1 

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FEDERAL MINE SAFETY AND HEALTH REVIEW COMMISSION 

1331 Pennsylvania Avenue, NW, Suite 520N 

Washington, DC 20004-1710 

POCAHONTAS COAL COMPANY, ) CONTEST PROCEEDING

LLC ) 

 ) Docket No.: WEVA 2014-395-R

Contestant, ) Order No.: 3576153; 12/19/13

 ) 

 v. ) 

 ) 

U.S. SECRETARY OF LABOR, ) 

MINE SAFETY AND HEALTH ) 

ADMINISTRATION (MSHA) ) 

 ) 

 Respondent. ) 

 ) 

U.S. SECRETARY OF LABOR, ) CIVIL PENALTY PROCEEDING 

MINE SAFETY AND HEALTH ) 

ADMINISTRATION (MSHA) ) Docket No.: WEVA 2014-1028

 ) Docket No.: WEVA 2014-854 

 Petitioner ) 

 ) 

 v. ) 

 ) 

POCAHONTAS COAL COMPANY, ) Mine ID No.: 46-08878 

LLC ) Mine: Affinity Mine 

 ) 

 Respondent. ) 

PETITION FOR DISCRETIONARY REVIEW 

 NOW COMES Pocahontas Coal Company, LLC (“Pocahontas”), by counsel and files 

this Petition for Discretionary Review pursuant to Federal Mine Safety and Health Review 

Commission (“Commission”) Procedural Rule 70, 29 C.F.R. Section 2700.70. Pocahontas 

requests that the Commission reverse Administrative Law Judge (“ALJ”) Margaret A. Miller’s 

November 3, 2015, Order Denying Pocahontas’ Motion for Summary Decision and December 
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24, 2015 Order Granting Summary Decision.1 Discretionary Review is necessary because the 

ALJ’s “finding or conclusion of material fact is not supported by substantial evidence,” “[a] 

necessary legal conclusion is erroneous,” “[t]he decision is contrary to law or to the duly 

promulgated rules or decisions of the Commission,” “[a] substantial question of law, policy, or 

discretion is involved,” and “[a] prejudicial error of procedure was committed.” See 29 C.F.R. § 

2700.70(c)(1-5). 

I. STATEMENT OF FACTS AND PROCEDURAL HISTORY

On October 24, 2013, the Mine Safety and Health Administration (“MSHA”) issued 

Section 104(e)(1) Written Notice Number 7219153 (“POV Notice”) to Pocahontas’ Affinity 

Mine alleging that a pattern of violations (“POV”) existed at the mine. Along with the POV 

Notice, MSHA issued a POV Letter dated October 24, 2013, stating that the Affinity Mine had 

“met MSHA’s screening criteria for a pattern of violations.” The POV Notice was issued 

pursuant to Section 104(e)(1) of the Federal Mine Safety and Health Act of 1977 (“Mine Act”), 

30 U.S.C. Section 814(e)(1). 

MSHA issued Order Number 3576153 on December 19, 2013. On January 3, 2014, 

Pocahontas filed its Notices of Contest for the first nine (9) Section 104(e) orders issued by 

MSHA. On January 9, 2014, the Commission docketed these Notices of Contest at WEVA 2014-

390-R through WEVA 2014-398-R. These Notices of Contest were filed pursuant to Section 

105(d) of the Mine Act, 30 U.S.C. Section 815(d) and Commission Procedural Rule 20, 29 

C.F.R. Section 2700.20. Order Number 3576153 was assigned as Docket Number WEVA 2014-

395-R. Thereafter, MSHA assessed a civil penalty for Order Number 3576153 and the Secretary 

 

1

 ALJ Miller’s November 3, 2015 Order Denying Pocahontas’ Motion for Summary Decision is 

attached as Exhibit 1 and ALJ Miller’s December 24, 2015 Order Granting Summary Decision is 

attached as Exhibit 2. 
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filed her Petition for Assessment of Civil Penalty for WEVA 2015-854 on August 27, 2015, 

which included Order Number 3576153. On August 28, 2015, Pocahontas answered the Petition 

for Assessment of Civil Penalty for WEVA 2015-854. 

On March 26, 2014, MSHA issued Order Number 9001636 to Pocahontas’ Affinity 

Mine. On July 15, 2014, the Secretary filed her Petition for Assessment of Civil Penalty for 

WEVA 2014-1028 which included Order Number 9001636. On July 21, 2014, Pocahontas 

answered the Petition for Assessment of Civil Penalty for WEVA 2014-1028. After settlement 

negotiations, Pocahontas and the Secretary agreed to a settlement for all of the enforcement 

actions in WEVA 2014-1028 except Order Number 9001636. On May 6, 2015, ALJ Miller 

issued an Order Approving Partial Settlement.2

In each of these proceedings, Pocahontas conducted extensive discovery necessary for the 

Commission to evaluate whether the underlying POV Notice was properly issued to Pocahontas. 

Eventually, and notwithstanding concerted efforts by the Secretary to limit the scope of 

Pocahontas’ discovery, Pocahontas was able to piece together the relevant facts through a 

protracted discovery process, which included the submission of one set of interrogatories, three 

requests for production of documents, and the deposition testimony of Jay Mattos (Director of 

the Office of Assessments, Accountability, Special Enforcement and Investigations 

(“OAASEI”), and Chairman of the POV Review Panel), David Scott Mandeville (the District 4 

Manager for MSHA); Kevin Stricklin (the Administrator for Coal Mine Safety and Health), 

David Morris (the Assistant District 4 Manager for MSHA acting District 4 Manager at the time 

 

2

 Pocahontas is not appealing the May 6, 2015 Order Approving Partial Settlement for the 

previously settled 17 enforcement actions. 
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of the issuance of the POV Notice), and Sabian Scott VanDyke (the Coal Mine Inspector 

Supervisor for District 4). 

Pleadings filed in respect of the parties’ cross motions for summary decision include: 

● Motion for Summary Decision (Pocahontas);

● Motion for Partial Summary Decision (Secretary); 

● Response in Opposition to Motion for Partial Summary Decision (Pocahontas);

● Response in Opposition to Motion for Summary Decision (Secretary);

● Supplemental Memorandum of Law in Support of Motion for Summary Decision 

(Pocahontas); and 

● Supplemental Brief in Support of Motion for Partial Summary Decision (Secretary). 

On November 3, 2015, ALJ Miller issued her Order Denying Pocahontas’ Motion for 

Summary Decision and Granting the Secretary’s Motion for Partial Summary Decision. On 

December 7, 2015, Pocahontas and the Secretary filed a Joint Motion to Consolidate WEVA 

2014-395-R, WEVA 2014-1028, and WEVA 2015-854. On December 15, 2015, Pocahontas and 

the Secretary filed a Joint Motion for Summary Decision for WEVA 2014-1028 and WEVA 

2015-854. On December 24, 2015, ALJ Miller granted the Joint Motion to Consolidate and 

issued an Order Granting Summary Judgment for WEVA 2014-1028 and WEVA 2015-854.3

 

3

 In the December 24, 2015 Order Granting Summary Decision, ALJ Miller noted the following: 

The parties have also filed a Joint Motion for Summary Decision. The purpose of 

the motion is to complete these two penalty dockets so that the parties may file an 

appeal with regard to the order granting summary decision on the issue of the 

validity of the notice of pattern of violations. That order disposed of most of the 

issues in these cases and this order disposes of the remaining issues. 

See December 24, 2015 Order, p. 1. 
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II. ASSIGNMENTS OF ERROR

1. The Secretary Failed to Produce Evidence to Establish a Nexus Between 

Accidents and Injuries and the Two Pattern Categories in the POV Notice. 

ALJ Miller erred by finding that MSHA had established a pattern of violations at 

Pocahontas’ Affinity Mine despite the failure of the Secretary to produce any evidence that 

established a nexus between accidents and injuries at Pocahontas’ Affinity Mine and the 42 

enforcement actions and two pattern categories as set forth in Written Notice Number 7219153. 

See Order on Motion for Summary Decision, pp. 17-20. In doing so ALJ Miller disregarded the 

Commission’s holding in Brody Mining, LLC, WEVA 2014-82-R et al., p. 16 (Sept. 29, 2015) 

(“Brody II”). That holding (as well as the preamble to the Final POV Rule (78 Fed. Reg. 5056, 

5058 (Jan. 23, 2013)) requires that the Secretary demonstrate that: 

● The particular recurrent S&S violations; 

● Due to their nature and relationship with one another (and not merely because they all 

happen to relate to roof/rib control or escapeway hazards); 

● Prove that this particular operator of this particular mine is one of “those few 

operators who have demonstrated a repeated disregard for the health and safety of miners 

and the health and safety standards issued under the Mine Act.” Accordingly, “the 

Secretary is...required to disclose his theory of how the groupings in a POV notice 

constitute one or more patterns of violations.” See Brody II, slip op. at 16. 

Here, the Secretary did nothing more than submit a number of enforcement actions and 

state that they all related to either roof/rib control or emergency preparedness/escapeway issues. 

The foregoing is insufficient proof of a “theory” and, as ALJ Miller admits, the “Secretary has 

not produced evidence relating to all of the potential POV factors listed by the Commission in 
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Brody II.” See Order on Motion for Partial Summary Decision, p. 19. Indeed, in Brody II, the 

Judge and the Commission knew the same information relied upon by ALJ Miller in this case: 

that there was a certain number of S&S violations of a similar hazard that was considered 

serious. If this were sufficient to uphold a “pattern” then there would have been no need to 

articulate the other factors listed by the Commission in Brody II. 

Moreover, in order to reach her intended result, ALJ Miller ignored many undisputed 

facts and, in fact, re-cast many facts to suit her purpose of ruling in favor of MSHA. For 

example, she incorrectly claims that a team of inspectors performed a “qualitative review of the 

compliance history at the mine, including its history of violations and documentation relating to 

those violations.” In fact, the undisputed evidence is that Sabian Scott Van Dyke assisted the 

Solicitor’s Office in identifying enforcement actions selected by the Solicitor’s Office to support 

two pre-selected patterns weeks prior to the issuance of the NPOV. The objective was to 

reference enforcement actions that were likely to be affirmed by an ALJ. ALJ Miller also 

mischaracterizes the scope of review by the POV Panel – ignoring, for example, the fact that the 

panel simply accepted the results of the screening criteria without any analysis whatsoever.

2. The Undisputed Evidence Established that the Pattern of Violations 

Screening Criteria Was Applied as a Binding Norm. 

ALJ Miller erred by disregarding the undisputed facts that the pattern of violations 

screening criteria were applied as a binding norm. See Order on Motion for Summary Decision, 

pp. 9-11; Cleveland Cliffs Iron Co. v. Interstate Commerce Com., 664 F.2d 568, 575 (6th Cir. 

1981) (noting that “[i]f it appears that a so-called policy statement is in purpose or likely effect 

one that narrowly limits administrative discretion, it will be taken for what it is – a binding rule 

of substantive law.”) (quoting American Bus Ass’n v. United States, 627 F.2d 525, 529 (D.C. 
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Cir. 1980); Powderly v. Schweiker, 704 F.2d 1092, 1098 (9th Cir. 1983) (noting that a policy 

statement or rule that “effects a change in existing law or policy” – i.e., a substantive change – is 

a legislative rule regardless of its characterization by the administrative agency.); National 

Mining Ass’n v. Sec’y of Labor, 589 F.3d 1368, 1371 (11th Cir. 2009) (noting “[t]he key 

inquiry, therefore, is the extent to which the challenged policy leaves the agency free to exercise 

its discretion to follow or not to follow that general policy in an individual case....”) (citing 

Ryder Truck Lines, Inc. v. United States, 716 F.2d 1369, 1377 (11th Cir. 1983). 

ALJ Miller asserted that“[t]he Commission addressed this argument in Brody I, rejecting 

the contention the screening criteria were applied as a binding norm.” See Order on Motion for 

Summary Decision, p. 11. The Commission in Brody I, however, did not have the benefit of any 

administrative record. In this case, the undisputed evidence, as acknowledged by ALJ Miller, is 

that:4

3. Based on a computer generated report, MSHA concluded that the Affinity Mine 

met Criteria 1 of the POV screening criteria because for the applicable screening 

period (1) at least fifty S&S citations and orders had been issued; (2) the degree of 

negligence for at least twenty-five percent of the S&S citations and orders issued 

was high negligence or reckless disregard; (3) the mine had at least 0.5 elevated 

citations and orders issued per 100 inspection hours; and (4) the injury severity 

measure for the mine was greater than the overall industry severity measure for 

mines of the same type and classification. MSHA, Screening Criteria Results for 

Pattern of Violations (Ex. 5). 

5. On September 17, 2013, Jay Mattos, in his capacity as Director of the Office of 

Assessments, Accountability, Special Enforcement and Investigations 

(“OAASEI”), prepared a memorandum for Kevin Stricklin (“Stricklin”), the 

Administrator for Coal Mine Safety and Health, wherein he concluded that the 

Affinity Mine, Brody Mine, and Tram Mine met the POV screening criteria for 

 

4ALJ Miller tacitly recognized that Brody I was not dispositive in this regard. Notably, she 

asserts that “[a] team of inspectors from the MSHA District Office and attorneys from the 

Regional Solicitor’s Office also conducted a “qualitative review” of the compliance history of 

the mine, including its history of violations and documentation relating to those violations.” In 

fact, her assertion is not supported by any evidence whatsoever, as set forth above. 
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the selected period. Memorandum from Jay Mattos to Kevin Stricklin (Sept. 17, 

2013) (Ex. 6).5

Additional undisputed facts, which were ignored by ALJ Miller in her decision, include 

the following: 

● The Screening Criteria was applied retroactively – the applicable screening period was 

September 2012 through August 2013 while the effective date of the new POV rule was 

March 25, 2013. See Pocahontas’ Statement of Undisputed Facts, ¶ 4, 1.6

● As Director of OAASEI, Mattos acknowledged that he did not independently review 

that information contained in his September 17, 2013 memorandum – instead, his role 

was limited in scope to a quantitative review of the screening criteria. See Pocahontas’ 

Statement of Undisputed Facts, ¶ 6. 

● When David Scott Mandeville (“Mandeville”), the District 4 Manager, received that 

memorandum he read the first page and determined that the POV sanction would be 

imposed against Pocahontas’ as the operator of the Affinity Mine because the mine met the 

POV screening criteria. See Pocahontas Statement of Undisputed Facts, ¶ 8. He also 

affirmatively acknowledged that a “pattern” of violations is established once the POV 

screening criteria “guidance” is met and that the definition of a “pattern” of violations is 

identical to the POV screening criteria. See Pocahontas’ Statement of Undisputed Facts, ¶ 

31. 

 

5

 Facts Not in Dispute 3 and 5 are taken from ALJ Miller’s November 3, 2015 Order Denying 

Pocahontas’ Motion for Summary Decision. 

6

 Pocahontas’ Statement of Undisputed Facts is taken from Pocahontas’ Memorandum of Law in 

Support of Motion for Summary Decision and Supplemental Memorandum in Support of Motion 

for Summary Decision. 
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● Mandeville only had discretion to consider mitigating circumstances and, accordingly, did 

not consider any other information pertinent to the POV sanction imposed against 

Pocahontas as the operator of the Affinity Mine. See Pocahontas Statement of Undisputed 

Facts, ¶10. 

● Accordingly, at no time thereafter did David Scott Mandeville review any of the mine’s 

health and safety conditions. Notably, no district employee reviewed the Affinity Mine’s 

accident and injury history, S&S enforcement actions, orders issued under Section 104(b), 

citations and withdrawal orders under Section 104(d) of the Mine Act, orders issued under 

Section 104(g) of the Mine Act, other enforcement measures other than Section 104(e), 

other information that demonstrated a serious safety or health management problem at 

Pocahontas’ Affinity Mine. See Pocahontas Statement of Undisputed Facts, ¶ 9. 

● Because the POV Review Panel applied the POV screening criteria for the purpose of 

confirming that a “pattern” of violations had been established at the mine, it did not 

independently review the enforcement actions utilized in respect of the POV screening 

criteria. See Pocahontas Statement of Undisputed Facts, ¶ 29. 

● Accordingly, the only factors considered by the POV Review Panel in evaluating 

whether the POV sanction should be imposed against Pocahontas’ Affinity Mine was 

whether the mine had a bona fide change in ownership that resulted in demonstrated 

performance compliance; whether the mine had an approved CAP to address the repeated 

S&S violations, accompanied by positive results in reducing S&S “violations”; and 

whether MSHA received any verified information that the mine had become inactive. At 

no time did the POV Review Panel request additional information from Mandeville or 
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any other source during its deliberations regarding Pocahontas’ Affinity Mine. See

Pocahontas Statement of Undisputed Facts, ¶ 30. 

● The selection of the patterns and the supporting enforcement actions was outsourced to 

the Solicitor’s Office and no MSHA representative performed any qualitative review of 

any of the citations. Indeed, the local representative assigned to support the Solicitor’s 

Office, Sabian Scott VanDyke (“VanDyke”), received his assignment before the POV 

Review Panel was even selected for the exclusive purpose of serving an administrative 

function, i.e., compiling information for the Solicitor. VanDyke (i) did not play a role in 

assisting the POV Review Panel in its deliberations, (ii) did not otherwise participate in 

drafting the text of the POV Notice, and (iii) did not participate in selecting the two 

categories of enforcement actions listed therein. Instead, his role was limited to gathering 

50 to 60 pre-selected enforcement actions, supporting inspector notes, and accident 

information for the attorneys in the Solicitor’s Office. See Pocahontas Statement of 

Undisputed Facts, ¶¶ 67-69, 73-75. 

● In addition to its failure to provide Pocahontas with fair warning of the meaning of a 

“pattern” of violations (which likely resulted in MSHA’s application of its POV 

Screening Criteria as a binding norm), MSHA’s admittedly “ad-hoc” process for 

imposing the POV sanction pursuant to the new POV Rule against Pocahontas’ Affinity 

Mine violated basic principles of procedural due process.7

 

7

 The Final POV Rule eliminated MSHA’s longstanding practice of giving operators advance 

notice of a possible POV designation through the “initial screening and the potential pattern of 

violations (PPOV) notice and review process. See 78 Fed. Reg. at 5056. 
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3. Pocahontas Has Been Deprived Due Process Because the POV Sanction Was 

Applied in an Arbitrary and Capricious Manner. 

ALJ Miller’s assertions that that (i) “[t]he Commission addressed a due process challenge 

to MSHA’s current procedures in is Brody I” and (ii) “MSHA’s pre- and post-deprivation 

procedures adequately address the risk of erroneous deprivation” is a misapplication of the 

holding in Brody I and is otherwise erroneous. See Order on Motion for Summary Decision, p. 

12. Notably, the challenge in Brody I was in respect of a facial challenge to MSHA’s POV 

sanctioning process (i.e., was not based upon any administrative record). See Brody Mining, 

LLC, 36 FMSHRC 2027 (Aug. 2014). 

In the instant case, the undisputed administrative record here established that the POV 

sanction was imposed pursuant to an admittedly “ad-hoc” process that was devoid of 

rudimentary due process protections and was other otherwise implanted in an arbitrary and 

capricious manner notwithstanding the Commission’s determination that mine operators “have a 

significant property interest in conducting its mining operations without withdrawing miners.” 

See Brody Mining, LLC, 36 FMSHRC 2027, 2042 (Aug. 2014) (citing United States v. James 

Daniel Good Real Prop., 510 U.S. 43, 49 (1993)). Moreover, “[t]he POV sanction is one of the 

most severe enforcement tools that MSHA may use, indicating a specific Congressional intent 

that ‘the Secretary use the POV enforcement tool as a last resort when other enforcement 

tools...fail to bring an operator into compliance.” Id. (citing 78 Fed. Reg. at 5060). While “a 

withdrawal order may affect only a part of a mine or a piece of equipment until the S&S 

violation is abated,” “the significant impact on [the operator’s] property interest comes from the 

remaining ‘chain’ of withdrawal liability until the chain is broken by a clean inspection.” Id.; see

also 30 C.F.R. § 104.4 (“Termination of a section 104(e)(1) pattern of violations notice shall 
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occur when an MSHA inspection of the entire mine finds no S&S violation or if MSHA does not 

issue a withdrawal order in accordance with section 104(e)(1) of the Mine Act within 90 days 

after the issuance of the pattern of violations notice.”) 

Consequently, it is indisputable that a mine operator is required to be provided with 

meaningful due process protections before the extraordinary POV sanction is imposed. Such 

meaningful protections include – consistent with fundamental fairness – a “root requirement that 

an individual be given an opportunity for a hearing before he is deprived of any significant 

property interest.” Boddie v Connecticut, 401 U.S. 371, 379; see also United States v. James 

Daniel Good Real Prop., 510 U.S. 43, 53 (1993). “The fundamental requirement of due process is 

the opportunity to be heard at a meaningful time in a meaningful manner.” Mathews v. Eldridge, 

424 U.S. 319, 333 (1976) (quoting Armstrong v. Manzo, 380 U.S. 545, 552 (1965)). The 

requirements of procedural due process apply fully to administrative proceedings and remedies 

under the Mine Act. See Jones v Federal Mine Safety & Health Comm’n, 827 F.2d 769, 1987 

U.S. App. LEXIS at *10 (6th Cir. 1987 (unpublished). 

The undisputed administrative record in this case establishes that: 

● MSHA improperly outsourced its core functions to the Office of the Solicitor. No MSHA 

manager or employee participated in the selection of the two categories of enforcement 

actions and the 42 enforcement actions listed in the NPOV. Despite MSHA’s own guidance, 

it is undisputed that these core functions were not performed by representatives of the 

Secretary of Labor. See Pocahontas’ Statement of Undisputed Facts, ¶¶ 67-69, 73-76; see

also Coal Mine Safety and Health General Inspection Procedures Handbook, Handbook 

Number PH13-V-1 (February 2013), at 1-1 (noting that “Section 103(a) of the Act provides 

authorized representatives (ARs) of the Secretary of Labor with the authority to conduct 
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inspections and investigations” and “[o]nly persons who have been authorized by the 

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

investigations under the Act.”). 

● Pocahontas’ proposed Corrective Action Plan (“CAP”) for the Affinity Mine was first 

submitted to MSHA’s District 4 office for approval on August 6, 2013. Pocahontas 

submitted a revised CAP, which was eventually approved by MSHA, eight days later 

(August 14). MSHA approved that second CAP on September 23, 2013 – approximately 

one month prior to the “ad hoc” POV Review Panel meetings. Nevertheless, no such 

inspection of the Affinity Mine took place before the POV sanction was issued by MSHA. 

See Pocahontas’ Statement of Undisputed Facts, ¶¶ 33-34, 36, 39. 

● Notwithstanding his position as Director of OAASEI, Jay Mattos was asked to serve as 

the POV Review Panel Chairman. No consideration was given as to whether that 

appointment constituted a potential conflict of interest or gave rise to the appearance of 

impropriety. See Pocahontas’ Statement of Undisputed Facts, ¶ 12. 

● While the stated purpose of the POV Review Panel was to determine “whether the 

[Subject Mines] should be excluded from POV notification or have POV notifications 

postponed due to mitigating circumstances” or, alternatively “to provide a somewhat

independent review of the information so it’s independent and objective,” the only 

information reviewed by the POV Review Panel regarding Pocahontas’ Affinity Mine 

was applicable POV screening criteria, the Mitigating Circumstances Determination 

Form, the number of citations and orders issued over the relevant period of time, the 

trends of those S&S issuance rates, mine status information and legal identity filings, and 
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the accident and injury information. See Pocahontas’ Statement of Undisputed Facts, ¶¶ 

15-16, 21. 

● While the POV Review Panel held “ad-hoc” deliberations (involving the three Subject 

Mines) on October 16, 17, 18, and 21, 2013, those “ad-hoc” collective deliberations 

lasted between 15 minutes and one or two hours. See Pocahontas’ Statement of 

Undisputed Facts, ¶¶ 22-23. 

● At no time did the POV Review Panel request additional information from David Scott 

Mandeville or any other source (including Pocahontas) during its deliberations regarding 

Pocahontas’ Affinity Mine. See Pocahontas’ Statement of Undisputed Facts, ¶ 30. 

● The POV Panel did not independently review the POV Screening Criteria, and instead 

applied it for the purpose of confirming that a “pattern” of violations had been established 

in respect of the Affinity Mine. See Pocahontas’ Statement of Undisputed Facts, ¶ 29. 

● No transcripts, notes, or other records were kept of the “ad-hoc” collective 

deliberations. See Pocahontas’ Statement of Undisputed Facts, ¶ 24. 

● Even though Jay Mattos was required to maintain a file which documented the facts 

and information received from David Scott Mandeville, as well as the dates and times of 

formal POV Review Panel meetings and discussions, no such physical file was 

maintained by him. Moreover, while he maintained an electronic file, that file did not 

contain any information regarding dates and times of POV Review Panel meetings or 

discussions, nor does it reference the substance of any such meetings or discussions. See

Pocahontas’ Statement of Undisputed Facts, ¶¶ 25-27. 

● The only record of the POV Review Panel proceedings – the October 22, 2013 POV 

Panel Memorandum – recites that the only factors considered by the POV Review Panel 
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in evaluating whether the POV sanction should be imposed against Pocahontas’ Affinity 

Mine was: whether the mine had a bona fide change in ownership that resulted in 

demonstrated performance compliance; whether the mine had an approved CAP to 

address the repeated S&S violations, accompanied by positive results in reducing S&S 

“violations”; and whether MSHA received any verified information that the mine had 

become inactive. The POV Review Panel disregarded MSHA’s POV Procedure 

Summary, POV Mitigating Circumstances Guidance, and notwithstanding MSHA’s 

approval of a Corrective Action Plan (the “CAP”) for the Affinity Mine less than a month 

prior to its deliberations.8

 See Pocahontas’ Statement of Undisputed Facts, ¶¶ 28, 30. 

● While the POV Review Panel claimed that it “used the Pattern of Violations 

regulations to guide the deliberation process,” it determined that the CAP was not a 

sufficient mitigating circumstance even though no follow up inspection was conducted. 

The POV Review Panel’s disingenuous conclusion – that “[b]ased on the mine’s 

knowledge [sic] of the 2 fatalities and the fact that the numbers of S&S violations 

[citations] were increasing in the last 2 months of the review period, the panel finds no 

 

8

 MSHA’s Mitigating Circumstance Guidance states as follows: 

The POV Mitigating Circumstances Guidance provides that “MSHA may be less 

likely to find that a CAP justifies postponing a POV Notice if a mine met the 

quantitative criteria for a POV for several months before submitting a CAP.” 

[Emphasis added.] 

“To determine whether positive results exist, District Managers should ensure 

complete inspections are conducted within 90 days after a CAP is approved and 

prior to MSHA’s POV screening.” Furthermore, “[i]f the operator has 

implemented a CAP in a diligent and timely fashion, but the inspection to 

evaluate the effectiveness of the CAP is not yet complete, a POV determination 

may be postponed pending completion of the inspection.” See POV Mitigating 

Circumstances Guidance, p. 4-5. 
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mitigating circumstances that would not justify issuing a POV Notice and unanimously 

recommends issuance of a POV Notice to the Affinity mine” disregards MSHA’s 

approval of the CAP. See Pocahontas’ Statement of Undisputed Facts, ¶ 40. 

● Notwithstanding MSHA guidance to the contrary, the POV Review Panel summarily 

concluded that Pocahontas should have proposed a CAP “sooner” (i.e., should have 

guessed much earlier that it would meet the POV screening criteria). See Pocahontas’ 

Statement of Undisputed Facts, ¶ 40. 

● The selected patterns set forth in the POV Notice – roof and rib hazard enforcement 

actions and emergency preparedness escapeway hazard enforcement actions – have no 

direct or indirect causal connection with the February fatalities. See Pocahontas’ 

Statement of Undisputed Facts, ¶¶ 56-58. 

4. The Pattern of Violations Sanction Was Improperly Applied Retroactively to 

Pocahontas’ Affinity Mine. 

ALJ Miller erred by retroactively applying the definition of “pattern” of violations 

despite the undisputed facts that no individual from within MSHA could define “pattern” at the 

time of the alleged conduct (i.e., at the time the POV Written Notice was issued (October 24, 

2013)). See Grayned v. City of Rockford, 408 U.S. 104, 108 (1972) (noting that “[v]ague laws 

may trap the innocent by not providing fair warning” and that “if arbitrary and discriminatory 

enforcement is to be prevented, laws must provide explicit standards for those who apply 

them.”); LaFarge N. Am., 35 FMSHRC 3497, 3500 (Dec. 2013) (noting that “[b]efore a civil 

penalty may be imposed, due process considerations preclude the adoption of an agency’s 

interpretation which ‘fails to give fair warning of the conduct it prohibits or requires.’”); Western 

Fuels-Utah, Inc., 11 FMSHRC 278, 287 (Mar. 1989) (noting that “a regulation subjecting an 
17 

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operator to enforcement under the Mine Act must give fair notice to the operator of what is 

required or prohibited and ‘cannot be construed to mean what an agency intended but did not 

adequately express.’”) (quoting Phelps Dodge Corp. v. FMSHRC, 681 F.2d 1189, 1193 (9th Cir. 

1982)); Mathews v. Eldridge, 424 U.S. 319, 333 (1976) (noting that “[t]he fundamental 

requirement of due process is the opportunity to be heard at a meaningful time in a meaningful 

manner.”); Twentymile Coal Co., 30 FMSHRC 736, 753-54 (Aug. 2008) (noting that “the 

agency must examine the relevant data and articulate a satisfactory explanation for its action 

including a ‘rational connection between the facts found and the choice made.’” (quoting Motor 

Vehicle Mfr’s Ass’n v. State Farm Mut. Auto Ins. Co., 463 U.S. 29, 43 (1983)). 

ALJ Miller found that the “Commission’s decision [in Brody II] is binding on the case at 

hand.” See Order on Motion for Summary Decision, p. 9. This ignores MSHA’s replete failure to 

articulate a coherent “pattern” definition even after the POV sanction had been imposed. 

Notably, neither Jay Mattos, David Morris (the Acting District 4 Manager and issuing inspector of 

the Notice of Pattern of Violations), David Scott Mandeville, nor Kevin Stricklin could provide a 

meaningful or consistent definition of a “pattern” of violations.9

 See Pocahontas’ Statement of 

Undisputed Facts, ¶¶ 17, 49-50, Stricklin Deposition Transcript, p. 15, ln. 3-11. 

5. The Record Evidence Established that Pocahontas’ Affinity Mine Did Not 

Meet the Pattern of Violations Screening Criteria After Three Enforcement 

Actions were Modified to Moderate Negligence. 

ALJ Miller erred by disregarding the undisputed facts that Pocahontas’ Affinity Mine fell 

below the 25% threshold for purposes of the pattern of violation screening criteria when three (3) 

enforcement actions were modified from high negligence to moderate negligence, thus bringing 

Pocahontas’ Affinity Mine below the requirement to be placed on a pattern based on the pattern 

 

9

 Nor did the Solicitor’s Office in the context of discovery or any motion pleading. 
18 

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of violations screening criteria. See Order on Motion for Summary Decision, p. 11; see also

Landgraf v. USI Film Products, Inc., 511 U.S. 244, 270 (1994) (finding a statute has retroactive 

effects if the statute “attaches new legal consequences to events completed before its 

enactment.”); Nat’l Mining Ass’n v. United States Dep’t of Interior, 177 F.3d 1, 8 (D.C. Cir. 

1999) (noting that a rule is retroactive if it “takes away or impairs vested rights acquired under 

existing law, or creates a new obligation, imposes a new duty, or attaches a new disability in 

respect to transactions already past.”). 

6. The Administrative Law Judge Erred by Finding that the Enforcement 

Actions in WEVA 2014-1028 and WEVA 2015-854 Were Properly Issued as 

Section 104(e) Enforcement Actions. 

ALJ Miller erred in her December 24, 2015 Order by finding that Order Number 

3576153, as set forth in WEVA 2014-395-R and WEVA 2015-854, and Order Number 9001636, 

as set forth in WEVA 2014-1028, were properly issued as Section 104(e) orders instead of 

Section 104(a) citations. See December 24, 2015 Order Granting Summary Decision, p. 5. For 

these two orders to be properly designated as Section 104(e) orders there must be a finding that a 

valid pattern of violations notice was issued at the Affinity Mine prior to the issuance of the 

subject orders. Because Pocahontas is appealing ALJ Miller’s finding that the notice of a pattern 

of violations was validly issued at the Affinity Mine, as set forth above, Pocahontas likewise 

appeals ALJ Miller’s decision finding that Order Numbers 3576153 and 9001636 were properly 

marked as Section 104(e) orders. 
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III. LAW AND ARGUMENT

Immediate Review is Warranted Because Pocahontas Has Been Aggrieved by the 

Administrative Law Judge’s Decision. 

 The Commission’s procedural rules permit a petition for discretionary review when 

“[a]ny person [has been] adversely affected or aggrieved by a Judge’s decision or order....” See

29 C.F.R. § 2700.70(a). While review by the Commission is discretionary, review is appropriate 

when 

(1) A finding or conclusion of material fact is not supported by substantial 

evidence; 

(2) A necessary legal conclusion is erroneous; 

(3) The decision is contrary to law or to the duly promulgated rules or decisions 

of the Commission; 

(4) A substantial question of law, policy, or discretion is involved; or 

(5) A prejudicial error of procedure was committed.

29 C.F.R. § 2700.70(c)(1)-(5). Clearly, because the ALJ denied Pocahontas’ Motion for 

Summary Decision and granted the Secretary’s Motion for Partial Summary Decision, 

Pocahontas has been aggrieved by the decision. There is no dispute that this important legal issue 

has been resolved by ALJ Miller and, therefore, immediate review is appropriate. 

IV. CONCLUSION

 For the foregoing reasons Pocahontas submits that review of ALJ Miller’s decision is 

appropriate and respectfully requests that the Commission grant its Petition for Discretionary 

Review on these important questions of law and policy.10

 

10 Pocahontas intends to file a full opening brief should the Commission grant its Petition for 

Discretionary Review. 
20 

10056374v1 

Respectfully submitted, 

POCAHONTAS COAL COMPANY, LLC 

Contestant, 

BY COUNSEL 

s/Jason M. Nutzman 

JASON M. NUTZMAN 

DINSMORE & SHOHL LLP 

Huntington Square, 900 Lee Street 

Suite 600 

Charleston, WV 25301 

304.357.9938 

304.357.0919 (fax) 

 jason.nutzman@dinsmore.com

ROBERT HUSTON BEATTY, JR. 

DINSMORE & SHOHL LLP 

215 Don Knotts Blvd., Suite 310 

Morgantown, WV 26501 

304.296.1100 

304.296.6116 (fax) 

robert.beatty@dinsmore.com

Date: December 31, 2015 

 
21 

10056374v1 

FEDERAL MINE SAFETY AND HEALTH REVIEW COMMISSION 

1331 Pennsylvania Avenue, NW, Suite 520N 

Washington, DC 20004-1710 

POCAHONTAS COAL COMPANY, ) CONTEST PROCEEDING

LLC ) 

 ) Docket No.: WEVA 2014-395-R

Contestant, ) Order No.: 3576153; 12/19/13

 ) 

 v. ) 

 ) 

U.S. SECRETARY OF LABOR, ) 

MINE SAFETY AND HEALTH ) 

ADMINISTRATION (MSHA) ) 

 ) 

 Respondent. ) 

 ) 

U.S. SECRETARY OF LABOR, ) CIVIL PENALTY PROCEEDING 

MINE SAFETY AND HEALTH ) 

ADMINISTRATION (MSHA) ) Docket No.: WEVA 2014-1028

 ) Docket No.: WEVA 2014-854 

 Petitioner ) 

 ) 

 v. ) 

 ) 

POCAHONTAS COAL COMPANY, ) Mine ID No.: 46-08878 

LLC ) Mine: Affinity Mine 

 ) 

 Respondent. ) 

CERTIFICATE OF SERVICE

I hereby certify that I served a copy of the foregoing PETITION FOR 

DISCRETIONARY REVIEW upon the parties on the 31st day of December, 2015, via 

FMSHRC e-filing and electronic mail, where indicated, to: 

Lisa M. Boyd The Honorable Margaret A. Miller 

Executive Director Administrative Law Judge 

Federal Mine Safety and Federal Mine Safety and 

Health Review Commission Health Review Commission 

1331 Pennsylvania Avenue, NW, Suite 520N 721 19th St., Suite 443 

Washington, D.C. 20004-1710 Denver, Colorado 80202-2500 

 
22 

10056374v1 

Jason Grover, Esquire 

Office of the Solicitor 

U.S. Department of Labor 

201 12th Street – Suite 500 

Arlington, Virginia 22202-5450 

grover.jason@dol.gov 

s/Jason M. Nutzman 

 Jason M. Nutzman 
EXHIBIT 1

 






















EXHIBIT 2