1219-0127 Supporting Statement 2023

Certification and Qualification to Examine, Test, Operate Hoists and Perform Other Duties

OMB Control Number 1219-0127

OMB Expiration Date: 1/31/2024

Supporting Statement for

Certification and Qualification to Examine, Test, Operate Hoists and Perform other Duties Paperwork Reduction Act Submission

This ICR seeks to extend, without change, an existing information collection.

OMB Control Number: 1219-0127

Information Collection Request Title: Certification and Qualification to Examine, Test, Operate Hoists and Perform Other Duties

Authority:

30 CFR Subpart B – Qualified and Certified Persons

Underground Coal Mines

• 30 CFR 75.100 Certified person.

• 30 CFR 75.155 Qualified hoisting engineer; qualifications.

• 30 CFR 75.159 Records of certified and qualified persons.

• 30 CFR 75.160 Training programs.

• 30 CFR 75.161 Plans for training programs.

Surface Coal Mines and Surface Work Areas of Underground Coal Mines

• 30 CFR 77.100 Certified person.

• 30 CFR 77.105 Qualified hoistman; slope or shaft sinking operation; qualifications.

• 30 CFR 77.106 Records of certified and qualified persons.

• 30 CFR 77.107 Training programs.

• 30 CFR 77.107-1 Plans for training programs.

Collection Instrument(s): MSHA Form 5000-41, Safety and Health Activity Certification or Hoisting Engineers Qualification Request Form

General Instructions

A Supporting Statement, including the text of the notice to the public required by 5 CFR 1320.5(a)(i)(iv) and its actual or estimated date of publication in the Federal Register, must accompany each request for approval of a collection of information. The Supporting Statement must be prepared in the format described below, and must contain the information specified in Section A below. If an item is not applicable, provide a brief explanation. When the question “Does this ICR contain surveys, censuses or employ statistical methods” is checked "Yes", Section B of the Supporting Statement must be completed. OMB reserves the right to require the submission of additional information with respect to any request for approval.

Specific Instructions

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 information.

Section 103(h) of the Federal Mine Safety and Health Act of 1977, as amended (Mine Act), 30 U.S.C. 813(h), authorizes the Mine Safety and Health Administration (MSHA) to collect information necessary to carry out its duty in protecting the safety and health of miners. Further, section 101(a) of the Mine Act, 30 U.S.C. 811(a), authorizes the Secretary of Labor (Secretary) to 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 and metal and nonmetal mines.

Under 30 U.S.C. 813(a), authorized representatives of the Secretary or Secretary of Health and Human Services must make frequent inspections and investigations in coal or other mines each year for the purpose of gathering information with respect to mandatory health or safety standards.

30 CFR 75.100 and 77.100 defines a certified person is a person who has been certified as a mine foreman (mine manager), an assistant mine foreman (section foreman), or a preshift examiner (mine examiner). The certified persons are qualified to perform duties under 30 CFR 75 and 77, such as examining for hazardous conditions, testing for methane and oxygen deficiency, conducting tests of air flow, performing electrical work, repairing energized surface high-voltage lines, and performing the duties of hoisting engineer. In addition to experience in coal mines, the certified person is required to make the required examinations and tests, including being qualified to test for methane and for oxygen deficiency.

30 CFR 75.155 outlines the requirements necessary to be qualified as a hoisting engineer to operate a steam-driven hoist or electrically driven hoist in underground coal mines if the person has at least 1 year experience as an engineer in a steam-driven or electrically driven hoisting plant and is qualified by the State in which the mine is located as a steam-hoisting engineer.

30 CFR 77.105 outlines the requirements necessary to be qualified as a hoistman to a hoist at a slope or shaft sinking operation in surface coal mines if the person if he has at least 1 year experience operating a hoist plant or maintaining hoist equipment and is qualified by any State as a hoistman or its equivalency.

Under 30 CFR 75.160, 75.161, 77.107, and 77.107-1, the mine operator must have an approved training plan developed to train and retrain the qualified and certified persons to effectively perform their tasks.

30 CFR 75.159 and 30 CFR 77.106 require coal mine operators to maintain a list of persons who are certified and qualified to perform duties. This information collection is necessary to ensure that only persons who are properly trained and sufficiently experienced are permitted to perform these duties. Although MSHA does not specify a format for the recordkeeping, it normally consists of the names of the certified and qualified persons listed in two columns on a sheet of paper. One column is for certified persons and the other is for qualified persons.

These regulations recognize State certification and qualification programs. However, where State programs are not available, MSHA may certify and qualify miners to carry out certain functions prescribed in the Mine Act. Under this program, MSHA will qualify or certify individuals if these individuals meet the requirements for qualification or certification, fulfill any applicable retraining requirements, and remain employed at the same mine or by the same independent contractor.

Applications for MSHA qualification or certification are submitted to the MSHA Qualification and Certification Unit in Denver, Colorado. MSHA Form 5000-41, Safety and Health Activity Certification or Hoisting Engineer Qualification Request, provides the coal mining industry with a standardized reporting format that expedites the certification and qualification process while ensuring compliance with the regulations. MSHA uses the information collected through this form to determine if applicants satisfy the requirements to obtain the certification or qualification. Persons must meet certain minimum experience requirements depending on the type of certification or qualification sought.

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 collection.

The information is used by the mine operator and MSHA enforcement personnel to ensure that miners performing certain examinations, tests, and duties are certified, qualified, and properly trained as required by MSHA regulations.

Mine operators use MSHA Form 5000-41 to report the names of persons who have satisfactorily completed required mine foreman and hoisting training. MSHA uses the information to issue certification/qualification cards to those persons who are certified/qualified.

The mine operator also uses MSHA Form 5000-41 as an application to certify miners to perform specific required examinations and test, or to qualify miners as hoisting engineers or hoistmen, in States without certification programs. The MSHA Qualification and Certification Unit then mails the applicant a certificate. This certification satisfies MSHA requirements where State certification programs are not available.

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.

No improved information technology has been identified that would reduce the burden. However, the mine operator may retain the records in whatever method he or she chooses, which may include using computer technology. MSHA Form 5000-41 may be submitted online, by fax, or by mail.

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 A.2 above.

No duplication of the information requested exists. Records are unique to each mine.

5. If the collection of information impacts small businesses or other small entities, describe any 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.

The Mine Act requires that miners be certified or qualified to perform certain examinations and tests. This collection ensures such certification and qualification. If these collections are not conducted, miners may be exposed to safety hazards such as explosion, fire, and electrical shock. The list of qualified or certified individuals ensures that only those qualified or certified to perform duties requiring specialized expertise at underground and surface coal mines is authorized to conduct examinations for hazardous conditions, conduct tests for methane and oxygen deficiency, conduct tests of air flow, perform electrical work, repair energized surface high-voltage lines, and perform duties of hoisting engineer. The regulations do not specify how frequently the lists are to be updated; however, mine operators normally update them quarterly. Less frequent information collection may result in a shortage of persons qualified and certified to perform important safety and health functions at mines, which would be inconsistent with the purposes of the Mine Act. Without the lists, MSHA would not be able to effectively enforce the requirements of the Mine Act.

MSHA Form 5000-41 is an application form for miners in States without a certification/qualification program as well as the form that notifies MSHA that specific individuals have specific training. Without the information on this form, MSHA would be unable to certify or qualify any miner for specified jobs in States without certification/qualification programs or as hoisting engineers or hoistmen.

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 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 CFR 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 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.

In accordance with 5 CFR 1320.8(d), MSHA will publish the proposed information collection requirements in the Federal Register, notifying the public that these information collection requirements are being reviewed in accordance with the Paperwork Reduction Act of 1995, and giving interested persons 60 days to submit comments. MSHA published a 60-day Federal Register notice on August 16, 2023 (88 FR 157). No comments received.

9. Explain any decision to provide any payments or gifts 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.

There is no assurance of confidentiality provided to respondents for certification or qualification other than nondisclosure of personally identifiable information (PII). Such PII includes the applicant’s name and address. A nine-digit MSHA Individual identification Number (MIIN) will be assigned by MSHA for the purpose of identification. MSHA requires the miner’s address to mail the miner his or her certification or qualification card. Instructions concerning content, format, and required training are included with the form.

To the extent that records are kept by the Agency, MSHA Form 5000-41, they are covered by the Privacy Act of 1974, as amended, 5 U.S.C. 552a. The records are protected as provided in the system of records notice (SORN), Privacy Act of 1974; Publication in Full of All Notices of Systems of Records, Including Several New Systems, Substantive Amendments to Existing Systems, Decommissioning of Obsolete Legacy Systems, and Publication of Proposed Routines Uses, 81, DOL/MSHA-1, Mine Safety and Health Administration Standardized Information System (MSIS) (81 Fed. Reg. 25766, April 29, 2016,). Files are posted with the appropriate Privacy Act notice. Manual records are stored in locked files and are accessible only to authorized personnel during working hours. Only authorized personnel have access to the files during working hours.

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. General, 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.

• 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.

Respondents

In CY 2022, there were 471 surface coal mine operations, 300 surface coal facility operations, and 219 underground coal mine operations, totaling 990 mine operations.

Wage Rates Determinations¹

MSHA used data from the May 2022 Occupational Employment and Wage Statistics (OEWS) published by the Bureau of Labor Statistics (BLS) for hourly wage rates² and adjusted the rates for benefits,³ wage inflation,⁴ and overhead costs.⁵ The occupations listed below in Table 12-1 are those that were determined to be relevant for the cost calculations.

Table 12-1. Hourly Wage Rates

Occupation	NAICS Code	Mean Wage Rate	Benefit Multiplier	Inflation Multiplier	Overhead Cost Multiplier	Loaded Hourly Wage Rate
		A	B	C	D	A x B x C x D
Mining Supervisor*	212100	$49.68	1.487	1.022	1.17	$88.33

Note: MSHA used the latest 4-quarter moving average 2022Q1-2022Q4 to determine that 32.8 percent of total loaded wages are benefits for private industry workers in construction, extraction, farming, fishing, and forestry occupations. The benefit multiplier is 1.487= 1+ (0.328/(1-0.328)). The inflation multiplier of 1.022 was determined by using the employment price index from the most current quarter data is available, 2022Q4, divided by the base year and quarter of the OEWS employment and wage statistics, 2022Q2, for private industry workers in construction, extraction, farming, fishing, and forestry occupations, current dollar index. The inflation multiplier is 1.022 = 153.8/150.5. MSHA used the overhead multiplier of 1.17.

*The Standard Occupation Codes (SOC) used for this occupation are (47-1011), (49-1011), (51-1011), and (53-1047).

List of Certified and Qualified Persons

Each operator is required to maintain a list of certified and qualified persons who are required to perform duties under 30 CFR 75 and 77. Each coal mine operator normally updates the list each quarter. The estimated time per response to update the list of certified and qualified persons is 5 minutes. MSHA estimates that a mine supervisor earning an hourly wage rate (including benefits) of $88.33 per hour will update the certified/qualified person lists.

MSHA estimates the burden cost as follows:

Table 12-2. Estimated Annual Respondent Hour and Cost Burden, List of Certified and Qualified Persons (30 CFR 75.100, 75.159, 77.100, and 77.106)

Occupation	Respondents (Mine Operators)	Responses per Respondent	Number of Responses (Lists)	Average Burden Minutes per Response	Total Annual Burden Hours	Average Hourly Wage Rate	Annual Burden Cost
Mining Supervisor	990	4	3,960	5	330.00	$88.33	$29,148.47
Subtotal (Rounded)	990		3,960		330		$29,148

1. MSHA Form 5000-41

Applications for MSHA hoisting engineer qualification are submitted to the MSHA Qualification and Certification Unit in Denver, Colorado. Data obtained from the MSHA Qualification and Certification Unit for CY 2022 indicates that a total of 20 MSHA Form 5000-41 were submitted which designated hoisting certifications. Of the 20 forms received, 45 miners were reported as hoisting engineers. The information collected on MSHA Form 5000-41 is readily available to the mine operator from employee records. Of the 20 MSHA Form 5000-41 submitted, 15 were submitted electronically and 5 were mailed. MSHA estimates that it will take approximately 10 minutes to complete the electronic version of MSHA Form 5000-41 and 17 minutes to complete and mail the hard copy version of MSHA Form 5000-41. The burden estimated by MSHA is based on MSHA’s knowledge of the mining industry and MSHA’s frequent interaction with the mining industry. MSHA employees who have previously worked for the mining industry have substantiated this estimation.

Accordingly, the hour burden is calculated as follows:

Table 12-3. Estimated Annual Respondent Hour and Cost Burden, MSHA Form 5000-41 (30 CFR 75.155 and 77.105)

Occupation/ Activity	Respondents (Mine Operators)	Responses per Respondent	Number of Responses (Forms)	Average Burden Minutes per Response	Total Annual Burden Hours	Average Hourly Wage Rate	Annual Burden Cost
Mining Supervisor - Hard Copy Response	5	1	5	17	1.42	$88.33	$125.13
Mining Supervisor - Electronic Response	15	1	15	10	2.50	$88.33	$220.82
Subtotal (Rounded)	20		20		4		$346

The number of MSHA Form 5000-41 submission for CY2022 is substantially lower than earlier years, possibly because only forms submitted for designated hoisting certification only are included in CY2022 submission.

SUMMARY OF BURDEN HOURS

Table 12-4. Estimated Annual Respondent Hour and Cost Burden, Totals

Activity	Number of Respondents	Number of Responses per Respondent	Total Responses	Average Burden (Hours)	Total Burden (Hours)	Hourly Wage Rate	Total Burden Cost
List of Certified and Qualified Persons	990	4	3,960	0.08	330.00	$88.33	$29,148.47
MSHA Form 5000-41 (Hard Copy Response)	5	1	5	0.28	1.42	$88.33	$125.13
MSHA Form 5000-41 (Electronic Response)	15	1	15	0.17	2.50	$88.33	$220.82
Total (Rounded)	990		3,980		334		$29,494

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 service 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 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.

In CY2022, 5 MSHA Form 5000-41 submission were mailed. The cost of mailing the forms to MSHA is $0.63 each. Accordingly, the annual postage cost is estimated as follows:

Table 13-1. Mailing MSHA Form 5000-41 (30 CFR 75.155 and 77.105)

Activity	Respondents (Mine Operators)	Responses per Respondent	Number of Responses (Forms)	Cost per Item (Operation)	Total Annual Cost
Mailing MSHA Form 5000-41	5	1	5	$0.63	$3.15
Total (Rounded)	5		5		$3

14. Provide estimates of the 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), 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 into a single table.

MSHA enforcement personnel examine the records during routine inspections; therefore, no additional information collection cost is incurred by the Federal Government.

15. Explain the reasons for any program changes or adjustments.

Respondents: The number of respondents increased from 674 to 990 mining operations.

Responses: The number of responses increased from 3,259 to 3,980 due to an increase in the number of respondents.

Burden Hours: The number of burden hours increased slightly from 330 to 334 due to an increase in the number of respondents and a decrease in the number of MSHA Form 5000-41 submitted.

Respondents or Recordkeeping Costs: The respondent or recordkeeper costs decreased from $56 to $3 due to a change in methodology for how MSHA Form 5000-41 submissions are estimated.

Table 15-1. Summary of Changes

	Previous	Current	Difference
Respondents	674	990	316
Responses	3,259	3,980	721
Burden Hours	330	334	4
Respondent or Recordkeeper Costs	$56	$3	-$53

16. For collections of information whose results will be published, outline plans for tabulations, 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 will display the expiration date on MSHA Form 5000-41.

18. Explain each exception to the topics of certification statement.

There are no exceptions to the certification statement.

B. Collection of Information Employing Statistical Methods

This collection of information does not employ statistical methods.

1 For all wage rates, MSHA uses the relevant precision throughout the calculation to avoid compound rounding errors and rounds at the final rate value. Displayed intermediate calculation values are presented to explain the calculation and are representative but the final rate value reflects the correct rounding and final estimate.

2

Options for obtaining OEWS data are available at item “E3. How to get OEWS data. What are the different ways to obtain OEWS estimates from this website?” at https://www.bls.gov/oes/oes_ques.htm.

3 The benefit multiplier comes from BLS Employer Costs for Employee Compensation accessed by menu at http://data.bls.gov/cgi-bin/srgate or directly with http://download.bls.gov/pub/time.series/cm/cm.data.0.Current. Insert series ID CMU2030000405000D and CMU2030000405000P - Private Industry Total benefits for Construction, extraction, farming, fishing, and forestry occupations - which is divided by 100 to convert to a decimal value. MSHA used the latest 4-quarter moving average to determine what percent of total loaded wages are benefits. MSHA computes the benefit multiplier with a number of detailed calculations, but it may be approximated with the formula 1 + (benefit percentage/(1-benefit percentage)).

4 Wage inflation is the change in Series ID: CIS2020000405000I; Seasonally adjusted; Series Title: Wages and salaries for Private industry workers in Construction, extraction, farming, fishing, and forestry occupations, Index at https://data.bls.gov/cgi-bin/srgate. Inflation multiplier = (current quarter cost index value / OEWS wage base quarter index value).

5 MSHA used an overhead rate of 17 percent. This overhead rate is based on a 2002 EPA report by Cody Rice, "Wage Rates for Economic Analysis of the Toxics Release Inventory Program", available at https://www.regulations.gov/document/EPA-HQ-OPPT-2016-0387-0064.

13