1219-0009 Rocis

1219-0009
SUPPORTING STATEMENT
Training Plans and Records of Training, 30 C.F.R. §§ 48.3, 48.9,
48.23, and 48.29

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 of each regulation
mandating or authorizing the collection of information.
The Federal Mine Safety and Health Act of 1977 (Mine Act), as
amended, 30 U.S.C. § 801 et seq., recognizes that education and
training in the improvement of miner health and safety is an
important element of federal efforts to make the nation's mines
safer places in which to work. Section 115(a) of the Mine Act
states that "each operator of a coal or other mine shall have a
health and safety training program which shall be approved by
the Secretary." Title 30, C.F.R. §§ 48.3 and 48.23 require
training plans for underground and surface mines, respectively.
The standards are intended to ensure that miners will be
effectively trained in matters affecting their health and
safety, with the ultimate goal being the reduction of injuries
and illness in the nation's mines.
Training plans are required to be submitted for approval to the
MSHA District Manager for the area in which the mine is located.
Plans must contain the company name, mine name, and MSHA
identification number of the mine; the name and position of the
person designated by the operator who is responsible for health
and safety training at the mine; a list of MSHA-approved
instructors with whom the operator proposes to make arrangements
to teach the courses and the courses each instructor is
qualified to teach; the location where training will be given
for each course; a description of the teaching methods and the
course materials which are to be used in training; the
approximate number of miners employed at the mine and the
maximum number who will attend each session of training; the
predicted time or periods of time when regularly scheduled
refresher training will be given including the titles of courses
to be taught, the total number of instruction hours for each
course, and the predicted time or length of each session of
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training; and for new task training, a complete list of task
assignments, the names of personnel conducting the training, the
outline of training procedures to be used, and the evaluation
procedures to be used to determine the effectiveness of the
training.
Title 30, C.F.R. §§ 48.9 and 48.29 require records of training
for underground and surface mines, respectively. Upon
completion of each training program, the mine operator certifies
on a form approved by the Secretary (MSHA Form 5000-23) that the
miner has received the specified training in each subject area
of the approved health and safety training plan.
The certificates are to be maintained by the operator for a
period of 2 years and must be available for inspection at the
mine site. In addition, the miner is entitled to a copy of the
certificate upon completion of the training and when he leaves
the operator's employ.

2.
Indicate how, by whom, how frequently, and for what purpose
the information is to be used. For revisions, extensions, and
reinstatements of a currently approved collection, indicate the
actual use the agency has made of the information received from
the current collection.
Upon approval by the MSHA District Manager, training plans are
returned to the mine operator. The approved plans are used to
implement training programs for training new miners, training
experienced miners, training miners for new tasks, annual
refresher training, and hazard training. The plans are also
used by MSHA to ensure that all miners are receiving the
training necessary to perform their jobs in a safe manner.
The Form 5000-23 provides the mine operator with a recordkeeping
form, the miner with a certificate of training, and MSHA with a
monitoring tool for determining compliance requirements. The
form in its present format provides the industry with one form
that complies with all the requirements of the training
regulations.

3.
Describe whether, and to what extent, the collection of
information involves the use of automated, electronic,
mechanical, or other technological collection techniques or
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1219-0009
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.
The plans can be prepared using personal computers and word
processing programs and submitted via e-mail.
Additionally, MSHA has an electronic system (the MSHA Training
Plan Advisor) for mine operators to prepare and submit training
plans through the internet. This is an optional method for the
mining industry to prepare and file required training plans.
The design of this system increases the likelihood that the plan
will be complete, with the potential to decrease the paperwork
burden from approximately 8 hours to 2.25 hours. It is accessed
through MSHA’s Homepage at http://www.msha.gov.
In calendar year 2006, 645 of the 1,788 Coal mine training plans
were submitted electronically. Of the 497 Metal/Nonmetal plans
received, 353 were submitted via internet.
The MSHA Form 5000-23 is provided by MSHA to the mine operators
in a booklet format. The form is also available for downloading
on the MSHA web site at http://www.msha.gov. The computerized
version of the form permits mine operators to enter information
on the form electronically and print the completed form as a
training certificate. The Form 5000-23 is a recordkeeping form;
it is not submitted to MSHA.

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.
Training plans are tailored to fit the needs of individual
mining operations for which they are developed. There is no
similar or duplicate information already available that could be
used.
Due to the individualized nature of the training that each miner
receives, there is no similar or duplicate information that
could be used in lieu of the 5000-23 form.

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5.
If the collection of information has a significant impact
on a substantial number of small businesses or other small
entities (item 15 of OMB Form 83-I), 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.
Before a new mine is opened or a mine is reopened or
reactivated, approval of the training plans must be obtained
from MSHA. Once plans are approved, only changes or
modifications are required to be submitted for approval.
MSHA Form 5000-23, Certificate of Training, was developed by
MSHA for use by the mine operator to record and certify that the
miner has received the specified training. Upon completion of
each training program, the form is completed by the instructor.
All training completed within the miner's 12-month training
cycle may be recorded on one form. A copy of the form is given
to the miner at the end of the 12-month cycle. A copy of the
form is given to the miner at the completion of a single
training program upon his or her request.
MSHA inspectors will sometimes ask that mine operators produce
training certificates during an inspection in order to ensure
that all miners have received the proper training. Without
adequate training, miners may sustain serious or even fatal
injuries because they lack the knowledge to properly and safely
perform various tasks and activities.

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
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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 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.
There are no requirements for more than quarterly reporting. As
noted in item 6 (above), an initial plan must be submitted for
MSHA District Manager approval and revised plans whenever
changes to that plan are made necessary by changes in ownership
and/or circumstances at the mine. Although there is no explicit
requirement that a mine operator retain records for more than
three years, the operator must maintain a current, approved
training plan during the entire time the mine is in operation.
While mine operators are not specifically required to keep Form
5000-23 training records for more than two years or more than 60
days after termination of an employee (30 C.F.R. §§ 48.9 and
48.29), the mine operators must be able to provide current
training records for all miners during the time the mine is in
operation. This collection of information is otherwise
consistent with the guidelines cited in 5 C.F.R. § 1320.5.

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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 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
these 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
August 22, 2007(Volume 72, Number 162, Pages 47080-47081),
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 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.

To the extent that plans are kept by the agency, they are
covered by a Privacy Act notice published in the Federal
Register. Computer safeguards are as described in the National
Bureau of Standards Booklet, "Computer Security Guidelines for
Implementing the Privacy Act of 1974". Manual records are
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1219-0009
stored in locked files and are accessible only to authorized
personnel during working hours.
MSHA does not collect nor retain Form 5000-23.

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 13.

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1219-0009
Training Plan
Based upon MSHA's records during calendar year 2006, Coal Mine
Safety and Health received 819 new paper plans, 273 new
electronic plans, and 696 revised paper and electronic plans.
Metal/Nonmetal Mine Safety and Health received 141 new paper
plans, 348 new electronic plans, and 8 revised paper and
electronic plans. The plans are usually prepared by company
personnel. Although the burden on the mine operator is
dependent to some degree upon the particular mine's size, MSHA
has determined that a typical training plan requires 8 hours to
prepare and submit a paper copy, 2.25 hours to complete a plan
on-line, and 1 hour to revise a paper or electronic plan.
Salaries are based on 2005 Wage Rates. The average wage per hour
in 2005 (last available year) for a coal mine safety specialist
was $63.39 and for a metal/nonmetal mine safety specialist was
$47.10.
Burden Hours
Coal:
819 new paper plans x 8 hrs./plan
273 new electronic plans 2.25 hrs./plan
696 revised paper and electronic plans
x 1 hr./plan

= 6,552 hrs.
=
614 hrs.
=

Coal Burden Hours

696 hrs.
7,862 hrs.

Metal/Nonmetal:
141 new paper plan x 8 hr./plan
348 new electronic plan x 2.25 hrs./plan
8 revised paper and electronic plans
x 1 hr./plan

= 1,128 hrs.
=
783 hrs.
=

8 hrs.

Metal/Nonmetal Burden Hours

1,919 hrs.

Total Burden Hours

9,781 hrs.

Burden Hour Cost
Coal:
7,862 hrs. x $63.39 wage rate/hr.
Metal/Nonmetal:
1,919 hrs. x $47.10 wage rate/hr.
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= $ 498,372

= $

90,385

1219-0009

Total Burden Hour Cost

$ 588,757

MSHA Form 5000-23
MSHA requires mine operators to report production, number of
employees by work unit, and hours worked on a quarterly basis.
MSHA estimates that 40% of the miners’ training is conducted by
an employee of the mine operator. Another 40% of the training
is conducted by state trainers funded from sources that include
federal grants. The specific burden for such state trainers
would be difficult to calculate and is therefore not included in
this collection. However, MSHA estimates that each form would
take approximately 5 minutes to complete. The remaining 20% is
conducted by independent training contractors hired by the mine
operator. The actual cost of the independent training
contractor’s time is detailed under Item 13.
For calendar year 2006, the Coal Industry reported approximately
2,112 coal mining operations employing 82,030 miners (excluding
office employees). The applicable Metal and Nonmetal Industries
(under Part 48) reported approximately 1,104 mining operations
employing 69,137 miners (excluding office employees).
Although all of the training completed by a miner within a 1year period may be recorded on one form, training specialists
estimate that for each miner, two forms will probably be
completed annually. The simple check-off method for completing
the form reduces the preparation time to about 5 minutes (0.08
hour) per form using either the paper or electronic version.
With respect to Coal, the burden is calculated based on 40
percent of miners being trained by company personnel (82,030
miners x 0.40 = 32,812), the number of forms per miner (2), and
the estimated time to complete the form (0.08 hour).
With respect to Metal/Nonmetal, the burden is calculated based
on 40 percent of miners being trained by company personnel
(69,137 miners x 0.40 = 27,655), the number of forms per miner
(2), and the estimated time to complete the form (0.08 hour).
Based on MSHA’s estimated 2005 wage rate for a Coal mine safety
specialist of $63.39/hour, and a Metal/Nonmetal mine safety
specialist of $47.10/hour, the burden is calculated below.
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Burden Hours
Coal:
32,812 miners x 2 forms per miner
x 0.08 hrs. per form

= 5,250 hrs.

Metal/Nonmetal:
27,655 miners x 2 forms per miner
x 0.08 hrs. per form

= 4,425 hrs.

Total Burden Hours

9,675 hrs.

Burden Hour Cost
Coal:
5,250 hrs. x $63.39 wage rate/hr.

= $332,798

Metal/Nonmetal:
4,425 hrs. x $47.10 wage rage/hr.

= $208,418

Total Burden Hour Cost

$541,216

TOTAL BURDEN HOURS

= 19,456 hrs.

TOTAL BURDEN HOUR COST

= $1,129,973

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 costs associated with
generating, maintaining, and disclosing or providing the
information. Include descriptions of methods used to
estimate major cost factors including system and technology
acquisition, expected useful life of capital equipment, the
discount rate(s), and the time period over which costs will
be incurred. Capital and start-up costs include, among

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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 reasons other than to
provide information or keep records for the government, or
(4) as part of customary and usual business or private
practices.

Training Plan
MSHA estimates no burden hours or cost for course development or
the actual training. MSHA provides many publications, training
modules and video tapes, as well as accident reports and
compilations of accident statistics, routinely used in training
courses at little or no cost to the industry. These resources
are available to the mining industry and are frequently used by
industry trainers whether employed by the mine operator directly
or as contractors.
However, MMSHA estimates that it costs approximately $2 to copy
and mail each training plan:
1,640 paper plans (2,285 plans – 645 e-plans)
x $2/plan
= $ 3,280
MSHA Form 5000-23

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1219-0009
Approximately 20% of the training is conducted by independent
contractors hired by mine operators. It takes approximately 5
minutes (0.08 hours) to fill out a form, and two forms are
needed per miner. MSHA estimates that independent contract
trainers will charge $50.00 per hour of instruction.
With respect to Coal, the cost is calculated based on 20 percent
of miners being trained by independent contractors (82,030
miners x 0.20 = 16,406). With respect to Metal/Nonmetal, the
burden is calculated based on 20 percent of miners being trained
by independent contractors (69,137 miners x 0.20 = 13,827).
Coal:
16,406 miners x $50 per hr.
x 0.08 hrs. per form
x 2 forms per miner per year

= $ 131,248

Metal/Nonmetal:
13,827 miners x $50 per hr.
x 0.08 hrs. per form
x 2 forms per miner per year

= $ 110,616

Total cost to complete forms

= $ 241,864

GRAND TOTAL BURDEN COST

= $ 245,144

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.
Approval of Plan
In 2006, MSHA approved about 2,285 new or revised training
plans. Based on past experience, on average, it takes
approximately 8 hours to receive, review, approve, and return
each plan or revision. The reviews are done by MSHA technical
staff (GS 12/5) earning $30.57 per hour based on OPM 2007
General Schedule.
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1219-0009

2,285 plans x 8 hrs./plan x $ 30.57

= $ 558,820

Printing of Form
MSHA Form 5000-23 is assembled in pads with 50 sets of forms per
pad and four forms per set. During 2004 through 2006, MSHA
ordered pads of the form costing $36,000, $51,745, and $37,068,
respectively. The average cost per year for pads over this 3year period was $41,604.
($36,000 + $51,745 + $37,068) / 3 yrs.) = $ 41,604 per year

TOTAL COST TO FEDERAL GOVERNMENT

= $ 600,424

MSHA inspection personnel routinely check that miners have
received the required training by periodic examination of the
5000-23 forms and interviews of the miners. However, such
examinations of the mine operator’s records are done as a part
of a normal, complete mine inspection. Because the review of
training records is just one aspect of the inspections required
under Section 103(a) of the Mine Act, MSHA believes that this
burden is minimal and has assigned no federal cost burden for
this specific information collection.

15. Explain the reasons for any program changes or adjustments
reporting in Items 13 or 14 of the OMB Form 83-I.
The number of Respondents increased to 3,216 from 2,947; the
number of Responses increased to 123,219 from 115,395; Annual
Hours increased to 19,456 from 13,287. The increase in burden
hours and cost was primarily due to the increase in the number
of mines, which caused a larger number of training plans to be
submitted for MSHA approval, along with the overall increase in
wage rates for the personnel who prepare plans.
The Annual Costs decreased to $245,144 from $1,011,000. The last
approved collection included actual training costs of $765,856
by contractors and should only have included the cost of the
paperwork associated with the training. The error has been
corrected in this submission.
16.

For collections of information whose results are planned to

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1219-0009
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 does not intend to publish the results of 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 is not seeking approval to not display the expiration date
for OMB approval of this information collection. The OMB
control number and expiration date are displayed for the
electronic copy of the plan on the MSHA web page and on the
Department’s elaws web page. The OMB control number and
expiration date are displayed on the printed copy of the form
and, for the electronic copy of the form, on the MSHA web page.

B.

COLLECTIONS OF INFORMATION EMPLOYING STATISTICAL METHODS

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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1219-0009

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 HEALTH AND SAFETY TRAINING
SEC. 115(a) Each operator of a coal or other mine shall have a
health and safety training program which shall be approved by
the Secretary. The Secretary shall promulgate regulations with
respect to such health and safety training programs not more
than 180 days after the effective date of the Federal Mine
Safety and Health Amendments Act of 1977. Each training program
approved by the Secretary shall provide as a minimum that-(1) new miners having no underground mining experience shall
receive no less than 40 hours of training if they are to work
underground. Such training shall include instruction in the
statutory rights of miners and their representatives under
this Act, use of the self-rescue device and use of respiratory
devices, hazard recognition, escapeways, walk around training,
emergency procedures, basic ventilation, basic roof control,
electrical hazards, first aid, and the health and safety
aspects of the task to which he will be assigned; (2) new
miners having no surface mining experience shall receive no
less than 24 hours of training if they are to work on the
surface. Such training shall include instruction in the
statutory rights of miners and their representatives under
this Act, use of the self-rescue device where appropriate and
use of respiratory devices where appropriate, hazard
recognition, emergency procedures, electrical hazards, first
aid, walk around training and the health and safety aspects of
the task to which he will be assigned; (3) all miners shall
receive no less than eight hours of refresher training no less
frequently than once each 12 months, except that miners
already employed on the effective date of the Federal Mine
Safety and Health Amendments Act of 1977 shall receive this
refresher training no more than 90 days after the date of
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1219-0009
approval of the training plan required by this section; (4)
any miner who is reassigned to a new task in which he has had
no previous work experience shall receive training in
accordance with a training plan approved by the Secretary
under this subsection in the safety and health aspects
specific to that task prior to performing that task; (5) any
training required by paragraphs (1), (2) or (4) shall include
a period of training as closely related as is practicable to
the work in which the miner is to be engaged.

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1219-0009
30 CFR § 48.3
Training plans; time of submission; where filed; information
required; time for approval; method for disapproval;
commencement of training; approval of instructors.
(a) Each operator of an underground mine shall have an MSHA
approved plan containing programs for training new miners,
training newly-employed experienced miners, training miners for
new tasks, annual refresher training, and hazard training for
miners as follows:
(1) In the case of an underground mine which is operating on the
effective date of this subpart A, the operator of the mine shall
submit such plan for approval within 90 days after the effective
date of this subpart A.
(2) Within 60 days after the operator submits the plan for
approval, unless extended by MSHA, the operator shall have an
approved plan for the mine.
(3) In the case of a new underground mine which is to be opened
or a mine which is to be reopened or reactivated after the
effective date of this subpart A, the operator shall have an
approved plan prior to opening the new mine, or reopening or
reactivating the mine.
(b) The training plan shall be filed with the District Manager
for the area in which the mine is located.
(c) Each operator shall submit to the District Manager the
following information:
(1) The company name, mine name, and MSHA identification number
of the mine.
(2) The name and position of the person designated by the
operator who is responsible for health and safety training at
the mine. This person may be the operator.
(3) A list of MSHA approved instructors with whom the operator
proposes to make arrangements to teach the courses, and the
courses each instructor is qualified to teach.
(4) The location where training will be given for each course.
(5) A description of the teaching methods and the course
materials which are to be used in training.
(6) The approximate number of miners employed at the mine and
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1219-0009
the maximum number who will attend each session of training.
(7) The predicted time or periods of time when regularly
scheduled refresher training will be given. This schedule shall
include the titles of courses to be taught, the total number of
instruction hours for each course, and the predicted time and
length of each session of training.
(8) For the purposes of §48.7 (New task training of miners) of
this subpart A, the operator shall submit:
(i) A complete list of task assignments to correspond with the
definition of "task" in §48.2(f) of this subpart A.
(ii) The titles of personnel conducting the training for this
section.
(iii) The outline of training procedures used in training miners
in those work assignments listed according to paragraph
(c)(8)(i) of this section.
(iv) The evaluation procedures used to determine the
effectiveness of training under §48.7 of this subpart A.
(d) The operator shall furnish to the representative of the
miners a copy of the training plan two weeks prior to its
submission to the District Manager. Where a miners'
representative is not designated, a copy of the plan shall be
posted on the mine bulletin board 2 weeks prior to its
submission to the District Manager. Written comments received by
the operator from miners or their representatives shall be
submitted to the District Manager. Miners or their
representatives may submit written comments directly to the
District Manager.
(e) All training required by the training plan submitted to and
approved by the District Manager as required by this subpart A
shall be subject to evaluation by the District Manager to
determine the effectiveness of the training programs. If it is
deemed necessary, the District Manager may require changes in,
or additions to, programs. Upon request from the District
Manager the operator shall make available for evaluation the
instructional materials, handouts, visual aids and other
teaching accessories used or to be used in the training
programs. Upon request from the District Manager the operator
shall provide information concerning the schedules of upcoming
training.

October 2007
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(f) The operator shall make a copy of the MSHA approved training
plan available at the mine site for MSHA inspection and for
examination by the miners and their representatives.
(g) Except as provided in §48.7 (New task training of miners)
and § 48.11 (Hazard training) of this subpart A, all courses
shall be conducted by MSHA approved instructors.
(h) Instructors shall be approved by the District Manager in one
or more of the following ways:
(1) Instructors shall take an instructor's training course
conducted by the District Manager or given by persons designated
by the District Manager to give such instruction; and
instructors shall have satisfactorily completed a program of
instruction approved by the Office of Educational Policy and
Development, MSHA, in the subject matter to be taught.
(2) Instructors may be designated by MSHA as approved
instructors to teach specific courses based on written evidence
of the instructors' qualifications and teaching experience.
(3) At the discretion of the District Manager, instructors may
be designated by MSHA as approved instructors to teach specific
courses based on the performance of the instructors while
teaching classes monitored by MSHA. Operators shall indicate in
the training plans submitted for approval whether they want to
have instructors approved based on monitored performance. The
District Manager shall consider such factors as the size of the
mine, the number of employees, the mine safety record and
remoteness from a training facility when determining whether
instructor approval based on monitored performance is
appropriate.
(4) On the effective date of this subpart A, cooperative
instructors who have been designated by MSHA to teach MSHA
approved courses and who have taught such courses within the 24
months prior to the effective date of this subpart shall be
considered approved instructors for such courses.
(i) Instructors may have their approval revoked by MSHA for good
cause which may include not teaching a course at least once
every 24 months. Before any revocation is effective, the
District Manager must send written reasons for revocation to the
instructor and the instructor shall be given an opportunity to
demonstrate or achieve compliance before the District Manager on
the matter. A decision by the District Manager to revoke an
October 2007
19

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instructor's approval may be appealed by the instructor to the
Administrator for Coal Mine Safety and Health or Administrator
for Metal and Non-metal Safety and Health, as appropriate, MSHA,
4015 Wilson Boulevard, Arlington, Va. 22203. Such an appeal
shall be submitted to the Administrator within 5 days of
notification of the District Manager's decision. Upon revocation
of an instructor's approval, the District Manager shall
immediately notify operators who use the instructor for
training.
(j) The District Manager for the area in which the mine is
located shall notify the operator and the miners'
representative, in writing, within 60 days from the date on
which the training plan is filed, of the approval or status of
the approval of the training programs.
(1) If revisions are required for approval, or to retain
approval thereafter, the revisions required shall be specified
to the operator and the miners' representative and the operator
and the miners' representative shall be afforded an opportunity
to discuss the revisions with the District Manager, or to
propose alternate revisions or changes. The District Manager, in
consultation with the operator and the representative of the
miners, shall fix a time within which the discussion will be
held, or alternate revisions or changes submitted, before final
approval is made.
(2) The District Manager may approve separate programs of the
training plan and withhold approval of other programs, pending
discussion of revisions or submission of alternate revisions or
changes.
(k) Except as provided under § 48.8(c) (Annual refresher
training of miners) of this subpart A, the operator shall
commence training of miners within 60 days after approval of the
training plan, or approved programs of the training plan.
(l) The operator shall notify the District Manager of the area
in which the mine is located, and the miners' representative of
any changes or modifications the operator proposes to make in
the approved training plan. The operator shall obtain the
approval of the District Manager for such changes or
modifications.
(m) In the event the District Manager disapproves a training
plan or a proposed modification of a training plan or requires
changes in a training plan or modification, the District Manager
October 2007
20

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shall notify the operator and the miners' representative in
writing of:
(1) The specific changes or items of deficiency.
(2) The action necessary to effect the changes or bring the
disapproved training plan or modification into compliance.
(3) The deadline for completion of remedial action to effect
compliance, which shall serve to suspend punitive action under
the provisions of sections 104 and 110 of the Act and other
related regulations until that established deadline date, except
that no such suspension shall take place in imminent danger
situations.
(n) The operator shall post on the mine bulletin board, and
provide to the miners' representative, a copy of all MSHA
revisions and decisions which concern the training plan at the
mine and which are issued by the District Manager

October 2007
21

1219-0009
30 CFR § 48.23
Training plans; time of submission; where filed; information
required; time for approval; method for disapproval;
commencement of training; approval of instructors.
(a) Each operator of a mine shall have an MSHA approved plan
containing programs for training new miners, training newlyemployed experienced miners, training miners for new tasks,
annual refresher training, and hazard training for miners as
follows:
(1) In the case of a mine which is operating on the effective
date of this subpart B, the operator of the mine shall submit
such plan for approval within 150 days after the effective date
of this subpart B.
(2) Within 60 days after the operator submits the plan for
approval, unless extended by MSHA, the operator shall have an
approved plan for the mine.
(3) In the case of a new mine which is to be opened or a mine
which is to be reopened or reactivated after the effective date
of this subpart B, the operator shall have an approved plan
prior to opening the new mine, or reopening or reactivating the
mine unless the mine is reopened or reactivated periodically
using portable equipment and mobile teams of miners as a normal
method of operation by the operator. The operator to be so
excepted shall maintain an approved plan for training covering
all mine locations which are operated with portable equipment
and mobile teams of miners.
(b) The training plan shall be filed with the District Manager
for the area in which the mine is located.
(c) Each operator shall submit to the District Manager the
following information:
(1) The company name, mine name, and MSHA identification number
of the mine.
(2) The name and position of the person designated by the
operator who is responsible for health and safety training at
the mine. This person may be the operator.
(3) A list of MSHA approved instructors with whom the operator
proposes to make arrangements to teach the courses, and the
courses each instructor is qualified to teach.

October 2007
22

1219-0009
(4) The location where training will be given for each course.
(5) A description of the teaching methods and the course
materials which are to be used in training.
(6) The approximate number of miners employed at the mine and
the maximum number who will attend each session of training.
(7) The predicted time or periods of time when regularly
scheduled refresher training will be given. This schedule shall
include the titles of courses to be taught, the total number of
instruction hours for each course, and the predicted time and
length of each session of training.
(8) For the purposes of §48.27 (New task training of miners) of
this subpart B, the operator shall submit:
(i) A complete list of task assignments to correspond with the
definition of "task" in § 48.22(f) of this subpart B.
(ii) The titles of personnel conducting the training for this
section.
(iii) The outline of training procedures used in training miners
in those work assignments listed according to paragraph
(c)(8)(i) of this section.
(iv) The evaluation procedures used to determine the
effectiveness of training under §48.27 of this subpart B.
(d) The operator shall furnish to the representative of the
miners a copy of the training plan 2 weeks prior to its
submission to the District Manager. Where a miners'
representative is not designated, a copy of the plan shall be
posted on the mine bulletin board 2 weeks prior to its
submission to the District Manager. Written comments received by
the operator from miners or their representatives shall be
submitted to the District Manager. Miners or their
representatives may submit written comments directly to the
District Manager.
(e) All training required by the training plan submitted to and
approved by the District Manager as required by this subpart B
shall be subject to evaluation by the District Manager to
determine the effectiveness of the training programs. If it is
deemed necessary, the District Manager may require changes in,
or additions to, programs. Upon request from the District
Manager the operator shall make available for evaluation the

October 2007
23

1219-0009
instructional materials, handouts, visual aids, and other
teaching accessories used or to be used in the training
programs. Upon request from the District Manager the operator
shall provide information concerning schedules of upcoming
training.
(f) The operator shall make a copy of the MSHA approved training
plan available at the mine site for MSHA inspection and
examination by the miners and their representatives.
(g) Except as provided in §48.27 (New task training of miners)
and §48.31 (Hazard training) of this subpart B, all courses
shall be conducted by MSHA approved instructors.
(h) Instructors shall be approved by the District Manager in one
or more of the following ways:
(1) Instructors shall take an instructor's training course
conducted by the District Manager or given by persons designated
by the District Manager to give such instruction; and
instructors shall have satisfactorily completed a program of
instruction approved by the Office of Educational Policy and
Development, MSHA, in the subject matter to be taught.
(2) Instructors may be designated by MSHA as approved
instructors to teach specific courses based on written evidence
of the instructors' qualifications and teaching experience.
(3) At the discretion of the District Manager, instructors may
be designated by MSHA as approved instructors to teach specific
courses based on the performance of the instructors while
teaching classes monitored by MSHA. Operators shall indicate in
training plans submitted for approval whether they want to have
instructors approved based on monitored performance. The
District Manager shall consider such factors as the size of the
mine, the number of employees, the mine safety record and
remoteness from a training facility when determining whether
instructor approval based on monitored performance is
appropriate.
(4) On the effective date of this subpart B, cooperative
instructors who have been designated by MSHA to teach MSHA
approved courses and who have taught such courses within 24
months prior to the effective date of this subpart shall be
considered approved instructors for such courses.
(i) Instructors may have their approval revoked by MSHA for good
cause which may include not teaching a course at least once
October 2007
24

1219-0009
every 24 months. Before any revocation is effective, the
District Manager must send written reasons for revocation to the
instructor and the instructor shall be given an opportunity to
demonstrate or achieve compliance before the District Manager on
the matter. A decision by the District Manager to revoke an
instructor's approval may be appealed by the instructor to the
Administrator for Coal Mine Safety and Health or Administrator
for Metal and Non-metal Safety and Health, as appropriate, MSHA,
4015 Wilson Boulevard, Arlington, Va. 22203. Such an appeal
shall be submitted to the Administrator within 5 days of
notification of the District Manager's decision. Upon revocation
of an instructor's approval, the District Manager shall
immediately notify operators who use the instructor for
training.
(j) The District Manager for the area in which the mine is
located shall notify the operator and the miners'
representative, in writing, within 60 days from the date on
which the training plan is filed, of the approval or status of
the approval of the training programs.
(1) If revisions are required for approval, or to retain
approval thereafter, the revisions required shall be specified
to the operator and the miners' representative and the operator
and the miners' representative shall be afforded an opportunity
to discuss the revisions with the District Manager, or propose
alternate revisions or changes. The District Manager, in
consultation with the operator and the representative of miners,
shall fix a time within which the discussion will be held, or
alternate revisions or changes submitted, before final approval
is made.
(2) The District Manager may approve separate programs of the
training plan and withhold approval of other programs, pending
discussion of revisions or submission of alternate revisions or
changes.
(k) Except as provided under §48.28(c) (Annual refresher
training of miners) of this subpart B, the operator shall
commence training of miners within 60 days after approval of the
training plan, or approved programs of the training plan.
(l) The operator shall notify the District Manager of the area
in which the mine is located and the miners' representative of
any changes of modifications which the operator proposes to make
in the approval training plan. The operator shall obtain the
approval of the District Manager for such changes or
October 2007
25

1219-0009
modifications.
(m) In the event the District Manager disapproves a training
plan or a proposed modification of a training plan or requires
changes in a training plan or modification, the District Manager
shall notify the operator and the miners' representative in
writing of:
(1) The specific changes or items of deficiency.
(2) The action necessary to effect the changes or bring the
disapproved training plan or modification into compliance.
(3) The deadline for completion of remedial action to effect
compliance, which shall serve to suspend punitive action under
the provisions of sections 104 and 110 of the Act and other
related regulations until that established deadline date, except
that no such suspension shall take place in imminent danger
situations.
(n) The operator shall post on the mine bulletin board, and
provide to the miners' representative, a copy of all MSHA
revisions and decisions which concern the training plan at the
mine and which are issued by the District Manager.

October 2007
26

1219-0009

PART 48--TRAINING AND RETRAINING OF MINERS
Subpart A--Training and Retraining of Underground Miners
30 CFR §§ 48.9
Records of training.
(a) Upon a miner's completion of each MSHA approved training
program, the operator shall record and certify on MSHA form
5000-23 that the miner has received the specified training. A
copy of the training certificate shall be given to the miner at
the completion of the training. The training certificates for
each miner shall be available at the minesite for inspection by
MSHA and for examination by the miners, the miner's
representative, and State inspection agencies. When a miner
leaves the operator's employ, the miner shall be entitled to a
copy of his training certificates.
(b) False certification that training was given shall be
punishable under section 110(a) and (f) of the Act.
(c) Copies of training certificates for currently employed
miners shall be kept at the minesite for 2 years, or for 60 days
after termination of employment.
(Pub. L. No. 96-511, 94 Stat. 2812 (44 U.S.C. 3501 et seq.))
[43 FR 47459, Oct. 13, 1978, as amended at 47 FR 14706, Apr. 6,
1982; 60 FR 33719, June 29, 1995]

October 2007
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30 CFR §§ 48.29
Records of training.
(a) Upon a miner's completion of each MSHA approved training
program, the operator shall record and certify on MSHA form
5000-23 that the miner has received the specified training. A
copy of the training certificate shall be given to the miner at
the completion of the training. The training certificates for
each miner shall be available at the mine site for inspection by
MSHA and for examination by the miners, the miners'
representative and State inspection agencies. When a miner
leaves the operator's employ, the miner shall be entitled to a
copy of his training certificates.
(b) False certification that training was given shall be
punishable under section 110(a) and (f) of the Act.
(c) Copies of training certificates for currently employed
miners shall be kept at the mine site for 2 years, or for 60
days after termination of employment.
(Pub. L. No. 96-511, 94 Stat. 2812 (44 U.S.C. 3501 et seq.))
[43 FR 47459, Oct. 13, 1978, as amended at 47 FR 14706, Apr. 6,
1982; 60 FR 33719, June 29, 1995]

October 2007
28