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Qualification/Certification Program Request for MSHA Individual Identification
Number (MIIN)

A. JUSTIFICATION
1. Explain the circumstances that make the collection of information necessary.
Identify any legal or administrative requirements that necessitate the collection.
Attach a copy of the appropriate section of each statute and regulation mandating or
authorizing the collection of the information.
Section 101(a) of the Federal Mine Safety and Health Act of 1977 (Mine Act) requires
that the Secretary must develop, promulgate, and revise as may be appropriate,
improved mandatory health or safety standards for the protection of life and prevention
of injuries in coal or other mines. Under section 103(a)(2), authorized representatives of
the Secretary of Labor or Secretary of Health and Human Services must make frequent
inspections and investigation in coal or other mines each year for the purpose of
gathering information with respect to mandatory health or safety standards.
The Mine Safety and Health Administration (MSHA) issues certifications, qualifications
and approvals (licenses) to the nation’s miners to conduct specific work within the
mines. Currently, Social Security Numbers (SSNs) are utilized for tracking purposes
within MSHA’s data processing systems, in the absence of other reliable identification
systems. In an effort to reduce use of SSNs both by MSHA and third parties, MSHA is
changing the process to one in which miners requiring a license or benefit from MSHA
will register for an “MSHA Individual Identification Number” (MIIN). This unique
number will be used in place of individual SSNs for all licensing requirements within
MSHA. This new process will allow MSHA to discontinue the past practice of
individuals supplying their personally identifiable information to instructors, states or
other entities, which in turn supply that information to MSHA. Miners needing a
license or benefit from MSHA will need to register only one time to obtain their MIINs
from MSHA.
The creation of a unique identifier to replace the collection of Social Security Numbers
serves to reinforce Executive Order 13402, Strengthening Federal Efforts Against
Identity Theft. This program will aid in the strategic plan for the Federal Government
in the prevention, detection and prosecution of identify theft activities.

2. Indicate how, by whom, and for what purpose the information is to be used.
Except for a new collection, indicate the actual use the agency has made of the
information received from the current collections.
MSHA currently uses qualification and certification information on miners who have
satisfactorily completed required training and examinations to issue cards indicating
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the licensure of that miner. MSHA inspectors, during inspections, review these cards to
determine compliance with regulations. In addition, miners, when applying for a job,
use these cards as a part of their resumés. Mine operators needing people with specific
certifications, qualifications and approvals hire and assign work relying on the
information provided on the cards.
The information is also used to determine mine operators’ compliance with approved
training plans and to monitor safety-training programs and during investigations
including accident and legal proceedings to revoke the qualifications/certifications and
approvals of individuals based on a fraudulent reporting of training or performance.
Upon request, MSHA furnishes information on specific miners to mine operators and
representatives of miners.
The information also is used to verify whether individuals who complete and sign dust
data cards that accompany dust samples collected fulfill the sampling requirements of
30 CFR Part 70, 71 or 90. It also enables the Agency to track underground miners who
show early evidence of the development of pneumoconiosis and have exercised their
option to work in a low dust environment under 30 CFR Part 90 to determine if they
have been adequately sampled by mine operators and are in compliance with federal
dust standards.
3. Describe whether, and to what extent, the collection of information involves the
use of automated, 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.
MSHA plans to make this form available under the E-Gov initiative for electronic
submission. MSHA further estimates that an average of 25% of the applicants will use
the MSHA E-Gov system to register.
MSHA will accept faxed information from a secure fax machine and will provide a tollfree number for use by individuals to request their MIINs.
4. Describe efforts to identify duplication. Show specifically why any similar
information already available cannot be used or modified for use for the purposes
described in Item 2 above.
MSHA currently requests SSNs for several reasons. One, if a miner requests a copy of
his/her records, MSHA can easily search for a miner’s records using the miner’s SSN.
Secondly, MSHA uses the SSN as the only unique identifier among a variety of
certifications, qualifications and approvals within the qualification and certification
system. Historically, this practice has worked well, since most miners have easy access
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to their SSNs. In order for the Agency to assign a MIIN to all existing miners who have
certifications, qualifications and approvals, MSHA needs to initially require these
miners to register for MIINs by using their SSNs. This process will allow the Agency to
accurately connect all existing certifications, qualifications and approvals to an existing
licensee and mail the MIIN to a correct address. Once these existing miners have
registered and received a unique MIIN, they will not be required to use their SSNs.
The SSN is also used in other MSHA systems, such as bi-monthly dust sampling and
MSHA exams given by inspectors for licensing and certification. In an effort to
eliminate duplication of data, as per OMB guidance, the MIIN will be used across the
MSHA systems in place of the SSN.
The following are the MSHA record collections approved by OMB that will no longer
require that the individual to supply an SSN. These collections will be changed to
request the MIIN number.
OMB0001 (1210-0001)
OMB0009 (1219-0009)
OMB0011 (1219-0011)
OMB0127 (1219-0127)

Certificate of Electrical Retraining
Training Plans
Dust Data Sampling Card
Cert. or Hoisting Engineers Qualification

Form 5000-1

Form 5000-41

These collections are still needed under 30 C.F.R. Parts 48, 70, 75, 77 and 90.
5. If the collection of information impacts small businesses or other small entities
(Item 5 of OMB Form 83-I), describe any methods used to minimize burden.
The provisions of the Federal Mine Safety and Health Act of 1977 (Mine Act) and
MSHA regulations and standards apply to all operations, because accidents, injuries
and illnesses can occur at any mine regardless of size. Congress intended that the law
be enforced at all mining operations regardless of size and that information collection
and recordkeeping requirement be consistent with efficient and effective enforcement of
the Act.
This collection of information is not being requested from mining operations, but from
individuals applying to become approved, qualified or certified under 30 C.F.R. Parts
48, 70, 71, 75, 77, and 90. Not all miners need to register for a MIIN -- only those that
are seeking qualifications certifications, or benefits -- causing very little impact.
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.

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MSHA currently has no alternate means of reliably tracking licensures and certifications
other than through use of SSNs. The MIIN form is an effort to move away from use of
SSNs. Disapproval of this form will mean that MSHA either must continue to rely on
SSN information or else could mean that MSHA would be unable to verify which
miners had received MSHA licenses, certifications and benefits, or even their
entitlement to receive them.
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, 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 stature 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 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 extend 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 data and page number of
publication in the Federal Register of the agency’s notice, required by 5 C.F.R.
1320.8(d), soliciting comments on the information collection prior to submission to
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OMB. Summarize public comments received in response to that notice and describe
actions taken by the agency in response to these comments. Specifically address
comments received on the cost and hour burden.
Describe efforts to consult with person 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 specific situation. These
circumstances should be explained.
MSHA published a 60-day preclearance Federal Register notice on July 2, 2007 (volume
72, Number 126, Pages 36063-3606), soliciting public comments regarding the extension
of this information collection. No comments were received.
MSHA’s Qualification and Certification section has made presentations to the mining
community to inform the public of this initiative at the following seminars, meetings
and conferences:
• State Grants Business Meeting – Week of May 1, 2007
• National Homes Safety Conference in San Diego – Week of June 6, 2007
• United Mine Workers of American (UMAW) Training - June 11, 2007 at MSHA
Mining Academy
• North Carolina Mine Safety and Health Conference – June 14, 2007
In addition, informally some of the mining community has become aware of the
initiative by word-of-mouth. As a result of this preliminary outreach, all the comments
and responses MSHA has received regarding the proposed collection were positive.
9. Explain any decision to provide any payment or gift to respondents, other than
remuneration of contractors or grantees.
MSHA does not provide payments or gifts to respondents.
10. Describe any assurance of confidentiality provided to respondents and the basis
for the assurance in statute, regulation, or agency policy.
The form notifies respondents that their information will be kept confidential to the
extent allowed by law. The information collection includes Privacy Act material. The
collected information also is protected under OMB Circular A-130, Management of
Federal Information Resources, the Computer Fraud & Abuse Act of 1986, Department
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of Labor (DOL) policies covering Network Operations and LAN Management and
DOL’s Privacy Policy on Data Collection over DOL Web Sites, and by the Federal
Information Security Management Act (FISMA) of 2002, Title III, Public Law 107-347, as
part of the E-Government Act of 2002.

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 what 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 hours burden on respondents
is expected to vary widely because of differences in activity, size or
complexity, show the range of estimate 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 burden in Item 13
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.
MSHA estimates that the first year there will be 40,000 applications requesting MIINs.
It is also estimated that the form (electronic, paper or call-in) will take an average of 5
minutes (.0833 hours), including receiving the instructions. MSHA has calculated the
average underground and surface miners’ wages to be $21.67 per hour and the average
instructors’ wages to be $59.00 per hour.
Hour Burden First Year
Burden Hours:
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40,000 requests x .0833 hours = 3,332 burden hours
Burden Hour Cost:
(21,500 miner requests x .0833 hours) x $21.67 = $38,811
(18,500 instructor requests x .0833 hours) x $59.00 = $90,919
Total burden hour cost = $129,730
Hour Burden Second Year
MSHA estimates that in the second year there will be 25,000 MIIN requests. It is also
estimated that the form (electronic, paper or call-in) will take an average of 5 minutes
(.0833 hours), including receiving the instructions:
Burden Hours:
25,000 requests x .0833 = 2,083 burden hours
Burden Hour Cost:
(17,500 miner requests x .0833) hours x $ 21.67 = $31,595
(7,500 instructor requests x .0833) hours x $59.00 = $36,875
Total burden hour cost = $68,470
Hour Burden Third Year
MSHA estimates that in the third year there will be 10,000 MIIN requests. It is also
estimated that the form (electronic, paper or call-in) will take an average of 5 minutes
(.0833 hours), including receiving the instructions:
Burden Hours:
10,000 requests x .0833 = 833 burden hours
Burden Hour Cost:
(5,800 miner requests x .0833) hours x $ 21.67 = $10,470
(4,200 instructor requests x .0833) hours x $59.00 = $20,642
Total burden hour cost = $31,112
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.)
• The cost estimate should be split into two components: (a) a total capital and
start-up cost component (annualized over its expected useful life: and (b) a
total operation and maintenance and purchase of services component. The
estimates should take into account cost associated with generating,
maintaining, and disclosing or providing the information. Include
descriptions of methods use to estimate major cost factors including system
and technology acquisition, expected useful like of capital equipment, the
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•

•

discount rate(s), and the time period over which costs will be incurred.
Capital and start-up costs include, among other items, preparations for
collecting information such as purchasing computers and software;
monitoring, sampling, drilling and testing equipment; and record storage
facilities.
If cost estimates are expected to vary widely, agencies should present ranges of
cost burdens and explain the reasons for the variance. The cost of purchasing
or contracting out information collection services should be a part of this cost
burden estimate. In developing cost burden estimates, agencies may consult
with a sample of respondents (fewer than 10), utilize the 60-day pre-OMB
submission public comment process and use existing economic or regulatory
impact analysis associated with the rulemaking containing the information
collection, as appropriate.
Generally, estimates should not include purchases of equipment or services, or
portions thereof, made: (1) prior to October 1, 1995, (2) to achieve regulatory
compliance with requirements not associated with the information collection,
(3) for reason other than to provide information or keep records for the
government, or (4) as part of customary and usual business or private practices.

Cost Burden
First Year
MSHA estimates that 27,900 applicants will mail forms to MSHA
27,900 X $.41 postage = $11,439
Total Burden Cost First Year = $ 11,439
Second Year
MSHA estimates that 18,700 applicants will mail forms to MSHA.
18,700 x $.41 postage = $7,667
Total Burden Cost Second Year = $7,667
Third Year
MSHA estimates that 7,500 applicants will mail forms to MSHA.
7,500 x $.41 postage = $3,075

Total Burden Cost Third Year = $3,075
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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.
This project includes reengineering applications to reduce, limit and regulate the use of
privacy data to comply with Federal directives. This includes elimination of third-party
collection of privacy data (this elimination is required by OMB) and ongoing efforts to
protect privacy information by using a MIIN as a key identifier. This will significantly
reduce the use of the SSNs except when initial identification is necessary. This
reengineering will involve changes to the qualification and certification application and
dust samples processing. In addition, this will implement a miner registration process
in which mine operators and instructors will use the MIIN for submitting future
qualification or certification requests or when submitting sample data. The table below
shows only Federal government IT costs associated with the MIIN project:

As of
Mar-07 Apr-07 May-07 Jun-07 Jul-07 Aug- Sep- Oct- Nov- Dec- Grand
Feb
07 07 07 07 07 Total
$110,832 $8,038 $46,020 $9,367 $9,366 $4,685 $0 $0 $0 $0 $0 $188,307

MIIN
MSIS
Release
5.0 - Dev
$56,405 $2,404 $1,882 $1,046 $1,046 $1,046 $0
MIIN
MSIS
Release
5.0 Analysis
$5,311 $13,535 $28,073 $18,990 $18,692 $9,839 $0
MIIN
MSIS
Release
5.0 Test/Doc
$95,212 $14,228 $14,228 $14,228 $14,228 $14,228 $0
MIIN
MSIS
Release
5.0 Support
Activity
Total

$0

$0

$0

$0

$63,827

$0

$0

$0

$0

$94,439

$0

$0

$0

$0

$166,351

$512,924.00

The above costs are based on MSHA Information Technology operating budget for all
new systems and the reengineering of this project. MSHA’s Qualification and
Certification unit will request one contractor for the first year to process incoming MIIN
requests. It is estimated that the contractor for one year will cost $60,000. MSHA
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further estimates that printing costs will be approximately $30,000 and cost for outreach
including travel is estimated at $35,000.
The outreach program will include, but is not limited to;
• Posters distributed to the mining community
• Website single-source page
• Article for Holmes Bulletin
• Article for Professional Miner newsletter
• Presentations by MSHA employees at State Grants meeting, National Holmes
Safety Meeting, UMWA training, and other mining- related conferences
• Radio/audio message – as part of the regular “Mine Safety Minutes” series.
• Presentations by MSHA District offices during the quarterly District/Operator
meetings.
• Internal message to MSHA employees in an e-mail from the Assistant Secretary
Total cost to Federal Government = $637,924
15. Explain the reasons for any program changes or adjustments reporting in Items
13 or 14 of the OMB Form 83-I.
The first year hour burden is estimated to be 3,332, the second year 2,083 and each year
thereafter the estimate is 833 burden hours. The first year costs are estimated at $11,439
second year at $7,667, and each year thereafter at $3,075. During the next 3 years, the
number of requests should start at approximately 40,000, and drop to approximately
10,000 by the third year.
16. For collections of information whose results will 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.
MSHA has no plans to publish the information obtained through this information
collection.
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.
MSHA’s Form 5000-46 will display OMB’s approval number and expiration date.
B.
COLLECTIONS OF INFORMATION EMPLOYING STATISTICAL
METHODS
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1.
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.
This collection of information does not employ statistical methods.

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Federal Mine Safety & Health Act of 1977,
Public Law 91-173,
as amended by Public Law 95-164*
An Act
Be it enacted by the Senate and House of Representatives of the United States of America in
Congress assembled. That this Act may be cited as the "Federal Mine Safety and Health Act of
1977".

MANDATORY SAFETY AND HEALTH STANDARDS
SEC. 101. (a) The Secretary shall by rule in accordance with procedures set forth in this section
and in accordance with section 553 of title 5, United States Code (without regard to any
reference in such section to sections 556 and 557 of such title), develop, promulgate, and revise
as may be appropriate, improved mandatory health or safety standards for the protection of life
and prevention of injuries in coal or other mines.
INSPECTIONS, INVESTIGATIONS, AND RECORDKEEPING
SEC. 103. (a) Authorized representatives of the Secretary or the Secretary of Health, Education,
and Welfare shall make frequent inspections and investigations in coal or other mines each year
for the purpose of (1) obtaining, utilizing, and disseminating information relating to health and
safety conditions, the causes of accidents, and the causes of diseases and physical impairments
originating in such mines, (2) gathering information with respect to mandatory health or safety
standards, (3) determining whether an imminent danger exists, and (4) determining whether there
is compliance with the mandatory health or safety standards or with any citation, order, or
decision issued under this title or other requirements of this Act. In carrying out the requirements
of this subsection, no advance notice of an inspection shall be provided to any person, except that
in carrying out the requirements of clauses (1) and (2) of this subsection, the Secretary of Health,
Education, and Welfare may give advance notice of inspections. In carrying out the requirements
of clauses (3) and (4) of this subsection, the Secretary shall make inspections of each
underground coal or other mine in its entirety at least four times a year, and of each surface coal
or other mine in its entirety at least two times a year. The Secretary shall develop guidelines for
additional inspections of mines based on criteria including, but not limited to, the hazards found
in mines subject to this Act, and his experience under this Act and other health and safety laws.
For the purpose of making any inspection or investigation under this Act, the Secretary, or the
Secretary of Health, Education, and Welfare, with respect to fulfilling his responsibilities under
this Act, or any authorized representative of the Secretary or the Secretary of Health, Education,
and Welfare, shall have a right of entry to, upon, or through any coal or other mine.

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