Pattern of Violations

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
1219-0150 PUBLISHED 60 Day 3 22 2022.pdf	Supplementary Document	Uploaded 2022-07-27	Repair queued
1219-0150 Sup Statement 5-31-2022.docx	Supporting Statement A	Uploaded 2022-06-01	Repair queued

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
195900	Pattern of Violations		Modified

ICR Details

OMB Control No: 1219-0150	ICR Reference No: 202205-1219-002
Status: Historical Active	Previous ICR Reference No: 201904-1219-005
Agency/Subagency: DOL/MSHA	Agency Tracking No:
Title: Pattern of Violations
Type of Information Collection: Extension without change of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Approved without change	Conclusion Date: 10/17/2022
Retrieve Notice of Action (NOA)	Date Received in OIRA: 08/03/2022
Terms of Clearance:

table that charts list comparision

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	10/31/2025	36 Months From Approved	10/31/2022
Responses	12	0	44
Time Burden (Hours)	304	0	5,984
Cost Burden (Dollars)	800	0	4,400

---

Abstract: The Federal Mine Safety and Health Act of 1977 (Mine Act), as amended, places the ultimate responsibility on mine operators for ensuring the safety and health of miners. The legislative history of the Mine Act emphasizes that Congress included the pattern of violations (POV) provision for mine operators who demonstrated a disregard for the safety and health of miners through a recurring pattern of significant and substantial (S&S) violations. MSHA was to use the POV provision in situations where other enforcement actions had been ineffective at bringing the mines into compliance with safety and health standards. This final rule will simplify the POV criteria, improve consistency in applying the POV criteria, and more adequately achieve the statutory intent. It also will encourage chronic violators to take proactive measures to comply with the Mine Act and MSHA's safety and health standards to bring their mines into compliance. This final rule contains a provision subject to review and approval by OMB under the Paperwork Reduction Act of 1995 (PRA). MSHA is submitting this information collection package to OMB for review under 44 U.S.C. § 3504, paragraph (h) of the PRA, as amended (44 U.S.C. 3501 et seq.). The existing rule included mitigating circumstances under the initial screening criteria, but does not define mitigating circumstances. MSHA explains its intent in policy. The final rule incorporates the initial screening criteria into the pattern criteria for placing a mine in a POV status. The preamble to the final rule states that MSHA will consider an operator's effective implementation of an MSHA-approved corrective action program as a mitigating circumstance. MSHA expects that most mine operators, who compare their compliance record with the POV criteria on MSHA's Web site and determine that they are approaching a POV level, will submit a written corrective action program to the District Manager for approval and work to bring their mines into compliance to avoid being issued a POV notice, which could result in the temporary closure of the mine or sections of the mine. MSHA believes that an operator who implements a corrective action program is demonstrating a commitment to complying with MSHA's standards and regulations, and to restoring safe and healthful conditions for miners.

---

Authorizing Statute(s): US Code: 30 USC 813(h) Name of Law: Federal Mine Safety and Health Act of 1977 (Mine Act)
   US Code: 30 USC 811(a) Name of Law: Federal Mine Safety and Health Act of 1977 (Mine Act)
  

Citations for New Statutory Requirements: None

---

Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
	Not associated with rulemaking

---

Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	87 FR 16239	03/22/2022
30-day Notice:	Federal Register Citation:	Citation Date:
	87 FR 47469	08/03/2022
Did the Agency receive public comments on this ICR? Yes

---

Number of Information Collection (IC) in this ICR: 1

table that charts list of burden

IC Title	Form No.	Form Name
Pattern of Violations

---

ICR Summary of Burden

table that charts list of burden

	Total Approved	Previously Approved	Change Due to New Statute	Change Due to Agency Discretion	Change Due to Adjustment in Estimate	Change Due to Potential Violation of the PRA
Annual Number of Responses	12	44	0	0	-32	0
Annual Time Burden (Hours)	304	5,984	0	0	-5,680	0
Annual Cost Burden (Dollars)	800	4,400	0	0	-3,600	0

Burden increases because of Program Change due to Agency Discretion: No

Burden Increase Due to:

Burden decreases because of Program Change due to Agency Discretion: No

Burden Reduction Due to:

Short Statement: Respondents: There has been a decrease in the number of respondents (44 to 6). There was an overstatement of the number of CAPs created in previous years, Responses: There has been a decrease in responses (44 to 12), due to a decrease in number of respondents. In addition, MSHA has corrected its estimate of responses per respondent to account for quarterly responses on existing CAPs. Burden Hours: There has been a decrease in burden hours (from 5,984 to 304) as a result of decreased respondents. This was a previously high estimate in respondents compared to what MSHA currently experiences. This can be attributed in part to improved compliance as a result of actions taken by the Agency, such as targeted inspections. Cost: There has been a decrease in annual cost (from $4,400 to $800). This is due to a high MSHA estimate compared to what MSHA currently experiences and can be attributed in part to improved compliance as a result of actions taken the Agency such as targeted inspections.

---

Annual Cost to Federal Government: $4,223

Does this IC contain surveys, censuses, or employ statistical methods? No

Does this ICR request any personally identifiable information (see OMB Circular No. A-130 for an explanation of this term)? Please consult with your agency's privacy program when making this determination.     No

Does this ICR include a form that requires a Privacy Act Statement (see 5 U.S.C. §552a(e)(3))? Please consult with your agency's privacy program when making this determination.     No

Is this ICR related to the Affordable Care Act [Pub. L. 111-148 & 111-152]? No

Is this ICR related to the Dodd-Frank Wall Street Reform and Consumer Protection Act, [Pub. L. 111-203]? No

Is this ICR related to the American Recovery and Reinvestment Act of 2009 (ARRA)? No

Is this ICR related to the Pandemic Response? No

---

Common Form ICR:  No

---

On behalf of this Federal agency, I certify that the collection of information encompassed by this request complies with 5 CFR 1320.9 and the related provisions of 5 CFR 1320.8(b)(3).

The following is a summary of the topics, regarding the proposed collection of information, that the certification covers:

(a) It is necessary for the proper performance of agency functions;

(b) It avoids unnecessary duplication;

(c) It reduces burden on small entities;

(d) It uses plain, coherent, and unambiguous language that is understandable to respondents;

(e) Its implementation will be consistent and compatible with current reporting and recordkeeping practices;

(f) It indicates the retention periods for recordkeeping requirements;

(g) It informs respondents of the information called for under 5 CFR 1320.8 (b)(3) about:

(i) Why the information is being collected;

(ii) Use of information;

(iii) Burden estimate;

(iv) Nature of response (voluntary, required for a benefit, or mandatory);

(v) Nature and extent of confidentiality; and

(vi) Need to display currently valid OMB control number;

(h) It was developed by an office that has planned and allocated resources for the efficient and effective management and use of the information to be collected.

(i) It uses effective and efficient statistical survey methodology (if applicable); and

(j) It makes appropriate use of information technology.

If you are unable to certify compliance with any of these provisions, identify the item by leaving the box unchecked and explain the reason in the Supporting Statement.

Certification Date: 08/03/2022

---