1219-0020 Rocis

1219-0020
SUPPORTING STATEMENT
30 C.F.R. §§ 75.1716, 75.1716-1 and 75.1716-3, Operations Under Water (pertains to
underground coal mines)

A.

JUSTIFICATION

1. Explain the circumstances that make the collection of information necessary. Identify any legal or
administrative requirements that necessitate the collection.

Title 30 C.F.R. §§ 75.1716, 75.1716-1 and 75.1716-3 require operators of underground
coal mines to provide MSHA notification before mining under bodies of water and to
obtain a permit to mine under a body of water if, in the judgment of the Secretary, it is
sufficiently large to constitute a hazard to miners. This is a statutory provision
contained in Section 317(r) of the Federal Mine Safety and Health Act of 1977 (Mine
Act). The regulation is necessary to prevent the inundation of underground coal mines
with water which has the potential of drowning miners. Section 103(h) of the Mine Act,
30 U.S.C. § 813, authorizes MSHA to collect information necessary to carryout its duty
in protecting the safety and health of miners
The coal mine operator submits an application for the permit to the District Manager in
whose district the mine is located. Applications contain the name and address of the
mine; projected mining and ground support plans; a mine map showing the location of
the river, stream, lake or other body of water and its relation to the location of all
working places; and a profile map showing the type of strata and the distance in
elevation between the coal bed and the water involved. MSHA has provided an
exemption from notification and permit application for mine operators where the
projected mining is under any water reservoir being constructed by a Federal agency as
of December 30, 1969, and where the operator is required by such agency to operate in a
manner that adequately protects the safety of miners. The exemption for such mining is
addressed by 30 C.F.R. §§ 75.1716 and 75.1717.
2. Indicate how, by whom, and for what purpose the information is to be used. Except for new collections,
indicate the actual use the agency has made of the information received from the current collection.

Before issuing a permit, MSHA relies upon the information collected to make a detailed
analysis of the data concerning the strata between the body of water and the proposed
mine workings to determine if the proposed mining can be conducted safely.
3. Describe whether, and to what extent, the collection of information involves the use of automated,

June 2007
1

1219-0020
electronic, mechanical, or other technological collection techniques or other forms of information
technology, e.g., permitting electronic submission of responses, and the basis for the decision for adopting
this means of collection. Also describe any consideration of using information technology to reduce
burden.

No improved information technology has been identified that would reduce the
burden. Permit applications submitted under 30 C.F.R. § 75.1716 to mine under bodies
of water are typewritten notices consisting of narratives, descriptions, lists, tables and
drawings which can be prepared using Personal Computers, automated drafting and
word processing programs. Such documents may be submitted via e-mail, where the
mine operator has the capability of affixing transmittable authorization signatures or
where the e-mail or facsimile is followed by a signed hard copy. However, neither the
use of nor absence of access to electronic media significantly affect the burden imposed
by the standard.
4. Describe efforts to identify duplication. Show specifically why any similar information already
available cannot be used or modified for use for the purpose(s) described in Item 2 above.

No similar or duplicate information exists. Permits are issued on a mine-by-mine basis.
5. If the collection of information impacts small businesses or other small entities, describe the methods
used to minimize burden.

This information does not have a significant impact on small businesses or other small
entities.
6. Describe the consequence to Federal program or policy activities if the collection is not conducted or is
conducted less frequently, as well as any technical or legal obstacles to reducing burden.

If MSHA did not collect this information then it could not make a detailed analysis to
determine if the proposed tunnel could be driven safely.
7. Explain any special circumstances that would cause an information collection to be conducted in a
manner:
•

requiring respondents to report information to the agency more often than quarterly;

•

requiring respondents to prepare a written response to a collection of information in fewer
than 30 days after receipt of it;

•

requiring respondents to submit more than an original and two copies of any document;

•

requiring respondents to retain records, other than health, medical, government contract,

June 2007
3

1219-0020
grant-in-aid, or tax records for more than three years;

•

in connection with a statistical survey, that is not designed to produce valid and reliable
results that can be generalized to the universe of study;

•

requiring the use of a statistical data classification that has not been reviewed and
approved by OMB;

•

that includes a pledge of confidentiality that is not supported by authority established in
statute or regulation, that is not supported by disclosure and data security policies that are
consistent with the pledge, or which unnecessarily impedes sharing of data with other
agencies for compatible confidential use; or

•

requiring respondents to submit proprietary trade secret, or other confidential information
unless the agency can demonstrate that it has instituted procedures to protect the
information's confidentiality to the extent permitted by law.

This collection of information is consistent with the guidelines in 5 C.F.R. § 1320.5.
8. If applicable, provide a copy and identify the date and page number of publication in the Federal
Register of the agency's notice, required by 5 CFR 1320.8(d), soliciting comments on the information
collection prior to submission to OMB. Summarize public comments received in response to that notice
and describe actions taken by the agency in response to the comments. Specifically address comments
received on cost and hour burden.
Describe efforts to consult with persons outside the agency to obtain their views on the availability of data,
frequency of collection, the clarity of instructions and recordkeeping, disclosure, or reporting format (if
any), and on the data elements to be recorded, disclosed, or reported.
Consultation with representatives of those from whom information is to be obtained or those who must
compile records should occur at least once every 3 years -- even if the collection of information activity is
the same as in prior periods. There may be circumstances that may preclude consultation in a specific
situation. These circumstances should be explained.

MSHA published a 60-day preclearance Federal Register notice on April 9, 2007
(Volume 72, Number 67, Pages 17589-17590), soliciting public comments regarding the
extension of this information collection. No comments were received.
9. Explain any decision to provide any payment or gift to respondents, other than remuneration of
contractors or grantees.

MSHA does not provide payment or gifts to the respondents.
10. Describe any assurance of confidentiality provided to respondents and the basis for the assurance in
statute, regulation, or agency policy.

No records requiring confidentiality are required.
June 2007
4

1219-0020
11. Provide additional justification for any questions of a sensitive nature, such as sexual behavior and
attitudes, religious beliefs, and other matters that are commonly considered private. This justification
should include the reasons why the agency considers the questions necessary, the specific uses to be made
of the information, the explanation to be given to persons from whom the information is requested, and any
steps to be taken to obtain their consent.

There are no questions of a sensitive nature.
12. Provide estimates of the hour burden of the collection of information. The statement should:

•

Indicate the number of respondents, frequency of response, annual hour burden, and an
explanation of how the burden was estimated. Unless directed to do so, agencies should
not conduct special surveys to obtain information on which to base hour burden estimates.
Consultation with a sample (fewer than 10) of potential respondents is desirable. If the
hour burden on respondents is expected to vary widely because of differences in activity,
size, or complexity, show the range of estimated hour burden, and explain the reasons for
the variance. Generally, estimates should not include burden hours for customary and
usual business practices.

•

If this request for approval covers more than one form, provide separate hour burden
estimates for each form and aggregate the hour burdens in Item 13 of OMB Form 83-I.

•

Provide estimates of annualized cost to respondents for the hour burdens for collections of
information, identifying and using appropriate wage rate categories. The cost of
contracting out or paying outside parties for information collection activities should not be
included here. Instead, this cost should be included in Item 14.

A mine operator must notify the MSHA district manager of plans to conduct mining
under a body of water and apply for a permit before conducting such mining.
Typically, the permit application is submitted at the recommendation of MSHA at the
time that MSHA conducts its annual review of mining projections submitted by the
mine operator in accordance with 30 C.F.R. §§ 75.371 and 75.1203.
MSHA records indicated that at the end of FY 2006 there were 492 underground coal
mines that were in active, active non-producing or intermittent status whose operators
could propose to mine coal under a body of water and be required to submit a permit
application under 30 C.F.R. § 75.1716-3.
In addition, based upon MSHA records, there would be approximately 30 permit
applications submitted each year that would incorporate procedures for mining under
water. Accordingly, MSHA estimates that it would take an average of 5 hours to
prepare a revised permit application.

June 2007
5

1219-0020
30 applications x 5 hours/application = 150 burden hours
Permit applications contain mining projections, proposed roof support systems, and an
analysis of the potential for inundation based upon the type of strata separating the
proposed workings from the body of water. Such information is compiled by geological
or mining engineers or engineering consultants. MSHA estimates an hourly rate for
such technical personnel (U.S. Coal Mine Salaries, Wages and Benefits -2005 Survey
Results, Western Mine Eng, Inc./weighted average for coal supervisors) to be $63.39 per
hour.
MSHA, further estimates that the annual cost associated with the operators burden
hours to be:
150 burden hours x $63.39/hr. = $9,508.50
13. Provide an estimate of the total annual cost burden to respondents or recordkeepers resulting from the
collection of information. (Do not include the cost of any hour burden shown in Items 12 and 14).

No equipment must be purchased specifically for the purpose of providing/gathering
the information required by these standards. The notices and permit application are
prepared on office equipment and or engineering equipment maintained at the mine for
normal business activities.
However, since these documents are mandatory requirements most if not all are sent to
MSHA by certified mail so that a record of delivery is secured by the mine operator(s).
Assuming that each of the permit applications is submitted by certified mail, the
operators will incur additional transmittal costs estimated at:
$15.00 per package x 30 applications = $450.
14. Provide estimates of annualized cost to the Federal government. Also, provide a description of the
method used to estimate cost, which should include quantification of hours, operational expenses (such as
equipment, overhead, printing, and support staff), and any other expense that would not have been
incurred without this collection of information. Agencies also may aggregate cost estimates from Items 12,
13, and 14 in a single table.

MSHA estimates that approximately 30 applications are received each year. MSHA
estimates it takes approximately 16 hours to review the application and either issue or
deny a permit. MSHA utilizes GS-12/13, step 5 Mining Engineers for such reviews.
The average salary for such technical personnel based on the FY 2007 GS Wage
June 2007
6

1219-0020
Schedule (GS 12/5 - $30.57/hr. and GS 13/5 - $36.36). Therefore, the average salary of
an MSHA Mining Engineer reviewing applications is approximately $33.47 per hour.
30 applications x 16 hours x $33.47 = $16,066
15. Explain the reasons for any program changes or adjustments reported in Items 13 or 14 of the OMB
Form 83-I.

MSHA has determined that the decrease of 30 hours in burden hours (from 180 to150
hours) associated with notices and permit applications reflects a decrease in the number
of active underground coal mines.
16. For collections of information whose results are planned to be published, outline plans for tabulation
and publication. Address any complex analytical techniques that will be used. Provide the time schedule
for the entire project, including beginning and ending dates of the collection of information, completion of
report, publication dates, and other actions.

There are no statistical aspects.
17. If seeking approval to not display the expiration date for OMB approval of the information collection,
explain the reasons that display would be inappropriate.

Since there are no forms on which to display the expiration date, MSHA is not seeking
approval to either display or not display the expiration date for OMB approval of this
information collection.
18. Explain each exception to the certification statement identified in Item 19, "Certification for Paperwork
Reduction Act Submissions," of OMB Form 83-I.

There are no certification exceptions identified with this information collection.

June 2007
7

1219-0020

B. COLLECTIONS OF INFORMATION EMPLOYING STATISTICAL
METHODS
Describe (including numerical estimate) the potential respondent universe and any sampling or
other respondent selection method to be used. Data on the number of entities (e.g., establishments, State
and local government units, households, or persons) in the universe covered by the collection and in the
corresponding sample are to be provided in tabular form for the universe as a whole and for each of the
strata in the proposed sample. Indicate expected response rates for the collection as a whole. If the
collection had been conducted previously, include the actual response rate achieved during the last
collection.

As statistical analysis is not required by the regulation, questions 1 through 5 do not
apply.

June 2007
8

1219-0020

Federal Mine Safety & Health Act of 1977,
Public Law 91-173,
as amended by Public Law 95-164*
An Act
SEC. 103. (h) In addition to such records as are specifically required by this Act, every
operator of a coal or other mine shall establish and maintain such records, make such
reports, and provide such information, as the Secretary or the Secretary of Health,
Education, and Welfare may reasonably require from time to time to enable him to
perform his functions under this Act. The Secretary or the Secretary of Health,
Education, and Welfare is authorized to compile, analyze, and publish, either in
summary or detailed form, such reports or information so obtained. Except to the extent
otherwise specifically provided by this Act, all records, information, reports, findings,
citations, notices, orders, or decisions required or issued pursuant to or under this Act
may be published from time to time, may be released to any interested person, and shall
be made available for public inspection.
MISCELLANEOUS
SEC. 317. (r) Whenever an operator mines coal from a coal mine opened after the
operative date of this title, or from any new working section of a mine opened prior to
such date, in a manner that requires the construction, operation, and maintenance of
tunnels under any river, stream, lake, or other body of water, that is, in the judgment of
the Secretary, sufficiently large to constitute a hazard to miners, such operator shall
obtain a permit from the Secretary which shall include such terms and conditions as he
deems appropriate to protect the safety of miners working or passing through such
tunnels from cave-ins and other hazards. Such permits shall require, in accordance with
a plan to be approved by the Secretary, that a safety zone be established beneath and
adjacent to such body of water. No plan shall be approved unless there is a minimum of
cover to be determined by the Secretary, based on test holes drilled by the operator in a
manner to be prescribed by the Secretary. No such permit shall be required in the case
of any new working section of a mine which is located under any water resource
reservoir being constructed by a Federal agency on the date of enactment of this Act, the
operator of which is required by such agency to operate in a manner that adequately
protects the safety of miners working in such section from cave-ins and other hazards.

June 2007
9

1219-0020
30 CFR § 75.1716
Operations under water.
[STATUTORY PROVISIONS]
Whenever an operator mines coal from a coal mine opened after March 30, 1970, or
from any new working section of a mine opened prior to such date, in a manner that
requires the construction, operation, and maintenance of tunnels under any river,
stream, lake, or other body of water, that is, in the judgment of the Secretary,
sufficiently large to constitute a hazard to miners, such operator shall obtain a permit
from the Secretary which shall include such terms and conditions as he deems
appropriate to protect the safety of miners working or passing through such tunnels
from caveins and other hazards. Such permits shall require, in accordance with a plan to
be approved by the Secretary, that a safety zone be established beneath and adjacent to
such body of water. No plan shall be approved unless there is a minimum of cover to be
determined by the Secretary, based on test holes drilled by the operator in a manner to
be prescribed by the Secretary. No such permit shall be required in the case of any new
working section of a mine which is located under any water resource reservoir being
constructed by a Federal agency on December 30, 1969, the operator of which is
required by such agency to operate in a manner that protects the safety of miners
working in such section from cave-ins and other hazards.
[35 FR 17890, Nov. 20, 1970, as amended at 47 FR 14696, Apr. 6, 1982; 60 FR 33719, June
29, 1995]
30 CFR § 75.1716-1
Operations under water; notification by operator.
An operator planning to mine coal from coal mines opened after March 30, 1970, or
from working sections in mines opened prior to such date, and in such manner that
mining operations will be conducted, or tunnels constructed, under any river, stream,
lake, or other body of water, shall give notice to the Coal Mine Safety District Manager
in the district in which the mine is located prior to the commencement of such mining
operations.

June 2007
10

1219-0020
30 CFR § 75.1716-3
Applications for permits.
An application for a permit required under this section shall be filed with the Coal Mine
Safety District Manager and shall contain the following general information:
(a) Name and address of the company.
(b) Name and address of the mine.
(c) Projected mining and ground support plans.
(d) A mine map showing the locations of the river, stream, lake, or other body of water
and its relation to the location of all working places.
(e) A profile map showing the type of strata and the distance in elevation between the
coal bed and the river, stream, lake or other body of water involved. The type of strata
shall be determined by core test drill holes as prescribed by the Coal Mine Safety
District Manager.

June 2007
11