards applicable to the activities at the 

mine. At underground mines that are declared inactive by the operator, 

permanently closed, or abandoned for more than 90 days, inspections of 

surface areas should be scheduled and conducted to determine compliance 

with 30 CFR 75.1711.

F. Reopening Inspections. A safety and health reopening inspection of the 

entire mine shall be conducted in accordance with 30 CFR 75.373 before 

mining operations are resumed at mines that have been abandoned or 

declared inactive by the operator. The intent is to ensure the safety of miners 

at mines that have not been routinely examined during periods of inactivity. 

An exception is where there has only been a change of mine name or 

ownership and the mine has not actually been physically closed or 

abandoned. At underground mines, a safety and health inspection of the 

entire mine shall be conducted as soon as practical after notification from the 

operator that the mine is to be reopened.

The reopening inspector shall determine whether the provisions of 

30 CFR 75.1721 or 77.1712 have been complied with in full. Any citation or 

order of withdrawal issued during the course of a reopening inspection 

should reflect that this inspection was made prior to reopening the mine. 

Any violations caused by or attributed to the negligence of the current 

operator shall be issued on a separate spot inspection event code. Any 

citations or orders issued under this separate spot inspection are to be 

processed under normal routing for penalty assessment. 

Only rehabilitation work may be performed on the surface areas of 

underground mines by an operator prior to notifying MSHA. Surface 

rehabilitation work may occur prior to or during a reopening inspection, but 

production of coal shall not begin until the reopening inspection has been 

completed. This affords MSHA the opportunity to accurately assess the 

proposed mining systems and also to identify any potential problems that 

may present hazards to miners before mining operations commence. If the 

Release 1 (January 2008) 51
inspection can be performed safely inby the point where a new section is to 

be started, the area may be released. Areas that cannot be inspected will be 

sealed or ventilated in a manner that will not affect working sections. At 

underground mines, a Regular Safety and Health Inspection of the entire 

mine shall be started within 30 days after the mine begins production. 

G. Spot Inspections. Spot inspections can be conducted for a variety of 

purposes. They include but are not limited to determining the status of 

citations, notices to provide safeguards, or other MSHA enforcement 

documents issued during a previous inspection; collecting additional 

samples; and monitoring potentially hazardous conditions not covered by 

Section 103(i). Section 103(i) of the Act defines the conditions in mines under 

which spot inspections are to be conducted at various time intervals. Section 

103(i) inspections shall not constitute a part of any other category of 

inspections and shall be directed specifically to the problems, hazards, or 

conditions under which the mine was classified as a Section 103(i) mine.

Unless pre-approved by supervision or management, an entire shift shall 

be dedicated underground to 103(i) spot inspections. A limited onsite 

review of mine examination and/or ventilation records is considered 

essential to 103(i) inspection activities. The inspection shall pertain to the 

specific reason the mine was selected for a 103(i) inspection. For example, if 

a mine is included because it liberates excessive quantities of methane, 103(i) 

inspections should focus on working section ventilation, general mine 

ventilation, mining activities related to methane liberation, bleeder systems, 

seals, or other areas where methane is likely to accumulate. 

H. Railroad Equipment. If an inspector encounters unsafe conditions involving 

railroad equipment owned by a railroad company (including trackbed, 

railroad cars, or other equipment) he/she should report the conditions to 

their immediate supervisor or district management. The inspector should 

gather the appropriate mine information, name of railroad company, the 

conditions or circumstances which are deemed unsafe, and any other 

relevant information. 

If the unsafe trackbed, railroad cars, or equipment owned by the railroad 

company presents an imminent danger, a Section 107(a) imminent danger 

withdrawal order, with no underlying violation, shall also be issued to the 

mine operator, requiring that the mine operator’s employees be removed 

from the unsafe area. If the above procedures have been followed and the 

hazard continues to exist, an appropriate citation or order may be issued to 

the railroad company requiring that the unsafe condition be corrected. The 

inspector should ensure that MSHA has jurisdiction over the unsafe 

Release 1 (January 2008) 52
equipment, i.e., the equipment is located on mine property. 

When the mining company owns the railroad trackbed, railroad cars, or 

other equipment and any of these are found to be in violation of the Act or 

standards, an appropriate citation or order shall be issued to the mine 

operator. If warranted, a Section 107(a) imminent danger withdrawal order 

shall also be issued to the mining company. 

I. Explosives. Compliance inspections of explosives storage facilities on mine 

property shall be conducted to determine if the facilities meet the 

requirements of the Commerce in Explosives regulations (27 CFR Part 55, 

Subpart K - Storage). The inspector shall:

1. Inspect records of licensees and permittees under MSHA jurisdiction; 

2. Inspect storage facilities where explosive materials are stored; 

3. Document noncompliance or compliance on ATF Form F 5030.5; and 

4. Promptly notify a supervisor or manager of any noncompliance. 

As a precaution against the use of deteriorated or damaged explosives, the 

inspector should check with mine operators concerning explosive materials 

they have purchased. If there is any indication that explosives recently 

purchased were in a deteriorated or damaged condition, obtain the name of 

the operator’s explosives supplier. In addition, determine that any 

deteriorated or damaged explosives encountered are being handled and 

disposed of properly. 

Consider deteriorated and damaged explosives as non-permissible, as they 

can become quite sensitive and detonate very easily if mishandled. If they 

are used, a misfire, hang-fire, or fire can occur. Therefore, special 

precautions shall be taken in their removal and disposal. They shall be 

transported in limited quantities and in proper containers, preferably with a 

sawdust bed for insulation and absorption qualities. Carefully consider and 

evaluate the following factors when dealing with deteriorated or damaged 

explosives: amount of explosives, location, condition, knowledge/capability 

of personnel, and mode of transportation. 

Deteriorated nitroglycerin-sensitized permissible explosives can normally 

have the following defects: 

Absorption of Moisture. This is indicated by the wet or pasty condition of 

the powder, usually at the machine-pack end. This condition is caused by 

Release 1 (January 2008) 53
the hygroscopic (readily absorbing and retaining of moisture) effect of the 

ammonium nitrate, a high percentage ingredient of the explosive. 

Leakage of Nitroglycerin. Leakage is shown by the discoloration of the 

shell paper or by the presence of drops of nitroglycerin on the case liner 

and possible discoloration of the box. Leakage may be due to old age or to 

absorption of moisture that forces out the nitroglycerin. The operator 

should consult the manufacturer if nitroglycerin from deteriorated 

explosives has leaked onto the floor of the magazine. The floor should be 

desensitized by washing thoroughly with an agent approved by the 

manufacturer for that purpose. If experienced personnel are not available 

for removal or disposal, or if there is any question about the safety of the 

undertaking, the handling and destruction of the explosives should not be 

attempted until a representative of the explosives manufacturer has been 

consulted. 

Document a violation or noncompliance on ATF Form F 5030.5, Report of 

Violations, and give the original to the licensee, permittee or operator. 

The inspector shall make a “recall” inspection on a scheduled date, when 

necessary, and complete Part II of Form F 5030.5 at that time. If a second 

“recall” inspection is necessary, the inspector will complete Part III of 

Form F 5030.5. 

If a condition is a violation of both 30 CFR and 27 CFR, issue a 

citation/order and document the action on the ATF F Form 5030.5. For 

further reference, consult ATF P 5400.7 (11/82), “ATF: Explosives Law 

and Regulations” and 27 CFR Part 55, “Commerce in Explosives.” 

J. Evaluating Applications to Become Qualified to Perform Blasting in 

Underground Coal Mines. Persons performing blasting in underground 

coal mines shall be either certified to perform blasting by the state in which 

the mine is located or be qualified by MSHA to perform blasting. To be 

qualified by MSHA, underground coal miners shall successfully demonstrate 

to an authorized representative (AR) their ability to safely use permissible 

explosives. In states lacking programs for certifying blasting personnel, 

MSHA is the qualifying agency and the District Managers have been 

delegated this responsibility.

The procedures listed below are to be used when evaluating applicants to 

become qualified to perform blasting in underground coal mines under 

provision of 30 CFR 75.1301. The basic approach is for each potential 

qualified blaster to answer a series of questions on the use of explosives and 

demonstrate critical tasks associated with the blasting operation. The 

Release 1 (January 2008) 54
demonstration may either be held underground at the coal face, or on the 

surface using a simulated coal face. Either way, knowledge of the same 

critical tasks shall be demonstrated. General instructions for ARs to conduct 

the evaluations are given below. Demonstration questions and answers, an 

answer sheet, and drawings of an acceptable simulated coal face are 

available in the District Office. 

1. When the demonstration is held at a mine, the AR should inform both 

mine management and the representative of the miners that he or she is 

there for a qualified blaster demonstration. 

2. The AR should briefly explain that the purpose of the demonstration is 

for the candidate to show the ability to use explosives under the 

provisions of 30 CFR 75, Subpart N, by answering questions and 

performing certain tasks. 

3. To be successful, the candidate for qualified blaster shall answer at least 

80 percent of the questions correctly and demonstrate the ability to 

perform the critical tasks. Demonstration of the critical tasks should be 

permitted only after the required percentage of questions is correctly 

answered. 

4. All questions or tasks not answered or performed properly should be 

thoroughly discussed with the candidate upon completion of the 

demonstration to assure understanding of procedures necessary to safely 

perform blasting activities. Questions should be repeated as necessary. 

5. Successful demonstrations will be documented on MSHA Form 5000-17, 

Certification/Qualification Examination Report, and submitted to the 

Qualification and Certification Unit, P.O. Box 25367, Denver, Colorado 

80225-0367. A “Qualified Person: Blasting” card will be issued by the 

Q & C Unit and mailed to the qualified person. 

K. Appearance as a Witness in Litigation Involving MSHA. MSHA personnel 

who have been asked to participate in or expect to be called as a witness in 

litigation to which MSHA is a party should:

1. thoroughly review all citations, orders, documents, investigative 

reports, and notes involved in the case, and provide legible copies to 

the attorney or Conference/Litigation Representative (CLR) handling 

the litigation; 

2. inform supervisory personnel of the litigation and their involvement 

therein, supervisory personnel will ensure that the affected employee 

is available to the attorney or CLR prior to deposition or trial to discuss 

the circumstances of the case and details of testimony; 

Release 1 (January 2008) 55
3. make necessary arrangements to attend any deposition or hearing and 

meet with the attorney prior to the deposition or hearing; 

4. immediately inform the attorney or CLR handling the case of any 

changes in circumstances regarding the enforcement action, his or her 

availability to appear, and contacts with, or requests from, the 

opposing party or the opposing party’s representative, or subpoenas 

requiring attendance at any meetings or proceedings; and under no 

circumstances, communicate with an opposing party’s representative 

without the knowledge and participation of the Solicitor’s Office or the 

CLR assigned to the case. MSHA personnel shall not divulge 

communications between SOL attorneys or the CLR assigned to a case 

to opposing parties or third parties. Also, MSHA personnel shall not 

provide any written materials to opposing parties or third parties 

without the knowledge and permission of SOL or the CLR assigned to 

the case. 

During litigation, including deposition and trial, MSHA personnel called as 

witnesses should when testifying: 

1. dress neatly and conduct themselves in a professional manner; 

2. be cooperative, respectful, and attentive to the judge, participating 

attorneys, and other interested parties; 

3. when testifying, truthfully answer questions asked and, if the witness 

does not know the answer, acknowledge that he or she does not know 

the answer; 

4. answer questions directly without volunteering extraneous 

information; 

5. be prepared to describe the facts and circumstances that support the 

finding of a violation for each citation or order; 

6. be able to define each level of negligence (none, low, moderate, high, 

and reckless disregard) and be prepared to describe the facts and 

circumstances that support the negligence level assigned for each 

citation and/or order; 

7. with respect to citations/orders that are designated “significant and 

substantial” (S&S) and/or “unwarrantable” be able to define the 

elements of each designation and to describe the facts that support the 

S&S and/or unwarrantable finding for each citation and/or order; and 

8. promptly correct misstatements in testimony or clarify a point that has 

clearly been misunderstood. 

Release 1 (January 2008) 56
L. Appearance as a Witness or Other Participation in Private Litigation.

MSHA follows the guidelines for Department of Labor employee testimony 

found in 29 CFR 2.20. Specifically, this policy relates to:

1. Subpoenas served on MSHA employees requiring them to either 

(1) produce documents or other written materials, or (2) appear and 

testify in administrative or judicial proceedings (including labor 

arbitrations and actions brought by individuals under Section 105(c)(3) 

of the Mine Act) to which MSHA is not a party. 

2. Written or oral requests to informally interview MSHA employees or to 

produce official MSHA documents or other material that may be used in 

future administrative or judicial proceedings (including labor 

arbitrations and actions brought by individuals under Section 105(c)(3) 

of the Mine Act) to which MSHA is not a party. 

When subpoenas and requests outlined above are received by an MSHA 

employee, the employee’s supervisor shall be informed immediately. Field 

supervisors shall promptly refer the matter to the appropriate Regional 

Solicitor’s office or the MSH Division, Office of the Solicitor. No further 

action shall be taken until authorized by the Office of the Solicitor. In 

particular, the substance of the case should not be discussed with the party’s 

representative who issued the subpoena or made the informal request until 

the MSHA employee receives permission to do so. There should be no 

discussions with any outside parties about the substance of the requests. A 

copy of the subpoena or request, along with all available pertinent 

information, shall be forwarded to the appropriate Regional Solicitor’s office 

or the MSH Division, Office of the Solicitor immediately upon receipt. 

These procedures are not applicable when the matter is initiated by MSHA 

or at the request of the U.S. Attorney’s office in an MSHA-related case. In 

these instances, the provisions of Section K above apply. 

Release 1 (January 2008) 57
V. SAMPLING PROCEDURES 

A. Air Samples. Air samples shall be collected to substantiate violations citing 

excessive methane (CH4), carbon monoxide (CO), carbon dioxide (CO2), 

and low oxygen (O2). The location of samples collected shall be no less 

than 12 inches from the roof, face, and ribs. Special collection media may 

be required to sample for the presence of dusts, fumes, mists, and vapors. 

The Pittsburgh Safety and Health Technology Center (PSHTC) should be 

contacted for guidance on special collection media.

Air samples sent to the lab are routinely analyzed for CO2, O2, CH4, and 

C2H6. If analysis for CO, H2, or other constituents is needed, indicate the 

chemical by symbol in the remarks section. The 10-milliliter (ml) air 

sample bottles shall be used to collect most air samples during inspections 

or during investigations of accidents or natural deaths where the quality 

of air may be a factor, and when analysis of a constituent not routinely 

reported is desired. For CO and CO2 analysis, 50-ml air sample bottles 

should be used. Do not use ordinary 10-ml or 50-ml bottles to sample for 

SO2, H2S, oxides of nitrogen, or aldehydes; special testing tubes or vessels 

are needed. 

Carefully determine the number of samples necessary to calculate total 

methane liberation for a mine. If duplicate samples are collected at any 

location for any reason during a Regular Safety and Health Inspection, 

only one sample should be marked for use in the calculation of total 

methane liberation for the mine. 

1. Instructions for Completing the Mine Atmosphere Sample Record are as 

follows: 

a. Bottle Number - Enter the bottle number printed on the label of the 

bottle being used. 

b. Mine I.D. - Enter the 7-digit I.D. Number assigned to the mine 

where the sample was collected. 

c. Number - This is the number of the sample being collected during 

the event. For example, the first sample taken would be number 1, 

the second sample number 2, etc. 

d. TL - Check this block for each sample collected during a Regular 

Safety and Health Inspection that is to be included in calculating the 

total liberation for the mine. Leave this block blank for all other 

samples. 

e. Mine - Enter the name of the mine where the sample was collected as 

it appears on the Legal I.D. 

Release 1 (January 2008) 58
f. Incomplete - Check this block if more samples will be collected 

during this inspection. 

g. Complete - Check this block when the last sample for the inspection 

event has been collected. 

h. Company - Enter the name of the company as it appears on the Legal 

I.D. 

i. Collector (name and mailing address) - Enter the name and business 

address of the person collecting the sample. 

j. Field Office responsible for Regular Safety and Health Inspection 

(F.O. code) - Enter the 5-digit code for the office with responsibility 

for inspecting the mine. This is not necessarily the office where the 

inspector collecting the sample is assigned. 

k. Location in Mine - Include a brief but clear description of the 

location in the mine where the sample was collected; such as 300 ft 

outby spad number 9194 in No. 6 entry on the 002-0 section. 

l. Date - Enter the date the sample was collected. 

m. Air Quantity - Enter the calculated air quantity measured at the 

location where the sample was collected. 

n. CH4 - Indicate the volume per centum of methane, as determined 

with an approved methane detector, at the time the sample was 

collected. 

o. Number of sampling points required to calculate TL - This is the 

total number of sampling points needed to calculate the total 

methane liberation for the mine. 

p. Last TL Sample - Check this block when the last sample needed to 

calculate the total liberation for the mine has been collected. 

q. For Lab Use Only - Do Not Write in This Space. This is for use by 

laboratory personnel only. 

r. Remarks-- The “Remarks” section on the front side of the Mine 

Atmosphere Sample Card may be used to convey any additional 

information concerning the sample deemed necessary, such as: 

pressure on seals (inches water gage, positive or negative); 

barometric pressure; or special analysis desired. 

The results of all air samples sent to the MSHA laboratory for analysis will 

be transmitted to the appropriate office (district or field office) in a report. 

This report should be filed with the inspection report. 

Release 1 (January 2008) 59
When special samples are collected in connection with a problem arising at a 

mine or to substantiate a violation (e.g., less than 19.5 volume per centum of 

oxygen, more than 0.5 volume per centum of carbon dioxide, harmful 

quantities of other noxious or poisonous gases), inform laboratory personnel 

of the problem involved. Mark the Mine Atmosphere Sample Record for 

special samples with a conspicuous red “S” on the front of the card in the 

upper left corner. Such samples are given preference over other samples and 

the analytical results will be promptly reported to the appropriate office. 

2. Procedures for Processing Air Samples taken to substantiate violations: 

a. Describe in the citation or order the location where the air samples 

were taken to substantiate the violation. 

b. Make a notation on the Mine Atmosphere Sample Record stating the 

number of the citation or order, the initials of the inspector, and the 

date and time of issuance. 

Where possible, mail the maximum number of samples that a holder/mailer 

will accommodate at one time; however, mail air samples within five 

calendar days after collecting (the five days include Saturday and Sunday). 

Samples collected from more than one mine may be mailed in the same 

holder/mailer. Mail all air samples (in accordance with postal regulations) to 

MSHA’s Gas Analysis Laboratory in Mt. Hope, WV. 

If the analysis of an air sample discloses a violation not determined with 

testing instruments during the inspection, the inspector shall issue the 

appropriate enforcement action. 

B. Rock Dust Samples

1. Collecting Samples. Collect samples to substantiate the violation when citing 

inadequate rock dust. Samples should be collected when any doubt exists 

concerning adequacy of rock dust applications in the active workings of the 

mine including working sections in areas at least 40 feet outby the working 

faces. Collect samples of mixed dust by the band or perimeter method from 

the entry or room, including a 1-inch depth of the material on the floor. 

Combine dust from the roof, ribs, and floor into one “band” sample. If the 

amount collected is more than required, thoroughly mix the sample, cone 

and quarter to cut the bulk to the desired amount. Occasionally, it may be 

necessary to take more than one strip, but in such case, the total width of the 

strip shall be the same for the roof, each rib, and floor. Collect separate 

samples of dust from the roof, ribs, or floor when necessary. Where a greater 

entry height makes it impractical or unsafe to collect full perimeter samples, 

collect a floor sample and a sample from the ribs to the maximum height that 

Release 1 (January 2008) 60
can be done safely and practically. The rib sample and the floor sample may 

be either combined or prepared separately. When rib samples are collected 

and reported separately, assume the incombustible content of the rib sample 

represents the incombustible content of the rib and roof surface at the 

sampling location.

Fill the plastic sample bags at least half full. The identifying tags are blank 

and inspectors can use their own numbering system on the face of the tag. 

Include the name of the inspector and the name of the mine on the back of 

the tab. Consecutively number or code the samples for any one inspection. 

The numbers or code used shall not exceed three digits. Be certain that the 

identification is legible. The bags are long enough to permit tying a knot in 

the open ends when they contain the average size sample. Securely tie the 

string of the tag within the formed knot of the sample bag.

The inspector shall consecutively number spot location samples with 

numbers only. Do not use letters, since letters are used to designate dust 

survey samples. Spot location samples and dust surveys shall be listed on 

separate sample cards, but they can be mailed in the same box. 

The laboratory needs the inspector’s name, the name of the mine, the 

properly numbered tag attached firmly to the sample, and a completed 

sampling card. If the mine name is clearly printed on the A-1 sample tag and 

about every other tenth bag of the survey samples, it will be sufficient for the 

laboratory’s needs. Do not put these sample numbers in the column for 

“Lab. No.” For the “Sample of” column, the word “band” is acceptable for a 

sample representing the full perimeter at the point of sampling. Include the 

words “return air course” or “intake air course” in parentheses, as 

applicable, after the location of each sample on the cards forwarded with the 

samples. All samples submitted without the collector’s name and office 

address will be analyzed but the report will be held until this information is 

received. 

Tests for methane shall be made at each rock dust sample location with a 

properly calibrated hand-held methane detector. If less than 1.0 percent 

methane is detected, that percentile will be used to determine compliance 

with 30 CFR 75.403 (concerning additional incombustible content when 

methane is present in the ventilating current). Where methane is detected at 

or above 1.0 percent on a hand-held methane detector at a sampling location, 

a bottle sample of mine air shall also be collected at the sample location. The 

bottle sample will be sent for analysis and the results used to determine 

compliance with 30 CFR 75.403. 

It is the responsibility of the Mount Hope laboratory supervision to ensure 

Release 1 (January 2008) 61
that rock dust spot and survey analysis reports and accompanying analysis 

data are promptly made available for use by the districts. The Rock Dust 

Data Retrieval Application permits monitoring of prompt issuance of 

citations/orders for non-compliant samples or surveys, tracking wet survey 

location re-inspections, mining analysis data, and printing of oversight 

reports. 

The responsible supervisor shall assure that all rock dust spot or survey 

analysis reports returned from the Mount Hope Lab by email attachment to 

the district are included within the appropriate inspection report. A citation 

or order shall be promptly issued for non-compliant rock dust spot samples 

or surveys. The citation or order number of each non-compliance issuance 

shall promptly be entered into the Rock Dust Sample Submission 

Application and the data uploaded. 

2. Rock Dust Surveys. During each Regular Safety and Health Inspection, a 

uniform rock dust survey shall be made in each advancing working section 

to determine compliance with 30 CFR 75.403. If for any reason a survey is 

not possible, the inspectors shall promptly notify their supervisor. The 

supervisor, after consulting with district management, will provide guidance 

to the inspector. The surveys are to be kept current, up to and including the 

last row of pillars immediately outby the loading point. If a working section 

has advanced and the loading point moved 500 feet or more since the last 

Regular Safety and Health Inspection, a survey shall be conducted. 

Prior to completing a Regular Safety and Health Inspection, a careful review 

of the mine map shall be made to assure that all active areas of the mine have 

been surveyed. All active entries not previously surveyed shall be surveyed. 

Outby areas of a retreating section and active areas where advancing MMUs 

have been removed are considered active entries for rock dust survey 

purposes. Include in the collection of dust samples a representative number 

of crosscuts. Drawings Number 1 and 2 on the following pages provide 

further guidance concerning rock dust surveys. 

Locations where samples were not previously collected due to wet 

conditions shall be tracked and inspected for a period of one year. The status 

of each of these individual wet locations shall be determined during each 

regular inspection conducted within this one-year period. Spot samples 

shall be collected if conditions permit on a re-inspection of a previously wet 

area. The previous compliance/non-compliance determination of rock dust 

surveys will not be affected by the additional analysis of spot samples 

collected during re-inspection of wet areas. A citation or order should be 

issued when non-compliance is indicated for 10% or more of the individual 

Release 1 (January 2008) 62
spot samples collected during re-inspection of areas previously indicated too 

wet for survey sampling. If the status of a re-inspected wet area changes, it 

shall be updated by the inspector in the Rock Dust Sample Submission 

Application and the data uploaded. 

Rock dust surveys should include samples from a representative number of 

crosscuts. Where possible, the maximum interval between sample locations 

shall be not more than 500 feet. If the sampling location is less than 40 feet 

from the face, do not take a sample. Normally, not more than three rows of 

samples will be collected without including dust samples from the crosscuts. 

If more than three rows of samples are collected without including a line of 

crosscut samples, an explanation shall be provided in the narrative portion of 

the inspection notes explaining why crosscut samples were not included in 

the survey. The survey number shall precede the sample number when two 

or more surveys are made. 

Determine the starting point from the face for such surveys, associating that 

point with something relatively permanent such as an intersection, survey 

station, pump room, or borehole. The sampling area shall be well described 

and precisely identified so it can be located on the mine map by either the 

operator or another inspector at a later date. 

3. Data Submittal and Mailing of Bagged Samples. Rock dust spot or survey 

sampling data shall be entered into and submitted utilizing the Rock Dust 

Submittal Application. Any combination of bagged rock dust samples 

and/or wet locations (including those where all locations are wet) are 

considered a survey. It is extremely important that all survey data be 

entered into and submitted utilizing the Rock Dust Submittal Application. 

Entering this data and providing the subsequent updates concerning citation 

or order issuance and wet sample status provides assurance that compliance 

actions are being taken and that wet sample tracking is being consistently 

conducted in all bituminous districts. 

Mail the samples as soon as possible in accordance with postal regulations. 

Securely seal the shipping boxes to prevent loss of samples in transit. 

Include the return address on the shipping label. Use a regular corrugated 

pasteboard carton, but fill voids around the bags with crumpled newspaper 

to keep the bags from breaking open from rough handling. Do not use 

crumpled manila envelopes, excelsior, paper towels, or tissues as packing. 

Dust Sampling Lab Report (MSHA Form 2000-156) should be prepared and 

uploaded to the Mt. Hope Lab Server using the Inspector Laptop Rock Dust 

Database. A copy of MSHA Form 2000-156 shall be printed and shipped 

with the bagged sample(s). Compliance/noncompliance concerning rock 

Release 1 (January 2008) 63
dust spot samples or rock dust surveys will be determined at the Mount 

Hope lab and the results returned to the three email addresses submitted by 

the inspector on MSHA Form 2000-156. 

The Mount Hope laboratory supervisor will notify the appropriate District 

Manager should spot or survey boxed samples arrive at the lab and no 

accompanying MSHA Form 2000-156 data is available on the file server. 

Hard copies of MSHA Form 2000-156 will no longer be accepted for 

submittal of rock dust spot or surveys to determine compliance with 

30 CFR 75.403. Only data concerning spot or survey samples collected to 

determine compliance with 30 CFR 75.403 should be entered and submitted 

utilizing the Rock Dust Submittal Application. Visual determinations are 

normally sufficient to determine non-compliance with 75.400. 

Release 1 (January 2008) 64
Release 1 (January 2008) 65
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VI. INSPECTION DOCUMENTATION 

A. Field Notes. A pre-printed daily activity cover sheet along with 

continuation sheets will be used to document the narrative portion of 

daily field notes. The inspector shall date and initial each page of the 

narrative portion of the inspection notes, which shall be numbered 

sequentially each day, starting with the daily cover sheet as Page 1. The 

narrative portion of the field notes shall consist of: 

1. On-site documentation of the inspector’s findings concerning the 

procedural requirements of this handbook; and 

2. Daily documentation for enforcement actions; which shall include all 

facts relevant to the condition or practice cited and information 

regarding the negligence and gravity determinations. 

The facts relating to the items a, b or c listed below shall be documented 

in the narrative portion of the inspector’s notes (MSHA Form 7000-10K) 

or in the citation. 

a. What time was the violation observed? 

b. What is the violation? 

c. Where is the violation located or observed? 

Additionally, the citation number and the facts relating to the items d, e, 

f, g and h listed below shall be thoroughly documented in the narrative 

portion of the inspector’s notes (MSHA Form 7000-10K). 

d. Who knew the violation existed? 

e. How long has the violation existed? 

f. How many people are exposed to the condition/practice? 

g. If an accident should occur because of this type violation, how 

serious would it be? 

h. What is the likelihood that this type accident will occur at this mine? 

Why? 

Release 1 (January 2008) 67
When documenting these facts the inspector must show the finding of a 

violation for each citation or order; the number of people exposed to the 

condition/practice; the level of negligence (none, low, moderate, high, 

and reckless disregard); the facts and circumstances that support the 

negligence level assigned for each citation and/or order; and with 

respect to citations/orders that are designated “significant and 

substantial” (S&S) and/or “unwarrantable” the elements of each 

designation and facts that support the S&S and/or unwarrantable 

finding for each citation and/or order. 

The approved note-keeping forms will continue to be used for 

documentation of field notes. The forms were originally approved by 

PIL I95-V-7. Additionally, the appendices included in this handbook 

may be used as part of the inspector field notes. 

The inspector may include additional documentation that he/she feels to 

be pertinent to inspection. 

3. Original documentation of required samples, tests, and measurements. 

a. Air reading sheets are provided and may be used for the calculation 

and documentation of air measurements and tests of air quality. 

Other legible media, such as maps, may also be used for the original 

documentation of the location and results of air tests and 

measurements. 

b. When rock dust surveys are conducted or spot rock dust samples are 

collected, sufficient information to complete MSHA Form 2000-156 

(Dust Sampling Lab Report) will be included in the inspection notes. 

Pre-printed sheets are also provided to assist in documentation of 

respirable dust and noise inspections and shall be included in the 

inspection notes when applicable. 

c. When independent contractors are encountered and inspected 

during any type of inspection, MSHA Form 2000-208 (inspection 

notes page) shall be completed and submitted as part of the 

inspection report. With the exception of “major construction site 

inspections,” all efforts directed to independent contractors should 

be contained within the report for the ongoing inspection or 

investigation being conducted at the time. The inspector shall 

review the production operator’s independent contractor register. 

Any new data or updates to MSHA’s Contractor Database shall be 

noted and submitted on MSHA Form 2000-205. 

4. Other information that the inspector deems necessary to describe the 

Release 1 (January 2008) 68
conditions or practices at the mine. 

B. Inspection Tracking System. The Inspection Tracking System is designed to 

enhance MSHA’s ability to determine inspection progress and fulfill 

established inspection procedures. The inspector shall document all 

applicable procedural inspection activities in the Inspection Tracking System 

as defined in the “Documentation Required” listed with each procedural 

requirement. When possible, this documentation should be entered into the 

Inspection Tracking System at the end of each inspection day to assure that 

other inspection personnel can access the inspection results and to prevent 

loss of information. If a required inspection procedure cannot be fully 

completed by the end of the inspection, the inspector’s immediate supervisor 

shall be advised prior to closing the event. 

Release 1 (January 2008) 69
APPENDICES 

70
Documentation

The Mine Postings and Records Documentation and Inspection Procedure Header 

Documentation pages contained in the appendices of this handbook should be 

printed by the AR and used as inspection notes. These pages apply only to regular 

(E01) inspections and are not required to be used on other event codes. The pages 

are designed to provide a complete listing and documentation of the Mine Postings 

and Records and the Inspection Procedures that may or may not be applicable at a 

mine. The use of these pages will lessen the chance of inspection or documentation 

error by an AR.

The first-line supervisor responsible for E01 inspections at the mine shall review 

each Inspection Mine Postings and Records and Inspection Procedure 

Documentation page and certify their review by dating and initialing in the bottom 

margin area of each page. Additionally, the First-line Supervisor E01 Certification

(included in these appendices) shall be completed by the supervisor. This 

certification shall be filed and maintained with the inspection report.
Surface Facility Postings and Records


Surface Mine Postings and Records


Underground Mine Postings and Records




Inspection Procedure Header Documentation




Supervisor Certification
First-line Supervisor E01 Certification

I, based on a review of the information provided for Event No. ___________________ 

and through discussions with inspector(s), certify that to the best of my knowledge 

and belief this inspection is thorough. If it is determined that there are inspection 

deficiencies, the event will be reopened and corrective actions taken prior to counting 

this inspection event complete for the official count of completed statutory E01 

inspections at the end of the fiscal year.

Supervisor’s Signature: _________________________________ Date: _______________

Note: This certification shall be filed and maintained with the inspection report.