[Title 30 CFR ]
[Code of Federal Regulations (annual edition) - July 1, 2007 Edition]
[From the U.S. Government Printing Office]



[[Page i]]

          

          30


          Parts 1 to 199

                         Revised as of July 1, 2007


          Mineral Resources
          



________________________

          Containing a codification of documents of general 
          applicability and future effect

          As of July 1, 2007
          With Ancillaries
                    Published by
                    Office of the Federal Register
                    National Archives and Records
                    Administration
                    A Special Edition of the Federal Register

[[Page ii]]

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[[Page iii]]




                            Table of Contents



                                                                    Page
  Explanation.................................................       v

  Title 30:
          Chapter I--Mine Safety and Health Administration, 
          Department of Labor                                        3
  Finding Aids:
      Material Approved for Incorporation by Reference........     705
      Table of CFR Titles and Chapters........................     709
      Alphabetical List of Agencies Appearing in the CFR......     727
      List of CFR Sections Affected...........................     737

[[Page iv]]





                     ----------------------------

                     Cite this Code: CFR
                     To cite the regulations in 
                       this volume use title, 
                       part and section number. 
                       Thus, 30 CFR 1.1 refers to 
                       title 30, part 1, section 
                       1.

                     ----------------------------

[[Page v]]



                               EXPLANATION

    The Code of Federal Regulations is a codification of the general and 
permanent rules published in the Federal Register by the Executive 
departments and agencies of the Federal Government. The Code is divided 
into 50 titles which represent broad areas subject to Federal 
regulation. Each title is divided into chapters which usually bear the 
name of the issuing agency. Each chapter is further subdivided into 
parts covering specific regulatory areas.
    Each volume of the Code is revised at least once each calendar year 
and issued on a quarterly basis approximately as follows:

Title 1 through Title 16.................................as of January 1
Title 17 through Title 27..................................as of April 1
Title 28 through Title 41...................................as of July 1
Title 42 through Title 50................................as of October 1

    The appropriate revision date is printed on the cover of each 
volume.

LEGAL STATUS

    The contents of the Federal Register are required to be judicially 
noticed (44 U.S.C. 1507). The Code of Federal Regulations is prima facie 
evidence of the text of the original documents (44 U.S.C. 1510).

HOW TO USE THE CODE OF FEDERAL REGULATIONS

    The Code of Federal Regulations is kept up to date by the individual 
issues of the Federal Register. These two publications must be used 
together to determine the latest version of any given rule.
    To determine whether a Code volume has been amended since its 
revision date (in this case, July 1, 2007), consult the ``List of CFR 
Sections Affected (LSA),'' which is issued monthly, and the ``Cumulative 
List of Parts Affected,'' which appears in the Reader Aids section of 
the daily Federal Register. These two lists will identify the Federal 
Register page number of the latest amendment of any given rule.

EFFECTIVE AND EXPIRATION DATES

    Each volume of the Code contains amendments published in the Federal 
Register since the last revision of that volume of the Code. Source 
citations for the regulations are referred to by volume number and page 
number of the Federal Register and date of publication. Publication 
dates and effective dates are usually not the same and care must be 
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instances where the effective date is beyond the cut-off date for the 
Code a note has been inserted to reflect the future effective date. In 
those instances where a regulation published in the Federal Register 
states a date certain for expiration, an appropriate note will be 
inserted following the text.

OMB CONTROL NUMBERS

    The Paperwork Reduction Act of 1980 (Pub. L. 96-511) requires 
Federal agencies to display an OMB control number with their information 
collection request.

[[Page vi]]

Many agencies have begun publishing numerous OMB control numbers as 
amendments to existing regulations in the CFR. These OMB numbers are 
placed as close as possible to the applicable recordkeeping or reporting 
requirements.

OBSOLETE PROVISIONS

    Provisions that become obsolete before the revision date stated on 
the cover of each volume are not carried. Code users may find the text 
of provisions in effect on a given date in the past by using the 
appropriate numerical list of sections affected. For the period before 
January 1, 2001, consult either the List of CFR Sections Affected, 1949-
1963, 1964-1972, 1973-1985, or 1986-2000, published in 11 separate 
volumes. For the period beginning January 1, 2001, a ``List of CFR 
Sections Affected'' is published at the end of each CFR volume.

INCORPORATION BY REFERENCE

    What is incorporation by reference? Incorporation by reference was 
established by statute and allows Federal agencies to meet the 
requirement to publish regulations in the Federal Register by referring 
to materials already published elsewhere. For an incorporation to be 
valid, the Director of the Federal Register must approve it. The legal 
effect of incorporation by reference is that the material is treated as 
if it were published in full in the Federal Register (5 U.S.C. 552(a)). 
This material, like any other properly issued regulation, has the force 
of law.
    What is a proper incorporation by reference? The Director of the 
Federal Register will approve an incorporation by reference only when 
the requirements of 1 CFR part 51 are met. Some of the elements on which 
approval is based are:
    (a) The incorporation will substantially reduce the volume of 
material published in the Federal Register.
    (b) The matter incorporated is in fact available to the extent 
necessary to afford fairness and uniformity in the administrative 
process.
    (c) The incorporating document is drafted and submitted for 
publication in accordance with 1 CFR part 51.
    Properly approved incorporations by reference in this volume are 
listed in the Finding Aids at the end of this volume.
    What if the material incorporated by reference cannot be found? If 
you have any problem locating or obtaining a copy of material listed in 
the Finding Aids of this volume as an approved incorporation by 
reference, please contact the agency that issued the regulation 
containing that incorporation. If, after contacting the agency, you find 
the material is not available, please notify the Director of the Federal 
Register, National Archives and Records Administration, Washington DC 
20408, or call 202-741-6010.

CFR INDEXES AND TABULAR GUIDES

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also included in this volume.
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that volume.
    The Federal Register Index is issued monthly in cumulative form. 
This index is based on a consolidation of the ``Contents'' entries in 
the daily Federal Register.
    A List of CFR Sections Affected (LSA) is published monthly, keyed to 
the revision dates of the 50 CFR titles.

[[Page vii]]


REPUBLICATION OF MATERIAL

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INQUIRIES

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register. The NARA site also contains links to GPO Access.

                              Raymond A. Mosley,
                                    Director,
                          Office of the Federal Register.

July 1, 2007.

[[Page ix]]



                               THIS TITLE

    Title 30--Mineral Resources is composed of three volumes. The parts 
in these volumes are arranged in the following order: Parts 1 to 199, 
parts 200 to 699, and part 700 to end. The contents of these volumes 
represent all current regulations codified under this title of the CFR 
as of July 1, 2007.

    For this volume, Moja N. Mwaniki was Chief Editor. The Code of 
Federal Regulations publication program is under the direction of 
Frances D. McDonald, assisted by Ann Worley.


[[Page 1]]



                       TITLE 30--MINERAL RESOURCES




                   (This book contains parts 1 to 199)

  --------------------------------------------------------------------
                                                                    Part

chapter i--Mine Safety and Health Administration, Department 
  of Labor..................................................           1

[[Page 3]]



  CHAPTER I--MINE SAFETY AND HEALTH ADMINISTRATION, DEPARTMENT OF LABOR




  --------------------------------------------------------------------


  Editorial Note: Nomenclature changes to chapter I appear at 69 FR 
18803, Apr. 9, 2004.

SUBCHAPTER A--OFFICIAL EMBLEM AND OMB CONTROL NUMBERS FOR RECORDKEEPING 
                              AND REPORTING
Part                                                                Page
1               Mine Safety and Health Administration; 
                    establishment and use of official emblem           7
3               OMB Control Numbers Under the Paperwork 
                    Reduction Act...........................           7
   SUBCHAPTER B--TESTING, EVALUATION, AND APPROVAL OF MINING PRODUCTS
5               Fees for testing, evaluation, and approval 
                    of mining products......................          11
6               Testing and evaluation by independent 
                    laboratories and non-MSHA product safety 
                    standards...............................          12
7               Testing by applicant or third party.........          14
15              Requirements for approval of explosives and 
                    sheathed explosive units................          84
18              Electric motor-driven mine equipment and 
                    accessories.............................          91
19              Electric cap lamps..........................         130
20              Electric mine lamps other than standard cap 
                    lamps...................................         135
22              Portable methane detectors..................         140
23              Telephones and signaling devices............         144
27              Methane-monitoring systems..................         149
28              Fuses for use with direct current in 
                    providing short-circuit protection for 
                    trailing cables in coal mines...........         156
33              Dust collectors for use in connection with 
                    rock drilling in coal mines.............         162
35              Fire-resistant hydraulic fluids.............         169

[[Page 4]]

36              Approval requirements for permissible mobile 
                    diesel-powered transportation equipment.         176
                       SUBCHAPTERS C-F [RESERVED]
       SUBCHAPTER G--FILING AND OTHER ADMINISTRATIVE REQUIREMENTS
40              Representative of miners....................         189
41              Notification of legal identity..............         190
42              National Mine Health and Safety Academy.....         192
43              Procedures for processing hazardous 
                    conditions complaints...................         193
44              Rules of practice for petitions for 
                    modification of mandatory safety 
                    standards...............................         196
45              Independent contractors.....................         208
                  SUBCHAPTER H--EDUCATION AND TRAINING
46              Training and retraining of miners engaged in 
                    shell dredging or employed at sand, 
                    gravel, surface stone, surface clay, 
                    colloidal phosphate, or surface 
                    limestone mines.........................         210
47              Hazard Communication (HazCom)...............         218
48              Training and retraining of miners...........         226
49              Mine rescue teams...........................         246
SUBCHAPTER I--ACCIDENTS, INJURIES, ILLNESSES, EMPLOYMENT, AND PRODUCTION 
                                IN MINES
50              Notification, investigation, reports and 
                    records of accidents, injuries, 
                    illnesses, employment, and coal 
                    production in mines.....................         252
                         SUBCHAPTER J [RESERVED]
         SUBCHAPTER K--METAL AND NONMETAL MINE SAFETY AND HEALTH
56              Safety and health standards--surface metal 
                    and nonmetal mines......................         263
57              Safety and health standards--underground 
                    metal and nonmetal mines................         319

[[Page 5]]

58              Health standards for metal and nonmetal 
                    mines...................................         419
                         SUBCHAPTER L [RESERVED]
              SUBCHAPTER M--UNIFORM MINE HEALTH REGULATIONS
62              Occupational noise exposure.................         420
                         SUBCHAPTER N [RESERVED]
                SUBCHAPTER O--COAL MINE SAFETY AND HEALTH
70              Mandatory health standards--underground coal 
                    mines...................................         428
71              Mandatory health standards--surface coal 
                    mines and surface work areas of 
                    underground coal mines..................         436
72              Health standards for coal mines.............         447
74              Coal mine dust personal sampler units.......         451
75              Mandatory safety standards--underground coal 
                    mines...................................         456
77              Mandatory safety standards, surface coal 
                    mines and surface work areas of 
                    underground coal mines..................         620
90              Mandatory health standards--coal miners who 
                    have evidence of the development of 
                    pneumoconiosis..........................         676
SUBCHAPTER P--CIVIL PENALTIES FOR VIOLATIONS OF THE FEDERAL MINE SAFETY 
                         AND HEALTH ACT OF 1977
100             Criteria and procedures for proposed 
                    assessment of civil penalties...........         685
101-103         [Reserved]

                   SUBCHAPTER Q--PATTERN OF VIOLATIONS
104             Pattern of violations.......................         699
105-199         [Reserved]

[[Page 7]]



 SUBCHAPTER A_OFFICIAL EMBLEM AND OMB CONTROL NUMBERS FOR RECORDKEEPING 
                              AND REPORTING



PART 1_MINE SAFETY AND HEALTH ADMINISTRATION; ESTABLISHMENT AND USE OF 

OFFICIAL EMBLEM--Table of Contents



Sec.
1.1 Official emblem.
1.2 Description.
1.3 Use of letters and acronym MSHA.

    Authority: Sec. 508, Federal Coal Mine Health and Safety Act of 
1969; sec. 301 of Title 5, United States Code; secs. 301(a) and 302(a), 
Federal Mine Safety and Health Amendments Act of 1977, Pub. L. 95-164, 
30 U.S.C. 961 and 951 and 29 U.S.C. 577a, 91 Stat. 1317 and 91 Stat. 
1319; sec. 508, Federal Mine Safety and Health Act of 1977, Pub. L. 91-
173 as amended by Pub. L. 95-164, 30 U.S.C. 957, 83 Stat. 803.

    Source: 39 FR 23997, June 28, 1974, unless otherwise noted.



Sec. 1.1  Official emblem.

    The following emblem is established and shall be used as the 
official emblem of the Mine Safety and Health Administration, except 
where use of the Departmental Seal is required:
[GRAPHIC] [TIFF OMITTED] TC22OC91.000


[39 FR 23997, June 28, 1974, as amended at 43 FR 12312, Mar. 24, 1978]



Sec. 1.2  Description.

    The emblem of the Mine Safety and Health Administration is of 
contemporary design with the letters and acronym of the Administration 
delineated as MSHA appearing in large letters in the middle of the 
emblem. Above the letters and acronym appear the words ``United States 
Department of Labor'' and below the letters and acronym appear the words 
``Mine Safety and Health Administration.''

[39 FR 23997, June 28, 1974, as amended at 43 FR 12312, Mar. 24, 1978]



Sec. 1.3  Use of letters and acronym MSHA.

    The letters and acronym MSHA may be used and substituted for the 
words ``Mine Safety and Health Administration'' in correspondence, 
rules, regulations, and in certificates of approval, approval plates, 
labels, and markings prescribed by the Mine Safety and Health 
Administration to designate and denote equipment, devices, and apparatus 
approved as ``permissible'' and suitable for use in mines under the 
applicable parts of Chapter I of this title, and in such other 
documents, publications, and pamphlets, and on signs, clothing and 
uniforms, and offices of the Administration and at such times and 
locations as may be deemed appropriate by the Assistant Secretary of 
Labor for Mine Safety and Health.

[39 FR 23997, June 28, 1974, as amended at 43 FR 12312, Mar. 24, 1978]



PART 3_OMB CONTROL NUMBERS UNDER THE PAPERWORK REDUCTION ACT--Table of 

Contents




    Authority: 30 U.S.C. 957; 44 U.S.C. 3501-3520.



Sec. 3.1  OMB control numbers.

    The collection of information requirements in MSHA regulation 
sections in this chapter have been approved and assigned control numbers 
by the Office of Management and Budget (OMB) under the Paperwork 
Reduction Act. Regulation sections in this chapter containing paperwork 
requirements and their respective OMB control numbers are displayed in 
the following table:

                      Table 1--OMB Control Numbers
------------------------------------------------------------------------
                  30 CFR Citation                      OMB Control No.
------------------------------------------------------------------------
   Subchapter B--Testing, Evaluation, and Approval of Mining Products
------------------------------------------------------------------------
6.10..............................................             1219-0066
7.3...............................................             1219-0066
7.4...............................................             1219-0066
7.6...............................................             1219-0066
7.7...............................................             1219-0066

[[Page 8]]

 
7.23..............................................             1219-0066
7.27..............................................             1219-0066
7.28..............................................             1219-0066
7.29..............................................             1219-0066
7.30..............................................             1219-0066
7.43..............................................             1219-0066
7.46..............................................             1219-0066
7.47..............................................             1219-0066
7.48..............................................             1219-0066
7.49..............................................             1219-0066
7.51..............................................             1219-0066
7.63..............................................             1219-0066
7.69..............................................             1219-0066
7.71..............................................             1219-0066
7.83..............................................             1219-0066
7.90..............................................             1219-0066
7.97..............................................             1219-0066
7.105.............................................             1219-0066
7.303.............................................             1219-0066
7.306.............................................             1219-0066
7.309.............................................             1219-0066
7.311.............................................             1219-0066
7.403.............................................             1219-0066
7.407.............................................             1219-0066
7.408.............................................             1219-0066
7.409.............................................             1219-0066
15.4..............................................             1219-0066
15.8..............................................             1219-0066
18.6..............................................             1219-0066
18.15.............................................             1219-0066
18.53.............................................      1219-0066, -0116
18.81.............................................             1219-0066
18.82.............................................             1219-0066
18.93.............................................             1219-0066
18.94.............................................             1219-0066
19.3..............................................             1219-0066
19.13.............................................             1219-0066
20.3..............................................             1219-0066
20.14.............................................             1219-0066
22.4..............................................             1219-0066
22.11.............................................             1219-0066
23.3..............................................             1219-0066
23.14.............................................             1219-0066
27.4..............................................             1219-0066
27.6..............................................             1219-0066
27.11.............................................             1219-0066
28.10.............................................             1219-0066
28.25.............................................             1219-0066
28.30.............................................             1219-0066
28.31.............................................             1219-0066
33.6..............................................             1219-0066
33.12.............................................             1219-0066
35.6..............................................             1219-0066
35.12.............................................             1219-0066
36.6..............................................             1219-0066
36.12.............................................             1219-0066
------------------------------------------------------------------------
       Subchapter G--Filing and Other Administrative Requirements
------------------------------------------------------------------------
40.3..............................................             1219-0042
40.4..............................................             1219-0042
40.5..............................................             1219-0042
41.20.............................................             1219-0042
43.4..............................................             1219-0014
43.7..............................................             1219-0014
44.9..............................................             1219-0065
44.10.............................................             1219-0065
44.11.............................................             1219-0065
45.3..............................................             1219-0040
45.4..............................................             1219-0040
------------------------------------------------------------------------
                  Subchapter H--Education and Training
------------------------------------------------------------------------
46.3..............................................             1219-0131
46.5..............................................             1219-0131
46.6..............................................             1219-0131
46.7..............................................             1219-0131
46.8..............................................             1219-0131
46.9..............................................             1219-0131
46.11.............................................             1219-0131
47.31.............................................             1219-0133
47.32(a)(4).......................................             1219-0133
47.41.............................................             1219-0133
47.51.............................................             1219-0133
47.71.............................................             1219-0133
47.73.............................................             1219-0133
48.3..............................................      1219-0009, -0141
48.9..............................................             1219-0009
48.23.............................................             1219-0009
48.29.............................................             1219-0009
49.2..............................................             1219-0078
49.3..............................................             1219-0078
49.4..............................................             1219-0078
49.6..............................................             1219-0078
49.7..............................................             1219-0078
49.8..............................................             1219-0078
49.9..............................................             1219-0078
------------------------------------------------------------------------
Subchapter I--Accidents, Injuries, Illnesses, Employment, and Production
                                in Mines
------------------------------------------------------------------------
50.10.............................................      1219-0007, -0141
50.11.............................................             1219-0007
50.20.............................................             1219-0007
50.30.............................................             1219-0007
------------------------------------------------------------------------
         Subchapter K--Metal and Nonmetal Mine Safety and Health
------------------------------------------------------------------------
56.1000...........................................             1219-0042
56.3203(a)........................................             1219-0121
56.5005...........................................             1219-0048
56.13015..........................................             1219-0089
56.13030..........................................             1219-0089
56.14100..........................................             1219-0089
56.18002..........................................             1219-0089
56.19022..........................................             1219-0034
56.19023..........................................             1219-0034
56.19057..........................................             1219-0049
56.19121..........................................             1219-0034
57.1000...........................................             1219-0042
57.3203(a)........................................             1219-0121
57.3461...........................................             1219-0097
57.5005...........................................             1219-0048
57.5037...........................................             1219-0003
57.5040...........................................             1219-0003
57.5047...........................................             1219-0039
57.5060...........................................             1219-0135
57.5065...........................................             1219-0135
57.5066...........................................             1219-0135
57.5067...........................................             1219-0135
57.5070...........................................             1219-0135
57.5071...........................................             1219-0135
57.5075...........................................             1219-0135
57.8520...........................................             1219-0016
57.8525...........................................             1219-0016
57.11053..........................................             1219-0046
57.13015..........................................             1219-0089
57.13030..........................................             1219-0089
57.14100..........................................             1219-0089
57.18002..........................................             1219-0089
57.19022..........................................             1219-0034

[[Page 9]]

 
57.19023..........................................             1219-0034
57.19057..........................................             1219-0049
57.19121..........................................             1219-0034
57.22004(c).......................................             1219-0103
57.22204..........................................             1219-0030
57.22229..........................................             1219-0103
57.22230..........................................             1219-0103
57.22231..........................................             1219-0103
57.22239..........................................             1219-0103
57.22401..........................................             1219-0096
57.22606..........................................             1219-0095
------------------------------------------------------------------------
              Subchapter M--Uniform Mine Health Regulations
------------------------------------------------------------------------
62.110............................................             1219-0120
62.130............................................             1219-0120
62.170............................................             1219-0120
62.171............................................             1219-0120
62.172............................................             1219-0120
62.173............................................             1219-0120
62.174............................................             1219-0120
62.175............................................             1219-0120
62.180............................................             1219-0120
62.190............................................             1219-0120
------------------------------------------------------------------------
                Subchapter O--Coal Mine Safety and Health
 
70.201(c)...............................................................
70.202(b)...............................................................
70.204..................................................................
70.209..................................................................
70.210..................................................................
70.220..................................................................
71.201(c)...............................................................
71.202(b)...............................................................
71.204..................................................................
71.209..................................................................
71.210..................................................................
71.220..................................................................
71.300..................................................................
71.301..................................................................
71.403..................................................................
71.404..................................................................
72.500..................................................................
72.503..................................................................
72.510..................................................................
72.520..................................................................
75.100..................................................................
75.153(a)(2)............................................................
75.155..................................................................
75.159..................................................................
75.160..................................................................
75.161..................................................................
75.204(a)...............................................................
75.215..................................................................
75.220..................................................................
75.221..................................................................
75.222..................................................................
75.223..................................................................
75.310..................................................................
75.312..................................................................
75.342..................................................................
75.350..................................................................
75.351..................................................................
75.352..................................................................
75.360..................................................................
75.361..................................................................
75.362..................................................................
75.363..................................................................
75.364..................................................................
75.370..................................................................
75.371..................................................................
75.372..................................................................
75.373..................................................................
75.382..................................................................
75.512..................................................................
75.703-3................................................................
75.800-4................................................................
75.820..................................................................
75.821..................................................................
75.900-4................................................................
75.1001-1...............................................................
75.1100-3...............................................................
75.1103-8...............................................................
75.1103-11..............................................................
75.1200.................................................................
75.1200-1...............................................................
75.1201.................................................................
75.1202.................................................................
75.1202-1...............................................................
75.1203.................................................................
75.1204.................................................................
75.1204-1...............................................................
75.1321.................................................................
75.1327.................................................................
75.1400-2...............................................................
75.1400-4...............................................................
75.1432.................................................................
75.1433.................................................................
75.1501.................................................................
75.1502.................................................................
75.1504.................................................................
75.1505.................................................................
75.1702.................................................................
75.1712-4...............................................................
75.1712-5...............................................................
75.1713-1...............................................................
75.1714-3(e)............................................................
75.1714-4...............................................................
75.1714-5...............................................................
75.1714-8...............................................................
75.1716.................................................................
75.1716-1...............................................................
75.1716-3...............................................................
75.1721.................................................................
75.1901.................................................................
75.1904.................................................................
75.1911.................................................................
75.1912.................................................................
75.1914.................................................................
75.1915.................................................................
77.100..................................................................
77.103(a)(2)............................................................
77.105..................................................................
77.106..................................................................
77.107..................................................................
77.107-1................................................................
77.215..................................................................
77.215-2................................................................
77.215-3................................................................
77.215-4................................................................
77.216-2................................................................
77.216-3................................................................
77.216-4................................................................
77.216-5................................................................
77.502..................................................................
77.800-2................................................................
77.900-2................................................................
77.1000.................................................................
77.1000-1...............................................................
77.1101.................................................................

[[Page 10]]

 
77.1200.................................................................
77.1201.................................................................
77.1202.................................................................
77.1404.................................................................
77.1432.................................................................
77.1433.................................................................
77.1702.................................................................
77.1713.................................................................
77.1900.................................................................
77.1901.................................................................
77.1906.................................................................
77.1909-1...............................................................
90.201(c)...............................................................
90.202(b)...............................................................
90.204..................................................................
90.209..................................................................
90.220..................................................................
90.300..................................................................
90.301..................................................................
------------------------------------------------------------------------


[72 FR 35659, June 29, 2007]

[[Page 11]]



    SUBCHAPTER B_TESTING, EVALUATION, AND APPROVAL OF MINING PRODUCTS



PART 5_FEES FOR TESTING, EVALUATION, AND APPROVAL OF MINING PRODUCTS--Table of 

Contents




Sec.
5.10 Purpose and scope.
5.30 Fee calculation.
5.40 Fee administration.
5.50 Fee revisions.

    Authority: 30 U.S.C. 957.

    Source: 52 FR 17516, May 8, 1987, unless otherwise noted.



Sec. 5.10  Purpose and scope.

    (a) This part establishes a system under which MSHA charges a fee 
for services provided under this subchapter. This part includes the 
management and calculation of these fees.
    (b) The services for which fees are charged are--
    (1) Application processing by engineers, technicians and other 
specialists (investigators), including administrative review of 
applications, analysis of drawings, technical evaluation, testing, test 
set up and tear down, consultation on applications and investigator 
travel, where necessary to process the application;
    (2) Clerical services, computer tracking and status reporting, 
records control and security and document preparation directly 
supporting application processing;
    (3) A proportionate share of management, administration and 
operation of the Approval and Certification Center which is in support 
of application processing; and
    (4) Amortization of facility improvements and depreciation of 
buildings and equipment used for testing and evaluation or otherwise 
directly associated with application processing.
    (c) Fees are not charged for:
    (1) Technical assistance not related to processing an approval 
application;
    (2) Technical programs including development of new technology 
programs;
    (3) Participation in research conducted by other government agencies 
or private organizations;
    (4) Regulatory review activities, including participation in the 
development of health and safety standards, regulations and legislation; 
and
    (5) Post-approval product audits.

[52 FR 17516, May 8, 1987, as amended at 70 FR 46342, Aug. 9, 2005]



Sec. 5.30  Fee calculation.

    (a) MSHA bases fees under this subchapter on the direct and indirect 
costs of the services provided, except that part 15 fees for services 
provided to MSHA by other organizations may be set by those 
organizations.
    (b) Except as provided in paragraphs (b)(1) and (2) of this section, 
upon completion of an initial administrative review of the application, 
the Approval and Certification Center will prepare a maximum fee 
estimate for each application and will begin the technical evaluation 
once the applicant authorizes the fee estimate.
    (1) The applicant may pre-authorize an expenditure for services 
under this subchapter, and may further choose to pre-authorize either a 
maximum dollar amount or an expenditure without a specified maximum 
amount. All applications containing a pre-authorization statement will 
immediately be put in the queue for the technical evaluation upon 
completion of an initial administrative review. MSHA will concurrently 
prepare a maximum fee estimate for applications containing a statement 
pre-authorizing a maximum dollar amount, and will provide the applicant 
with this estimate. Where MSHA's estimated maximum fee exceeds the pre-
authorized maximum dollar amount, the applicant has the choice of 
cancelling the action and paying for all work done up to the time of the 
cancellation, or authorizing MSHA's estimate.
    (2) Under the Revised Acceptance Modification Program (RAMP), MSHA 
expedites applications for acceptance of minor changes to previously 
approved, certified, accepted, or evaluated products. The applicant must 
pre-

[[Page 12]]

authorize a fixed dollar amount, set by MSHA, for processing the 
application.
    (c) If unforeseen circumstances are discovered during the 
evaluation, and MSHA determines that these circumstances would result in 
the actual costs exceeding either the pre-authorized expenditure or the 
authorized maximum fee estimate, as appropriate, MSHA will prepare a 
revised maximum fee estimate for completing the evaluation. The 
applicant will have the option of either cancelling the action and 
paying for services rendered or authorizing MSHA's revised estimate, in 
which case MSHA will continue to test and evaluate the product.
    (d) If the actual cost of processing the application is less than 
MSHA's maximum fee estimate, MSHA will charge the actual cost.

[70 FR 46342, Aug. 9, 2005]



Sec. 5.40  Fee administration.

    Applicants will be billed for all fees, including actual travel 
expenses, if any, when processing of the application is completed. 
Invoices will contain specific payment instructions, including the 
address to mail payments and authorized methods of payment.

[70 FR 46342, Aug. 9, 2005]



Sec. 5.50  Fee revisions.

    Each fee schedule shall remain in effect for at least one year and 
be subject to revision at least once every three years.



PART 6_TESTING AND EVALUATION BY INDEPENDENT LABORATORIES AND NON-MSHA PRODUCT 

SAFETY STANDARDS--Table of Contents




Sec.
6.1 Purpose and effective date.
6.2 Definitions.
6.10 Use of independent laboratories.
6.20 MSHA acceptance of equivalent non-MSHA product safety standards.
6.30 MSHA listing of equivalent non-MSHA product safety standards.

    Authority: 30 U.S.C. 957.

    Source: 68 FR 36417, June 17, 2003, unless otherwise noted.



Sec. 6.1  Purpose and effective date.

    This part sets out alternate requirements for testing and evaluation 
of products MSHA approves for use in gassy underground mines. It permits 
manufacturers of certain products who seek MSHA approval to use an 
independent laboratory to perform, in whole or part, the necessary 
testing and evaluation for approval. It also permits manufacturers to 
have their products approved based on non-MSHA product safety standards 
once MSHA has determined that the non-MSHA standards are equivalent to 
MSHA's applicable product approval requirements or can be modified to 
provide at least the same degree of protection as those MSHA 
requirements. The provisions of this part may be used by applicants for 
product approval under parts 18, 19, 20, 22, 23, 27, 33, 35, and 36. 
This rule is effective August 18, 2003.



Sec. 6.2  Definitions.

    The following definitions apply in this part.
    Applicant. An individual or organization that manufactures or 
controls the assembly of a product and applies to MSHA for approval of 
that product.
    Approval. A written document issued by MSHA which states that a 
product has met the applicable requirements of part 18, 19, 20, 22, 23, 
27, 33, 35, or 36. The definition is based on the existing definitions 
of ``approval'' in the parts specified above. It is expanded to include 
``certification'' and ``acceptance'' because these terms also are used 
to denote MSHA approval.
    Approval holder. An applicant whose application for approval of a 
product under part 18, 19, 20, 22, 23, 27, 33, 35 or 36 of this chapter 
has been approved by MSHA.
    Equivalent non-MSHA product safety standards. A non-MSHA product 
safety standard, or group of standards, that is determined by MSHA to 
provide at least the same degree of protection as the applicable MSHA 
product approval requirements in parts 18, 19, 20, 22, 23, 27, 33, 35, 
and 36, or which in modified form provide at least the same degree of 
protection.
    Independent laboratory. A laboratory that:

[[Page 13]]

    (1) has been recognized by a laboratory accrediting organization to 
test and evaluate products to a product safety standard, and
    (2) is free from commercial, financial, and other pressures that may 
influence the results of the testing and evaluation process.
    Post-approval product audit. The examination, testing, or both, by 
MSHA of approved products selected by MSHA to determine whether those 
products meet the applicable product approval requirements and have been 
manufactured as approved.
    Product safety standard. A document, or group of documents, that 
specifies the requirements for the testing and evaluation of a product 
for use in explosive gas and dust atmospheres, and, when appropriate, 
includes documents addressing the flammability properties of products.



Sec. 6.10  Use of independent laboratories.

    (a) MSHA will accept testing and evaluation performed by an 
independent laboratory for purposes of MSHA product approval provided 
that MSHA receives as part of the application:
    (1) Written evidence of the laboratory's independence and current 
recognition by a laboratory accrediting organization;
    (2) Complete technical explanation of how the product complies with 
each requirement in the applicable MSHA product approval requirements;
    (3) Identification of components or features of the product that are 
critical to the safety of the product; and
    (4) All documentation, including drawings and specifications, as 
submitted to the independent laboratory by the applicant and as required 
by the applicable part under this chapter.
    (b) Product testing and evaluation performed by independent 
laboratories for purposes of MSHA approval must comply with the 
applicable MSHA product approval requirements.
    (c) Product testing and evaluation must be conducted or witnessed by 
the laboratory's personnel.
    (d) After review of the information required under paragraphs (a)(1) 
through (a)(4) of this section, MSHA will notify the applicant if 
additional information or testing is required. The applicant must 
provide this information, arrange any additional or repeat tests and 
notify MSHA of the location, date, and time of the test(s). MSHA may 
observe any additional testing conducted by an independent laboratory. 
Further, MSHA may decide to conduct the additional or repeated tests at 
the applicant's expense. The applicant must supply any additional 
components necessary for testing and evaluation.
    (e) Upon request by MSHA, but not more than once a year, except for 
cause, approval holders of products approved based on independent 
laboratory testing and evaluation must make such products available for 
post-approval audit at a mutually agreeable site at no cost to MSHA.
    (f) Once the product is approved, the approval holder must notify 
MSHA of all product defects of which they become aware.



Sec. 6.20  MSHA acceptance of equivalent non-MSHA product safety standards.

    (a) MSHA will accept non-MSHA product safety standards, or groups of 
standards, as equivalent after determining that they:
    (1) Provide at least the same degree of protection as MSHA's product 
approval requirements in parts 18, 19, 20, 22, 23, 27, 33, 35 and 36 of 
this chapter; or
    (2) Can be modified to provide at least the same degree of 
protection as those MSHA requirements.
    (b) MSHA will publish its intent to review any non-MSHA product 
safety standard for equivalency in the Federal Register for the purpose 
of soliciting public input.
    (c) A listing of all equivalency determinations will be published in 
this part 6 and the applicable approval parts. The listing will state 
whether MSHA accepts the non-MSHA product safety standards in their 
original form, or whether MSHA will require modifications to demonstrate 
equivalency. If modifications are required, they will be provided in the 
listing. MSHA will notify the public of each equivalency determination 
and will publish a summary of the basis for its determination.

[[Page 14]]

MSHA will provide equivalency determination reports to the public upon 
request to the Approval and Certification Center.
    (d) After MSHA has determined that non-MSHA product safety standards 
are equivalent and has notified the public of such determinations, 
applicants may seek MSHA product approval based on such non-MSHA product 
safety standards.



Sec. 6.30  MSHA listing of equivalent non-MSHA product safety standards.

    MSHA evaluated the following non-MSHA product safety standards and 
determined that they provide at least the same degree of protection as 
current MSHA requirements with or without modifications as indicated:
    (a) The International Electrotechnical Commission's (IEC) standards 
for Electrical Apparatus for Explosive Gas Atmospheres, Part 0, General 
Requirements (IEC 60079-0, Fourth Edition, 2004-01) and Part 1, 
Electrical Apparatus for Explosive Gas Atmospheres, Flameproof 
Enclosures ``d'' (IEC 60079-1, Fifth Edition, 2003-11) must be modified 
in order to provide at least the same degree of protection as MSHA 
explosion-proof enclosure requirements included in parts 7 and 18 of 
this chapter. Refer to Sec. Sec. 7.10(c)(1) and 18.6(a)(3)(i) for a 
list of the required modifications. The IEC standards may be inspected 
at MSHA's Electrical Safety Division, Approval and Certification Center, 
R.R. 1, Box 251, Industrial Park Road, Triadelphia, West Virginia 26059 
and may be purchased from International Electrical Commission, Central 
Office 3, rue de Varemb[eacute], P.O. Box 131, CH-1211 GENEVA 20, 
Switzerland.
    (b) [Reserved]

[71 FR 28583, May 17, 2006]



PART 7_TESTING BY APPLICANT OR THIRD PARTY--Table of Contents




                            Subpart A_General

Sec.
7.1 Purpose and scope.
7.2 Definitions.
7.3 Application procedures and requirements.
7.4 Product testing.
7.5 Issuance of approval.
7.6 Approval marking and distribution record.
7.7 Quality assurance.
7.8 Post-approval product audit.
7.9 Revocation.
7.10 MSHA acceptance of equivalent non--MSHA product safety standards.

             Subpart B_Brattice Cloth and Ventilation Tubing

7.21 Purpose and effective date.
7.22 Definitions.
7.23 Application requirements.
7.24 Technical requirements.
7.25 Critical characteristics.
7.26 Flame test apparatus.
7.27 Test for flame resistance of brattice cloth.
7.28 Test for flame resistance of rigid ventilation tubing.
7.29 Approval marking.
7.30 Post-approval product audit.
7.31 New technology.

                      Subpart C_Battery Assemblies

7.41 Purpose and effective date.
7.42 Definitions.
7.43 Application requirements.
7.44 Technical requirements.
7.45 Critical characteristics.
7.46 Impact test.
7.47 Deflection temperature test.
7.48 Acid resistance test.
7.49 Approval marking.
7.50 Post-approval product audit.
7.51 Approval checklist.
7.52 New technology.

                 Subpart D_Multiple-Shot Blasting Units

7.61 Purpose and effective date.
7.62 Definitions.
7.63 Application requirements.
7.64 Technical requirements.
7.65 Critical characteristics.
7.66 Output energy test.
7.67 Construction test.
7.68 Firing line terminals test.
7.69 Approval marking.
7.70 Post-approval product audit.
7.71 Approval checklist.
7.72 New technology.

   Subpart E_Diesel Engines Intended for Use in Underground Coal Mines

7.81 Purpose and effective date.
7.82 Definitions.
7.83 Application requirements.
7.84 Technical requirements.
7.85 Critical characteristics.
7.86 Test equipment and specifications.
7.87 Test to determine the maximum fuel-air ratio.
7.88 Test to determine the gaseous ventilation rate.

[[Page 15]]

7.89 Test to determine the particulate index.
7.90 Approval marking.
7.91 Post-approval product audit.
7.92 New technology.

Subpart F_Diesel Power Packages Intended for Use in Areas of Underground 
       Coal Mines Where Permissible Electric Equipment Is Required

7.95 Purpose and effective date.
7.96 Definitions.
7.97 Application requirements.
7.98 Technical requirements.
7.99 Critical characteristics.
7.100 Explosion tests.
7.101 Surface temperature tests.
7.102 Exhaust gas cooling efficiency test.
7.103 Safety system control test.
7.104 Internal static pressure test.
7.105 Approval marking.
7.106 Post-approval product audit.
7.107 New technology.
7.108 Power package checklist.

                   Subpart J_Electric Motor Assemblies

7.301 Purpose and effective date.
7.302 Definitions.
7.303 Application requirements.
7.304 Technical requirements.
7.305 Critical characteristics.
7.306 Explosion tests.
7.307 Static pressure test.
7.308 Lockwasher equivalency test.
7.309 Approval marking.
7.310 Post-approval product audit.
7.311 Approval checklist.

Appendix I to Subpart J of Part 7

   Subpart K_Electric Cables, Signaling Cables, and Cable Splice Kits

7.401 Purpose and effective date.
7.402 Definitions.
7.403 Application requirements.
7.404 Technical requirements.
7.405 Critical characteristics.
7.406 Flame test apparatus.
7.407 Test for flame resistance of electric cables and cable splices.
7.408 Test for flame resistance of signaling cables.
7.409 Approval markings.
7.410 Post-approval product audit.
7.411 New technology.

    Authority: 30 U.S.C. 957.

    Source: 53 FR 23500, June 22, 1988, unless otherwise noted.



                            Subpart A_General



Sec. 7.1  Purpose and scope.

    This part sets out requirements for MSHA approval of certain 
equipment and materials for use in underground mines whose product 
testing and evaluation does not involve subjective analysis. These 
requirements apply to products listed in the subparts following this 
Subpart A. After the dates specified in the following subparts, requests 
for approval of products shall be made in accordance with this Subpart A 
and the applicable subpart.



Sec. 7.2  Definitions.

    The following definitions apply in this part.
    Applicant. An individual or organization that manufactures or 
controls the assembly of a product and that applies to MSHA for approval 
of that product.
    Approval. A document issued by MSHA which states that a product has 
met the requirements of this part and which authorizes an approval 
marking identifying the product as approved.
    Authorized company official. An individual designated by applicant 
who has the authority to bind the company.
    Critical characteristic. A feature of a product that, if not 
manufactured as approved, could have a direct adverse effect on safety 
and for which testing or inspection is required prior to shipment to 
ensure conformity with the technical requirements under which the 
approval was issued.
    Equivalent non-MSHA product safety standards. A non-MSHA product 
safety standard, or group of standards, that is determined by MSHA to 
provide at least the same degree of protection as the applicable MSHA 
product technical requirements in the subparts of this part, or can be 
modified to provide at least the same degree of protection as those MSHA 
requirements.
    Extention of approval. A document issued by MSHA which states that 
the change to a product previously approved by MSHA under this part 
meets the requirements of this part and which authorizes the continued 
use of the approval marking after the appropriate extension number has 
been added.

[[Page 16]]

    Post-approval product audit. Examination, testing, or both, by MSHA 
of approved products selected by MSHA to determine whether those 
products meet the applicable technical requirements and have been 
manufactured as approved.
    Technical requirements. The design and performance requirements for 
a product, as specified in a subpart of this part.
    Test procedures. The methods specified in a subpart of this part 
used to determine whether a product meet the performance portion of the 
technical requirements.

[53 FR 23500, June 22, 1988; 53 FR 25569, July 7, 1988, as amended at 68 
FR 36418, June 17, 2003]



Sec. 7.3  Application procedures and requirements.

    (a) Application. Requests for an approval or extension of approval 
shall be sent to: U.S. Department of Labor, Mine Safety and Health 
Administration, Approval and Certification Center, RR  1, Box 
251, Industrial Park Road, Triadelphia, West Virginia 26059.
    (b) Fees. Fees calculated in accordance with part 5 of this title 
shall be submitted in accordance with Sec. 5.40.
    (c) Original approval. Each application for approval of a product 
shall include--
    (1) A brief description of the product;
    (2) The documentation specified in the appropriate subpart of this 
part;
    (3) The name, address, and telephone number of the applicant's 
representative responsible for answering any questions regarding the 
application;
    (4) If appropriate, a statement indicating whether, in the 
applicant's opinion, testing is required. If testing is not proposed, 
the applicant shall explain the reasons for not testing; and
    (5) If appropriate, the place and date for product testing.
    (d) Subsequent approval of a similar product. Each application for a 
product similar to one for which the applicant already holds an approval 
shall include--
    (1) The approval number for the product which most closely resembles 
the new one;
    (2) The information specified in paragraph (c) of this section for 
the new product, except that any document which is the same as one 
listed by MSHA in prior approvals need not be submitted, but shall be 
noted in the application;
    (3) An explanation of any change from the existing approval; and
    (4) A statement as to whether, in the applicant's opinion, the 
change requires product testing. If testing is not proposed, the 
applicant shall explain the reasons for not testing.
    (e) Extension of an approval. Any change in the approved product 
from the documentation on file at MSHA that affects the technical 
requirements of this part shall be submitted to MSHA for approval prior 
to implementing the change. Each application for an extension of 
approval shall include--
    (1) The MSHA-assigned approval number for the product for which the 
extension is sought;
    (2) A brief description of the proposed change to the previously 
approved product;
    (3) Drawings and specifications which show the change in detail;
    (4) A statement as to whether, in the applicant's opinion, the 
change requires product testing. If testing is not proposed, the 
applicant shall explain the reasons for not testing;
    (5) The place and date for product testing, if testing will be 
conducted; and
    (6) The name, address, and telephone number of the applicant's 
representative responsible for answering any questions regarding the 
application.
    (f) Certification statement. (1) Each application for original 
approval, subsequent approval, or extension of approval of a product 
shall include a certification by the applicant that the product meets 
the design portion of the technical requirements, as specified in the 
appropriate subpart, and that the applicant will perform the quality 
assurance functions specified in Sec. 7.7. For a subsequent approval or 
extension of approval, the applicant shall also certify that the 
proposed change cited in the application is the only change that affects 
the technical requirements.
    (2) After completion of the required product testing, the applicant 
shall

[[Page 17]]

certify that the product has been tested and meets the performance 
portion of the technical requirements, as specified in the appropriate 
subpart.
    (3) All certification statements shall be signed by an authorized 
company official.

[53 FR 23500, June 22, 1988, as amended at 60 FR 33722, June 29, 1995]



Sec. 7.4  Product testing.

    (a) All products submitted for approval under this part shall be 
tested using the test procedures specified in the appropriate subpart 
unless MSHA determines, upon review of the documentation submitted, that 
testing is not required. Applicants shall maintain records of test 
results and procedures for three years.
    (b) Unless otherwise specified in the subpart, test instruments 
shall be calibrated at least as frequently as, and according to, the 
instrument manufacturer's specifications, using calibration standards 
traceable to those set by the National Bureau of Standards, U.S. 
Department of Commerce or other nationally recoginzed standards and 
accurate to at least one significant figure beyond the desired accuracy.
    (c) When MSHA elects to observe product testing, the applicant shall 
permit an MSHA official to be present at a mutually agreeable date, 
time, and place.
    (d) MSHA will accept product testing conducted outside the United 
States where such acceptance is specifically required by international 
agreement.

[53 FR 23500, June 22, 1988; 53 FR 25569, July 7, 1988; 60 FR 33722, 
June 29, 1995]



Sec. 7.5  Issuance of approval.

    (a) An applicant shall not advertise or otherwise represent a 
product as approved until MSHA has issued the applicant an approval.
    (b) MSHA will issue an approval or a notice of the reasons for 
denying approval after reviewing the application, and the results of 
product testing, when applicable. An approval will identify the 
documents upon which the approval is based.



Sec. 7.6  Approval marking and distribution record.

    (a) Each approved product shall have an approval marking, as 
specified in the appropriate subpart of this part.
    (b) For an extension of approval, the extension number shall be 
added to the original approval number on the approval marking.
    (c) Applicants shall maintain records of the initial sale of each 
unit having an approval marking. The record retention period shall be at 
least the expected shelf life and service life of the product.

[53 FR 23500, June 22, 1988, as amended at 60 FR 33722, June 29, 1995]



Sec. 7.7  Quality assurance.

    Applicants granted an approval or an extension of approval under 
this part shall--
    (a) Inspect or test, or both, the critical characteristics in 
accordance with the appropriate subpart of this part;
    (b) Unless otherwise specified in the subparts, calibrate 
instruments used for the inspection and testing of critical 
characteristics at least as frequently as, and according to, the 
instrument manufacturer's specifications, using calibration standards 
traceable to those set by the National Bureau of Standards, U.S. 
Department of Commerce or other nationally recognized standards and use 
instruments accurate to at least one significant figure beyond the 
desired accuracy.
    (c) Control production documentation so that the product is 
manufactured as approved;
    (d) Immediately report to the MSHA Approval and Certification 
Center, any knowledge of a product distributed with critical 
characteristics not in accordance with the approval specifications.

[53 FR 23500, June 22, 1988, as amended at 60 FR 33722, June 29, 1995]



Sec. 7.8  Post-approval product audit.

    (a) Approved products shall be subject to periodic audits by MSHA 
for the purpose of determining conformity with the technical 
requirements upon which the approval was based. Any approved product 
which is to be audited

[[Page 18]]

shall be selected by MSHA and be representative of those distributed for 
use in mines. The approval-holder may obtain any final report resulting 
from such audit.
    (b) No more than once a year except for cause, the approval-holder, 
at MSHA's request, shall make an approved product available at no cost 
to MSHA for an audit to be conducted at a mutually agreeable site and 
time. The approval-holder may observe any tests conducted during this 
audit.
    (c) An approved product shall be subject to audit for cause at any 
time MSHA believes that it is not in compliance with the technical 
requirements upon which the approval was based.



Sec. 7.9  Revocation.

    (a) MSHA may revoke for cause an approval issued under this part if 
the product:
    (1) Fails to meet the applicable technical requirements; or
    (2) Creates a hazard when used in a mine.
    (b) Prior to revoking an approval, the approval-holder shall be 
informed in writing of MSHA's intention to revoke approval. The notice 
shall:
    (1) Explain the specific reasons for the proposed revocation; and
    (2) Provide the approval-holder an opportunity to demonstrate or 
achieve compliance with the product approval requirements.
    (c) Upon request, the approval-holder shall be afforded an 
opportunity for a hearing.
    (d) If a product poses an imminent hazard to the safety or health of 
miners, the approval may be immediately suspended without a written 
notice of the agency's intention to revoke. The suspension may continue 
until the revocation proceedings are completed.



Sec. 7.10  MSHA acceptance of equivalent non-MSHA product safety standards.

    (a) MSHA will accept non-MSHA product safety standards, or groups of 
standards, as equivalent after determining that they:
    (1) Provide at least the same degree of protection as MSHA's 
applicable technical requirements for a product in the subparts of this 
part; or
    (2) Can be modified to provide at least the same degree of 
protection as those MSHA requirements.
    (b) MSHA will publish its intent to review any non-MSHA product 
safety standard for equivalency in the Federal Register for the purpose 
of soliciting public input.
    (c) A listing of all equivalency determinations will be published in 
this part 7. The listing will state whether MSHA accepts the non-MSHA 
product safety standards in their original form, or whether MSHA will 
require modifications to demonstrate equivalency. If modifications are 
required, they will be provided in the listing. MSHA will notify the 
public of each equivalency determination and will publish a summary of 
the basis for its determination. MSHA will provide equivalency 
determination reports to the public upon request to the Approval and 
Certification Center. MSHA has made the following equivalency 
determinations applicable to this part 7.
    (1) MSHA will accept applications for motors under Subpart J 
designed and tested to the International Electrotechnical Commission's 
(IEC) standards for Electrical Apparatus for Explosive Gas Atmospheres, 
Part 0, General Requirements (IEC 60079-0, Fourth Edition, 2004-01) and 
Part 1, Electrical Apparatus for Explosive Gas Atmospheres, Flameproof 
Enclosures ``d'' (IEC 60079-1, Fifth Edition, 2003-11) (which are hereby 
incorporated by reference and made a part hereof) provided the 
modifications to the IEC standards specified in Sec. 7.10(c)(1)(i) 
through (ix) are met. The Director of the Federal Register approves this 
incorporation by reference in accordance with 5 U.S.C. 552(a) and 1 CFR 
part 51. The IEC standards may be inspected at MSHA's Electrical Safety 
Division, Approval and Certification Center, R.R. 1, Box 251, Industrial 
Park Road, Triadelphia, West Virginia 26059 or at the National Archives 
and Records Administration (NARA). For information on the availability 
of this material at NARA, call 202-741-6030, or go to: http://
www.archives.gov/federal--register/code--of--federal--regulations/ibr--
locations.html. These IEC standards may be obtained from International

[[Page 19]]

Electrical Commission, Central Office 3, rue de Varemb[eacute], P.O. Box 
131, CH-1211 GENEVA 20, Switzerland.
    (i) Enclosures associated with an electric motor assembly shall be 
made of metal and not have a compartment exceeding ten (10) feet in 
length. External surfaces of enclosures shall not exceed 150 [deg]C (302 
[deg]F) in normal operation.
    (ii) Enclosures shall be rugged in construction and should meet 
existing requirements for minimum bolt size and spacing and for minimum 
wall, cover, and flange thicknesses specified in paragraph(g)(19) of 
Sec. 7.304 Technical requirements. Enclosure fasteners should be 
uniform in size and length, be provided at all corners, and be secured 
from loosening by lockwashers or equivalent. An engineering analysis 
shall be provided for enclosure designs that deviate from the existing 
requirements. The analysis shall show that the proposed enclosure design 
meets or exceeds the mechanical strength of a comparable enclosure 
designed to 150 psig according to existing requirements, and that 
flamepath clearances in excess of existing requirements will not be 
produced at an internal pressure of 150 psig. This shall be verified by 
explosion testing the enclosure at a minimum of 150 psig.
    (iii) Enclosures shall be designed to withstand a minimum pressure 
of at least 150 psig without leakage through any welds or castings, 
rupture of any part that affects explosion-proof integrity, clearances 
exceeding those permitted under existing requirements along flame-
arresting paths, or permanent distortion exceeding 0.040-inch per linear 
foot.
    (iv) Flamepath clearances, including clearances between fasteners 
and the holes through which they pass, shall not exceed those specified 
in existing requirements. No intentional gaps in flamepaths are 
permitted.
    (v) The minimum lengths of the flame arresting paths, based on 
enclosure volume, shall conform to those specified in existing 
requirements to the nearest metric equivalent value (e.g., 12.5 mm, 19 
mm, and 25 mm are considered equivalent to \1/2\ inch, \3/4\ inch and 1 
inch respectively for plane and cylindrical joints). The widths of any 
grooves for o-rings shall be deducted in measuring the widths of flame-
arresting paths.
    (vi) Gaskets shall not be used to form any part of a flame-arresting 
path. If o-rings are installed within a flamepath, the location of the 
o-rings shall meet existing requirements.
    (vii) Cable entries into enclosures shall be of a type that utilizes 
either flame-resistant rope packing material or sealing rings 
(grommets). If plugs and mating receptacles are mounted to an enclosure 
wall, they shall be of explosion-proof construction. Insulated bushings 
or studs shall not be installed in the outside walls of enclosures. Lead 
entrances utilizing sealing compounds and flexible or rigid metallic 
conduit are not permitted.
    (viii) Unused lead entrances shall be closed with a metal plug that 
is secured by spot welding, brazing, or equivalent.
    (ix) Special explosion tests are required for electric motor 
assemblies that share leads (electric conductors) through a common wall 
with another explosion-proof enclosure, such as a motor winding 
compartment and a conduit box. These tests are required to determine the 
presence of any pressure piling conditions in either enclosure when one 
or more of the insulating barriers, sectionalizing terminals, or other 
isolating parts are sequentially removed from the common wall between 
the enclosures. Enclosures that exhibit pressures during these tests 
that exceed those specified in existing requirements must be provided 
with a warning tag. The durable warning tag must indicate that the 
insulating barriers, sectionalizing terminals, or other isolating parts 
be maintained in order to insure the explosion-proof integrity for 
either enclosure sharing a common wall. A warning tag is not required if 
the enclosures withstand a static pressure of twice the maximum value 
observed in the explosion tests.
    (2) [Reserved]
    (d) After MSHA has determined that non-MSHA product safety standards 
are equivalent and has notified the

[[Page 20]]

public of such determinations, applicants may seek MSHA product approval 
based on such non-MSHA product safety standards.

[68 FR 36418, June 17, 2003, as amended at 71 FR 28583, May 17, 2006]



             Subpart B_Brattice Cloth and Ventilation Tubing



Sec. 7.21  Purpose and effective date.

    This subpart establishes the specific requirements for approval of 
brattice cloth and ventilation tubing. It is effective August 22, 1988. 
Applications for approval or extension of approval submitted after 
August 22, 1989, shall meet the requirements of this part.



Sec. 7.22  Definitions.

    The following definitions apply in this subpart:
    Brattice cloth. A curtain of jute, plastic, or similar material used 
to control or direct ventilating air.
    Denier. A unit of yarn size indicating the fineness of fiber of 
material based on the number of grams in a length of 9,000 meters.
    Film. A sheet of flexible material applied to a scrim by pressure, 
temperature, adhesion, or other method.
    Scrim. A substrate material of plastic or fabric laminated between 
or coated with a film.
    Ventilation tubing. Rigid or flexible tubing used to convey 
ventilating air.



Sec. 7.23  Application requirements.

    (a) Brattice cloth. A single application may address two or more 
products if the products differ only in: weight of the finished product; 
weight or weave of the same fabric or scrim; or thickness or layers of 
the same film. Applications shall include the following information:
    (1) Trade name.
    (2) Product designations (for example, style and code number).
    (3) Color.
    (4) Type of brattice (for example, plastic or jute).
    (5) Weight of finished product.
    (6) Film: type, weight, thickness, supplier, supplier's stock number 
or designation, and percent of finished product by weight.
    (7) Scrim: Type, denier, weight, weave, the supplier, supplier's 
stock number or designation, and percent of finished product by weight.
    (8) Adhesive: type, supplier, supplier's stock number or 
designation, and percent of finished product by weight.
    (b) Flexible ventilation tubing. Applications shall include the 
product description information in paragraph (a) of this section and 
list the type of supporting structure, if applicable; inside diameters; 
and configurations.
    (c) Rigid ventilation tubing. A single application may address two 
or more products if the products differ only in diameters, lengths, 
configuration, or average wall thickness. Applications shall include the 
following information:
    (1) Trade name.
    (2) Product designations (for example, style and code numbers).
    (3) Color.
    (4) Type of ventilation tubing (for example, fiberglass, plastic, or 
polyethylene).
    (5) Inside diameter, configuration, and average wall thickness.
    (6) Suspension system (for example, metal hooks).
    (7) Base material: type, supplier, the supplier's stock number, and 
percent of finished product by weight.
    (8) Resin: type, supplier, the supplier's stock number, and percent 
of finished product by weight.
    (9) Flame retardant, if added during manufacturing: type, supplier, 
the supplier's stock number, and percent of finished product by weight.

[53 FR 23500, June 22, 1988, as amended at 60 FR 33722, June 29, 1995]



Sec. 7.24  Technical requirements.

    (a) Brattice cloth shall be flame resistant when tested in 
accordance with the flame resistance test in Sec. 7.27.
    (b) Flexible ventilation tubing shall be manufactured using an MSHA-
approved brattice cloth. If a supporting structure is used, it shall be 
metal or other noncombustible material which will not ignite, burn, 
support combustion or release flammable vapors when subjected to fire or 
heat.

[[Page 21]]

    (c) Rigid ventilation tubing shall be flame resistant when tested in 
accordance with the flame resistance test in Sec. 7.28.



Sec. 7.25  Critical characteristics.

    A sample of each batch or lot of brattice cloth and ventilation 
tubing shall be flame tested or a sample of each batch or lot of the 
materials that contribute to the flame-resistance characteristic shall 
be inspected or tested to ensure that the finished product will meet the 
flame-resistance test.



Sec. 7.26  Flame test apparatus.

    The principal parts of the apparatus used to test for flame-
resistance of brattice cloth and ventilation tubing shall be constructed 
as follows:
    (a) A 16-gauge stainless steel gallery lined on the top, bottom and 
both sides with \1/2\ inch thick Marinite or equivalent insulating 
material yielding inside dimensions approximately 58 inches long, 41 
inches high, and 30 inches wide;
    (b) Two \3/8\-inch diameter steel J hooks and a \9/16\-inch diameter 
steel rod to support the sample located approximately 2\3/16\-inches 
from the front and back ends of the test gallery, 1\1/2\-inches from the 
ceiling insulation and centrally located in the gallery along its 
length. Samples shall be suspended to preclude folds or wrinkles;
    (c) A tapered 16-gauge stainless steel duct section tapering from a 
cross sectional area measuring 2 feet 7 inches wide by 3 feet 6 inches 
high at the test gallery to a cross-sectional area 1 foot 6 inches 
square over a length of 3 feet. The tapered duct section must be tightly 
connected to the test gallery;
    (d) A 16-gauge stainless steel fan housing, consisting of a 1 foot 6 
inches square section 6 inches long followed by a 10 inch long section 
which tapers from 1 foot 16 inches square to 12 inches diameter round 
and concluding with a 12 inch diameter round collar 3 inches long. A 
variable speed fan capable of producing an air velocity of 125 ft./min. 
in the test gallery must be secured in the fan housing. The fan housing 
must be tightly connected to the tapered duct section;
    (e) A methane-fueled impinged jet burner igniting source, measuring 
12 inches long from the threaded ends of the first and last jets and 4 
inches wide with 12 impinged jets, approximately 1\3/8\-inches long and 
spaced alternately along the length of the burner tube. The burner jets 
must be canted so that they point toward each other in pairs and the 
flame from these pairs impinge upon each other.



Sec. 7.27  Test for flame resistance of brattice cloth.

    (a) Test procedures. (1) Prepare 6 samples of brattice cloth 40 
inches wide by 48 inches long.
    (2) Prior to testing, condition each sample for a minimum of 24 
hours at a temperature of 70 10 [deg]F (21 5.5 [deg]C) and a relative humidity of 55 10%.
    (3) For each test, suspend the sample in the gallery by wrapping the 
brattice cloth around the rod and clamping each end and the center. The 
brattice cloth must hang 4 inches from the gallery floor.
    (4) Use a front exhaust system to remove smoke escaping from the 
gallery. The exhaust system must remain on during all testing, but not 
affect the air flow in the gallery.
    (5) Set the methane-fueled impinged jet burner to yield a flame 
height of 12 inches as measured at the outermost tip of the flame.
    (6) Apply the burner to the front lower edge of the brattice cloth 
and keep it in contact with the material for 25 seconds or until 1 foot 
of material, measured horizontally, is consumed, whichever occurs first. 
If the material shrinks during application of the burner flame, move the 
burner flame to maintain contact with 1 foot of the material. If melting 
material might clog the burner orifices, rotate the burner slightly 
during application of the flame.
    (7) Test 3 samples in still air and 3 samples with an average of 125 
ft./min. of air flowing past the sample.
    (8) Record the propagation length and duration of burning for each 
of the 6 samples. The duration of burning is the total burning time of 
the specimen during the flame test. This includes the burn time of any 
material that falls on the floor of the test gallery during the igniting 
period. However, the suspended specimen is considered burning only after 
the burner is removed.

[[Page 22]]

Should the burning time of a suspended specimen and a specimen on the 
floor coincide, count the coinciding burning time only once.
    (9) Calculate the average duration of burning for the first 3 
samples (still air) and the second 3 samples (125 ft./min. air flow).
    (b) Acceptable performance. The brattice cloth shall meet each of 
the following criteria:
    (1) Flame propagation of less than 4 feet in each of the six tests.
    (2) An average duration of burning of less than 1 minute in both 
groups of three tests.
    (3) A duration of burning not exceeding two minutes in each of the 
six tests.

[53 FR 23500, June 22, 1988, as amended at 60 FR 33723, June 29, 1995]



Sec. 7.28  Test for flame resistance of rigid ventilation tubing.

    (a) Test procedures. (1) Prepare 6 samples of ventilation tubing 48 
inches in length with all flared or thickened ends removed. Any sample 
with a cross-sectional dimension greater than 24 inches must be tested 
in a 24-inch size.
    (2) For each test, suspend the sample in the center of the gallery 
by running a wire through the 48-inch length of tubing.
    (3) Use a front exhaust system to remove smoke escaping from the 
gallery. The exhaust system must remain on during all testing but not 
affect the air flow in the gallery.
    (4) Set the methane-fueled impinged jet burner to yield a flame 
height of 12 inches as measured at the outermost tip of the flame.
    (5) Apply the burner to the front lower edge of the tubing so that 
two-thirds of the burner is under the tubing and the remaining third is 
exposed to allow the flames to curl onto the inside of the tubing. Keep 
the burner in contact with the material for 60 seconds. If melting 
material might clog the burner orifices, rotate the burner slightly 
during application of the flame.
    (6) Test 3 samples in still air and 3 samples with an average of 125 
ft./min. of air flowing past the sample.
    (7) Record the propagation length and duration of burning for each 
of the 6 samples. The duration of burn is the total burning time of the 
specimen during the flame test. This includes the burning time of any 
material that falls on the floor of the test gallery during the igniting 
period. However, the suspended specimen is considered burning only after 
the burner is removed. Should the burning time of a suspended specimen 
and a specimen on the floor coincide, count the coinciding burn time 
only once.
    (8) Calculate the average duration of burning for the first 3 
samples (still air) and the second 3 samples (125 ft./min. air flow).
    (b) Acceptable performance. The ventilation tubing shall meet each 
of the following criteria:
    (1) Flame propagation of less than 4 feet in each of the 6 tests.
    (2) An average duration of burning of less than 1 minute in both 
groups of 3 tests.
    (3) A duration of burning not exceeding 2 minutes in each of the 6 
tests.

[53 FR 23500, June 22, 1988, as amended at 60 FR 33723, June 29, 1995]



Sec. 7.29  Approval marking.

    (a) Approved brattice cloth shall be legibly and permanently marked 
with the assigned MSHA approval number at intervals not exceeding ten 
feet. If the nature of the material or method of processing makes such 
marking impractical, permanent paint or ink may be used to mark the edge 
with an MSHA-assigned color code.
    (b) Approved ventilation tubing shall be legibly and permanently 
marked on each section with the assigned MSHA approval number.
    (c) An approved product shall be marketed only under a brand or 
trade name that has been furnished to MSHA.



Sec. 7.30  Post-approval product audit.

    Upon request by MSHA but no more than once a year except for cause, 
the approval-holder shall supply to MSHA at no cost up to fifty feet of 
each approved design of brattice cloth and ventilation tubing for audit.

[[Page 23]]



Sec. 7.31  New technology.

    MSHA may approve brattice cloth and ventilation tubing that 
incorporates technology for which the requirements of this subpart are 
not applicable, if the Agency determines that the product is as safe as 
those which meet the requirements of this subpart.



                      Subpart C_Battery Assemblies



Sec. 7.41  Purpose and effective date.

    This subpart establishes the specific requirements for MSHA approval 
of battery assemblies intended for incorporation in approved equipment 
in underground mines. It is effective August 22, 1988. Applications for 
approval or extensions of approval submitted after August 22, 1989, 
shall meet the requirements of this part.



Sec. 7.42  Definitions.

    The following definitions apply in this subpart:
    Battery assembly. A unit or units consisting of cells and their 
electrical connections, assembled in a battery box or boxes with covers.
    Battery box. The exterior sides, bottom, and connector receptacle 
compartment, if any, of a battery assembly, excluding internal 
partitions.



Sec. 7.43  Application requirements.

    (a) An application for approval of a battery assembly shall contain 
sufficient information to document compliance with the technical 
requirements of this subpart and include a composite drawing with the 
following information:
    (1) Overall dimensions of the battery assembly, including the 
minimum distance from the underside of the cover to the top of the 
terminals and caps.
    (2) Composition and thicknesses of the battery box and cover.
    (3) Provision for securing covers.
    (4) Documentation of flame-resistance of insulating materials and 
cables.
    (5) Number, type, and rating of the battery cells.
    (6) Diagram of battery connections between cells and between battery 
boxes, except when connections between battery boxes are a part of the 
machine's electrical system.
    (7) Total weight of the battery, charged and ready for service.
    (8) Documentation of materials and configurations for battery cells, 
intercell connectors, filler caps, and battery top:
    (i) If nonmetallic cover designs are used with cover support blocks; 
or
    (ii) If the cover comes into contact with any portion of the cells, 
caps, filler material, battery top, or intercell connectors during the 
impact test specified by Sec. 7.46.
    (b) All drawings shall be titled, dated, numbered, and include the 
latest revision number.

[53 FR 23500, June 22, 1988, as amended at 60 FR 33723, June 29, 1995]



Sec. 7.44  Technical requirements.

    (a)(1) Battery boxes and covers constructed of AISI 1010 hot rolled 
steel shall have the following minimum thicknesses based on the total 
weight of a unit of the battery assembly charged and ready for service:

------------------------------------------------------------------------
          Weight of battery unit             Minimum required thickness
------------------------------------------------------------------------
1,000 lbs. maximum........................  10 gauge or \1/8\
                                             nominal
1,001 to 2,000 lbs........................  7 gauge or \3/16\
                                             nominal
2,001 to 4,500 lbs........................  3 gauge or \1/4\
                                             nominal
Over 4,500 lbs............................  0 gauge or \5/16\
                                             nominal
------------------------------------------------------------------------

    (2) Battery boxes not constructed of AISI 1010 hot rolled steel 
shall have at least the tensile strength and impact resistance of 
battery boxes for the same weight class, as listed in paragraph (a)(1) 
of this section.
    (3) Battery box covers constructed of materials with less than the 
tensile strength and impact resistance of AISI 1010 hot rolled steel or 
constructed of nonmetallic materials shall meet the acceptable 
performance criteria for the impact test in Sec. 7.46. Nonmetallic 
covers shall be used only in the battery assembly configuration in which 
they pass the impact test.
    (4) Nonmetallic materials for boxes and covers shall--
    (i) Be accepted by MSHA as flame-resistant material under part 18 of 
this chapter; and
    (ii) Meet the acceptable performance criteria for the deflection 
temperature test in Sec. 7.47.

[[Page 24]]

    (b) All insulating material shall have a minimum resistance of 100 
megohms at 500 volts d.c. and be accepted by MSHA as flame resistant 
under part 18 of this chapter.
    (c) Battery box and cover insulating material shall meet the 
acceptable performance criteria for the acid resistance test in Sec. 
7.48.
    (d) Covers shall be lined with insulating material permanently 
attached to the underside of the cover, unless the cover is constructed 
of insulating material.
    (e) Covers, including those used over connector receptacle housings, 
shall be provided with a means of securing them in a closed position.
    (f) Battery boxes shall be provided with vent openings to prevent 
the accumulation of flammable or toxic gases or vapors within the 
battery assembly. The size and location of openings shall prevent direct 
access to cell terminals and other uninsulated current carrying parts. 
The total minimum unobstructed cross-sectional area of the ventilation 
openings shall be no less than the value determined by the following 
formula:
[GRAPHIC] [TIFF OMITTED] TC15NO91.011

N = Number of cells in battery box.
R = Rated 6 hour battery capacity in ampere hours.
M = Total minimum ventilation area in square inches per battery box.

    (g) Battery boxes shall have drainage holes to prevent accumulation 
of water or electrolyte.
    (h) Battery cells shall be insulated from the battery box walls, 
partitions and bottom by insulating material, unless such part of the 
battery box is constructed of insulating material. Battery box wall 
insulating material shall extend to the top of the wall.
    (i) Cell terminals shall be burned on, except that bolted connectors 
using two or more bolts may be used on end terminals.
    (j) Battery connections shall be designed so that total battery 
potential is not available between adjacent cells.
    (k) Cables within a battery box shall be accepted by MSHA as flame 
resistant under part 18 of this chapter or approved under subpart K of 
this part. The cables shall be protected against abrasion by insulation, 
location, clamping, or other effective means.
    (l) When the battery plug and receptacle are not located on or 
within the battery box, strain on the battery terminals shall be 
prevented by a strain-relief device on the cable. Insulating material 
shall be placed between the strain-relief device and cable, unless the 
device is constructed of insulating material.
    (m) At least a \1/2\-inch air space shall be provided between the 
underside of the battery cover and the top of the battery, including the 
terminals and connectors.

[53 FR 23500, June 22, 1988, as amended at 57 FR 61220, Dec. 23, 1992]



Sec. 7.45  Critical characteristics

    The following critical characteristics shall be inspected or tested 
on each battery assembly to which an approval marking is affixed:
    (a) Thickness of covers and boxes.
    (b) Application and resistance of insulating material.
    (c) Size and location of ventilation openings.
    (d) Method of cell terminations.
    (e) Strain relief devices for cables leaving boxes.
    (f) Type, location, and physical protection of cables.



Sec. 7.46  Impact test.

    (a) Test procedures. (1) Prepare four covers for testing by 
conditioning two covers at -13 [deg]F (-25 [deg]C) and two covers at 122 
[deg]F (50 [deg]C) for a period of 48 hours.
    (2) Mount the covers on a battery box of the same design with which 
the covers are to be approved, including any support blocks, with the 
battery cells completely assembled. If used, support blocks must contact 
only the filler material or partitions between the individual cells. At 
the test temperature range of 65 [deg]F -80 [deg]F (18.3 [deg]C-26.7 
[deg]C), apply a dynamic force of 200 ft. lbs. to the following areas 
using a hemispherical weight with a 6 maximum radius:
    (i) The center of the two largest unsupported areas;
    (ii) The areas above at least two support blocks, if used;

[[Page 25]]

    (iii) The areas above at least two intercell connectors, one cell, 
and one filler cap; and
    (iv) Areas on at least two corners. If the design consists of both 
inside and outside corners, test one of each.
    (3) Record the condition of the covers, supports, intercell 
connectors, filler caps, cell covers, and filler material.
    (b) Acceptable performance. Impact tests of any of the four covers 
shall not result in any of the following:
    (1) Bent intercell connectors.
    (2) Cracked or broken filler caps, except plastic tabs which extend 
from the body of the filler caps.
    (3) Cracks in the cell cover, cells, or filler material.
    (4) Cracked or bent supports.
    (5) Cracked or splintered battery covers.

[53 FR 23500, June 22, 1988, as amended at 60 FR 33723, June 29, 1995]



Sec. 7.47  Deflection temperature test.

    (a) Test procedures. (1) Prepare two samples for testing that 
measure 5 inches by \1/2\ inch, by the thickness of the material as it 
will be used. Prior to testing, condition the samples at 73.4  3.6 [deg]F (23 2 [deg]C) and 50 
5% relative humidity for at least 40 hours.
    (2) Place a sample on supports which are 4 inches apart and immersed 
in a heat transfer medium at a test temperature range of 65 [deg]F-80 
[deg]F (18.3 [deg]C-26.7 [deg]C). The heat transfer medium must be a 
liquid which will not chemically affect the sample. The testing 
apparatus must be constructed so that expansion of any components during 
heating of the medium does not result in deflection of the sample.
    (3) Place a temperature measuring device with an accuracy of 1% into 
the heat transfer medium within \1/8\ inch of, but not touching, the 
sample.
    (4) Apply a total load, in pounds, numerically equivalent to 11 
times the thickness of the sample, in inches, to the sample midway 
between the supports using a \1/8\ inch radius, rounded contact. The 
total load includes that weight used to apply the load and any force 
exerted by the deflection measurement device.
    (5) Use a deflection measuring device with an accuracy of .001 inches to measure the deflection of the sample at 
the point of loading as the temperature of the medium is increased at a 
uniform rate of 3.6 .36 [deg]F/min. (2 0.2 [deg]C/min.). Apply the load to the sample for 5 
minutes prior to heating, to allow compensation for creep in the sample 
due to the loading.
    (6) Record the deflection of the sample due to heating at 180 [deg]F 
(82 [deg]C).
    (7) Repeat steps 2 through 6 for the other sample.
    (b) Acceptable performance. Neither sample shall have a deflection 
greater than .010 inch at 180 [deg]F (82 [deg]C).

[53 FR 23500, June 22, 1988; 53 FR 25569, July 7, 1988; 60 FR 33723, 
June 29, 1995]



Sec. 7.48  Acid resistance test.

    (a) Test procedures. (1) Prepare one sample each of the insulated 
surfaces of the battery box and of the cover that measure at least 4 
inches by 8 inches, by the thickness of the sample which includes the 
insulation plus the battery cover or box material. The insulation 
thickness shall be representative of that used on the battery box and 
cover. If the insulation material and thickness of material are 
identical for the battery box and cover, only one sample need be 
prepared and tested.
    (2) Prepare a 30 percent solution of sulfuric acid (H2 
SO4) by mixing 853 ml of water with 199 ml of sulfuric acid 
(H2 SO4) with a specific gravity of 1.84. 
Completely cover the samples with the acid solution at the test 
temperature range of 65 [deg]F-80 [deg]F (18.3 [deg]C-26.7 [deg]C) and 
maintain these conditions for 7 days.
    (3) After 7 days, record the condition of the samples.
    (b) Acceptable performance. At the end of the test, the insulation 
shall not exhibit any blistering, discoloration, cracking, swelling, 
tackiness, rubberiness, or loss of bond.

[53 FR 23500, June 22, 1988, as amended at 60 FR 33723, June 29, 1995]



Sec. 7.49  Approval marking.

    Each approved battery assembly shall be identified by a legible and 
permanent approval plate inscribed with the assigned MSHA approval 
number and securely attached to the battery box.

[[Page 26]]



Sec. 7.50  Post-approval product audit.

    Upon request by MSHA, but no more than once a year except for cause, 
the approval-holder shall make an approved battery assembly available 
for audit at no cost to MSHA.



Sec. 7.51  Approval checklist.

    Each battery assembly bearing an MSHA approval plate shall be 
accompanied by a description of what is necessary to maintain the 
battery assembly as approved.

[53 FR 23500, June 22, 1988, as amended at 60 FR 33723, June 29, 1995]



Sec. 7.52  New technology.

    MSHA may approve a battery assembly that incorporates technology for 
which the requirements of this subpart are not applicable, if the Agency 
determines that the battery assembly is as safe as those which meet the 
requirements of this subpart.



                 Subpart D_Multiple-Shot Blasting Units

    Source: 54 FR 48210, Nov. 21, 1989, unless otherwise noted.



Sec. 7.61  Purpose and effective date.

    This subpart establishes the specific requirements for MSHA approval 
of multiple-shot blasting units. It is effective January 22, 1990. 
Applications for approval or extensions of approval submitted after 
January 22, 1991 shall meet the requirements of this subpart.



Sec. 7.62  Definitions.

    The following definitions apply in this subpart:
    Blasting circuit. A circuit that includes one or more electric 
detonators connected in a single series and the firing cable used to 
connect the detonators to the blasting unit.
    Blasting unit. An electric device used to initiate electric 
detonators.
    Normal operation. Operation of the unit according to the 
manufacturer's instructions with fully-charged batteries, with electric 
components at any value within their specified tolerances, and with 
adjustable electric components set to any value within their range.



Sec. 7.63  Application requirements.

    (a) Each application for approval of a blasting unit shall include 
the following:
    (1) An overall assembly drawing showing the physical construction of 
the blasting unit.
    (2) A schematic diagram of the electric circuit.
    (3) A parts list specifying each electric component and its 
electrical ratings, including tolerances.
    (4) A layout drawing showing the location of each component and 
wiring.
    (5) The model number or other manufacturer's designation of the 
blasting unit.
    (b) All drawings shall be titled, numbered, dated, and include the 
latest revision number. The drawings may be combined into one or more 
composite drawings.
    (c) The application shall contain a list of all the drawings 
submitted, including drawing titles, numbers, and revisions.
    (d) A detailed technical description of the operation and use of the 
blasting unit shall be submitted with the application.

[54 FR 48210, Nov. 21, 1989, as amended at 60 FR 33723, June 29, 1995]



Sec. 7.64  Technical requirements.

    (a) Energy output. Blasting units shall meet the acceptable 
performance criteria of the output energy test in Sec. 7.66.
    (b) Maximum blasting circuit resistance. The maximum value of the 
resistance of the blasting circuit that can be connected to the firing 
line terminals of the blasting unit, without exceeding its capacity, 
shall be specified by the applicant. The specified maximum blasting 
circuit resistance shall be at least 150 ohms.
    (c) Visual indicator. The blasting unit shall provide a visual 
indication to the user prior to the operation of the firing switch when 
the voltage necessary to produce the required firing current is 
attained.
    (d) Firing switch. The switch used to initiate the application of 
energy to the blasting circuit shall--
    (1) Require deliberate action for its operation to prevent 
accidental firing; and

[[Page 27]]

    (2) Operate only when the voltage necessary to produce the required 
firing current is available to the blasting circuit.
    (e) Firing line terminals. The terminals used to connect the 
blasting circuit to the blasting unit shall--
    (1) Provide a secure, low-resistance connection to the blasting 
circuit as demonstrated by the firing line terminals test in Sec. 7.68;
    (2) Be corrosion-resistant;
    (3) Be insulated to protect the user from electrical shock; and
    (4) Be separated from each other by an insulated barrier.
    (f) Ratings of electric components. No electric component of the 
blasting unit, other than batteries, shall be operated at more than 90 
percent of any of its electrical ratings in the normal operation of the 
blasting unit.
    (g) Non-incendive electric contacts. In the normal operation of a 
blasting unit, the electric energy discharged by making and breaking 
electric contacts shall not be capable of igniting a methane-air 
atmosphere, as determined by the following:
    (1) The electric current through an electric contact shall not be 
greater than that determined from Figure D-1.
    (2) The maximum voltage that can be applied across an electric 
contact that discharges a capacitor shall not be greater than that 
determined from Figure D-2.
    (3) The electric current through an electric contact that interrupts 
a circuit containing inductive components shall not be greater than that 
determined from Figure D-3. Inductive components include inductors, 
chokes, relay coils, motors, transformers, and similar electric 
components that have an inductance greater than 100 microhenries. No 
inductive component in a circuit with making and breaking electric 
contacts shall have an inductance value greater than 100 millihenries.

[[Page 28]]

[GRAPHIC] [TIFF OMITTED] TC22OC91.001


[[Page 29]]


[GRAPHIC] [TIFF OMITTED] TC22OC91.002


[[Page 30]]


[GRAPHIC] [TIFF OMITTED] TC22OC91.003

    (h) Maximum temperature. In the normal operation of the blasting 
unit, the maximum temperature of any electric component shall not exceed 
302 [deg]F (150 [deg]C).
    (i) Capacitor discharge. The blasting unit shall include an 
automatic means

[[Page 31]]

to dissipate any electric charge remaining in any capacitor after the 
blasting unit is deenergized and not in use.
    (j) Construction. Blasting units shall meet the acceptable 
performance criteria of the construction test of Sec. 7.67.
    (k) Locking device. The blasting unit shall be equipped with a 
locking device to prevent unauthorized use.
    (l) Enclosure. The blasting unit enclosure shall be protected 
against tampering by--
    (1) Sealing the enclosure, except the battery compartment, using 
continuous welding, brazing, soldering, or equivalent methods; or
    (2) Sealing the electric components, other than batteries, in a 
solidified insulating material and assembling the enclosure with tamper-
resistant hardware.
    (m) Battery charging. Blasting units that contain rechargeable 
batteries shall have the following:
    (1) A blocking diode, or equivalent device, in series with the 
battery to prevent electric energy in the battery from being available 
at the charging connector.
    (2) The charging connector recessed into the enclosure.



Sec. 7.65  Critical characteristics.

    The following critical characteristics shall be inspected or tested 
on each blasting unit to which an approval marking is affixed:
    (a) The output current.
    (b) The voltage cut-off time.
    (c) The components that control voltage and current through each 
making and breaking electric contact.
    (d) Operation of the visual indicator and the firing switch.



Sec. 7.66  Output energy test.

    (a) Test procedures. The blasting unit shall be tested by firing 
into each of the following resistive loads, within a tolerance of 1%:
    (1) The maximum blasting circuit resistance.
    (2) Any resistive load between 3 ohms and the maximum blasting 
circuit resistance.
    (3) One ohm.
    (b) Acceptable performance. (1) The voltage shall be zero at the 
firing line terminals 10 milliseconds after operation of the firing 
switch.
    (2) The electric current from the blasting unit shall be:
    (i) Less than 50 milliamperes except during firing of the blasting 
unit.
    (ii) Available only through the firing line terminals.
    (iii) At least an average of 2 amperes during the first 5 
milliseconds following operation of the firing switch.
    (iv) Not exceed an average of 100 amperes during the first 10 
milliseconds following operation of the firing switch.



Sec. 7.67  Construction test.

    The constuction test is to be performed on the blasting unit 
subsequent to the output energy test of Sec. 7.66.
    (a) Test procedures. (1) The blasting unit shall be dropped 20 times 
from a height of 3 feet onto a horizontal concrete floor. When dropped, 
the orientation of the blasting unit shall be varied each time in an 
attempt to have a different surface, corner, or edge strike the floor 
first for each drop.
    (2) After the blasting unit has been drop tested in accordance with 
paragraph (a)(1) above, it shall be submerged in 1 foot of water for 1 
hour in each of 3 tests. The water temperature shall be maintained 
within 5 [deg]F (2.8 [deg]C) 
of 40 [deg]F (4.4 [deg]C), 70 [deg]F (21.1 [deg]C) and 100 [deg]F (37.8 
[deg]C) during the tests.
    (3) Immediately after removing the blasting unit from the water at 
each temperature, the unit shall be operated first with the firing line 
terminals open circuited, then operated again with the firing line 
terminals short circuited, and last, the output energy tested in 
accordance with the output energy test of Sec. 7.66.
    (b) Acceptable performance. (1) The blasting unit shall meet the 
acceptable performance criteria of the output energy test in Sec. 7.66 
each time it is performed.
    (2) There shall be no damage to the firing line terminals that 
exposes an electric conductor.
    (3) The visual indicator shall be operational.
    (4) The batteries shall not be separated from the blasting unit.

[[Page 32]]

    (5) There shall be no water inside the blasting unit enclosure, 
except for the battery compartment.



Sec. 7.68  Firing line terminals test.

    (a) Test procedures. (1) The contact resistance through each firing 
line terminal shall be determined.
    (2) A 10-pound pull shall be applied to a No. 18 gauge wire that has 
been connected to each firing line terminal according to the 
manufacturer's instructions.
    (b) Acceptable performance. (1) The contact resistance shall not be 
greater than 1 ohm.
    (2) The No. 18 gauge wire shall not become disconnected from either 
firing line terminal.



Sec. 7.69  Approval marking.

    Each approved blasting unit shall be identified as permissible by a 
legible and permanent marking securely attached, stamped, or molded to 
the outside of the unit. This marking shall include the following:
    (a) The assigned MSHA approval number.
    (b) The maximum blasting circuit resistance.
    (c) A warning that the unit's components must not be disassembled or 
removed.
    (d) The replacement battery types if the unit has replaceable 
batteries.
    (e) A warning placed next to the charging connector that the battery 
only be charged in a fresh air location if rechargeable batteries are 
used.
    (f) A warning that the unit is compatible only with detonators that 
will--
    (1) Fire when an average of 1.5 amperes is applied for 5 
milliseconds;
    (2) Not misfire when up to an average 100 amperes is applied for 10 
milliseconds; and
    (3) Not fire when a current of 250 milliamperes or less is applied.



Sec. 7.70  Post-approval product audit.

    Upon request by MSHA, but not more than once a year except for 
cause, the approval holder shall make an approved blasting unit 
available for audit at no cost to MSHA.



Sec. 7.71  Approval checklist.

    Each blasting unit bearing an MSHA approval marking shall be 
accompanied by a description of what is necessary to maintain the 
blasting unit as approved.

[54 FR 48210, Nov. 21, 1989, as amended at 60 FR 33723, June 29, 1995]



Sec. 7.72  New technology.

    MSHA may approve a blasting unit that incorporates technology for 
which the requirements of this subpart are not applicable if the Agency 
determines that the blasting unit is as safe as those which meet the 
requirements of this subpart.



   Subpart E_Diesel Engines Intended for Use in Underground Coal Mines

    Source: 61 FR 55504, Oct. 25, 1996, unless otherwise noted.



Sec. 7.81  Purpose and effective date.

    Subpart A general provisions of this part apply to this subpart E. 
Subpart E establishes the specific engine performance and exhaust 
emission requirements for MSHA approval of diesel engines for use in 
areas of underground coal mines where permissible electric equipment is 
required and areas where non-permissible electric equipment is allowed. 
It is effective November 25, 1996.



Sec. 7.82  Definitions.

    In addition to subpart A definitions of this part, the following 
definitions apply in this subpart.
    Brake Power. The observed power measured at the crankshaft or its 
equivalent when the engine is equipped only with standard auxiliaries 
necessary for its operation on the test bed.
    Category A engines. Diesel engines intended for use in areas of 
underground coal mines where permissible electric equipment is required.
    Category B engines. Diesel engines intended for use in areas of 
underground coal mines where nonpermissible electric equipment is 
allowed.

[[Page 33]]

    Corrosion-resistant material. Material that has at least the 
corrosion-resistant properties of type 304 stainless steel.
    Diesel engine. Any compression ignition internal combustion engine 
using the basic diesel cycle where combustion results from the spraying 
of fuel into air heated by compression.
    Exhaust emission. Any substance emitted to the atmosphere from the 
exhaust port of the combustion chamber of a diesel engine.
    Intermediate speed. Maximum torque speed if it occurs between 60 
percent and 75 percent of rated speed. If the maximum torque speed is 
less than 60 percent of rated speed, then the intermediate speed shall 
be 60 percent of the rated speed. If the maximum torque speed is greater 
than 75 percent of the rated speed, then the intermediate speed shall be 
75 percent of rated speed.
    Low idle speed. The minimum no load speed as specified by the engine 
manufacturer.
    Maximum torque speed. The speed at which an engine develops maximum 
torque.
    Operational range. All speed and load (including percent loads) 
combinations from the rated speed to the minimum permitted engine speed 
at full load as specified by the engine manufacturer.
    Particulates. Any material collected on a specified filter medium 
after diluting exhaust gases with clean, filtered air at a temperature 
of less than or equal to 125 [deg]F (52 [deg]C), as measured at a point 
immediately upstream of the primary filter. This is primarily carbon, 
condensed hydrocarbons, sulfates, and associated water.
    Percent load. The fraction of the maximum available torque at an 
engine speed.
    Rated horsepower. The nominal brake power output of a diesel engine 
as specified by the engine manufacturer with a specified production 
tolerance. For laboratory test purposes, the fuel pump calibration for 
the rated horsepower must be set between the nominal and the maximum 
fuel tolerance specification.
    Rated speed. Speed at which the rated power is delivered, as 
specified by the engine manufacturer.
    Steady-state condition. Diesel engine operating condition which is 
at a constant speed and load and at stabilized temperatures and 
pressures.
    Total oxides of nitrogen. The sum total of the measured parts per 
millions (ppm) of nitric oxide (NO) plus the measured ppm of nitrogen 
dioxide (NO2).



Sec. 7.83  Application requirements.

    (a) An application for approval of a diesel engine shall contain 
sufficient information to document compliance with the technical 
requirements of this subpart and specify whether the application is for 
a category A engine or category B engine.
    (b) The application shall include the following engine 
specifications--
    (1) Model number;
    (2) Number of cylinders, cylinder bore diameter, piston stroke, 
engine displacement;
    (3) Maximum recommended air inlet restriction and exhaust 
backpressure;
    (4) Rated speed(s), rated horsepower(s) at rated speed(s), maximum 
torque speed, maximum rated torque, high idle, minimum permitted engine 
speed at full load, low idle;
    (5) Fuel consumption at rated horsepower(s) and at the maximum rated 
torque;
    (6) Fuel injection timing; and
    (7) Performance specifications of turbocharger, if applicable.
    (c) The application shall include dimensional drawings (including 
tolerances) of the following components specifying all details affecting 
the technical requirements of this subpart. Composite drawings 
specifying the required construction details may be submitted instead of 
individual drawings of the following components--
    (1) Cylinder head;
    (2) Piston;
    (3) Inlet valve;
    (4) Exhaust valve;
    (5) Cam shaft--profile;
    (6) Fuel cam shaft, if applicable;
    (7) Injector body;
    (8) Injector nozzle;
    (9) Injection fuel pump;
    (10) Governor;
    (11) Turbocharger, if applicable;
    (12) Aftercooler, if applicable;
    (13) Valve guide;

[[Page 34]]

    (14) Cylinder head gasket; and
    (15) Precombustion chamber, if applicable.
    (d) The application shall include a drawing showing the general 
arrangement of the engine.
    (e) All drawings shall be titled, dated, numbered, and include the 
latest revision number.
    (f) When all necessary testing has been completed, the following 
information shall be submitted:
    (1) The gaseous ventilation rate for the rated speed and horsepower.
    (2) The particulate index for the rated speed and horsepower.
    (3) A fuel deration chart for altitudes for each rated speed and 
horsepower.



Sec. 7.84  Technical requirements.

    (a) Fuel injection adjustment. The fuel injection system of the 
engine shall be constructed so that the quantity of fuel injected can be 
controlled at a desired maximum value. This adjustment shall be 
changeable only after breaking a seal or by altering the design.
    (b) Maximum fuel-air ratio. At the maximum fuel-air ratio determined 
by Sec. 7.87 of this part, the concentrations (by volume, dry basis) of 
carbon monoxide (CO) and oxides of nitrogen (NOX) in the 
undiluted exhaust gas shall not exceed the following:
    (1) There shall be no more than 0.30 percent CO and no more than 
0.20 percent NOX for category A engines.
    (2) There shall be no more than 0.25 percent CO and no more than 
0.20 percent NOX for category B engines.
    (c) Gaseous emissions ventilation rate. Ventilation rates necessary 
to dilute gaseous exhaust emissions to the following values shall be 
determined under Sec. 7.88 of this part:

Carbon dioxide.........................  -5000 ppm
Carbon monoxide........................  -50 ppm
Nitric oxide...........................  -25 ppm
Nitrogen dioxide.......................  -5 ppm
 


A gaseous ventilation rate shall be determined for each requested speed 
and horsepower rating as described in Sec. 7.88(b) of this part.
    (d) Fuel deration. The fuel rates specified in the fuel deration 
chart shall be based on the tests conducted under paragraphs (b) and (c) 
of this section and shall ensure that the maximum fuel:air (f/a) ratio 
determined under paragraph (b) of this section is not exceeded at the 
altitudes specified in the fuel deration chart.
    (e) Particulate index. For each rated speed and horsepower 
requested, the particulate index necessary to dilute the exhaust 
particulate emissions to 1 mg/m\3\ shall be determined under Sec. 7.89 
of this part.



Sec. 7.85  Critical characteristics.

    The following critical characteristics shall be inspected or tested 
on each diesel engine to which an approval marking is affixed--
    (a) Fuel rate is set properly; and
    (b) Fuel injection pump adjustment is sealed, if applicable.



Sec. 7.86  Test equipment and specifications.

    (a) Dynamometer test cell shall be used in determining the maximum 
f/a ratio, gaseous ventilation rates, and the particulate index.
    (1) The following testing devices shall be provided:
    (i) An apparatus for measuring torque that provides an accuracy of 
2.0 percent based on the engine's maximum value;
    (ii) An apparatus for measuring revolutions per minute (rpm) that 
provides an accuracy of 2.0 percent based on the 
engine's maximum value;
    (iii) An apparatus for measuring temperature that provides an 
accuracy of 4 [deg]F (2 [deg]C) of the absolute 
value except for the exhaust gas temperature device that provides an 
accuracy of 27 [deg]F (15 [deg]C);
    (iv) An apparatus for measuring intake and exhaust restriction 
pressures that provides an accuracy of 5 percent 
of maximum;
    (v) An apparatus for measuring atmospheric pressure that provides an 
accuracy of 0.5 percent of reading;
    (vi) An apparatus for measuring fuel flow that provides an accuracy 
of 2 percent based on the engine's maximum value;
    (vii) An apparatus for measuring the inlet air flow rate of the 
diesel engine that provides an accuracy of 2 
percent based on the engine's maximum value; and
    (viii) For testing category A engines, an apparatus for metering in 
1.0 0.1

[[Page 35]]

percent, by volume, of methane (CH4) into the intake air 
system shall be provided.
    (2) The test fuel specified in Table E-1 shall be a low volatile 
hydrocarbon fuel commercially designated as ``Type 2-D'' grade diesel 
fuel. The fuel may contain nonmetallic additives as follows: Cetane 
improver, metal deactivator, antioxidant, dehazer, antirust, pour 
depressant, dye, dispersant, and biocide.

               Table E-1--Diesel Test Fuel Specifications
------------------------------------------------------------------------
                  Item                        ASTM           Type 2-D
------------------------------------------------------------------------
Cetane number..........................  D613                     40-48
Cetane index...........................  D976                     40-48
Distillation range:
    IBP [deg]F.........................  D86                    340-400
        ([deg]C).......................  ..............   (171.1-204.4)
    10 pct. point, [deg]F..............  D86                    400-460
        ([deg]C).......................  ..............   (204.4-237.8)
    50 pct. point, [deg]F..............  D86                    470.540
        ([deg]C).......................  ..............   (243.3-282.2)
    90 pct. point, [deg]F..............  D86                    560-630
        ([deg]C).......................  ..............   (293.3-332.2)
    EP, [deg]F.........................  D86                    610-690
        ([deg]C).......................  ..............   (321.1-365.6)
Gravity,[deg]API.......................  D287                     32-37
Total sulfur, pct......................  D2622                0.03-0.05
Hydrocarbon composition:
    Aromatics, pct.....................  D1319               27 minimum
    Paraffins, naphthenes, olefins.....  D1319                Remainder
Flashpoint, minimum, [deg]F............  93                         130
    ([deg]C)...........................  ..............          (54.4)
Viscosity, centistokes.................  445                    2.0-3.2
------------------------------------------------------------------------

    (3) The test fuel temperature at the inlet to the diesel engine's 
fuel injection pump shall be controlled to the engine manufacturer's 
specification.
    (4) The engine coolant temperature (if applicable) shall be 
maintained at normal operating temperatures as specified by the engine 
manufacturer.
    (5) The charge air temperature and cooler pressure drop (if 
applicable) shall be set to within 7 [deg]F(4 
[deg]C) and 0.59 inches Hg (2kPa) respectively, of 
the manufacturer's specification.
    (b) Gaseous emission sampling system shall be used in determining 
the gaseous ventilation rates.
    (1) The schematic of the gaseous sampling system shown in Figure E-1 
shall be used for testing category A engines. Various configurations of 
Figure E-1 may produce equivalent results. The components in Figure E-1 
are designated as follows--
    (i) Filters--F1, F2, F3, and F4;
    (ii) Flowmeters--FL1, FL2, FL3, FL4, FL5, FL6, and FL7;
    (iii) Upstream Gauges--G1, G2, and G5;
    (iv) Downstream Gauges--G3, G4, and G6;
    (v) Pressure Gauges--P1, P2, P3, P4, P5, and P6;
    (vi) Regulators--R1, R2, R3, R4, R5, R6, and R7;
    (vii) Selector Valves--V1, V2, V3, V4, V6, V7, V8, V15, and V19;
    (viii) Heated Selector Valves--V5, V13, V16, and V17;
    (ix) Flow Control Valves--V9, V10, V11 and V12;
    (x) Heated Flow Control Valves--V14 and V18;
    (xi) Pump--Sample Transfer Pump;
    (xii) Temperature Sensor--(T1);
    (xiii) Dryer--D1 and D2; and
    (xiv) Water traps--WT1 and WT2.
    (A) Water removal from the sample shall be done by condensation.
    (B) The sample gas temperature or dew point shall be monitored 
either within the water trap or downstream of the water trap and shall 
not exceed 45 [deg]F (7 [deg]C).
    (C) Chemical dryers are not permitted.

[[Page 36]]

[GRAPHIC] [TIFF OMITTED] TR25OC96.000

    (2) The schematic of the gaseous sampling system shown in Figure E-2 
shall be used for testing category B engines. Various configurations of 
Figure E-2 may produce equivalent results. The components are designated 
as follows--
    (i) Filters--F1, F2, F3, and F4;

[[Page 37]]

    (ii) Flowmeters--FL1, FL2, FL3, and FL4;
    (iii) Upstream Gauges--G1, and G2;
    (iv) Downstream Gauges--G3, and G4;
    (v) Pressure Gauges--P1, P2, P3, and P4;
    (vi) Regulators--R1, R2, R3, and R4;
    (vii) Selector Valves--V1, V2, V3, V4, V6, and V7;
    (viii) Heated Selector Valves--V5, V8, and V12;
    (ix) Flow Control Valves--V9, V10, V11;
    (x) Heated Flow Control Valves--V13;
    (xi) Pump--Sample Transfer Pump;
    (xii) Temperature Sensor--(T1); and
    (xiii) Water traps--WT1 and WT2.
    (A) Water removal from the sample shall be done by condensation.
    (B) The sample gas temperature or dew point shall be monitored 
either within the water trap or downstream of the water trap and shall 
not exceed 45 [deg]F (7 [deg]C).
    (C) Chemical dryers are not permitted.
    (3) All components or parts of components that are in contact with 
the sample gas or corrosive calibration gases shall be corrosion-
resistant material.

[[Page 38]]

[GRAPHIC] [TIFF OMITTED] TR25OC96.001

    (4) All analyzers shall obtain the sample to be analyzed from the 
same sample probe.
    (5) CO and CO2 measurements shall be made on a dry basis.

[[Page 39]]

    (6) Calibration or span gases for the NOX measurement 
system shall pass through the NO2 to NO converter.
    (7) A stainless steel sample probe shall be straight, closed-end, 
multi-holed, and shall be placed inside the exhaust pipe.
    (i) The probe length shall be at least 80 percent of the diameter of 
the exhaust pipe.
    (ii) The inside diameter of the sample probe shall not be greater 
than the inside diameter of the sample line.
    (iii) The heated sample line shall have a 0.197 inch (5 mm) minimum 
and a 0.53 inch (13.5 mm) maximum inside diameter.
    (iv) The wall thickness of the probe shall not be greater than 0.040 
inch (1 mm).
    (v) There shall be a minimum of 3 holes in 3 different radial planes 
sized to sample approximately the same flow.
    (8) The sample probe shall be located in the exhaust pipe at a 
minimum distance of 1.6 feet (0.5 meters) or 3 times the diameter of the 
exhaust pipe, whichever is the larger, from the exhaust manifold outlet 
flange or the outlet of the turbocharger. The exhaust gas temperature at 
the sample probe shall be a minimum of 158 [deg]F (70 [deg]C).
    (9) The maximum allowable leakage rate on the vacuum side of the 
analyzer pump shall be 0.5 percent of the in-use flow rate for the 
portion of the system being checked.
    (10) General analyzer specifications. (i) The total measurement 
error, including the cross sensitivity to other gases, (paragraphs 
(b)(11)(ii), (b)(12)(iii), (b)(13)(iii), and (b)(13)(iv) of this 
section), shall not exceed 5 percent of the 
reading or 3.5 percent of full scale, whichever is 
smaller. For concentrations of less than 100 ppm the measurement error 
shall not exceed 4 ppm.
    (ii) The repeatability, defined as 2.5 times the standard deviation 
of 10 repetitive responses to a given calibration or span gas, must be 
no greater than 1 percent of full scale 
concentration for each range used above 155 parts per million (ppm) or 
parts per million equivalent carbon (ppmC) or 2 
percent of each range used below 155 ppm (or ppmC).
    (iii) The analyzer peak to peak response to zero and calibration or 
span gases over any 10 second period shall not exceed 2 percent of full 
scale on all ranges used.
    (iv) The analyzer zero drift during a 1-hour period shall be less 
than 2 percent of full scale on the lowest range used. The zero-response 
is the mean response, including noise, to a zero gas during a 30-second 
time interval.
    (v) The analyzer span drift during a 1-hour period shall be less 
than 2 percent of full scale on the lowest range used. The analyzer span 
is defined as the difference between the span response and the zero 
response. The span response is the mean response, including noise, to a 
span gas during a 30-second time interval.
    (11) CO and CO2 analyzer specifications. (i) Measurements 
shall be made with nondispersive infrared (NDIR) analyzers.
    (ii) For the CO analyzer, the water and CO2 interference 
shall be less than 1 percent of full scale for ranges equal to or 
greater than 300 ppm (3 ppm for ranges below 300 ppm) when a 
CO2 span gas concentration of 80 percent to 100 percent of 
full scale of the maximum operating range used during testing is bubbled 
through water at room temperature.
    (12) For NOX analysis using a chemiluminescence (CL) 
analyzer the following parameters shall apply:
    (i) From the sample point to the NO2 to NO converter, the 
NOX sample shall be maintained between 131 [deg]F (55 [deg]C) 
and 392 [deg]F (200 [deg]C).
    (ii) The NO2 to NO converter efficiency shall be at least 
90 percent.
    (iii) The quench interference from CO2 and water vapor 
must be less than 3.0 percent.
    (13) For NOX analysis using an NDIR analyzer system the 
following parameters shall apply:
    (i) The system shall include a NO2 to NO converter, a 
water trap, and a NDIR analyzer.
    (ii) From the sample point to the NO2 to NO converter, 
the NOX sample shall be maintained between 131 [deg]F (55 
[deg]C) and 392 [deg]F (200 [deg]C).
    (iii) The minimum water rejection ratio (maximum water interference)

[[Page 40]]

for the NOX NDIR analyzer shall be 5,000:1.
    (iv) The minimum CO2 rejection ratio (maximum 
CO2 interference) for the NOX NDIR analyzer shall 
be 30,000:1.
    (14) When CH4 is measured using a heated flame ionization 
detector (HFID) the following shall apply:
    (i) The analyzer shall be equipped with a constant temperature oven 
that houses the detector and sample-handling components.
    (ii) The detector, oven, and sample-handling components shall be 
suitable for continuous operation at temperatures of 374 [deg]F (190 
[deg]C) 18 [deg]F (10 [deg]C).
    (iii) The analyzer fuel shall contain 40 2 
percent hydrogen. The balance shall be helium. The mixture shall contain 
<= 1 part per million equivalent carbon (ppmC), and <= 400 ppm CO.
    (iv) The burner air shall contain < 2 ppmC hydrocarbon.
    (v) The percent of oxygen interference shall be less than 5 percent.
    (15) An NDIR analyzer for measuring CH4 may be used in 
place of the HFID specified in paragraph (b)(14) of this section and 
shall conform to the requirements of paragraph (b)(10) of this section. 
Methane measurements shall be made on a dry basis.
    (16) Calibration gas values shall be traceable to the National 
Institute for Standards and Testing (NIST), ``Standard Reference 
Materials'' (SRM's). The analytical accuracy of the calibration gas 
values shall be within 2.0 percent of NIST gas standards.
    (17) Span gas values shall be traceable to NIST SRM's. The 
analytical accuracy of the span gas values shall be within 2.0 percent 
of NIST gas standards.
    (18) Calibration or span gases for the CO and CO2 
analyzers shall have purified nitrogen as a diluent. Calibration or span 
gases for the CH4 analyzer shall be CH4 with 
purified synthetic air or purified nitrogen as diluent.
    (19) Calibration or span gases for the NOX analyzer shall 
be NO with a maximum NO2 concentration of 5 percent of the NO 
content. Purified nitrogen shall be the diluent.
    (20) Zero-grade gases for the CO, CO2, CH4 , 
and NOX analyzers shall be either purified synthetic air or 
purified nitrogen.
    (21) The allowable zero-grade gas (purified synthetic air or 
purified nitrogen) impurity concentrations shall not exceed <= 1ppm C, 
<= 1 ppm CO, <= 400 ppm CO2, and <= 0.1 ppm NO.
    (22) The calibration and span gases may also be obtained by means of 
a gas divider. The accuracy of the mixing device must be such that the 
concentration of the diluted calibration gases are within 2 percent.
    (c) Particulate sampling system shall be used in determining the 
particulate index. A schematic of a full flow (single dilution) 
particulate sampling system for testing under this subpart is shown in 
Figures E-3 and E-4.
    (1) The dilution system shall meet the following parameters:
    (i) Either a positive displacement pump (PDP) or a critical flow 
venturi (CFV) shall be used as the pump/mass measurement device shown in 
Figure E-3.
    (ii) The total volume of the mixture of exhaust and dilution air 
shall be measured.
    (iii) All parts of the system from the exhaust pipe up to the filter 
holder, which are in contact with raw and diluted exhaust gas, shall be 
designed to minimize deposition or alteration of the particulate.
    (iv) All parts shall be made of electrically conductive materials 
that do not react with exhaust gas components.
    (v) All parts shall be electrically grounded to prevent 
electrostatic effects.
    (vi) Systems other than full flow systems may also be used provided 
they yield equivalent results where:
    (A) A seven sample pair (or larger) correlation study between the 
system under consideration and a full flow dilution system shall be run 
concurrently.
    (B) Correlation testing is to be performed at the same laboratory, 
test cell, and on the same engine.
    (C) The equivalency criterion is defined as a 5 percent agreement of the sample pair averages.
    (2) The mass of particulate in the exhaust shall be collected by 
filtration. The exhaust temperature immediately

[[Page 41]]

before the primary particulate filter shall not exceed 125 [deg]F (52.0 
[deg]C).
    (3) Exhaust system backpressure shall not be artificially lowered by 
the PDP, CFV systems or dilution air inlet system. Static exhaust 
backpressure measured with the PDP or CFV system operating shall remain 
within 0.44 inches Hg (1.5 kPa) of the static 
pressure measured without being connected to the PDP or CFV at identical 
engine speed and load.
    (4) The gas mixture temperature shall be measured at a point 
immediately ahead of the pump or mass measurement device.
    (i) Using PDP, the gas mixture temperature shall be maintained 
within 10 [deg]F (6.0 [deg]C) of the average 
operating temperature observed during the test, when no flow 
compensation is used.
    (ii) Flow compensation can be used provided that the temperature at 
the inlet to the PDP does not exceed 122 [deg]F (50 [deg]C).
    (iii) Using CFV, the gas mixture temperature shall be maintained 
within 20 [deg]F (11 [deg]C) of the average 
operating temperature observed during the test, when no flow 
compensation is used.
    (5) The heat exchanger shall be of sufficient capacity to maintain 
the temperature within the limits required above and is optional if 
electronic flow compensation is used.
    (6) When the temperature at the inlet of either the PDP or CFV 
exceeds the limits stated in either paragraphs (c)(4)(i) or (c)(4)(iii) 
of this section, an electronic flow compensation system shall be 
required for continuous measurement of the flow rate and control of the 
proportional sampling in the particulate sampling system.
    (7) The flow capacity of the system shall be large enough to 
eliminate water condensation.

[[Page 42]]

[GRAPHIC] [TIFF OMITTED] TR25OC96.002


[[Page 43]]


[GRAPHIC] [TIFF OMITTED] TR25OC96.003

    (8) The flow capacity of the PDP or CFV system using single dilution 
shall maintain the diluted exhaust at 125 [deg]F (52.0 [deg]C) or less 
immediately before the primary particulate filter.
    (9) The flow capacity of the PDP or CFV system using a double 
dilution

[[Page 44]]

system shall be sufficient to maintain the diluted exhaust in the 
dilution tunnel at 375 [deg]F (191 [deg]C) or less at the sampling zone.
    (10) The secondary dilution system shall provide sufficient 
secondary dilution air to maintain the double-diluted exhaust stream at 
125 [deg]F (52.0 [deg]C) or less immediately before the primary 
particulate filter.
    (11) The gas flow meters or the mass flow measurement 
instrumentation shall have a maximum error of the measured value within 
2 percent of reading.
    (12) The dilution air shall have a temperature of 77 [deg]F 9 [deg]F (25 [deg]C 5 [deg]C), and 
be--
    (i) Filtered at the air inlet; or
    (ii) Sampled to determine background particulate levels, which can 
then be subtracted from the values measured in the exhaust stream.
    (13) The dilution tunnel shall have the following specifications:
    (i) Be small enough in diameter to cause turbulent flow (Reynolds 
number greater than 4,000) and of sufficient length to cause complete 
mixing of the exhaust and dilution air;
    (ii) Be at least 3 inches (75 mm) in diameter; and
    (iii) Be configured to direct the engine exhaust downstream at the 
point where it is introduced into the dilution tunnel for thorough 
mixing.
    (14) The exhaust pipe length from the exit of the engine exhaust 
manifold or turbocharger outlet to the dilution tunnel shall not exceed 
a total length of 32 feet (10 m).
    (i) When the exhaust pipe exceeds 12 feet (4 m), then all pipe in 
excess of 12 feet (4 m) shall be insulated with a radial thickness of at 
least 1.0 inch (25 mm) and the thermal conductivity of the insulating 
material shall be no greater than 0.1 W/mK measured at 752 [deg]F (400 
[deg]C).
    (ii) To reduce the thermal inertia of the exhaust pipe, the 
thickness to diameter ratio shall be 0.015 or less.
    (iii) The use of flexible sections shall be limited to the length to 
diameter ratio of 12 or less.
    (15) The particulate sample probe shall--
    (i) Be installed in the dilution tunnel facing upstream, on the 
dilution tunnel centerline, and approximately 10 dilution tunnel 
diameters downstream of the point where the engine's exhaust enters the 
dilution tunnel; and
    (ii) Have 0.5 inches (12 mm) minimum inside diameter.
    (16) The inlet gas temperature to the particulate sample pump or 
mass measurement device shall remain a constant temperature of 5 [deg]F (3.0 [deg]C) if flow compensation is not used.
    (17) The secondary dilution portion of the double dilution system 
shall have:
    (i) A particulate transfer tube shall have a 0.5 inch (12 mm) 
minimum inside diameter not to exceed 40 inches (1020 mm) in length 
measured from the probe tip to the secondary dilution tunnel has:
    (A) An inlet with the transfer tube facing upstream in the primary 
dilution tunnel, centerline, and approximately 10 dilution tunnel 
diameters downstream of the point where the engine's exhaust enters the 
dilution tunnel.
    (B) An outlet where the transfer tube exits on the centerline of the 
secondary tunnel and points downstream.
    (ii) A secondary tunnel that has a minimum diameter of 3.0 inches 
(75 mm), and of sufficient length to provide a residence time of at 
least 0.25 seconds for the double-diluted sample.
    (iii) Secondary dilution air supplied at a temperature of 77 [deg]F 
9 [deg]F (25 [deg]C 5 
[deg]C).
    (iv) A primary filter holder located within 12.0 inches (300 mm) of 
the exit of the secondary tunnel.
    (18) The particulate sampling filters shall--
    (i) Be fluorocarbon-coated glass fiber filters or fluorocarbon-based 
(membrane) filters and have a 0.3 [micro]m di-octylphthalate (DOP) 
collection efficiency of at least 95 percent at a gas face velocity 
between 35 and 80 cm/s.;
    (ii) Have a minimum diameter of 1.85 inches (47 mm), 1.46 inches (37 
mm) stain diameter;
    (iii) Have a minimum filter loading ratio of 0.5mg/1075 mm \2\ stain 
area for the single filter method.
    (iv) Have minimum filter loading such that the sum of all eight (8) 
multiple filters is equal to the minimum loading value (mg) for a single 
filter

[[Page 45]]

multiplied by the square root of eight (8).
    (v) Be sampled at the same time by a pair of filters in series (one 
primary and one backup filter) so that:
    (A) The backup filter holder shall be located no more than 4 inches 
(100 mm) downstream of the primary filter holder.
    (B) The primary and backup filters shall not be in contact with each 
other.
    (C) The filters may be weighed separately or as a pair with the 
filters placed stain side to stain side.
    (D) The single filter method incorporates a bypass system for 
passing the sample through the filters at the desired time.
    (vi) Have a pressure drop increase between the beginning and end of 
the test of no more than 7.4 in Hg (25kPa).
    (vii) Filters of identical quality shall be used when performing 
correlation tests specified in paragraph (c)(1)(vi) of this section.
    (19) Weighing chamber specifications. (i) The temperature of the 
chamber (room) in which the particulate filters are conditioned and 
weighed shall be maintained to within 72 [deg]F 5 
[deg]F (22 [deg]C 3 [deg]C) during all filter 
conditioning and weighing.
    (ii) The humidity of the chamber (room) in which the particulate 
filters are conditioned and weighed shall be maintained to a dewpoint of 
49 [deg]F 5 [deg]F (9.5 [deg]C 3 [deg]C) and a relative humidity of 45 percent 8 percent during all filter conditioning and weighing.
    (iii) The chamber (room) environment shall be free of any ambient 
contaminants (such as dust) that would settle on the particulate filters 
during their stabilization. This shall be determined as follows:
    (A) At least two unused reference filters or reference filter pairs 
shall be weighed within four (4) hours of, but preferably at the same 
time as the sample filter (pair) weighings.
    (B) The reference filters are to be the same size and material as 
the sample filters.
    (C) If the average weight of reference filters (reference filter 
pairs) changes between sample filter weighings by more than 5.0 percent (7.5 percent for the 
filter pair respectively) of the recommended minimum filter loading in 
paragraphs (c)(18)(iii) or (c)(18)(iv) of this section, then all sample 
filters shall be discarded and the tests repeated.
    (20) The analytical balance used to determine the weights of all 
filters shall have a precision (standard deviation) of 20 [micro]g and 
resolution of 10 [micro]g. For filters less than 70 mm diameter, the 
precision and resolution shall be 2 [micro]g and 1 [micro]g, 
respectively.
    (21) All filters shall be neutralized to eliminate the effects of 
static electricity prior to weighing.



Sec. 7.87  Test to determine the maximum fuel-air ratio.

    (a) Test procedure. (1) Couple the diesel engine to the dynamometer 
and connect the sampling and measurement devices specified in Sec. 
7.86.
    (2) Prior to testing, zero and span the CO and NOX 
analyzers to the lowest analyzer range that will be used during this 
test.
    (3) While running the engine, the following shall apply:
    (i) The parameter for the laboratory atmospheric factor, 
fa, shall be: 0.98<=fa<=1.02;
    (A) The equation is fa=(99/Ps) * 
((Ta+273)/298)\0.7\ for a naturally aspirated and 
mechanically supercharged engines; or
    (B) The equation is fa=(99/Ps)\0.7\* 
((Ta+273)/298)\1.5\ for a turbocharged engine with or without 
cooling of the intake air.

Where:

Ps = dry atmospheric pressure (kPa)
Ta = intake air temperature ([deg]C)

    (ii) The air inlet restriction shall be set within 10 percent of the recommended maximum air inlet 
restriction as specified by the engine manufacturer at the engine 
operating condition giving maximum air flow to determine the 
concentration of CO as specified in paragraph (a)(6) of this section.
    (iii) The exhaust backpressure restriction shall be set within 
10 percent of the maximum exhaust backpressure as 
specified by the engine manufacturer at the engine operating condition 
giving maximum rated horsepower to determine the concentrations of CO 
and NOX as specified in paragraph (a)(6)of this section.

[[Page 46]]

    (iv) The air inlet restriction shall be set within 10 percent of a recommended clean air filter at the 
engine operating condition giving maximum air flow as specified by the 
engine manufacturer to determine the concentration of NOX as 
specified in paragraph (a)(6) of this section.
    (4) The engine shall be at a steady-state condition when the exhaust 
gas samples are collected and other test data is measured.
    (5) In a category A engine, 1.0 0.1 percent 
CH4 shall be injected into the engine's intake air.
    (6) Operate the engine at several speed/torque conditions to 
determine the concentrations of CO and NOX, dry basis, in the 
raw exhaust.
    (b) Acceptable performance. The CO and NOX concentrations 
in the raw exhaust shall not exceed the limits specified in Sec. 
7.84(b) throughout the specified operational range of the engine.



Sec. 7.88  Test to determine the gaseous ventilation rate.

    The test shall be performed in the order listed in Table E-2. The 
test for determination of the particulate index described in Sec. 7.89 
may be done simultaneously with this test.
    (a) Test procedure. (1) Couple the diesel engine to the dynamometer 
and attach the sampling and measurement devices specified in Sec. 7.86.
    (2) A minimum time of 10 minutes is required for each test mode.
    (3) CO, CO2, NOX, and CH4 analyzers 
shall be zeroed and spanned at the analyzer range to be used prior to 
testing.
    (4) Run the engine.
    (i) The parameter for fa shall be calculated in 
accordance with Sec. 7.87(a)(3).
    (ii) The air inlet and exhaust backpressure restrictions on the 
engine shall be set as specified in Sec. Sec. 7.87(a)(3) (iii) and 
(iv).
    (5) The engine shall be at a steady-state condition before starting 
the test modes.
    (i) The output from the gas analyzers shall be measured and recorded 
with exhaust gas flowing through the analyzers a minimum of the last 
three (3) minutes of each mode.
    (ii) To evaluate the gaseous emissions, the last 60 seconds of each 
mode shall be averaged.
    (iii) A 1.0 0.1 percent CH4, by 
volume, shall be injected into the engine's intake air for category A 
engines.
    (iv) The engine speed and torque shall be measured and recorded at 
each test mode.
    (v) The data required for use in the gaseous ventilation 
calculations specified in paragraph (a)(9) of this section shall be 
measured and recorded at each test mode.
    (6) Operate the engine at each rated speed and horsepower rating 
requested by the applicant according to Table E-2 in order to measure 
the raw exhaust gas concentration, dry basis, of CO, CO2, NO, 
and NO2, and CH4- exhaust (category A engines 
only).
    (i) Test speeds shall be maintained within 1 
percent of rated speed or 3 RPM, which ever is 
greater, except for low idle which shall be within the tolerances 
established by the manufacturer.
    (ii) The specified torque shall be held so that the average over the 
period during which the measurements are taken is within 2 percent of the maximum torque at the test speed.
    (7) The concentration of CH4 in the intake air shall be 
measured for category A engines.

                                          Table E-2--Gaseous Test Modes
----------------------------------------------------------------------------------------------------------------
                      Speed                                 Rated speed             Intermediate speed     Low-
---------------------------------------------------------------------------------------------------------  idle
                                                                                                           speed
                    % Torque                        100     75      50      10      100     75      50   -------
                                                                                                             0
 
----------------------------------------------------------------------------------------------------------------

    (8) After completion of the test modes, the following shall be done:
    (i) Zero and span the analyzers at the ranges used during the test.

[[Page 47]]

    (ii) The gaseous emission test shall be acceptable if the difference 
in the zero and span results taken before the test and after the test 
are less than 2 percent.
    (9) The gaseous ventilation rate for each exhaust gas contaminant 
shall be calculated as follows--
    (i) The following abbreviations shall apply to both category A and 
category B engine calculations as appropriate:

cfm--Cubic feet per min (ft\3\/min)
Exh--Exhaust
A--Air (lbs/hr)
H--Grains of water per lb. of dry intake air
J--Conversion factor
m--Mass flow rate (mass/hr)
TI--Intake air temperature ([deg]F)
PCAir--Percent Air
PCCH4--Percent CH4 (intake air)
UCH4--Unburned CH4
PCECH4--Percent Exhaust CH4

    (ii) Exhaust gas flow calculation for category B engines shall be (m 
Exh)=(A)+(m fuel).
    (iii) Fuel/air ratio for category B engines shall be (f/a)=(m fuel) 
/ (A).
    (iv) Methane flow through category A engines shall be determined by 
the following:

PCAir=100-PCCH4
Y=(PCAir)(0.289)+(PCCH4)(0.16)
Z=(0.16)(PCCH4)/Y
mCH4=(A)(Z)/(1-Z)

    (v) Exhaust gas flow calculation for category A engines shall be (m 
Exh)=(A)+(m fuel)+(m CH4)
    (vi) Unburned CH4 (lbs/hr) calculation for category A 
engines shall be mUCH4=(m Exh)(0.0052)(PCECH4)
    (vii) Fuel/air ratio for category A engines shall be (f/a)=((m 
fuel)+(m CH4)-(m UCH4))/(A)
    (viii) Conversion from dry to wet basis for both category A and 
category B engines shall be:

(NO wet basis)=(NO dry basis)(J)
(NO2 wet basis)=(NO2 dry basis)(J)
(CO2 wet basis)=(CO2 dry basis)(J)
(CO wet basis)=(CO dry basis)(10-4)(J)

Where:

J=(f/a)(-1.87)+(1-(0.00022)(H))

    (ix) NO and NO2 correction for humidity and temperature 
for category A and category B engines shall be:

(NO corr)=(NO wet basis)/(E)
(NO2 corr)=(NO2 wet basis)/(E)

Where:

E=1.0+(R)(H-75)+(G)(TI-77)
R=(f/a)(0.044)-(0.0038)
G=(f/a)(-0.116)+(0.0053)

    (x) The calculations to determine the m of each exhaust gas 
contaminant in grams per hour at each test point shall be as follows for 
category A and category B engines:

(m NO)=(NO corr)(0.000470)(m Exh)
(m NO2)=(NO2 corr)(0.000720)(m Exh)
(m CO2)=(CO2 wet basis)(6.89)(m Exh)
(m CO)=(CO wet basis)(4.38)(m Exh)

    (xi) The calculations to determine the ventilation rate for each 
exhaust gas contaminant at each test point shall be as follows for 
category A and category B engines:

(cfm NO)=(m NO)(K)
(cfm NO2)=(m NO2)(K)
(cfm CO2)=(m CO2)(K)
(cfm CO)=(m CO)(K)

Where:

K=13,913.4/ (pollutant grams/mole) (pollutant dilution value specified 
in Sec. 7.84(c)).

    (b) The gaseous ventilation rate for each requested rated speed and 
horsepower shall be the highest ventilation rate calculated in paragraph 
(a)(9)(xi) of this section.
    (1) Ventilation rates less than 20,000 cfm shall be rounded up to 
the next 500 cfm.
    Example: 10,432 cfm shall be listed 10,500 cfm.
    (2) Ventilation rates greater than 20,000 cfm shall be rounded up to 
the next 1,000 cfm.
    Example: 26,382 cfm shall be listed 27,000 cfm.

[61 FR 55504, Oct. 25, 1996; 62 FR 34640, June 27, 1997]



Sec. 7.89  Test to determine the particulate index.

    The test shall be performed in the order listed in Table E-3.
    (a) Test procedure. (1) Couple the diesel engine to the dynamometer 
and connect the sampling and measurement devices specified in Sec. 
7.86.
    (2) A minimum time of 10 minutes is required for each measuring 
point.
    (3) Prior to testing, condition and weigh the particulate filters as 
follows:
    (i) At least 1 hour before the test, each filter (pair) shall be 
placed in a

[[Page 48]]

closed, but unsealed, petri dish and placed in a weighing chamber (room) 
for stabilization.
    (ii) At the end of the stabilization period, each filter (pair) 
shall be weighed. The reading is the tare weight.
    (iii) The filter (pair) shall then be stored in a closed petri dish 
or a filter holder, both of which shall remain in the weighing chamber 
(room) until needed for testing.
    (iv) The filter (pair) must be re-weighed if not used within 8 hours 
of its removal from the weighing chamber (room).
    (4) Run the engine.
    (i) The parameter for fa shall be calculated in 
accordance with Sec. 7.87(a)(3).
    (ii) The air inlet and exhaust backpressure restrictions on the 
engine shall be set as specified in Sec. Sec. 7.87(a)(3) (iii) and 
(iv).
    (iii) The dilution air shall be set to obtain a maximum filter face 
temperature of 125 [deg]F (52 [deg]C) or less at each test mode.
    (iv) The total dilution ratio shall not be less than 4.
    (5) The engine shall be at a steady state condition before starting 
the test modes.
    (i) The engine speed and torque shall be measured and recorded at 
each test mode.
    (ii) The data required for use in the particulate index calculation 
specified in paragraph (a)(9) of this section shall be measured and 
recorded at each test mode.
    (6) A 1.0 0.1 percent CH4, by 
volume shall be injected into the engine's intake air for category A 
engines.
    (7) Operate the engine at each rated speed and horsepower rating 
requested by the applicant according to Table E-3 to collect particulate 
on the primary filter.
    (i) One pair of single filters shall be collected or eight multiple 
filter pairs shall be collected.
    (ii) Particulate sampling shall be started after the engine has 
reached a steady-state condition.
    (iii) The sampling time required per mode shall be either a minimum 
of 20 seconds for the single filter method or a minimum of 60 seconds 
for the multiple filter method.
    (iv) The minimum particulate loading specified in Sec. Sec. 
7.86(c)(18) (iii) or (iv) shall be done.

                                        Table E-3--Particulate Test Modes
----------------------------------------------------------------------------------------------------------------
                      Speed                                 Rated speed             Intermediate speed     Low-
---------------------------------------------------------------------------------------------------------  idle
                                                                                                           speed
                    % Torque                        100     75      50      10      100     75      50   -------
                                                                                                             0
----------------------------------------------------------------------------------------------------------------
Weighting factor................................    0.15    0.15    0.15     0.1     0.1     0.1     0.1    0.15
----------------------------------------------------------------------------------------------------------------

    (v) Test speeds shall be maintained within  
percent of rated speed or 3 RPM, which ever is 
greater, except for low idle which shall be within the tolerances set by 
the manufacturer.
    (vi) The specified torque shall be held so that the average over the 
period during which the measurements are being taken is within 2 percent of the maximum torque at the test speed.
    (vii) The modal weighting factors (WF) given in Table E-3 shall be 
applied to the multiple filter method during the calculations as shown 
in paragraph (a)(9)(iii)(B) of this section.
    (viii) For the single filter method, the modal WF shall be taken 
into account during sampling by taking a sample proportional to the 
exhaust mass flow for each mode of the cycle.
    (8) After completion of the test, condition and weigh the 
particulate filters in the weighing chamber (room) as follows:
    (i) Condition the filters for at least 1 hour, but not more than 80 
hours.
    (ii) At the end of the stabilization period, weigh each filter. The 
reading is the gross weight.
    (iii) The particulate mass of each filter is its gross weight minus 
its tare weight.
    (iv) The particulate mass (PF for the single filter 
method; PF,i for the multiple filter method) is 
the sum of the

[[Page 49]]

particulate masses collected on the primary and back-up filters.
    (v) The test is void and must be rerun if the sample on the filter 
contacts the petri dish or any other surface.
    (9) The particulate index for the mass particulate shall be 
calculated from the equations listed below--
    (i) The following abbreviations shall be:

cfm--Cubic feet per min (ft\3\ min)
PT--Particulate (gr/hr)
m mix--Diluted exhaust gas mass flow rate on wet basis (kg/hr)
m sample--Mass of the diluted exhaust sample passed through the 
particulate sampling filters (kg)
Pf--Particulate sample mass collected on a filter (mg) at 
each test mode as determined in Table E-3.
Kp--Humidity correction factor for particulate
WF--Weighting factor
i-Subscript denoting an individual mode, i=1, . . . n
PI--Particulate Index (cfm)

    (ii) When calculating ambient humidity correction for the 
particulate concentration (Pf part), the equation shall be:

Pfcorr=(Pf)(Kp)
Kp=1/(1+0.0133 * (H-10.71))

Where:

Ha=humidity of the intake air, g water per kg dry air
Ha=(6.220 * Ra * pa)/(pB-
pa - Ra * 10-2)
Ra=relative humidity of the intake air, %
pa=saturation vapor pressure of the intake air, kPa
pB=total barometric pressure, kPa

    (iii) When the multiple filter method is used, the following 
equations shall be used.
    (A) Mass of particulate emitted is calculated as follows:
    [GRAPHIC] [TIFF OMITTED] TR25OC96.004
    
    (B) Determination of weighted particulate average is calculated as 
follows:
[GRAPHIC] [TIFF OMITTED] TR25OC96.005

    (C) Determination of particulate index for the mass particulate from 
the average of the test modes shall be calculated as follows:
[GRAPHIC] [TIFF OMITTED] TR25OC96.006

    (iv) When the single filter method is used, the following equations 
shall be used.
    (A) Mass of particulate emitted:

[[Page 50]]

[GRAPHIC] [TIFF OMITTED] TR25OC96.007


Where:
[GRAPHIC] [TIFF OMITTED] TR25OC96.008

[GRAPHIC] [TIFF OMITTED] TR25OC96.009

    (B) Determination of particulate index for the mass particulate from 
the average of the test modes shall be as follows:
[GRAPHIC] [TIFF OMITTED] TR25OC96.010

    (v) When the effective weighting factor, 
WFE,i, for each mode is calculated for the single 
filter method, the following shall apply.
[GRAPHIC] [TIFF OMITTED] TR25OC96.011

    (B) The value of the effective weighting factors shall be within 
0.005 (absolute value) of the weighting factors 
listed in Table E-3.
    (b) A particulate index for each requested rated speed and 
horsepower shall be the value determined in paragraph (a)(9)(iii)(C) of 
this section for the multiple filter method or paragraph (a)(9)(iv)(B) 
of this section for the single filter method.
    (1) Particulate indices less than 20,000 cfm shall be rounded up to 
the next 500 cfm. Example: 10,432 cfm shall be listed 10,500 cfm.
    (2) Particulate indices greater than 20,000 cfm shall be rounded up 
to the nearest thousand 1,000 cfm. Example: 26,382 cfm shall be listed 
27,000 cfm.

[61 FR 55504, Oct. 25, 1996; 62 FR 34640, June 27, 1997]



Sec. 7.90  Approval marking.

    Each approved diesel engine shall be identified by a legible and 
permanent approval marking inscribed with the assigned MSHA approval 
number and securely attached to the diesel engine. The marking shall 
also contain the following information:
    (a) Ventilation rate.
    (b) Rated power.
    (c) Rated speed.
    (d) High idle.

[[Page 51]]

    (e) Maximum altitude before deration.
    (f) Engine model number.



Sec. 7.91  Post-approval product audit.

    Upon request by MSHA, but no more than once a year except for cause, 
the approval holder shall make a diesel engine available for audit at no 
cost to MSHA.



Sec. 7.92  New technology.

    MSHA may approve a diesel engine that incorporates technology for 
which the requirements of this subpart are not applicable if MSHA 
determines that the diesel engine is as safe as those which meet the 
requirements of this subpart.



Subpart F_Diesel Power Packages Intended for Use in Areas of Underground 

       Coal Mines Where Permissible Electric Equipment is Required

    Source: 61 FR 55518, Oct. 25, 1996, unless otherwise noted.



Sec. 7.95  Purpose and effective date.

    Part 7, subpart A general provisions apply to subpart F. Subpart F 
establishes the specific requirements for MSHA approval of diesel power 
packages intended for use in approved equipment in areas of underground 
coal mines where electric equipment is required to be permissible. It is 
effective November 25, 1996.



Sec. 7.96  Definitions.

    In addition to the definitions in subparts A and E of this part, the 
following definitions apply in this subpart.
    Cylindrical joint. A joint comprised of two contiguous, concentric, 
cylindrical surfaces.
    Diesel power package. A diesel engine with an intake system, exhaust 
system, and a safety shutdown system installed.
    Dry exhaust conditioner. An exhaust conditioner that cools the 
exhaust gas without direct contact with water.
    Exhaust conditioner. An enclosure, containing a cooling system, 
through which the exhaust gases pass.
    Exhaust system. A system connected to the outlet of the diesel 
engine which includes, but is not limited to, the exhaust manifold, the 
exhaust pipe, the exhaust conditioner, the exhaust flame arrester, and 
any adapters between the exhaust manifold and exhaust flame arrester.
    Fastening. A bolt, screw, or stud used to secure adjoining parts to 
prevent the escape of flame from the diesel power package.
    Flame arrester. A device so constructed that flame or sparks from 
the diesel engine cannot propagate an explosion of a flammable mixture 
through it.
    Flame arresting path (explosion-proof joint). Two or more adjoining 
or adjacent surfaces between which the escape of flame is prevented.
    Flammable mixture. A mixture of methane or natural gas with normal 
air, that will propagate flame or explode when ignited.
    Grade. The slope of an incline expressed as a percent.
    High idle speed. The maximum no load speed specified by the engine 
manufacturer.
    Intake system. A system connected to the inlet of the diesel engine 
which includes, but is not limited to, the intake manifold, the intake 
flame arrester, the emergency intake air shutoff device, the air 
cleaner, and all piping and adapters between the intake manifold and air 
cleaner.
    Plane joint. A joint comprised of two adjoining surfaces in parallel 
planes.
    Safety shutdown system. A system which, in response to signals from 
various safety sensors, recognizes the existence of a potential 
hazardous condition and automatically shuts off the fuel supply to the 
engine.
    Step (rabbet) joint. A joint comprised of two adjoining surfaces 
with a change or changes in direction between its inner and outer edges. 
A step joint may be composed of a cylindrical portion and a plane 
portion or of two or more plane portions.
    Threaded joint. A joint consisting of a male- and female-threaded 
member, both of which are the same type and gauge.
    Wet exhaust conditioner. An exhaust conditioner that cools the 
exhaust gas

[[Page 52]]

through direct contact with water, commonly called a water scrubber.



Sec. 7.97  Application requirements.

    (a) An application for approval of a diesel power package shall 
contain sufficient information to document compliance with the technical 
requirements of this subpart and include: drawings, specifications, and 
descriptions with dimensions (including tolerances) demonstrating 
compliance with the technical requirements of Sec. 7.98. The 
specifications and descriptions shall include the materials of 
construction and quantity. These shall include the following--
    (1) A general arrangement drawing showing the diesel power package 
and the location and identification of the intake system, exhaust 
system, safety shutdown system sensors, flame arresters, exhaust 
conditioner, emergency intake air shutoff device, automatic fuel shutoff 
device and the engine.
    (2) Diesel engine specifications including the MSHA approval number, 
the engine manufacturer, the engine model number, and the rated speed, 
rated horsepower, and fuel rate.
    (3) A drawing(s) which includes the fan blade material 
specifications, the location and identification of all water-cooled 
components, coolant lines, radiator, surge tank, temperature sensors, 
and orifices; arrows indicating proper flow direction; the height 
relationship of water-cooled components to the surge tank; and the 
proper procedure for filling the cooling system.
    (4) A drawing(s) showing the relative location, identification of 
components, and design of the safety shutdown system.
    (5) Specific component identification, or specific information 
including detail drawings that identify the characteristics of the 
cooling system and safety shutdown system that ensures compliance with 
the technical requirements.
    (6) Detail drawings of gaskets used to form flame-arresting paths.
    (7) An assembly drawing showing the location and identification of 
all intake system components from the air cleaner to the engine head.
    (8) An assembly drawing showing the location and identification of 
all exhaust system components from the engine head to the exhaust 
outlet.
    (9) Detail drawings of those intake and exhaust system components 
identified in paragraphs (a)(7) and (a)(8) of this section that ensure 
compliance with the technical requirements. An exhaust conditioner 
assembly drawing shall be provided showing the location, dimensions, and 
identification of all internal parts, exhaust inlet and outlet, sensors, 
and the exhaust gas path through the exhaust conditioner. If a wet 
exhaust conditioner is used, the exhaust conditioner assembly drawing 
must also show the location, dimensions, and identification of the fill 
port, drain port, low water check port; high or normal operating water 
level; minimum allowable low water level; and the maximum allowable 
grade that maintains explosion-proof operations.
    (10) A power package checklist which shall consist of a list of 
specific features that must be checked and tests that must be performed 
to determine if a previously approved diesel power package is in 
approved condition. Test procedures shall be specified in sufficient 
detail to allow the evaluation to be made without reference to other 
documents. Illustrations shall be used to fully identify the approved 
configuration of the diesel power package.
    (11) Information showing that the electrical systems and components 
meet the requirements of Sec. 7.98.
    (12) A drawing list consisting of a complete list of those drawings 
and specifications which show the details of the construction and design 
of the diesel power package.
    (b) Composite drawings specifying the required construction details 
may be submitted instead of the individual drawings in paragraph (a) of 
this section.
    (c) All documents shall be titled, dated, numbered, and include the 
latest revision.
    (d) When all testing has been completed, the following information 
shall be submitted and become part of the approval documentation:
    (1) The settings of any adjustable devices used to meet the 
performance requirements of this subpart.
    (2) The coolant temperature sensor setting and exhaust gas 
temperature

[[Page 53]]

sensor setting used to meet the performance requirements of this 
subpart.
    (3) The minimum allowable low water level and the low water sensor 
setting used to meet the performance requirements of this subpart for 
systems using a wet exhaust conditioner as the exhaust flame arrester.
    (4) The maximum grade on which the wet exhaust conditioner can be 
operated retaining the flame arresting characteristics.
    (5) A finalized version of the power package checklist.



Sec. 7.98  Technical requirements.

    (a) The diesel power package shall use a category A diesel engine 
approved under subpart E of this part with the following additional 
requirements:
    (1) A hydraulic, pneumatic, or other mechanically actuated starting 
mechanism. Other means of starting shall be evaluated in accordance with 
the provisions of Sec. 7.107.
    (2) If an air compressor is provided, the intake air line shall be 
connected to the engine intake system between the air cleaner and the 
flame arrester. If the air compressor's inlet air line is not connected 
to the engine's intake system, it shall have an integral air filter.
    (b) The temperature of any external surface of the diesel power 
package shall not exceed 302 [deg]F (150 [deg]C).
    (1) Diesel power package designs using water jacketing to meet this 
requirement shall be tested in accordance with Sec. 7.101.
    (2) Diesel power packages using other techniques will be evaluated 
under the provisions of Sec. 7.107.
    (3) When using water-jacketed components, provisions shall be made 
for positive circulation of coolant, venting of the system to prevent 
the accumulation of air pockets, and effective activation of the safety 
shutdown system before the temperature of the coolant in the jackets 
exceeds the manufacturer's specifications or 212 [deg]F (100 [deg]C), 
whichever is lower.
    (c) External rotating parts shall not be constructed of aluminum 
alloys containing more than 0.6 percent magnesium.
    (d) If nonmetallic rotating parts are used, they shall be provided 
with a means to prevent an accumulation of static electricity. Static 
conducting materials shall have a total resistance of 1 megohm or less, 
measured with an applied potential of 500 volts or more. Static 
conducting materials having a total resistance greater than 1 megohm 
will be evaluated under the provisions of Sec. 7.107.
    (e) All V-belts shall be static conducting and have a resistance not 
exceeding 6 megohms, when measured with a direct current potential of 
500 volts or more.
    (f) The engine crankcase breather shall not be connected to the air 
intake system of the engine. The discharge from the breather shall be 
directed away from hot surfaces of the engine and exhaust system.
    (g) Electrical components on diesel power packages shall be 
certified or approved by MSHA under parts 7, 18, 20, and 27 of this 
chapter.
    (h) Electrical systems on diesel power packages consisting of 
electrical components, interconnecting wiring, and mechanical and 
electrical protection shall meet the requirements of parts 7, 18, and 27 
of this chapter, as applicable.
    (i) The diesel power package shall be equipped with a safety 
shutdown system which will automatically shut off the fuel supply and 
stop the engine in response to signals from sensors indicating--
    (1) The coolant temperature limit specified in paragraph (b) of this 
section;
    (2) The exhaust gas temperature limit specified in paragraph (s)(4) 
of this section;
    (3) The minimum allowable low water level, for a wet exhaust 
conditioner, as established by tests in Sec. 7.100. Restarting of the 
engine shall be prevented until the water level in the wet exhaust 
conditioner has been replenished above the minimum allowable low water 
level; and
    (4) The presence of other safety hazards such as high methane 
concentration, actuation of the fire suppression system, etc., if such 
sensors are included in the safety shutdown system.

[[Page 54]]

    (j) The safety shutdown system shall have the following features:
    (1) A means to automatically disable the starting circuit and 
prevent engagement of the starting mechanism while the engine is 
running, or a starting mechanism constructed of nonsparking materials.
    (2) If the design of the safety shutdown system requires that the 
lack of engine oil pressure must be overridden to start the engine, the 
override shall not be capable of overriding any of the safety shutdown 
sensors specified in paragraph (i) of this section.
    (k) The diesel power package shall be explosion-proof as determined 
by the tests set out in Sec. 7.100.
    (l) Engine joints that directly or indirectly connect the combustion 
chamber to the surrounding atmosphere shall be explosion-proof in 
accordance with paragraphs (m) through (q) of this section and Sec. 
7.100. This paragraph does not apply to the following:
    (1) Pistons to piston rings;
    (2) Pistons to cylinder walls;
    (3) Piston rings to cylinder walls;
    (4) Cylinder head to cylinder block;
    (5) Valve stem to valve guide; or
    (6) Injector body to cylinder head.
    (m) Each segment of the intake system and exhaust system required to 
provide explosion-proof features shall be constructed of metal and 
designed to withstand a minimum internal pressure equal to four times 
the maximum pressure observed in that segment in tests under Sec. 7.100 
or a pressure of 150 psig, whichever is less. Castings shall be free 
from blowholes.
    (n) Welded joints forming the explosion-proof intake and exhaust 
systems shall be continuous and gas-tight. At a minimum, they shall be 
made in accordance with American Welding Society Standard D14.4-77 or 
meet the test requirements of Sec. 7.104 with the internal pressure 
equal to four times the maximum pressure observed in tests under Sec. 
7.100 or a pressure of 150 psig, whichever is less.
    (o) Flexible connections shall be permitted in segments of the 
intake and exhaust systems required to provide explosion-proof features, 
provided that failure of the connection activates the safety shutdown 
system before the explosion-proof characteristics are lost.
    (p) Flame-arresting paths in the intake and exhaust systems shall be 
formed either by--
    (1) Flanged metal to metal joints meeting the requirements of 
paragraph (q) of this section; or
    (2) Metal flanges fitted with metal gaskets and meeting the 
following requirements:
    (i) Flat surfaces between bolt holes that form any part of a flame-
arresting path shall be planed to within a maximum deviation of one-half 
the maximum clearance specified in paragraph (q)(7) of this section. All 
metal surfaces forming a flame-arresting path shall be finished during 
the manufacturing process to not more than 250 microinches.
    (ii) A means shall be provided to ensure that fastenings maintain 
the tightness of joints. The means provided shall not lose its 
effectiveness through repeated assembly and disassembly.
    (iii) Fastenings shall be as uniform in size as practicable to 
preclude improper assembly.
    (iv) Holes for fastenings shall not penetrate to the interior of an 
intake or exhaust system and shall be threaded to ensure that all 
specified bolts or screws will not bottom even if the washers are 
omitted.
    (v) Fastenings used for joints of flame-arresting paths on intake or 
exhaust systems shall be used only for attaching parts that are 
essential in maintaining the explosion-proof integrity. They shall not 
be used for attaching brackets or other parts.
    (vi) The minimum thickness of material for flanges shall be \1/2\-
inch, except that a final thickness of \7/16\-inch is allowed after 
machining rolled plate.
    (vii) The maximum fastening spacing shall be 6 inches.
    (viii) The minimum diameter of fastenings shall be \3/8\-inch, 
except smaller diameter fastenings may be used if the joint first meets 
the requirements of the static pressure test in Sec. 7.104, and the 
explosion test in Sec. 7.100.
    (ix) The minimum thread engagement of fastenings shall be equal to 
or greater than the nominal diameter of the fastenings specified, or the 
intake or exhaust system must meet the test requirements of the 
explosion tests in

[[Page 55]]

Sec. 7.100 and the static pressure test in Sec.  7.104.
    (x) The minimum contact surface of gaskets forming flame-arresting 
paths shall be \3/8\-inch, and the thickness of the gaskets shall be no 
greater than \1/16\-inch. The minimum distance from the interior edge of 
a gasket to the edge of a fastening hole shall be \3/8\-inch. The 
gaskets shall be positively positioned, and a means shall be provided to 
preclude improper installation. When the joint is completely assembled, 
it shall be impossible to insert a 0.0015-inch thickness gauge to a 
depth exceeding \1/8\-inch between the gasket and mating flanges. Other 
gasket designs shall be evaluated in accordance with Sec. 7.107.
    (q) The following construction requirements shall apply to flame-
arresting paths formed without gaskets:
    (1) Flat surfaces between fastening holes that form any part of a 
flame-arresting path shall be planed to within a maximum deviation of 
one-half the maximum clearance specified in paragraph (q)(7) of this 
section. All metal surfaces forming a flame-arresting path shall be 
finished during the manufacturing process to not more than 250 
microinches. A thin film of nonhardening preparation to inhibit rusting 
may be applied to these finished metal surfaces, as long as the final 
surface can be readily wiped free of any foreign materials.
    (2) A means shall be provided to ensure that fastenings maintain the 
tightness of joints. The means provided shall not lose its effectiveness 
through repeated assembly and disassembly.
    (3) Fastenings shall be as uniform in size as practicable to 
preclude improper assembly.
    (4) Holes for fastenings shall not penetrate to the interior of an 
intake or exhaust system and shall be threaded to ensure that all 
specified bolts or screws will not bottom even if the washers are 
omitted.
    (5) Fastenings used for joints of flame-arresting paths on intake or 
exhaust systems shall be used only for attaching parts that are 
essential in maintaining the explosion-proof integrity. They shall not 
be used for attaching brackets or other parts.
    (6) The flame-arresting path of threaded joints shall conform to the 
requirements of paragraph (q)(7) of this section.
    (7) Intake and exhaust systems joints shall meet the specifications 
set out in Table F-1.

   Table F-1--Dimensional Requirements for Explosion-Proof Intake and
                          Exhaust System Joints
------------------------------------------------------------------------
 
------------------------------------------------------------------------
Minimum thickness of material for flanges........  \1/2\\1\
Minimum width of joint; all in one plane.........  1
Maximum clearance; joint all in one plane........  0.004
Minimum width of joint, portions of which are      \3/4\\2\
 different planes; cylinders or equivalent.
Maximum clearances; joint in two or more planes,
 cylinders or equivalent:
    Portion perpendicular to plane...............  0.008\3\
    Plane portion................................  0.006
Maximum fastening \4\ spacing; joints all in one   6
 plane \5\.
Maximum fastening spacing; joints, portions of     8
 which are in different planes.
Minimum diameter of fastening (without regard to   \3/8\
 type of joint) \6\.
Minimum thread engagement of fastening \7\.......  \3/8\
Maximum diametrical clearance between fastening    \1/16\
 body and unthreaded holes through which it
 passes \8,9,10\.
Minimum distance from interior of the intake or
 exhaust system to the edge of a fastening hole:
 \11\
    Joint-minimum width 1.............  \7/16\\8,12\
Shafts centered by ball or roller bearings:
    Minimum length of flame-arresting path.......  1
    Maximum diametrical clearance................  0.030
Other cylindrical joints:
    Minimum length of flame-arresting path.......  1
    Maximum diametrical clearance................  0.010
------------------------------------------------------------------------
\1\ \1/16\-inch less is allowable for machining rolled plate.
\2\ If only two planes are involved, neither portion of a joint shall be
  less than \1/8\-inch wide, unless the wider portion conforms to the
  same requirements as those for a joint that is all in one plane. If
  more than two planes are involved (as in labyrinths or tongue-in-
  groove joints), the combined lengths of those portions having
  prescribed clearances are considered.

[[Page 56]]

 
\3\ The allowable diametrical clearance is 0.008-inch when the portion
  perpendicular to the plane portion is \1/4\-inch or greater in length.
  If the perpendicular portion is more than \1/8\-inch but less than \1/
  4\-inch wide, the diametrical clearance shall not exceed 0.006-inch.
\4\ Studs, when provided, shall bottom in blind holes, be completely
  welded in place, or have the bottom of the hole closed with a plug
  secured by weld or braze. Fastenings shall be provided at all corners.
 
\5\ The requirements as to diametrical clearance around the fastening
  and minimum distance from the fastening hole to the inside of the
  intake or exhaust system apply to steel dowel pins. In addition, when
  such pins are used, the spacing between centers of the fastenings on
  either side of the pin shall not exceed 5 inches.
\6\ Fastening diameters smaller than specified may be used if the joint
  or assembly meets the test requirements of Sec.  7.104.
\7\ Minimum thread engagement shall be equal to or greater than the
  nominal diameter of the fastening specified, or the intake or exhaust
  system must meet the test requirements of Sec.  7.104.
\8\ The requirements as to diametrical clearance around the fastening
  and minimum distance from the fastening hole to the inside of the
  intake or exhaust system apply to steel dowel pins. In addition, when
  such pins are used, the spacing between centers of the fastenings on
  either side of the pin shall not exceed 5 inches.
\9\ This maximum clearance only applies when the fastening is located
  within the flame-arresting path.
\10\ Threaded holes for fastenings shall be machined to remove burrs or
  projections that affect planarity of a surface forming a flame-
  arresting path.
\11\ Edge of the fastening hole shall include any edge of any machining
  done to the fastening hole, such as chamfering.
\12\ If the diametrical clearance for fastenings does not exceed \1/32\-
  inch, then the minimum distance shall be \1/4\-inch.

    (r) Intake system. (1) The intake system shall include a device 
between the air cleaner and intake flame arrester, operable from the 
equipment operator's compartment, to shut off the air supply to the 
engine for emergency purposes. Upon activation, the device must operate 
immediately and the engine shall stop within 15 seconds.
    (2) The intake system shall include a flame arrester that will 
prevent an explosion within the system from propagating to a surrounding 
flammable mixture when tested in accordance with the explosion tests in 
Sec. 7.100. The flame arrester shall be located between the air cleaner 
and the intake manifold and shall be attached so that it can be removed 
for inspection or cleaning. The flame arrester shall be constructed of 
corrosion-resistant metal and meet the following requirements:
    (i) Two intake flame arrester designs, the spaced-plate type and the 
crimped ribbon type, will be tested in accordance with the requirements 
of Sec. 7.100. Variations to these designs or other intake flame 
arrester designs will be evaluated under the provisions of Sec. 7.107.
    (ii) In flame arresters of the spaced-plate type, the thickness of 
the plates shall be at least 0.125-inch; spacing between the plates 
shall not exceed 0.018-inch; and the flame-arresting path formed by the 
plates shall be at least 1 inch wide. The unsupported length of the 
plates shall be short enough that permanent deformation resulting from 
explosion tests shall not exceed 0.002-inch. The plates and flame 
arrester housing shall be an integral unit which cannot be disassembled.
    (iii) In flame arresters of the crimped ribbon type, the dimensions 
of the core openings shall be such that a plug gauge 0.018-inch in 
diameter shall not pass through, and the flame-arresting path core 
thickness shall be at least 1 inch. The core and flame arrester housing 
shall be an integral unit which cannot be disassembled.
    (3) The intake system shall be designed so that improper 
installation of the flame arrester is impossible.
    (4) The intake system shall include an air cleaner service 
indicator. The air cleaner shall be installed so that only filtered air 
will enter the flame arrester. The air cleaner shall be sized and the 
service indicator set in accordance with the engine manufacturer's 
recommendations. Unless the service indicator is explosion-proof, it 
shall be located between the air cleaner and flame arrester, and the 
service indicator setting shall be reduced to account for the additional 
restriction imposed by the flame arrester.
    (5) The intake system shall include a connection between the intake 
flame arrester and the engine head for temporary attachment of a device 
to indicate the total vacuum in the system. This opening shall be closed 
by a plug or other suitable device that is sealed or locked in place 
except when in use.
    (s) Exhaust system. (1) The exhaust system shall include a flame 
arrester that will prevent propagation of flame or discharge of glowing 
particles to a surrounding flammable mixture. The flame arrester shall 
be constructed of corrosion-resistant metal.
    (i) If a mechanical flame arrester is used, it shall be positioned 
so that only

[[Page 57]]

cooled exhaust gas at a maximum temperature of 302 [deg]F (150 [deg]C) 
will be discharged through it.
    (ii) If a mechanical flame arrester of the spaced-plate type is 
used, it must meet the requirements of paragraph (r)(2)(ii) of this 
section and the test requirements of Sec. 7.100. Variations to the 
spaced-plate flame arrester design and other mechanical flame arrester 
designs shall be evaluated under the provisions of Sec. 7.107. The 
flame arrester shall be designed and attached so that it can be removed 
for inspection and cleaning.
    (2) The exhaust system shall allow a wet exhaust conditioner to be 
used as the exhaust flame arrester provided that the explosion tests of 
Sec. 7.100 demonstrate that the wet exhaust conditioner will arrest 
flame. When used as a flame arrester, the wet exhaust conditioner shall 
be equipped with a sensor to automatically activate the safety shutdown 
system at or above the minimum allowable low water level established by 
Sec. 7.100. Restarting of the engine shall be prevented until the water 
supply in the wet exhaust conditioner has been replenished above the 
minimum allowable low water level. All parts of the wet exhaust 
conditioner and associated components that come in contact with 
contaminated exhaust conditioner water shall be constructed of 
corrosion-resistant material. The wet exhaust conditioner shall include 
a means for verifying that the safety shutdown system operates at the 
proper water level. A means shall be provided for draining and cleaning 
the wet exhaust conditioner. The final exhaust gas temperature at 
discharge from the wet exhaust conditioner shall not exceed 170 [deg]F 
(76 [deg]C) under test conditions specified in Sec. 7.102. A sensor 
shall be provided that activates the safety shutdown system before the 
exhaust gas temperature at discharge from the wet exhaust conditioner 
exceeds 185 [deg]F (85 [deg]C) under test conditions specified in Sec. 
7.103(a)(4).
    (3) The exhaust system shall be designed so that improper 
installation of the flame arrester is impossible.
    (4) The exhaust system shall provide a means to cool the exhaust gas 
and prevent discharge of glowing particles.
    (i) When a wet exhaust conditioner is used to cool the exhaust gas 
and prevent the discharge of glowing particles, the temperature of the 
exhaust gas at the discharge from the exhaust conditioner shall not 
exceed 170 [deg]F (76 [deg]C) when tested in accordance with the exhaust 
gas cooling efficiency test in Sec. 7.102. A sensor shall be provided 
that activates the safety shutdown system before the exhaust gas 
temperature at discharge from the wet exhaust conditioner exceeds 185 
[deg]F (85 [deg]C) when tested in accordance with the safety system 
controls test in Sec. 7.103. All parts of the wet exhaust conditioner 
and associated components that come in contact with contaminated exhaust 
conditioner water shall be constructed of corrosion-resistant material.
    (ii) When a dry exhaust conditioner is used to cool the exhaust gas, 
the temperature of the exhaust gas at discharge from the diesel power 
package shall not exceed 302 [deg]F (150 [deg]C) when tested in 
accordance with the exhaust gas cooling efficiency test of Sec. 7.102. 
A sensor shall be provided that activates the safety shutdown system 
before the exhaust gas exceeds 302 [deg]F (150 [deg]C) when tested in 
accordance with the safety system control test in Sec. 7.103. A means 
shall be provided to prevent the discharge of glowing particles, and it 
shall be evaluated under the provisions of Sec. 7.107.
    (5) Other means for cooling the exhaust gas and preventing the 
propagation of flame or discharge of glowing particles shall be 
evaluated under the provisions of Sec. 7.107.
    (6) There shall be a connection in the exhaust system for temporary 
attachment of a device to indicate the total backpressure in the system 
and collection of exhaust gas samples. This opening shall be closed by a 
plug or other suitable device that is sealed or locked in place except 
when in use.

[61 FR 55518, Oct. 25, 1996, 62 FR 34640, 34641, June 27, 1997]



Sec. 7.99  Critical characteristics.

    The following critical characteristics shall be inspected or tested 
on each diesel power package to which an approval marking is affixed:

[[Page 58]]

    (a) Finish, width, planarity, and clearances of surfaces that form 
any part of a flame-arresting path.
    (b) Thickness of walls and flanges that are essential in maintaining 
the explosion-proof integrity of the diesel power package.
    (c) Size, spacing, and tightness of fastenings.
    (d) The means provided to maintain tightness of fastenings.
    (e) Length of thread engagement on fastenings and threaded parts 
that ensure the explosion-proof integrity of the diesel power package.
    (f) Diesel engine approval marking.
    (g) Fuel rate setting to ensure that it is appropriate for the 
intended application, or a warning tag shall be affixed to the fuel 
system notifying the purchaser of the need to make proper adjustments.
    (h) Material and dimensions of gaskets that are essential in 
maintaining the explosion-proof integrity of the diesel power package.
    (i) Dimensions and assembly of flame arresters.
    (j) Materials of construction to ensure that the intake system, 
exhaust system, cooling fans, and belts have been fabricated from the 
required material.
    (k) Proper interconnection of the coolant system components and use 
of specified components.
    (l) Proper interconnection of the safety shutdown system components 
and use of specified components.
    (m) All plugs and covers to ensure that they are tightly installed.
    (n) The inspections and tests described in the diesel power package 
checklist shall be performed and all requirements shall be met.



Sec. 7.100  Explosion tests.

    (a) Test procedures. (1) Prepare to test the diesel power package as 
follows:
    (i) Perform a detailed check of parts against the drawings and 
specifications submitted under Sec. 7.97 to determine that the parts 
and drawings agree.
    (ii) Remove all parts that do not contribute to the operation or 
ensure the explosion-proof integrity of the diesel power package such as 
the air cleaner and exhaust gas dilution system.
    (iii) Fill coolant system fluid and engine oil to the engine 
manufacturer's recommended levels.
    (iv) Interrupt fuel supply to the injector pump.
    (v) Establish a preliminary low water level for systems using the 
wet exhaust conditioner as a flame arrester.
    (2) Perform static and dynamic tests of the intake system as 
follows:
    (i) Install the diesel power package in an explosion test chamber 
which is large enough to contain the complete diesel power package. The 
chamber must be sufficiently darkened and provide viewing capabilities 
of the flame-arresting paths to allow observation during testing of any 
discharge of flame or ignition of the flammable mixture surrounding the 
diesel power package. Couple the diesel power package to an auxiliary 
drive mechanism. Attach a pressure measuring device, a temperature 
measuring device, and an ignition source to the intake system. The 
pressure measuring device shall be capable of indicating the peak 
pressure accurate to 1 pound-per-square inch gauge 
(psig) at 100 psig static pressure and shall have a frequency response 
of 40 Hertz or greater. The ignition source shall be an electric spark 
with a minimum energy of 100 millijoules. The ignition source shall be 
located immediately adjacent to the intake manifold and the pressure and 
temperature devices shall be located immediately adjacent to the flame 
arrester.
    (ii) For systems using the wet exhaust conditioner as an exhaust 
flame arrester, fill the exhaust conditioner to the specified high or 
normal operating water level.
    (iii) Fill the test chamber with a mixture of natural gas and air or 
methane and air. If natural gas is used, the content of combustible 
hydrocarbons shall total at least 98.0 percent, by volume, with the 
remainder being inert. At least 80.0 percent, by volume, of the gas 
shall be methane. For all tests, the methane or natural gas 
concentration shall be 8.5 1.8 percent, by volume, 
and the oxygen concentration shall be no less than 18 percent, by 
volume.
    (iv) Using the auxiliary drive mechanism, motor the engine to fill 
the intake and exhaust systems with the

[[Page 59]]

flammable mixture. The intake system, exhaust system, and test chamber 
gas concentration shall not differ by more than 0.3 percent, by volume, at the time of ignition.
    (v) For static tests, stop the engine, actuate the ignition source, 
and observe the peak pressure. The peak pressure shall not exceed 110 
psig. If the peak pressure exceeds 110 psig, construction changes shall 
be made that result in a reduction of pressure to 110 psig or less, or 
the system shall be tested in accordance with the static pressure test 
of Sec. 7.104 with the pressure parameter replaced with a static 
pressure of twice the highest value recorded.
    (vi) If the peak pressure does not exceed 110 psig or if the system 
meets the static pressure test requirements of this section and there is 
no discharge of visible flames or glowing particles or ignition of the 
flammable mixture in the chamber, a total of 20 tests shall be conducted 
in accordance with the explosion test specified above.
    (vii) For dynamic tests, follow the same procedures for static 
tests, except actuate the ignition source while motoring the engine. 
Forty dynamic tests shall be conducted at two speeds, twenty at 1800 
200 RPM and twenty at 1000 200 RPM. Under some circumstances, during dynamic 
testing the flammable mixture may continue to burn within the diesel 
power package after ignition. This condition can be recognized by the 
presence of a rumbling noise and a rapid increase in temperature. This 
can cause the flame-arrester to reach temperatures which can ignite the 
surrounding flammable mixture. Ignition of the flammable mixture in the 
test chamber under these circumstances does not constitute failure of 
the flame arrester. However; if this condition is observed, the test 
operator should immediately stop the engine and allow components to cool 
to prevent damage to the components.
    (3) Perform static and dynamic tests of the exhaust system as 
follows:
    (i) Prepare the diesel power package for explosion tests according 
to Sec. 7.100(a)(2)(i) as follows:
    (A) Install the ignition source immediately adjacent to the exhaust 
manifold.
    (B) Install pressure measuring devices in each segment as follows: 
immediately adjacent to the exhaust conditioner inlet; in the exhaust 
conditioner; and immediately adjacent to the flame arrester, if 
applicable.
    (C) Install a temperature device immediately adjacent to the exhaust 
conditioner inlet.
    (ii) If the exhaust system is provided with a spaced-plate flame 
arrester in addition to an exhaust conditioner, explosion tests of the 
exhaust system shall be performed as described for the intake system in 
accordance with this section. Water shall not be present in a wet 
exhaust conditioner for the tests.
    (iii) If the wet exhaust conditioner is used as the exhaust flame 
arrester, explosion testing of this type of system shall be performed as 
described for the intake system in accordance with this section with the 
following modifications:
    (A) Twenty static tests, twenty dynamic tests at 1800 200 RPM, and twenty dynamic tests at 1000 200 RPM shall be conducted at 2 inches below the minimum 
allowable low water level. All entrances in the wet exhaust conditioner 
which do not form explosion-proof joints shall be opened. These openings 
may include lines which connect the reserve water supply to the wet 
exhaust conditioner, insert flanges, float flanges, and cover plates. 
These entrances are opened during this test to verify that they are not 
flame paths.
    (B) Twenty static tests, twenty dynamic tests at 1800 200 RPM, and twenty dynamic tests at 1000 200 RPM shall be conducted at 2 inches below the minimum 
allowable low water level. All entrances in the wet exhaust conditioner 
(except the exhaust conditioner outlet) which do not form explosion-
proof joints shall be closed. These openings are closed to simulate 
normal operation.
    (C) Twenty static tests, twenty dynamic tests at 1800 200 RPM, and twenty dynamic tests at 1000 200 RPM shall be conducted at the specified high or 
normal operating water level. All entrances in the wet exhaust 
conditioner which do not form explosion-proof joints shall be opened.
    (D) Twenty static tests, twenty dynamic tests at 1800 200 RPM, and

[[Page 60]]

twenty dynamic tests at 1000 200 RPM shall be 
conducted at the specified high or normal operating water level. All 
entrances in the wet exhaust conditioner (except the exhaust conditioner 
outlet) which do not form explosion-proof joints shall be closed.
    (iv) After successful completion of the explosion tests of the 
exhaust system, the minimum allowable low water level, for a wet exhaust 
conditioner used as the exhaust flame arrester, shall be determined by 
adding two inches to the lowest water level that passed the explosion 
tests.
    (v) A determination shall be made of the maximum grade on which the 
wet exhaust conditioner can be operated retaining the flame-arresting 
characteristics.
    (b) Acceptable performance. The explosion tests shall not result in 
any of the following--
    (1) Discharge of flame or glowing particles.
    (2) Visible discharge of gas through gasketed joints.
    (3) Ignition of the flammable mixture in the test chamber.
    (4) Rupture of any part that affects the explosion-proof integrity.
    (5) Clearances, in excess of those specified in this subpart, along 
accessible flame-arresting paths, following any necessary retightening 
of fastenings.
    (6) Pressure exceeding 110 psig, unless the intake system or exhaust 
system has withstood a static pressure of twice the highest value 
recorded in the explosion tests of this section following the static 
pressure test procedures of Sec. 7.104.
    (7) Permanent distortion of any planar surface of the diesel power 
package exceeding 0.04-inches/linear foot.
    (8) Permanent deformation exceeding 0.002-inch between the plates of 
spaced-plate flame arrester designs.

[61 FR 55518, Oct. 25, 1996; 62 FR 34641, June 27, 1997]



Sec. 7.101  Surface temperature tests.

    The test for determination of exhaust gas cooling efficiency 
described in Sec. 7.102 may be done simultaneously with this test.
    (a) Test procedures. (1) Prepare to test the diesel power package as 
follows:
    (i) Perform a detailed check of parts against the drawings and 
specifications submitted to MSHA under compliance with Sec. 7.97 to 
determine that the parts and drawings agree.
    (ii) Fill the coolant system with a mixture of equal parts of 
antifreeze and water, following the procedures specified in the 
application, Sec. 7.97(a)(3).
    (iii) If a wet exhaust conditioner is used to cool the exhaust gas, 
fill the exhaust conditioner to the high or normal operating water level 
and have a reserve water supply available, if applicable.
    (2) Tests shall be conducted as follows:
    (i) The engine shall be set to the rated horsepower specified in 
Sec. 7.97(a)(2).
    (ii) Install sufficient temperature measuring devices to determine 
the location of the highest coolant temperature. The temperature 
measuring devices shall be accurate to 4 [deg]F 
(2 [deg]C).
    (iii) Operate the engine at rated horsepower and with 0.5 0.1 percent, by volume, of methane in the intake air 
mixture until all parts of the engine, exhaust coolant system, and other 
components reach their respective equilibrium temperatures. The liquid 
fuel temperature into the engine shall be maintained at 100 [deg]F (38 
[deg]C) 10 [deg]F (6 [deg]C) and the intake air 
temperature shall be maintained at 70 [deg]F (21 [deg]C) 5 [deg]F (3 [deg]C).
    (iv) Increase the coolant system temperatures until the highest 
coolant temperature is 205 [deg]F to 212 [deg]F (96 [deg]C to 100 
[deg]C), or to the maximum temperature specified by the applicant, if 
lower.
    (v) After all coolant system temperatures stabilize, operate the 
engine for 1 hour.
    (vi) The ambient temperature shall be between 50 [deg]F (10 [deg]C) 
and 104 [deg]F (40 [deg]C) throughout the tests.
    (b) Acceptable performance. The surface temperature of any external 
surface of the diesel power package shall not exceed 302 [deg]F (150 
[deg]C) during the test.

[[Page 61]]



Sec. 7.102  Exhaust gas cooling efficiency test.

    (a) Test procedures. (1) Follow the procedures specified in Sec. 
7.101(a).
    (2) Install a temperature measuring device to measure the exhaust 
gas temperature at discharge from the exhaust conditioner. The 
temperature measuring device shall be accurate to 4 [deg]F (2 [deg]C).
    (3) Determine the exhaust gas temperature at discharge from the 
exhaust conditioner before the exhaust gas is diluted with air.
    (b) Acceptable performance. (1) The exhaust gas temperature at 
discharge from a wet exhaust conditioner before the exhaust gas is 
diluted with air shall not exceed 170 [deg]F (76 [deg]C).
    (2) The exhaust gas temperature at discharge from a dry exhaust 
conditioner before the gas is diluted with air shall not exceed 302 
[deg]F (150 [deg]C).



Sec. 7.103  Safety system control test.

    (a) Test procedures. (1) Prior to testing, perform the tasks 
specified in Sec. 7.101(a)(1) and install sufficient temperature 
measuring devices to measure the highest coolant temperature and exhaust 
gas temperature at discharge from the exhaust conditioner. The 
temperature measuring devices shall be accurate to 4 [deg]F (2 [deg]C).
    (2) Determine the effectiveness of the coolant system temperature 
shutdown sensors which will automatically activate the safety shutdown 
system and stop the engine before the coolant temperature in the cooling 
jackets exceeds manufacturer's specifications or 212 [deg]F (100 
[deg]C), whichever is lower, by operating the engine and causing the 
coolant in the cooling jackets to exceed the specified temperature.
    (3) For systems using a dry exhaust gas conditioner, determine the 
effectiveness of the temperature sensor in the exhaust gas stream which 
will automatically activate the safety shutdown system and stop the 
engine before the cooled exhaust gas temperature exceeds 302 [deg]F (150 
[deg]C), by operating the engine and causing the cooled exhaust gas to 
exceed the specified temperature.
    (4) For systems using a wet exhaust conditioner, determine the 
effectiveness of the temperature sensor in the exhaust gas stream which 
will automatically activate the safety shutdown system and stop the 
engine before the cooled exhaust gas temperature exceeds 185 [deg]F (85 
[deg]C), with the engine operating at a high idle speed condition. 
Temporarily disable the reserve water supply, if applicable, and any 
safety shutdown system control that might interfere with the evaluation 
of the operation of the exhaust gas temperature sensor. Prior to 
testing, set the water level in the wet exhaust conditioner to a level 
just above the minimum allowable low water level. Run the engine until 
the exhaust gas temperature sensor activates the safety shutdown system 
and stops the engine.
    (5) For systems using a wet exhaust conditioner as an exhaust flame 
arrester, determine the effectiveness of the low water sensor which will 
automatically activate the safety shutdown system and stop the engine at 
or above the minimum allowable low water level established from results 
of the explosion tests in Sec. 7.100 with the engine operating at a 
high idle speed condition. Temporarily disable the reserve water supply, 
if applicable, and any safety shutdown system control that might 
interfere with the evaluation of the operation of the low water sensor. 
Prior to testing, set the water level in the wet exhaust conditioner to 
a level just above the minimum allowable low water level. Run the engine 
until the low water sensor activates the safety shutdown system and 
stops the engine. Measure the low water level. Attempt to restart the 
engine.
    (6) Determine the effectiveness of the device in the intake system 
which is designed to shut off the air supply and stop the engine for 
emergency purposes with the engine operating at both a high idle speed 
condition and a low idle speed condition. Run the engine and activate 
the emergency intake air shutoff device.
    (7) Determine the total air inlet restriction of the complete intake 
system, including the air cleaner, as measured between the intake flame 
arrester and the engine head with the engine operating at maximum air 
flow.
    (8) Determine the total exhaust backpressure with the engine 
operating at rated horsepower as specified in

[[Page 62]]

Sec. 7.103(a)(7). If a wet exhaust conditioner is used, it must be 
filled to the high or normal operating water level during this test.
    (9) The starting mechanism shall be tested to ensure that engagement 
is not possible while the engine is running. Operate the engine and 
attempt to engage the starting mechanism.
    (10) Where the lack of engine oil pressure must be overridden in 
order to start the engine, test the override to ensure that it does not 
override any of the safety shutdown sensors specified in Sec. 7.98(i). 
After each safety shutdown sensor test specified in paragraphs (a)(2) 
through (a)(5) of this section, immediately override the engine oil 
pressure and attempt to restart the engine.
    (b) Acceptable performance. Tests of the safety system controls 
shall result in the following:
    (1) The coolant system temperature shutdown sensor shall 
automatically activate the safety shutdown system and stop the engine 
before the water temperature in the cooling jackets exceeds 
manufacturer's specifications or 212 [deg]F (100 [deg]C), whichever is 
lower.
    (2) The temperature sensor in the exhaust gas stream of a system 
using a dry exhaust conditioner shall automatically activate the safety 
shutdown system and stop the engine before the cooled exhaust gas 
exceeds 302 [deg]F (150 [deg]C).
    (3) The temperature sensor in the exhaust gas stream of a system 
using a wet exhaust conditioner shall automatically activate the safety 
shutdown system and stop the engine before the cooled exhaust gas 
exceeds 185 [deg]F (85 [deg]C).
    (4) The low water sensor for systems using a wet exhaust conditioner 
shall automatically activate the safety shutdown system and stop the 
engine at or above the minimum allowable low water level and prevent 
restarting of the engine.
    (5) The emergency intake air shutoff device shall operate 
immediately when activated and stop the engine within 15 seconds.
    (6) The total intake air inlet restriction and the total exhaust 
backpressure shall not exceed the engine manufacturer's specifications.
    (7) It shall not be possible to engage the starting mechanism while 
the engine is running, unless the starting mechanism is constructed of 
nonsparking material.
    (8) The engine oil pressure override shall not override any of the 
shutdown sensors.



Sec. 7.104  Internal static pressure test.

    (a) Test procedures. (1) Isolate and seal each segment of the intake 
system or exhaust system to allow pressurization.
    (2) Internally pressurize each segment of the intake system or 
exhaust system to four times the maximum pressure observed in each 
segment during the tests of Sec. 7.100, or 150 psig 5 psig, whichever is less. Maintain the pressure for a 
minimum of 10 seconds.
    (3) Following the pressure hold, the pressure shall be removed and 
the pressurizing agent removed from the intake system or exhaust system.
    (b) Acceptable performance. (1) The intake system or exhaust system, 
during pressurization, shall not exhibit--
    (i) Leakage through welds and gasketed joints; or
    (ii) Leakage other than along joints meeting the explosion-proof 
requirements of Sec. 7.98(q).
    (2) Following removal of the pressurizing agent, the intake system 
or exhaust system shall not exhibit any--
    (i) Changes in fastening torque;
    (ii) Visible cracks in welds;
    (iii) Permanent deformation affecting the length or gap of any 
flame-arresting paths;
    (iv) Stretched or bent fastenings;
    (v) Damaged threads of parts affecting the explosion-proof integrity 
of the intake system or exhaust system; or
    (vi) Permanent distortion of any planar surface of the diesel power 
package exceeding 0.04-inches/linear foot.



Sec. 7.105  Approval marking.

    Each approved diesel power package shall be identified by a legible 
and permanent approval plate inscribed with the assigned MSHA approval 
number and securely attached to the diesel power package in a manner 
that does not impair any explosion-proof characteristics. The grade 
limitation of a wet

[[Page 63]]

exhaust conditioner used as an exhaust flame arrester shall be included 
on the approval marking.



Sec. 7.106  Post-approval product audit.

    Upon request by MSHA, but not more than once a year except for 
cause, the approval-holder shall make an approved diesel power package 
available for audit at no cost to MSHA.



Sec. 7.107  New technology.

    MSHA may approve a diesel power package that incorporates technology 
for which the requirements of this subpart are not applicable if MSHA 
determines that the diesel power package is as safe as those which meet 
the requirements of this subpart.



Sec. 7.108  Power package checklist.

    Each diesel power package bearing an MSHA approval plate shall be 
accompanied by a power package checklist. The power package checklist 
shall consist of a list of specific features that must be checked and 
tests that must be performed to determine if a previously approved 
diesel power package is in approved condition. Test procedures shall be 
specified in sufficient detail to allow evaluation to be made without 
reference to other documents. Illustrations shall be used to fully 
identify the approved configuration of the diesel power package.



                   Subpart J_Electric Motor Assemblies

    Source: 57 FR 61193, Dec. 23, 1992, unless otherwise noted.



Sec. 7.301  Purpose and effective date.

    This subpart establishes the specific requirements for MSHA approval 
of certain explosion-proof electric motor assemblies intended for use in 
approved equipment in underground mines. Applications for approval or 
extensions of approval submitted after February 22, 1996 shall meet the 
requirements of this part. Those motors that incorporate features not 
specifically addressed in this subpart will continue to be evaluated 
under part 18 of this chapter.



Sec. 7.302  Definitions.

    The following definitions apply in this subpart:
    Afterburning. The combustion of any flammable mixture that is drawn 
into an enclosure after an internal explosion in the enclosure. This 
condition is determined through detection of secondary pressure peaks 
occurring subsequent to the initial explosion.
    Cylindrical joint. A joint comprised of two contiguous, concentric, 
cylindrical surfaces.
    Explosion-proof enclosure. A metallic enclosure used as a winding 
compartment, conduit box, or a combination of both that complies with 
the applicable requirements of Sec. 7.304 of this part and is 
constructed so that it will withstand the explosion tests of Sec. 7.306 
of this part.
    Fastening. A bolt, screw, or stud used to secure adjoining parts to 
prevent the escape of flame from an explosion-proof enclosure.
    Flame-arresting path. Two or more adjoining or adjacent surfaces 
between which the escape of flame is prevented.
    Internal free volume (of an empty enclosure). The volume remaining 
after deducting the volume of any part that is essential in maintaining 
the explosion-proof integrity of the enclosure or necessary for 
operation of the motor. Essential parts include the parts that 
constitute the flame-arresting path and those necessary to secure parts 
that constitute a flame-arresting path.
    Motor assembly. The winding compartment including a conduit box when 
specified. A motor assembly is comprised of one or more explosion-proof 
enclosures.
    Plane joint. A joint comprised of two adjoining surfaces in parallel 
planes.
    Step (rabbet) joint. A joint comprised of two adjoining surfaces 
with a change or changes in direction between its inner and outer edges. 
A step joint may be composed of a cylindrical portion and a plane 
portion or of two or more plane portions.
    Stuffing box. An entrance with a recess filled with packing material 
for cables extending through a wall of an explosion-proof enclosure.
    Threaded joint. A joint consisting of a male- and a female-threaded 
member,

[[Page 64]]

both of which are the same type and gauge.



Sec. 7.303  Application requirements.

    (a) An application for approval of a motor assembly shall include a 
composite drawing or drawings with the following information:
    (1) Model (type), frame size, and rating of the motor assembly.
    (2) Overall dimensions of the motor assembly, including conduit box 
if applicable, and internal free volume.
    (3) Material and quantity for each of the component parts that form 
the explosion-proof enclosure or enclosures.
    (4) All dimensions (including tolerances) and specifications 
required to ascertain compliance with the requirements of Sec. 7.304 of 
this part.
    (b) All drawings shall be titled, dated, numbered, and include the 
latest revision.



Sec. 7.304  Technical requirements.

    (a) Voltage rating of the motor shall not exceed 4160 volts.
    (b) The temperature of the external surfaces of the motor assembly 
shall not exceed 150 [deg]C (302 [deg]F) when operated at the 
manufacturers' specified ratings.
    (c) Minimum clearances between uninsulated electrical conductor 
surfaces, or between uninsulated conductor surfaces and grounded metal 
surfaces, within the enclosure shall meet the requirements of table J-1 
of this section.

       Table J-1--Minimum Clearances Between Uninsulated Surfaces
------------------------------------------------------------------------
                                                    Clearances (inches)
                                                 -----------------------
                                                               Phase-to-
          Phase-to-phase voltage (rms)             Phase-to-   ground or
                                                     phase      control
                                                                circuit
------------------------------------------------------------------------
0 to 250........................................        0.25        0.25
251 to 600......................................        0.28        0.25
601 to 1000.....................................        0.61        0.25
1001 to 2400....................................        1.4         0.6
2401 to 4160....................................        3.0         1.4
------------------------------------------------------------------------

    (d) Parts whose dimensions can change with the motor operation, such 
as ball and roller bearings and oil seals, shall not be used as flame-
arresting paths.
    (e) The widths of any grooves, such as grooves for holding oil seals 
or o-rings, shall be deducted in measuring the widths of flame-arresting 
paths.
    (f) An outer bearing cap shall not be considered as forming any part 
of a flame-arresting path unless the cap is used as a bearing cartridge.
    (g) Requirements for explosion-proof enclosures of motor assemblies.
    (1) Enclosures shall be--
    (i) Constructed of metal;
    (ii) Designed to withstand a minimum internal pressure of 150 pounds 
per square inch (gauge);
    (iii) Free from blowholes when cast; and
    (iv) Explosion proof as determined by the tests set out in Sec. 
7.306 of this part.
    (2) Welded joints forming an enclosure shall be--
    (i) Continuous and gas-tight; and
    (ii) Made in accordance with or exceed the American Welding Society 
Standard AWS D14.4-77, ``Classification and Application of Welded Joints 
for Machinery and Equipment,'' or meet the test requirements set out in 
Sec. 7.307 of this part. AWS D14.4-77 is incorporated by reference and 
has been approved by the Director of the Federal Register in accordance 
with 5 U.S.C. 552(a) and 1 CFR part 51. Copies may be obtained from the 
American Welding Society, Inc., 2501 NW 7th Street, Miami, FL 33125. 
Copies may be inspected at the Mine Safety and Health Administration, 
Department of Labor, Approval and Certification Center, RR 1, Industrial 
Park Road, Triadelphia, WV 26059, or at the National Archives and 
Records Administration (NARA). For information on the availability of 
this material at NARA, call 202-741-6030, or go to: http://
www.archives.gov/federal--register/code--of--federal--regulations/ibr--
locations.html.
    (3) External rotating parts shall not be constructed of aluminum 
alloys containing more than 0.6 percent magnesium. Non-metallic rotating 
parts shall be provided with a means to prevent an accumulation of 
static electricity.
    (4) Threaded covers and mating parts shall be designed with Class 1A 
and 1B (coarse, loose fitting) threads. The covers shall be secured 
against loosening.
    (5) Flat surfaces between fastening holes that form any part of a 
flame-arresting path shall be plane to within a

[[Page 65]]

maximum deviation of one-half the maximum clearance specified in 
paragraph (g)(19) of this section. All surfaces forming a flame-
arresting path shall be finished during the manufacturing process to not 
more than 250 microinches. A thin film of nonhardening preparation to 
inhibit rusting may be applied to these finished metal surfaces as long 
as the final surface can be readily wiped free of any foreign materials.
    (6) For a laminated stator frame, it shall be impossible to insert a 
0.0015 inch thickness gauge to a depth exceeding \1/8\ inch between 
adjacent laminations or between end rings and laminations.
    (7) Lockwashers, or equivalent, shall be provided for all 
fastenings. Devices other than lockwashers shall meet the requirements 
of Sec. 7.308 of this part. Equivalent devices shall only be used in 
the configuration in which they were tested.
    (8) Fastenings shall be as uniform in size as practicable to 
preclude improper installation.
    (9) Holes for fastenings in an explosion-proof enclosure shall be 
threaded to ensure that all specified bolts or screws will not bottom 
even if the washers are omitted.
    (10) Holes for fastenings shall not penetrate to the interior of an 
explosion-proof enclosure, except holes made through motor casings for 
bolts, studs, or screws to hold essential parts, such as pole pieces, 
brush rigging, and bearing cartridges. The attachments of such parts 
shall be secured against loosening. The threaded holes in these parts 
shall be blind unless the fastenings are inserted from the inside, in 
which case the fastenings shall not be accessible with the rotor in 
place.
    (11) For direct current motor assemblies with narrow interpoles, the 
distance from the edge of the pole piece to any bolt hole in the frame 
shall be at least \1/8\ inch. If the distance is \1/8\ to \1/4\ inch, 
the diametrical clearance for the pole bolt shall not exceed \1/64\ inch 
for not less than \1/2\ inch through the frame. Furthermore, the pole 
piece shall have the same radius as the inner surface of the frame. Pole 
pieces may be shimmed as necessary. If used, the total resulting 
thickness of the shims shall be specified. The shim assembly shall meet 
the same requirements as the pole piece.
    (12) Coil-thread inserts, if used in holes for fastenings, shall 
meet the following:
    (i) The inserts shall have internal screw threads.
    (ii) The holes for the inserts shall be drilled and tapped 
consistent with the insert manufacturer's specifications.
    (iii) The inserts shall be installed consistent with the insert 
manufacturer's specifications.
    (iv) The insert shall be of sufficient length to ensure the minimum 
thread engagement of fastening specified in paragraph (g)(19) of this 
section.
    (13) A minimum of \1/8\ inch of stock shall be left at the center of 
the bottom of each blind hole that could penetrate into the interior of 
an explosion-proof enclosure.
    (14) Fastenings shall be used only for attaching parts that are 
essential in maintaining the explosion-proof integrity of the enclosure, 
or necessary for the operation of the motor. They shall not be used for 
making electrical connections.
    (15) Through holes not in use shall be closed with a metal plug. 
Plugs, including eyebolts, in through holes where future access is 
desired shall meet the flame-arresting paths, lengths, and clearances of 
paragraph (g)(19) of this section and be secured by spot welding or 
brazing. The spot weld or braze may be on a plug, clamp, or fastening 
(for example see figure J-1). Plugs for holes where future access is not 
desired shall be secured all around by a continuous gas-tight weld.
    (16) O-rings, if used in a flame-arresting path, shall meet the 
following:
    (i) When the flame-arresting path is in one plane, the o-ring shall 
be located at least one-half the acceptable flame-arresting path length 
specified in paragraph (g)(19) of this section from within the outside 
edge of the path (see figure J-2).
    (ii) When the flame-arresting path is one of the plane-cylindrical 
type (step joint), the o-ring shall be located at least \1/2\ inch from 
within the outer edge of the plane portion (see figure J-3), or at the 
junction of the plane and

[[Page 66]]

cylindrical portion of the joint (see figure J-4), or in the cylindrical 
portion (see figure J-5).
    (17) Mating parts comprising a pressed fit shall result in a minimum 
interference of 0.001 inch between the parts. The minimum length of the 
pressed fit shall be equal to the minimum thickness requirement of 
paragraph (g)(19) of this section for the material in which the fit is 
made.
    (18) The flame-arresting path of threaded joints shall conform to 
the requirements of paragraph (g)(19) of this section.
    (19) Explosion-proof enclosures shall meet the requirements set out 
in table J-2 of this section, based on the internal free volume of the 
empty enclosure.

                             Table J-2--Explosion-Proof Requirements Based on Volume
----------------------------------------------------------------------------------------------------------------
                                                                             Volume of empty enclosure
                                                                 -----------------------------------------------
                                                                   Less than 45    45 to 124 cu.   More than 124
                                                                     cu. ins.     ins. inclusive     cu. ins.
----------------------------------------------------------------------------------------------------------------
Minimum thickness of material for walls \1\.....................   \1/8\             eq>             eq>
Minimum thickness of material for flanges and covers............   \2\ \1/4\         thn-eq>         thn-eq>
Minimum width of joint; all in one plane........................   \1/2\
                                                                             eq>             eq>
Maximum clearance; joint all in one plane.......................  0.002         thn-eq>         thn-eq>
Maximum clearances; joint in two or more planes, cylinders or
 equivalent: \5\
    (a) Portion perpendicular to plane \6\......................  0.008             eq>             eq>
Minimum thread engagement of fastening \10\.....................   \1/4\             eq>             eq>
Maximum diametrical clearance between fastening body and          \1/64\             eq>             eq>
Minimum distance from interior of enclosure to the edge of a
 fastening hole: \8,13\
    Joint--minimum width 1...........................  ..............  ..............  \14\ \7/16\
    Joint--less than 1 wide..........................   \1/8\             eq>
----------------------------------------------------------------------------------------------------------------
                                                Cylindrical Joints
----------------------------------------------------------------------------------------------------------------
 Shaft centered by ball or roller bearings:
  Minimum length of flame-arresting path........................   \1/2\
                                                                             eq>             eq>
  Maximum diametrical clearance.................................  0.020
                                                                             eq>             eq>
    Maximum diametrical clearance...............................  0.006 in diameter. The
  length of the flame-arresting path shall not be reduced when a pushbutton is depressed. Operating rods shall
  have a shoulder or head on the portion inside the enclosure. Essential parts riveted or bolted to the inside
  portion are acceptable in lieu of a head or shoulder, but cotter pins and similar devices shall not be used.
\16\ 6 with a minimum of 4 fastenings.
\17\ 8 with a minimum of 4 fastenings.

    (h) Lead entrances. (1) Each cable, which extends through an outside 
wall of the motor assembly, shall pass through a stuffing-box lead 
entrance (see figure J-7). All sharp edges shall be removed from 
stuffing boxes, packing nuts, and other lead entrance (gland) parts, so 
that the cable jacket is not damaged.
    (2) When the packing is properly compressed, the gland nut shall 
have--
    (i) A clearance distance of \1/8\ inch or more, with no maximum, to 
travel without interference by parts other than packing; and
    (ii) A minimum of three effective threads engaged (see figures J-8, 
J-9, and J-10).
    (3) Packing nuts (see figure J-7) and stuffing boxes shall be 
secured against loosening (see figure J-11).
    (4) Compressed packing material shall be in contact with the cable 
jacket for a length of not less than \1/2\ inch.
    (5) Requirements for lead entrances in which MSHA accepted rope 
packing material is specified, are:
    (i) Rope packing material shall be acceptable under Sec. 18.37(e) 
of this chapter.
    (ii) The width of the space for packing material shall not exceed by 
more than 50 percent the diameter or width of the uncompressed packing 
material (see figure J-12).
    (iii) The maximum diametrical clearance, using the specified 
tolerances, between the cable and the through holes in the gland parts 
adjacent to the packing (stuffing box, packing nut, hose tube, or 
bushings) shall not exceed 75 percent of the nominal diameter or width 
of the packing material (see figure J-13).
    (6) Requirements for lead entrances in which grommet packing made of 
compressible material is specified, are:
    (i) The grommet packing material shall be accepted by MSHA as flame-
resistant material under Sec. 18.37(f)(1) of this chapter.
    (ii) The diametrical clearance between the cable jacket and the 
nominal inside diameter of the grommet shall not exceed \1/16\ inch, 
based on the nominal specified diameter of the cable (see figure J-14).
    (iii) The diametrical clearance between the nominal outside diameter 
of the grommet and the inside wall of the stuffing box shall not exceed 
\1/16\ inch (see figure J-14).
    (i) Combustible gases from insulating material. (1) Insulating 
materials that give off flammable or explosive gases when decomposed 
electrically shall not be used within explosion-proof enclosures where 
the materials are subjected to destructive electrical action.
    (2) Parts coated or impregnated with insulating materials shall be 
treated to remove any combustible solvent before assembly in an 
explosion-proof enclosure.



Sec. 7.305  Critical characteristics.

    The following critical characteristics shall be inspected on each 
motor assembly to which an approval marking is affixed:
    (a) Finish, width, and planarity of surfaces that form any part of a 
flame-arresting path.
    (b) Clearances between mating parts that form flame-arresting paths.
    (c) Thickness of walls, flanges, and covers that are essential in 
maintaining the explosion-proof integrity of the enclosure.

[[Page 68]]

    (d) Spacing of fastenings.
    (e) Length of thread engagement on fastenings and threaded parts 
that assure the explosion-proof integrity of the enclosure.
    (f) Use of lockwasher or equivalent with all fastenings.
    (g) Dimensions which affect compliance with the requirements for 
packing gland parts in Sec. 7.304 of this part.



Sec. 7.306  Explosion tests.

    (a) The following shall be used for conducting an explosion test:
    (1) An explosion test chamber designed and constructed to contain an 
explosive gas mixture to surround and fill the motor assembly being 
tested. The chamber must be sufficiently darkened and provide viewing 
capabilities of the flame-arresting paths to allow observation during 
testing of any discharge of flame or ignition of the explosive mixture 
surrounding the motor assembly.
    (2) A methane gas supply with at least 98 by volume per centum of 
combustible hydrocarbons, with the remainder being inert. At least 80 
percent by volume of the gas shall be methane.
    (3) Coal dust having a minimum of 22 percent dry volatile matter and 
a minimum heat constant of 11,000 moist BTU (coal containing natural bed 
moisture but not visible surface water) ground to a fineness of minus 
200 mesh U.S. Standard sieve series.
    (4) An electric spark ignition source with a minimum of 100 
millijoules of energy.
    (5) A pressure recording system that will indicate the pressure 
peaks resulting from the ignition and combustion of explosive gas 
mixtures within the enclosure being tested.
    (b) General test procedures. (1) Motor assemblies being tested 
shall--
    (i) Be equipped with unshielded bearings regardless of the type of 
bearings specified; and
    (ii) Have all parts that do not contribute to the operation or 
assure the explosion-proof integrity of the enclosure, such as oil 
seals, grease fittings, hose conduit, cable clamps, and outer bearing 
caps (which do not house the bearings) removed from the motor assembly.
    (2) Each motor assembly shall be placed in the explosion test 
chamber and tested as follows:
    (i) The motor assembly shall be filled with and surrounded by an 
explosive mixture of the natural gas supply and air. The chamber gas 
concentrations shall be between 6.0 by volume per centum and the motor 
assembly natural gas concentration just before ignition of each test. 
Each externally visible flame-arresting path fit shall be observed for 
discharge of flames for at least two of the tests, including one with 
coal dust added.
    (ii) A single spark source is used for all testing. Pressure shall 
be measured at each end of the winding compartment simultaneously during 
all tests. Quantity and location of test holes shall permit ignition on 
each end of the winding compartment and recording of pressure on the 
same and opposite ends as the ignition.
    (iii) Motor assemblies incorporating a conduit box shall have the 
pressure in the conduit box recorded simultaneously with the other 
measured pressures during all tests. Quantity and location of test holes 
in the conduit box shall permit ignition and recording of pressure as 
required in paragraphs (c)(1) and (c)(4)(i) of this section.
    (iv) The motor assembly shall be completely purged and recharged 
with a fresh explosive gas mixture from the chamber or by injection 
after each test. The chamber shall be completely purged and recharged 
with a fresh explosive gas mixture as necessary. The oxygen level of the 
chamber gas mixture shall be no less than 18 percent by volume for 
testing. In the absence of oxygen monitoring equipment, the maximum 
number of tests conducted before purging shall be less than or equal to 
the chamber volume divided by forty times the volume occupied by the 
motor assembly.
    (c) Test procedures. (1) Eight tests at 9.4 0.4 percent methane by volume within the winding 
compartment shall be conducted, with the rotor stationary during four 
tests and rotating at rated speed (rpm) during four tests. The ignition 
shall be at one end of the winding compartment for two stationary and 
two rotating tests, and then switched to the opposite end for the 
remaining

[[Page 69]]

four tests. If a nonisolated conduit box is used, then two additional 
tests, one stationary and one rotating, shall be conducted with ignition 
in the conduit box at a point furthest away from the opening between the 
conduit box and the winding compartment.
    (2) Four tests at 7.0 0.3 percent methane by 
volume within the winding compartment shall be conducted with the rotor 
stationary, 2 ignitions at each end.
    (3) Four tests at 9.4 0.4 percent methane by 
volume plus coal dust shall be conducted. A quantity of coal dust equal 
to 0.05 ounces per cubic foot of internal free volume of the winding 
compartment plus the nonisolated conduit box shall be introduced into 
each end of the winding compartment and nonisolated conduit box to coat 
the interior surface before conducting the first of the four tests. The 
coal dust introduced into the conduit box shall be proportional to its 
volume. The remaining coal dust shall be equally divided between the 
winding compartment ends. For two tests, one stationary and one 
rotating, the ignition shall be either in the conduit box or one end of 
the connected winding compartment, whichever produced the highest 
pressure in the previous tests. The two remaining tests, one stationary 
and one rotating, shall be conducted with the ignition in the winding 
compartment end furthest away from the conduit box.
    (4) For motor assemblies incorporating a conduit box which is 
isolated from the winding compartment by an isolating barrier the 
following additional tests shall be conducted--
    (i) For conduit boxes with an internal free volume greater than 150 
cubic inches, two ignition points shall be used, one as close to the 
geometric center of the conduit box as practical and the other at the 
furthest point away from the isolating barrier between the conduit box 
and the winding compartment. Recording of pressure shall be on the same 
and opposite sides as the ignition point furthest from the isolating 
barrier between the conduit box and the winding compartment. Conduit 
boxes with an internal free volume of 150 cubic inches or less shall 
have one test hole for ignition located as close to the geometric center 
of the conduit box as practical and one for recording of pressure 
located on a side of the conduit box.
    (ii) The conduit box shall be tested separately. Six tests at 9.4 
0.4 percent methane by volume within the conduit 
box shall be conducted followed by two tests at 7.0 0.3 percent methane by volume. Then two tests at 9.4 
0.4 percent methane by volume with a quantity of 
coal dust equal to 0.05 ounces per cubic foot of internal free volume of 
the conduit box and meeting the specifications in paragraph (c)(3) of 
this section shall be conducted. For conduit boxes with an internal free 
volume of more than 150 cubic inches, the number of tests shall be 
evenly divided between each ignition point.
    (iii) The motor assembly shall be tested following removal of the 
isolating barrier or one sectionalizing terminal (as applicable). Six 
tests at 9.4 0.4 percent methane by volume in the 
winding compartment and conduit box shall be conducted using three 
ignition locations. The ignition shall be at one end of the winding 
compartment for one stationary and one rotating test; the opposite end 
for one stationary and one rotating test; and at the ignition point that 
produced the highest pressure on the previous test in paragraph 
(c)(4)(ii) of this section in the conduit box for one stationary and one 
rotating test. Motor assemblies that use multiple sectionalizing 
terminals shall have one test conducted as each additional terminal is 
removed. Each of these tests shall use the rotor state and ignition 
location that produced the highest pressure in the previous tests.
    (d) A motor assembly incorporating a conduit box that is isolated 
from the winding compartment that exhibits pressures exceeding 110 psig, 
while testing during removal of any or all isolating barriers as 
specified in paragraph (c)(4) of this section, shall have a warning 
statement on the approval plate. This statement shall warn that the 
isolating barrier must be maintained to ensure the explosion-proof 
integrity of the motor assembly. A statement is not required when the 
motor

[[Page 70]]

assembly has withstood a static pressure of twice the maximum pressure 
recorded in the explosion tests of paragraph (c)(4) of this section. The 
static pressure test shall be conducted on the motor assembly with all 
isolating barriers removed, and in accordance with Sec. 7.307 of this 
part.
    (e) Acceptable performance. Explosion tests of a motor assembly 
shall not result in--
    (1) Discharge of flames.
    (2) Ignition of the explosive mixture surrounding the motor assembly 
in the chamber.
    (3) Development of afterburning.
    (4) Rupture of any part of the motor assembly or any panel or 
divider within the motor assembly.
    (5) Clearances, in excess of those specified in this subpart, along 
accessible flame-arresting paths, following any necessary retightening 
of fastenings.
    (6) Pressure exceeding 110 psig, except as provided in paragraph (d) 
of this section unless the motor assembly has withstood a static 
pressure of twice the maximum pressure recorded in the explosion tests 
of this section following the static pressure test procedures of Sec. 
7.307 of this part.
    (7) Permanent deformation greater than 0.040 inches per linear foot.



Sec. 7.307  Static pressure test.

    (a) Test procedure. (1) The enclosure shall be internally 
pressurized to a minimum of 150 psig and the pressure maintained for a 
minimum of 10 seconds.
    (2) Following the pressure hold, the pressure shall be removed and 
the pressurizing agent removed from the enclosure.
    (b) Acceptable performance. (1) The enclosure during pressurization 
shall not exhibit--
    (i) Leakage through welds or casting; or
    (ii) Rupture of any part that affects the explosion-proof integrity 
of the enclosure.
    (2) The enclosure following removal of the pressurizing agent shall 
not exhibit--
    (i) Visible cracks in welds;
    (ii) Permanent deformation exceeding 0.040 inches per linear foot; 
or
    (iii) Clearances, in excess of those specified in this subpart, 
along accessible flame-arresting paths, following any necessary 
retightening of fastenings.



Sec. 7.308  Lockwasher equivalency test.

    (a) Test procedure. (1) Each test sample shall be an assembly 
consisting of a fastening with a locking device. Each standard sample 
shall be an assembly consisting of a fastening with a lockwasher.
    (2) Five standard samples and five test samples shall be tested.
    (3) Each standard and test sample shall use a new fastening of the 
same specifications as being used on the motor assembly.
    (4) A new tapped hole shall be used for each standard and test 
sample. The hole shall be of the same specifications as used on the 
motor assembly.
    (5) Each standard and test sample shall be inserted in the tapped 
hole and continuously and uniformly tightened at a speed not to exceed 
30 rpm until the fastening's proof load is achieved. The torquing device 
shall not contact the locking device or the threaded portion of the 
fastening.
    (6) Each standard and test sample shall be engaged and disengaged 
for 15 full cycles.
    (b) Acceptable performance. The minimum torque value required to 
start removal of the fastening from the installed position (minimum 
breakway torque) for any cycle of any test sample shall be greater than 
or equal to the average breakway torque of each removal cycle of every 
standard sample.



Sec. 7.309  Approval marking.

    Each approved motor assembly shall be identified by a legible and 
permanent approval plate inscribed with the assigned MSHA approval 
number and a warning statement as specified in Sec. 7.306(d) of this 
part. The plate shall be securely attached to the motor assembly in a 
manner that does not impair any explosion-proof characteristics.



Sec. 7.310  Post-approval product audit.

    Upon request by MSHA but not more than once a year, except for 
cause, the

[[Page 71]]

approval holder shall make a motor assembly available for audit at no 
cost.



Sec. 7.311  Approval checklist.

    Each motor assembly bearing an MSHA approval marking shall be 
accompanied by a list of items necessary for maintenance of the motor 
assembly as approved.

                    Appendix I to Subpart J of Part 7
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[GRAPHIC] [TIFF OMITTED] TC22OC91.013



   Subpart K_Electric Cables, Signaling Cables, and Cable Splice Kits

    Source: 57 FR 61220, Dec. 23, 1992, unless otherwise noted.



Sec. 7.401  Purpose and effective date.

    This subpart establishes the flame-resistant requirements for 
approval of electric cables, signaling cables and cable splice kit 
designs. Applications for approval or extension of approval submitted 
after February 22, 1994 shall meet the requirements of this subpart.



Sec. 7.402  Definitions.

    The following definitions apply in this subpart.
    Component. Any material in a cable splice kit which becomes part of 
a splice.
    Conductor. A bare or insulated wire or combination of wires not 
insulated from one another, suitable for carrying an electric current.
    Electric Cable. An assembly of one or more insulated conductors of 
electric current under a common or integral jacket. A cable may also 
contain one or more uninsulated conductors.
    Jacket. A nonmetallic abrasion-resistant outer covering of a cable 
or splice.
    Power Conductor. An insulated conductor of a cable assembly through 
which the primary electric current or power is transmitted.
    Signaling Cable. A fiber optic cable, or a cable containing electric 
conductors of a cross-sectional area less than 14 AWG used 
where the circuit cannot deliver currents which would increase conductor 
temperatures beyond that established for the current-carrying capacity 
of the conductors.

[[Page 81]]

    Splice. The mechanical joining of one or more severed conductors in 
a single length of a cable including the replacement of insulation and 
jacket.
    Splice Kit. A group of materials and related instructions which 
clearly identify all components and detail procedures used in safely 
making a flame-resistant splice in an electric cable.



Sec. 7.403  Application requirements.

    (a) Electric cables and signaling cables. A single application may 
address two or more sizes, types, and constructions if the products do 
not differ in composition of materials or basic design. Applications 
shall include the following information for each product:
    (1) Product information:
    (i) Cable type (for example, G or G-GC).
    (ii) Construction (for example, round or flat).
    (iii) Number and size (gauge) of each conductor.
    (iv) Voltage rating for all cables containing electric conductors.
    (v) For electric cables, current-carrying capacity of each 
conductor, with corresponding ambient temperature upon which the current 
rating (ampacity) is based, of each power conductor.
    (2) Design standard. Specify any published consensus standard used 
and fully describe any deviations from it, or fully describe any 
nonstandard design used.
    (3) Materials. Type and identifying numbers for each material 
comprising the finished assembly.
    (b) Splice kit. A single application may address two or more sizes, 
types, and constructions if the products do not differ in composition of 
materials or basic design. Applications shall include the following 
information for each product:
    (1) Product information:
    (i) Trade name or designation (for example, style or code number).
    (ii) Type or kit (for example, shielded or nonshielded).
    (iii) Voltage rating.
    (2) Design standard. Specify any published design standard used and 
fully describe any deviations from it, or provide complete final 
assembly dimensions for all components for each cable that the splice 
kit is designed to repair.
    (3) Materials. Type of materials, supplier, supplier's stock number 
or designation for each component.
    (4) Complete splice assembly instructions which clearly identify all 
components and detail procedures used in making the splice.



Sec. 7.404  Technical requirements.

    (a) Electric cables and splices shall be flame resistant when tested 
in accordance with Sec. 7.407.
    (b) Signaling cables shall be flame resistant when tested in 
accordance with Sec. 7.408.



Sec. 7.405  Critical characteristics.

    (a) A sample from each production run, batch, or lot of manufactured 
electric cable, signaling cable, or splice made from a splice kit shall 
be flame tested, or
    (b) A sample of the materials that contribute to the flame-resistant 
characteristic of the cable or splice and a sample of the cable or 
splice kit assembly shall be visually inspected or tested through other 
means for each production run, batch, or lot to ensure that the finished 
product meets the flame-resistance test.



Sec. 7.406  Flame test apparatus.

    The principal parts of the apparatus used to test for flame 
resistance of electric cables, signaling cables and splices shall 
include:
    (a) Test chamber. A rectangular enclosure measuring 17 inches deep 
by 14\1/2\ inches high by 39 inches wide and completely open at the top 
and front. The floor or base of the chamber shall be fabricated or lined 
with a noncombustible material that will not extinguish burning matter 
which may fall from the test specimen during testing. The chamber shall 
have permanent connections mounted to the back wall, sides, or floor of 
the chamber which extend to the sample end location. These are used to 
energize the electric cable and splice specimens. They are not used, but 
may stay in place, when testing signaling cables.
    (b) Specimen holder (support). A specimen holder (support) 
consisting of

[[Page 82]]

three separate metal rods each measuring approximately \3/16\ inch in 
diameter (nominal) to support the specimen. The horizontal portion of 
the rod which contacts the test specimen shall be approximately 12 
inches in length.
    (c) Gas ignition source. A standard natural gas type Tirrill burner, 
with a nominal inside diameter of \3/8\ inch, to apply the flame to the 
test specimen. The fuel for the burner shall be natural gas composed of 
at least 96 percent combustible hydrocarbons, with at least 80 percent 
being methane.
    (d) Current source. (For electric cables and splices only). A source 
of electric current (either alternating current or direct current) for 
heating the power conductors of the test specimen. The current source 
shall have a means to regulate current flow through the test specimen 
and have an open circuit voltage not exceeding the voltage rating of the 
test specimen.
    (e) Current measuring device. (For electric cables and splices 
only). An instrument to monitor the effective value of heating current 
flow through the power conductors of the specimen within an accuracy of 
1 percent.
    (f) Temperature measuring device. (For electric cables and splices 
only). An instrument to measure conductor temperature within an accuracy 
of 2 percent without the necessity of removing 
material from the test specimen in order to measure the temperature.



Sec. 7.407  Test for flame resistance of electric cables and cable splices.

    (a) Test procedure. (1) For electric cables, prepare 3 specimens of 
cable, each 3 feet in length, by removing 5 inches of jacket material 
and 2\1/2\ inches of conductor insulation from both ends of each test 
specimen. For splices, prepare a splice specimen in each of 3 sections 
of MSHA-approved flame-resistant cable. The cable shall be of the type 
that the splice kit is designed to repair. The finished splice shall not 
exceed 18 inches or be less than 6 inches in length for test purposes. 
The spliced cables shall be 3 feet in length with the midpoint of the 
splice located 14 inches from one end. Both ends of each of the spliced 
cables shall be prepared by removing 5 inches of jacket material and 
2\1/2\ inches of conductor insulation. The type, amperage, voltage 
rating, and construction of the cable shall be compatible with the 
splice kit design. Each splice shall be made in accordance with the 
instructions provided with the splice kit.
    (2) Prior to testing, condition each test specimen for a minimum of 
24 hours at a temperature of 70 10 [deg]F (21.1 
5.5 [deg]C) and a relative humidity of 55 10 percent. These environmental conditions shall be 
maintained during testing.
    (3) For electric cables, locate the sensing element of the 
temperature measuring device 26 inches from one end of each test 
specimen. For splices, locate the sensing element 12 inches from the 
midpoint of the splice and 10 inches from the end of the cable. The 
sensing element must be secured so that it remains in direct contact 
with the metallic portion of the power conductor for the duration of the 
flame-resistant test. If a thermocouple-type temperature measuring 
instrument is used, connect the sensing element through the cable jacket 
and power conductor insulation. Other means for monitoring conductor 
temperature may be used, provided the temperature measurement is made at 
the same location. If the jacket and conductor insulation must be 
disturbed to insert the temperature measuring device, each must be 
restored as closely as possible to its original location and maintained 
there for the duration of the testing.
    (4) Center the test specimen horizontally in the test chamber on the 
three rods. The three rods shall be positioned perpendicular to the 
longitudinal axis of the test specimen and at the same height, which 
permits the tip of the inner cone from the flame of the gas burner, when 
adjusted in accordance with the test procedure, to touch the jacket of 
the test specimen. The specimen shall be maintained at this level for 
the duration of the flame test. The two outermost rods shall be placed 
so that 1 inch of cable jacket extends beyond each rod. For electric 
cables, the third rod shall be placed 14 inches from the end of the test 
specimen nearer the temperature monitoring location on the specimen. For 
splices, the third rod shall be placed between the splice and the 
temperature monitoring

[[Page 83]]

location at a distance 8 inches from the midpoint of the splice. The 
specimen shall be free from external air currents during testing.
    (5) Adjust the gas burner to give an overall blue flame 5 inches 
high with a 3-inch inner cone. There shall be no persistence of yellow 
coloration.
    (6) Connect all power conductors of the test specimen to the current 
source. The connections shall be secure and compatible with the size of 
the cable's power conductors in order to reduce contact resistance.
    (7) Energize all power conductors of the test specimen with an 
effective heating current value of 5 times the power conductor ampacity 
rating (to the nearest whole ampere) at an ambient temperature of 104 
[deg]F (40 [deg]C).
    (8) Monitor the electric current through the power conductors of the 
test specimen with the current measuring device. Adjust the amount of 
heating current, as required, to maintain the proper effective heating 
current value within 5 percent until the power 
conductors reach a temperature of 400 [deg]F (204.4 [deg]C).
    (9) For electric cables, apply the tip of the inner cone from the 
flame of the gas burner directly beneath the test specimen for 60 
seconds at a location 14 inches from one end of the cable and between 
the supports separated by a 16-inch distance. For splices, apply the tip 
of the inner cone from the flame of a gas burner for 60 seconds beneath 
the midpoint of the splice jacket.
    (10) After subjecting the test specimen to external flame for the 
specified time, fully remove the flame of the gas from beneath the 
specimen without disturbing air currents within the test chamber. 
Simultaneously turn off the heating current.
    (11) Record the amount of time the test specimen continues to burn 
after the flame from the gas burner has been removed. The duration of 
burning includes the burn time of any material that falls from the test 
specimen after the flame from the gas has been removed.
    (12) Record the length of burned (charred) area of each test 
specimen measured longitudinally along the cable axis.
    (13) Repeat the procedure for the remaining two specimens.
    (b) Acceptable performance. Each of the three test specimens shall 
meet the following criteria:
    (1) The duration of burning shall not exceed 240 seconds.
    (2) The length of the burned (charred) area shall not exceed 6 
inches.



Sec. 7.408  Test for flame resistance of signaling cables.

    (a) Test procedure. (1) Prepare 3 samples of cable each 2 feet long.
    (2) Prior to testing, condition each test specimen for a minimum of 
24 hours at a temperature of 70 10 [deg]F (21.1 
5.5 [deg]C) and relative humidity of 55 10 percent. These environmental conditions shall be 
maintained during testing.
    (3) Center the test specimen horizontally in the test chamber on the 
three rods. The three rods shall be positioned perpendicular to the 
longitudinal axis of the test specimen and at the same height, which 
permits the tip of the inner cone from the flame of the gas burner, when 
adjusted in accordance with the test procedure, to touch the test 
specimen. The specimen shall be maintained at this height for the 
duration of the flame test. The two outermost rods shall be placed so 
that 1 inch of cable extends beyond each rod. The third rod shall be 
placed at the midpoint of the cable. The specimen shall be free from 
external air currents during testing.
    (4) Adjust the gas burner to give an overall blue flame 5 inches 
high with a 3-inch inner cone. There shall be no persistence of yellow 
coloration.
    (5) Apply the tip of the inner cone from the flame of the gas burner 
for 30 seconds directly beneath the specimen centered between either and 
support and the center support.
    (6) After subjecting the test specimen to external flame for the 
specified time, fully remove the flame of the gas from beneath the 
specimen without disturbing air currents within the test chamber.
    (7) Record the amount of time the test specimen continues to burn 
after the flame from the gas burner has been removed. The duration of 
burning includes the burn time of any material

[[Page 84]]

that falls from the test specimen after the flame from the gas has been 
removed.
    (8) Record the length of burned (charred) area of each test specimen 
measured longitudinally along the cable axis.
    (9) Repeat the procedure for the remaining two specimens.
    (b) Acceptable performance. Each of the three test specimens shall 
meet the following criteria:
    (1) The duration of burning shall not exceed 60 seconds.
    (2) The length of the burned (charred) area shall not exceed 6 
inches.



Sec. 7.409  Approval marking.

    Approved electric cables, signaling cables, and splices shall be 
legibly and permanently marked with the MSHA-assigned approval marking. 
For electric cables and signaling cables, the marking shall appear at 
intervals not exceeding 3 feet and shall include the MSHA-assigned 
approval number in addition to the number and size (gauge) of conductors 
and cable type. For cables containing electric conductors, the marking 
shall also include the voltage rating. For splices, the marking shall be 
placed on the jacket so that it will appear at least once on the 
assembled splice.



Sec. 7.410  Post-approval product audit.

    Upon request by MSHA, but no more than once a year except for cause, 
the approval holder shall supply to MSHA for audit at no cost--
    (a) 12 feet of an approved electric cable or approved signaling 
cable; or
    (b) 3 splice kits of one approved splice kit design and 12 feet of 
MSHA-assigned cable that the splice kit is designed to repair.



Sec. 7.411  New technology.

    MSHA may approve cable products or splice kits that incorporate 
technology for which the requirements of this subpart are not applicable 
if the Agency determines that they are as safe as those which meet the 
requirements of this subpart.



PART 15_REQUIREMENTS FOR APPROVAL OF EXPLOSIVES AND SHEATHED EXPLOSIVE UNITS--

Table of Contents




                      Subpart A_General Provisions

Sec.
15.1 Purpose and effective dates.
15.2 Definitions.
15.3 Observers at tests and evaluation.
15.4 Application procedures and requirements.
15.5 Test samples.
15.6 Issuance of approval.
15.7 Approval marking.
15.8 Quality assurance.
15.9 Disclosure of information.
15.10 Post-approval product audit.
15.11 Revocation.

            Subpart B_Requirements for Approval of Explosives

15.20 Technical requirements.
15.21 Tolerances for ingredients.
15.22 Tolerances for performance, wrapper, and specific gravity.

Subpart C_Requirements for Approval of Sheathed Explosive Units or Other 
 Explosive Units Designed to be Fired Outside the Confines of a Borehole

15.30 Technical requirements.
15.31 Tolerances for ingredients.
15.32 Tolerances for weight of explosive, sheath, wrapper, and specific 
          gravity.

    Authority: 30 U.S.C. 957.

    Source: 53 FR 46761, Nov. 18, 1988, unless otherwise noted.



                      Subpart A_General Provisions



Sec. 15.1  Purpose and effective dates.

    This part sets forth the requirements for approval of explosives and 
sheathed explosive units to be used in underground coal mines and 
certain underground metal and nonmetal gassy mines and is effective 
January 17, 1989. Those manufacturers proceeding under the provisions of 
the previous regulation may file requests for approval or extension of 
approval of explosives under that regulation until January 17, 1990. 
After January 17, 1990, all requests for approval or extension of 
approval of explosives or sheathed explosive units shall be made in 
accordance with Subpart A and the applicable subpart of this part. 
Explosives issued an approval

[[Page 85]]

under regulations in place prior to January 17, 1989, and in compliance 
with those regulations, may continue to be manufactured and marked as 
approved as long as no change to the explosive is made.

[FR 46761, Nov. 18, 1988; 54 FR 351, Jan. 5, 1989]



Sec. 15.2  Definitions.

    The following definitions apply in this part.
    Applicant. An individual or organization that manufactures or 
controls the production of an explosive or an explosive unit and that 
applies to MSHA for approval of that explosive or explosive unit.
    Approval. A document issued by MSHA which states that an explosive 
or explosive unit has met the requirements of this part and which 
authorizes an approval marking identifying the explosive or explosive 
unit as approved as permissible.
    Explosive. A substance, compound, or mixture, the primary purpose of 
which is to function by explosion.
    Extension of approval. A document issued by MSHA which states that 
the change to an explosive or explosive unit previously approved by MSHA 
under this part meets the requirements of this part and which authorizes 
the continued use of the approval marking after the appropriate 
extension number has been added.
    Minimum product firing temperature. The lowest product temperature 
at which the explosive or explosive unit is approved for use under this 
part.
    Post-approval product audit. Examination, testing, or both, by MSHA 
of approved explosives or explosive units selected by MSHA to determine 
whether they meet the technical requirements and have been manufactured 
as approved.
    Sheath. A chemical compound or mixture incorporated in a sheathed 
explosive unit and which forms a flame inhibiting cloud on detonation of 
the explosive.
    Sheathed explosive unit. A device consisting of an approved or 
permissible explosive covered by a sheath encased in a sealed covering 
and designed to be fired outside the confines of a borehole.
    Test detonator. An instantaneous detonator that has a strength 
equivalent to that of a detonator with a base charge of 0.40-0.45 grams 
PETN.

[FR 46761, Nov. 18, 1988; 54 FR 351, Jan. 5, 1989]



Sec. 15.3  Observers at tests and evaluation.

    Only personnel of MSHA, designees of MSHA, representatives of the 
applicant, and such other persons as agreed upon by MSHA and the 
applicant shall be present during tests and evaluations conducted under 
this part.

[70 FR 46342, Aug. 9, 2005]



Sec. 15.4  Application procedures and requirements.

    (a) Application. Requests for an approval or an extension of 
approval under this part shall be sent to: U.S. Department of Labor, 
Mine Safety and Health Administration, Approval and Certification 
Center, P.O. Box 251, Industrial Park Road, Triadelphia, West Virginia 
26059.
    (b) Fees. Fees calculated in accordance with Part 5 of this Title 
shall be submitted in accordance with Sec. 5.40.
    (c) Original approval for explosives. Each application for approval 
of an explosive shall include--
    (1) A technical description of the explosive, including the chemical 
composition of the explosive with tolerances for each ingredient;
    (2) A laboratory number or other suitable designation identifying 
the explosive. The applicant shall provide the brand or trade name under 
which the explosive will be marketed prior to issuance of the approval;
    (3) The lengths and diameters of explosive cartridges for which 
approval is requested;
    (4) The proposed minimum product firing temperature of the 
explosive; and
    (5) The name, address, and telephone number of the applicant's 
representative responsible for answering any questions regarding the 
application.
    (d) Original approval for sheathed explosive units. Each application 
for approval of a sheathed explosive unit shall include--
    (1) A technical description of the sheathed explosive unit which 
includes

[[Page 86]]

the chemical composition of the sheath, with tolerances for each 
ingredient, and the types of material used for the outer covering;
    (2) The minimum thickness weight, and specific gravity of the sheath 
and outer covering;
    (3) The brand or trade name, weight, specific gravity, and minimum 
product firing temperature of the approved explosive to be used in the 
unit;
    (4) The ratio of the weight of the sheath to the weight of the 
explosive; and
    (5) The name, address and telephone number of the applicant's 
representative responsible for answering any questions regarding the 
application.
    (e) Subsequent approval of a similar explosive or sheathed explosive 
unit. Each application for approval of an explosive or sheathed 
explosive unit similar to one for which the applicant already holds an 
approval shall include--
    (1) The approval number of the explosive or sheathed explosive unit 
which most closely resembles the new one;
    (2) The information specified in paragraphs (c) and (d) of this 
section for an original approval, as applicable, except that any 
document which is the same as the one listed by MSHA in the prior 
approval need not be submitted but shall be noted in the application; 
and
    (3) An explanation of all changes from the existing approval.
    (f) Extension of the approval. Any change in an approved explosive 
or sheathed explosive unit from the documentation on file at MSHA that 
affects the technical requirements of this Part shall be submitted for 
approval prior to implementing the change.
    (1) Each application for an extension of approval shall include--
    (i) The MSHA-assigned approval number for the explosive or sheathed 
explosive unit for which the extension is sought;
    (ii) A description of the proposed change to the approved explosive 
or sheathed explosive unit; and
    (iii) The name, address, and telephone number of the applicant's 
representative responsible for answering any questions regarding the 
application.
    (2) MSHA will determine what tests, additional information, samples, 
or material, if any, are required to evaluate the proposed change.
    (3) When a change involves the chemical composition of an approved 
explosive or sheathed explosive unit which affects the firing 
characteristics, MSHA may require the explosive or sheathed explosive 
unit to be distinguished from those associated with the former 
composition.

[FR 46761, Nov. 18, 1988; 54 FR 351, Jan. 5, 1989; 60 FR 33723, June 29, 
1995]



Sec. 15.5  Test samples.

    (a) Submission of test samples. (1) The applicant shall not submit 
explosives or sheathed explosive units to be tested until requested to 
do so by MSHA.
    (2) The applicant shall submit 70 pounds of 1\1/4\-inch diameter 
explosives and additional cartridges in the amount of 3200 divided by 
the length in inches, except for cartridges 12, 20 and greater than 36 
inches long. The applicant shall submit 70 pounds and additional 
cartridges in the amount of 3800 divided by the length in inches for 
cartridges 12, 20 and greater than 36 inches long.
    (3) If approval is requested for cartridges in diameters less than 
1-\1/4\ inches, the applicant shall submit a number of cartridges equal 
to 1800 divided by the length in inches, except for cartridges 12, 20 
and greater than 36 inches long. The applicant shall submit cartridges 
in the amount of 2200 divided by the length in inches for cartridges 12, 
20 and greater than 36 inches long.
    (4) If approval is requested for cartridges in diameters larger than 
1-\1/4\ inches, the applicant shall submit an additional 10 cartridges 
of each larger diameter.
    (5) If approval is requested for cartridges in more than one length, 
the applicant shall submit an additional 10 cartridges for each 
additional length and diameter combination.
    (6) Each applicant seeking approval of sheathed explosive units 
shall submit 140 units.
    (b) Condition and composition. Explosives and sheathed explosive 
units will not be tested that--
    (1) Contain chlorites, chlorates, or substances that will react over 
an extended time and cause degradation of

[[Page 87]]

the explosive or sheathed explosive unit;
    (2) Are chemically unstable;
    (3) Show leakage;
    (4) Use aluminum clips to seal the cartridge;
    (5) Contain any combination of perchlorate and aluminum;
    (6) Contain more than 5 percent perchlorate; or
    (7) Contain any perchlorate and less than 5 percent water.
    (c) Storage. Explosives and sheathed explosive units shall be stored 
in a magazine for at least 30 days before gallery tests are conducted.



Sec. 15.6  Issuance of approval.

    (a) MSHA will issue an approval or a notice of the reasons for 
denying approval after completing the evaluation and testing provided 
for by this part.
    (b) An applicant shall not advertise or otherwise represent an 
explosive or sheathed explosive unit as approved until MSHA has issued 
an approval.



Sec. 15.7  Approval marking.

    (a) An approved explosive or sheathed explosive unit shall be 
marketed only under the brand or trade name specified in the approval.
    (b) The wrapper of each cartridge and each case of approved 
explosives shall be legibly labeled with the following: the brand or 
trade name, ``MSHA Approved Explosive'', the test detonator strength, 
and the minimum product firing temperature.
    (c) The outer covering of each sheathed explosive unit and each case 
of approved sheathed explosive units shall be legibly labeled with the 
following: the brand or trade name, ``MSHA Approved Sheathed Explosive 
Unit'', the test detonator strength, and the minimum product firing 
temperature.

[FR 46761, Nov. 18, 1988; 54 FR 351, Jan. 5, 1989; 54 FR 27641, June 30, 
1989; 60 FR 33723, June 29, 1995]



Sec. 15.8  Quality assurance.

    (a) Applicants granted an approval or an extension of approval under 
this part shall manufacture the explosive or sheathed explosive unit as 
approved.
    (b) Applicants shall immediately report to the MSHA Approval and 
Certification Center, any knowledge of explosives or sheathed explosive 
units that have been distributed that do not meet the specifications of 
the approval.

[53 FR 46761, Nov. 18, 1988, as amended at 60 FR 33723, June 29, 1995]



Sec. 15.9  Disclosure of information.

    (a) All information concerning product specifications and 
performance submitted to MSHA by the applicant shall be considered 
proprietary information.
    (b) MSHA will notify the applicants of requests for disclosure of 
information concerning its explosives or sheathed explosive units and 
shall give the applicant an opportunity to provide MSHA with a statement 
of its position prior to any disclosure.



Sec. 15.10  Post-approval product audit.

    (a) Approved explosives and sheathed explosive units shall be 
subject to periodic audits by MSHA for the purpose of determining 
conformity with the technical requirements upon which the approval was 
based. Any approved explosive or sheathed explosive unit which is to be 
audited shall be selected by MSHA and be representative of those 
distributed for use in mines. The approval-holder may obtain any final 
report resulting from such audit.
    (b) No more than once a year, except for cause, the approval-holder, 
at MSHA's request, shall make one case of explosives or 25 sheathed 
explosive units available at no cost to MSHA for an audit. The approval-
holder may observe any tests conducted during this audit.
    (c) An approved explosive or sheathed explosive unit shall be 
subject to audit for cause at any time MSHA believes that it is not in 
compliance with the technical requirements upon which the approval was 
based.
    (d) Explosives approved under regulations in effect prior to January 
17, 1989, shall conform to the provisions on field samples set out in 
those regulations (See 30 CFR part 15, 1987 edition).



Sec. 15.11  Revocation.

    (a) MSHA may revoke for cause an approval issued under this part if 
the explosive or sheathed explosive unit--

[[Page 88]]

    (1) Fails to meet the applicable technical requirements; or
    (2) Creates a hazard when used in a mine.
    (b) Prior to revoking an approval, the approval-holder shall be 
informed in writing of MSHA's intention to revoke. The notice shall--
    (1) Explain the specific reasons for the proposed revocation; and
    (2) Provide the approval-holder an opportunity to demonstrate or 
achieve compliance with the product approval requirements.
    (c) Upon request, the approval-holder shall be afforded an 
opportunity for a hearing.
    (d) If an explosive or sheathed explosive unit poses an imminent 
hazard to the safety or health of miners, the approval may be 
immediately suspended without a written notice of the agency's intention 
to revoke. The suspension may continue until the revocation proceedings 
are completed.



            Subpart B_Requirements for Approval of Explosives



Sec. 15.20  Technical requirements.

    (a) Chemical composition. The chemical composition of the explosive 
shall be within the tolerances furnished by the applicant.
    (b) Rate-of-detonation test. The explosive shall propagate 
completely in the rate-of-detonation tesst. The test is conducted at an 
ambient temperature between 68 and 86 [deg]F. Nongelatinous explosives 
are initiated with a test detonator only, while gelatinous explosives 
are initiated with a test detonator and a 60-gram tetryl pellet booster. 
The test is conducted on--
    (1) A 50-inch column of 1\1/4\ inch diameter cartridges; and
    (2) A 50-inch column of the smallest diameter cartridges less than 
1\1/4\ inches submitted for testing.
    (c) Air-gap sensitivity. The air-gap sensitivity of the explosive 
shall be at least 2 inches at the minimum product firing temperature and 
3 inches at a temperature between 68 and 86 [deg]F, and the explosive 
shall propagate completely.
    (1) Air-gap sensitivity of the explosive is determined in the 
explosion-by-influence test using the 7-inch cartridge method. The air-
gap sensitivity is determined for 1\1/4\ inch diameter cartridges and 
each cartridge diameter smaller than 1\1/4\ inches. Explosives are 
initiated with a test detonator.
    (2) The 7-inch cartridge method is conducted with two 8-inch 
cartridges. One inch is cut off the end of each cartridge. The 
cartridges are placed in a paper tube, the cut ends facing each other, 
with the appropriate 2-inch or 3-inch air gap between them. The test is 
conducted at a temperature between 68 and 86 [deg]F and at the minimum 
product firing temperature proposed by the applicant, or 41 [deg]F, 
whichever is lower. The test temperature at which the explosive 
propagates completely will be specified in the approval as the minimum 
product firing temperature at which the explosive is approved for use.
    (d) Gallery Test 7. The explosive shall yield a value of at least 
450 grams for the lower 95 percent confidence limit (L95) on 
the weight for 50 percent probability of ignition (W50) in 
gallery test 7 and shall propagate completely. The L95 and 
W50 values for the explosive are determined by using the 
Bruceton up-and-down method. A minimum of 20 trials are made with 
explosive charges of varying weights, including wrapper and seals. Each 
charge is primed with a test detonator, then tamped and stemmed with one 
pound of dry-milled fire clay into the borehole of a steel cannon. The 
cannon is fired into air containing 7.7 to 8.3 percent of natural gas. 
The air temperature is between 68 and 86 [deg]F.
    (e) Gallery Test 8. The explosive shall yield a value of at least 
350 grams for the weight for 50 percent probability of ignition 
(WCDG) in gallery test 8 and shall propagate completely. The 
(WCDG) value for the explosive is determined using the 
Bruceton up-and-down method. A minimum of 10 tests are made with 
explosive charges of varying weights, including wrapper and seals. Each 
charge is primed with a test detonator, then tamped into the borehole of 
a steel cannon. The cannon is fired into a mixture of 8 pounds of 
bituminous coal dust predispersed into 640 cubic feet of air containing 
3.8 to 4.2 percent of natural gas. The air temperature is between 68 and 
86 [deg]F.

[[Page 89]]

    (f) Pendulum-friction test. The explosive shall show no perceptible 
reaction in the pendulum-friction test with the hard fiber-faced shoe. 
Ten trials of the test are conducted by releasing the steel shoe from a 
height of 59 inches. If there is evidence of sensitivity, the test is 
repeated with the hard fiber-faced shoe.
    (g) Toxic gases. The total volume equivalent to carbon monoxide (CO) 
of toxic gases produced by detonation of the explosive shall not exceed 
2.5 cubic feet per pound of explosive as determined in the large chamber 
test. The explosive shall propagate completely.
    (1) The large chamber test is conducted with a one-pound explosive 
charge, including wrapper and seal, primed with a test detonator. The 
explosive charge is loaded into the borehole of a steel cannon, then 
tamped and stemmed with one pound of dry-milled fire clay. The cannon is 
fired into the large chamber and the gaseous products resulting from 
detonation of the explosive are collected and analyzed for toxic gases. 
At least two trials are conducted.
    (2) The equivalent volume of each toxic gas produced, relative to 
CO, is determined by multiplying the measured volume of the gas by a 
conversion factor. The conversion factor is equal to the threshold limit 
value, time weighted average (TLV-TWA) in parts-per-million for CO 
divided by the TLV-TWA for the toxic gas. The TLV-TWA conversion factor 
for each gas for which MSHA shall test is specified in Table I of this 
subpart. The total volume equivalent to CO of the toxic gases produced 
by detonation of the explosive is the sum of the equivalent volumes of 
the individual toxic gases.

               Table I--Conversion Factors for Toxic Gases
           [For Equivalent Volume Relative to Carbon Monoxide]
------------------------------------------------------------------------
                                                         Toxic Gas
                                                  ----------------------
                                                   Conversion   TLV-TWA
                                                     Factor      (PPM)
------------------------------------------------------------------------
Ammonia..........................................           2         25
Carbon Dioxide...................................        0.01       5000
Carbon Monoxide..................................           1         50
Hydrogen Sulfide.................................           5         10
Nitric Oxide.....................................           2         25
Nitrogen Dioxide.................................          17          3
Sulfur Dioxide...................................          25          2
------------------------------------------------------------------------

    (h) Cartridge diameter and length changes. (1) For proposed changes 
to an approved explosive involving only cartridge diameter or length, 
MSHA will determine what tests, if any, will be required.
    (2) When a proposed change to an approved explosive involves a 
smaller diameter than that specified in the approval, the rate-of-
detonation and air-gap sensitivity tests will be conducted.
    (3) No test will be conducted on cartridges with diameters the same 
as or smaller than those that previously failed to detonate in the rate-
of-detonation test.
    (i) New technology. MSHA may approve an explosive that incorporates 
technology for which the requirements of this subpart are not applicable 
if MSHA determines that the explosive is as safe as those which meet the 
requirements of this subpart.



Sec. 15.21  Tolerances for ingredients.

    Tolerances for each ingredient in an explosive, which are expressed 
as a percentage of the total explosive, shall not exceed the following:
    (a) Physical sensitizers: The tolerances established by the 
applicant;
    (b) Aluminum: 0.7 percent;
    (c) Carbonaceous materials: 3 percent; and
    (d) Moisture and ingredients other than specified in paragraphs (a), 
(b), and (c) of this section: The tolerances specified in Table II.

         Table II--Tolerances for Moisture and Other Ingredients
------------------------------------------------------------------------
 Quantity of ingredients (as percent of total explosive or    Tolerance
                          sheath)                              percent
------------------------------------------------------------------------
0 to 5.0...................................................          1.2
5.1 to 10.0................................................          1.5
10.1 to 20.0...............................................          1.7
20.1 to 30.0...............................................          2.0
30.1 to 40.0...............................................          2.3
40.1 to 50.0...............................................          2.5
50.1 to 55.0...............................................          2.8
55.1 to 100.0..............................................          3.0
------------------------------------------------------------------------



Sec. 15.22  Tolerances for performance, wrapper, and specific gravity.

    (a) The rate of detonation of the explosive shall be within 15 percent of that specified in the approval.
    (b) The weight of wrapper per 100 grams of explosive shall be within 
2 grams of that specified in the approval.

[[Page 90]]

    (c) The apparent specific gravity of the explosive shall be within 
7.5 percent of that specified in the approval.



Subpart C_Requirements for Approval of Sheathed Explosive Units or Other 

 Explosive Units Designed to be Fired Outside the Confines of a Borehole



Sec. 15.30  Technical requirements.

    (a) Quantity of explosive. The sheathed explosive unit shall contain 
not more than 1\1/2\ pounds of an approved or permissible explosive.
    (b) Chemical composition. The chemical composition of the sheath 
shall be within the tolerances furnished by the applicant.
    (c) Detonator well. The sheathed explosive unit shall have a 
detonator well that--
    (1) Is protected by a sealed covering;
    (2) Permits an instantaneous detonator to be inserted in the unit 
with the detonator completely embedded in the well;
    (3) Is provided with a means of securing the detonator in the well; 
and
    (4) Is clearly marked.
    (d) Drop test. The outer covering of the sheathed explosive unit 
shall not tear or rupture and the internal components shall not shift 
position or be damaged in the drop test.
    (1) The drop test is conducted on at least 10 sheathed explosive 
units. Each unit is dropped on its top, bottom, and edge from a height 
of 6 feet onto a concrete surface. For units with explosives approved 
with a minimum product firing temperature, the drop test is performed 
with the unit at the minimum product firing temperature established for 
the explosive in the unit. For units with explosives approved under 
regulations in effect prior to January 17, 1989, the drop test is 
performed with the unit at 41 [deg]F.
    (2) At least four units which have been drop-tested shall be cut-
open and examined.
    (3) At least six units which have been drop-tested shall be 
subjected to gallery tests 9 and 10 as provided in paragraphs (e)(1) and 
(e)(2) of this section.
    (e) Gallery tests. No sheathed explosive unit shall cause an 
ignition in gallery tests 9, 10, 11, or 12. Ten trials in each gallery 
test shall be conducted and each sheathed explosive unit shall propagate 
completely in all tests.
    (1) Gallery test 9 is conducted in each trial with three sheathed 
explosive units placed in a row 2 feet apart. One of the trials is 
conducted with sheathed explosive units which have been subjected to the 
drop test as provided in paragraph (d)(3) of this section. The units are 
placed on a concrete slab, primed with test detonators and fired in air 
containing 7.7 to 8.3 percent natural gas or 8.7 to 9.3 percent methane. 
The air temperature is between 41 and 86 [deg]F.
    (2) Gallery test 10 is conducted in each trial with three sheathed 
explosive units placed in a row 2 feet apart. One of the trials is 
conducted with sheathed explosive units which have been subjected to the 
drop test as provided in paragraph (d)(3) of this section. The units are 
placed on a concrete slab, primed with test detonators and fired in air 
containing 3.8 to 4.2 percent natural gas, or 4.3 to 4.7 percent 
methane, mixed with 0.2 ounces per cubic foot of predispersed bituminous 
coal dust. The air temperature is between 41 and 86 [deg]F.
    (3) Gallery test 11 is conducted in each trial with three sheathed 
explosive units arranged in a triangular pattern with the units in 
contact with each other. The units are placed in a simulated crevice 
formed between two square concrete slabs, each measuring 24 inches on a 
side and 2 inches in thickness. The crevice is formed by placing one 
slab on top of the other and raising the edge of the upper slab at least 
4 inches. The sheathed explosive units are primed with test detonators 
and fired in air containing 7.7 to 8.3 percent natural gas or 8.7 to 9.3 
percent methane. The air temperature is between 41 and 86 [deg]F.
    (4) Gallery test 12 is conducted in each trial with three sheathed 
explosive units arranged in a triangular pattern with the units in 
contact with each other. The units are placed in a corner formed by 
three square steel plates, each measuring 24 inches on a side and one 
inch in thickness. The sheathed explosive units are primed with test 
detonators and fired in air containing 7.7 to 8.3 percent natural

[[Page 91]]

gas or 8.7 to 9.3 percent methane. The air temperature is between 41 and 
86 [deg]F.
    (f) Detonation test. Each of ten sheathed explosive units shall 
propagate completely when fired at the minimum product firing 
temperature for the explosive used in the unit or 41 [deg]F for units 
with explosives approved under regulations in effect prior to January 
17, 1989. The units are initiated with test detonators.
    (g) New technology. MSHA may approve an explosive unit designed to 
be fired outside the confines of a borehole that incorporates technology 
for which the requirements of this subpart are not applicable if MSHA 
determines that such explosive unit is as safe as those which meet the 
requirements of this subpart.

[FR 46761, Nov. 18, 1988; 54 FR 351, Jan. 5, 1989]



Sec. 15.31  Tolerances for ingredients.

    Tolerances established by the applicant for each ingredient in the 
sheath shall not exceed the tolerances specified in Table II Sec. 15.21 
of this part.



Sec. 15.32  Tolerances for weight of explosive, sheath, wrapper, and specific 

gravity.

    (a) The weight of the explosive, the sheath, and the outer covering 
shall each be within 7.5 percent of that specified 
in the approval.
    (b) The ratio of the weight of the sheath to that of the explosive 
shall be within 7.5 percent of that specified in 
the approval.
    (c) The specific gravity of the explosive and sheath shall be within 
7.5 percent of that specified in the approval.



PART 18_ELECTRIC MOTOR-DRIVEN MINE EQUIPMENT AND ACCESSORIES--Table of 

Contents




                      Subpart A_General Provisions

Sec.
18.1 Purpose.
18.2 Definitions.
18.3 Consultation.
18.4 Electrical equipment for which approval is issued.
18.5 Equipment for which certification will be issued.
18.6 Applications.
18.7 [Reserved]
18.8 Date for conducting investigation and tests.
18.9 Conduct of investigations and tests.
18.10 Notice of approval or disapproval.
18.11 Approval plate.
18.12 Letter of certification.
18.13 Certification plate.
18.14 Identification of tested noncertified explosion-proof enclosures.
18.15 Changes after approval or certification.
18.16 Withdrawal of approval, certification, or acceptance.

             Subpart B_Construction and Design Requirements

18.20 Quality of material, workmanship, and design.
18.21 Machines equipped with powered dust collectors.
18.22 Boring-type machines equipped for auxiliary face ventilation.
18.23 Limitation of external surface temperatures.
18.24 Electrical clearances.
18.25 Combustible gases from insulating material.
18.26 Static electricity.
18.27 Gaskets.
18.28 Devices for pressure relief, ventilation, or drainage.
18.29 Access openings and covers, including unused lead-entrance holes.
18.30 Windows and lenses.
18.31 Enclosures--joints and fastenings.
18.32 Fastenings--additional requirements.
18.33 Finish of surface joints.
18.34 Motors.
18.35 Portable (trailing) cables and cords.
18.36 Cables between machine components.
18.37 Lead entrances.
18.38 Leads through common walls.
18.39 Hose conduit.
18.40 Cable clamps and grips.
18.41 Plug and receptacle-type connectors.
18.42 Explosion-proof distribution boxes.
18.43 Explosion-proof splice boxes.
18.44 Non-intrinsically safe battery-powered equipment.
18.45 Cable reels.
18.46 Headlights.
18.47 Voltage limitation.
18.48 Circuit-interrupting devices.
18.49 Connection boxes on machines.
18.50 Protection against external arcs and sparks.
18.51 Electrical protection of circuits and equipment.
18.52 Renewal of fuses.
18.53 High-voltage longwall mining systems.

                     Subpart C_Inspections and Tests

18.60 Detailed inspection of components.
18.61 Final inspection of complete machine.

[[Page 92]]

18.62 Tests to determine explosion-proof characteristics.
18.63 [Reserved]
18.65 Flame test of conveyor belting and hose.
18.66 Tests of windows and lenses.
18.67 Static-pressure tests.
18.68 Tests for intrinsic safety.
18.69 Adequacy tests.

     Subpart D_Machines Assembled With Certified or Explosion-Proof 
Components, Field Modifications of Approved Machines, and Permits To Use 
                         Experimental Equipment

18.80 Approval of machines assembled with certified or explosion-proof 
          components.
18.81 Field modification of approved (permissible) equipment; 
          application for approval of modification; approval of plans 
          for modification before modification.
18.82 Permit to use experimental electric face equipment in a gassy mine 
          or tunnel.

Appendix I to Subpart D--List of Tables
Appendix II to Subpart D--List of Figures

   Subpart E_Field Approval of Electrically Operated Mining Equipment

18.90 Purpose.
18.91 Electric equipment for which field approvals will be issued.
18.92 Quality of material and design.
18.93 Application for field approval; filing procedures.
18.94 Application for field approval; contents of application.
18.95 Approval of machines constructed of components approved, accepted 
          or certified under Bureau of Mines Schedule 2D, 2E, 2F, or 2G.
18.96 Preparation of machines for inspection; requirements.
18.97 Inspection of machines; minimum requirements.
18.98 Enclosures, joints, and fastenings; pressure testing.
18.99 Notice of approval or disapproval; letters of approval and 
          approval plates.

    Authority: 30 U.S.C. 957, 961.

    Source: 33 FR 4660, Mar. 19, 1968, unless otherwise noted.



                      Subpart A_General Provisions



Sec. 18.1  Purpose.

    The regulations in this part set forth the requirements to obtain 
MSHA: Approval of electrically operated machines and accessories 
intended for use in gassy mines or tunnels, certification of components 
intended for use on or with approved machines, permission to modify the 
design of an approved machine or certified component, acceptance of 
flame-resistant hoses and conveyor belts, sanction for use of 
experimental machines and accessories in gassy mines or tunnels; also, 
procedures for applying for such approval, certification, acceptance for 
listing.

[43 FR 12313, Mar. 24, 1978, as amended at 52 FR 17514, May 8, 1987; 57 
FR 61223, Dec. 23, 1992]



Sec. 18.2  Definitions.

    As used in this part--
    Acceptance means written notification by MSHA that a hose or 
conveyor belt has met the applicable requirements of this part and will 
be listed by MSHA as acceptable flame-resistant auxiliary equipment.
    Acceptance marking means an identifying marking indicating that the 
hose or conveyor belt has been accepted by MSHA for listing as flame 
resistant.
    Accessory means associated electrical equipment, such as a 
distribution or splice box, that is not an integral part of an approved 
(permissible) machine.
    Assistant Secretary means the Assistant Secretary of Labor for Mine 
Safety and Health.
    Afterburning means the combustion of a flammable mixture that is 
drawn into a machine compartment after an internal explosion in the 
compartment.
    Applicant means an individual, partnership, company, corporation, 
organization, or association that designs, manufactures, assembles, or 
controls the assembly of an electrical machine or accessory and seeks 
approval, certification, or permit, or MSHA acceptance for listing of 
flame-resistant hose or conveyor belt.
    Approval means a formal document issued by MSHA which states that a 
completely assembled electrical machine or accessory has met the 
applicable requirements of this part and which authorizes the attachment 
of an approval plate so indicating.
    Approval plate means a metal plate, the design of which meets MSHA's 
requirements, for attachment to an approved machine or accessory, 
identifying it as permissible for use in gassy mines or tunnels.

[[Page 93]]

    Branch circuit means an electrical circuit connected to the main 
circuit, the conductors of which are of smaller size than the main 
circuit.
    Bureau means the U.S. Bureau of Mines.
    Certification means a formal written notification, issued by MSHA, 
which states that an electrical component complies with the applicable 
requirements of this part and, therefore, is suitable for incorporation 
in approved (permissible) equipment.
    Certification label means a plate, label, or marking, the design of 
which meets MSHA's requirements, for attachment to a certified component 
identifying the component as having met the MSHA's requirements for 
incorporation in a machine to be submitted for approval.
    Component means an integral part of an electrical machine or 
accessory that is essential to the functioning of the machine or 
accessory.
    Connection box (also known as conduit or terminal box) means an 
enclosure mounted on an electrical machine or accessory to facilitate 
wiring, without the use of external splices. (Such boxes may have a 
joint common with an explosion-proof enclosure provided the adjoining 
surfaces conform to the requirements of subpart B of this part.)
    Cylindrical joint means a joint comprised of two contiguous, 
concentric, cylindrical surfaces.
    Distribution box means an enclosure through which one or more 
portable cables may be connected to a source of electrical energy, and 
which contains a short-circuit protective device for each outgoing 
cable.
    Experimental equipment means any electrical machine or accessory 
that an applicant or MSHA may desire to operate experimentally for a 
limited time in a gassy mine or tunnel. (For example, this might include 
a machine constructed at a mine, an imported machine, or a machine or 
device designed and developed by MSHA.)
    Explosion-proof enclosure means an enclosure that complies with the 
applicable design requirements in subpart B of this part and is so 
constructed that it will withstand internal explosions of methane-air 
mixtures: (1) Without damage to or excessive distortion of its walls or 
cover(s), and (2) without ignition of surrounding methane-air mixtures 
or discharge of flame from inside to outside the enclosure.
    Fire-resistant as applied to conveyor belts means belting that will 
pass the flame tests hereafter specified.
    Flame-arresting path means two or more adjoining or adjacent 
surfaces between which the escape of flame is prevented.
    Flame resistant as applied to cable, hose, and insultating materials 
means material that will burn when held in a flame but will cease 
burning when the flame is removed.
    Flammable mixture means a mixture of methane or natural gas and air 
that when ignited will propagate flame. Natural gas containing a high 
percentage of methane is a satisfactory substitute for pure methane in 
most tests.
    Gassy mine means a coal mine classed as ``gassy'' by MESA or by the 
State in which the mine is situated.
    Incendive arc or spark means an arc or spark releasing enough 
electrical or thermal energy to ignite a flammable mixture of the most 
easily ignitable composition.
    Intrinsically safe means incapable of releasing enough electrical or 
thermal energy under normal or abnormal conditions to cause ignition of 
a flammable mixture of methane or natural gas and air of the most easily 
ignitable composition.
    MESA means the United States Department of the Interior, Mining 
Enforcement and Safety Administration. Predecessor organization to MSHA, 
prior to March 9, 1978.
    Mobile equipment means equipment that is self-propelled.
    MSHA means the United States Department of Labor, Mine Safety and 
Health Administration.
    Normal operation means the regular performance of those functions 
for which a machine or accessory was designed.
    Permissible equipment means a completely assembled electrical 
machine or accessory for which a formal approval has been issued, as 
authorized by the Administrator, Mining Enforcement and Safety 
Administration under the Federal Coal Mine Health and Safety Act of 1969 
(Pub. L. 91-173, 30 U.S.C.

[[Page 94]]

801 or, after March 9, 1978, by the Assistant Secretary under the 
Federal Mine Safety and Health Act of 1977 (Pub. L. 91-173, as amended 
by Pub. L. 95-164, 30 U.S.C. 801).
    Permit means a formal document, signed by the Assistant Secretary, 
authorizing the operation of specific experimental equipment in a gassy 
mine or tunnel under prescribed conditions.
    Plane joint means two adjoining surfaces in parallel planes.
    Portable cable, or trailing cable means a flame-resistant, flexible 
cable or cord through which electrical energy is transmitted to a 
permissible machine or accessory. (A portable cable is that portion of 
the power-supply system between the last short-circuit protective 
device, acceptable to MSHA, in the system and the machine or accessory 
to which it transmits electrical energy.)
    Portable equipment means equipment that may be moved frequently and 
is constructed or mounted to facilitate such movement.
    Potted component means a component that is entirely embedded in a 
solidified insulating material within an enclosure.
    Pressure piling means the development of abnormal pressure as a 
result of accelerated rate of burning of a gas-air mixture. (Frequently 
caused by restricted configurations within enclosures.)
    Qualified representative means a person authorized by MSHA to 
determine whether the applicable requirements of this part have been 
complied with in the original manufacture, rebuilding, or repairing of 
equipment for which approval, certification, or a permit is sought.
    Splice box means a portable enclosure in which electrical conductors 
may be joined.
    Step (rabbet) joint means a joint comprised of two adjoining 
surfaces with a change(s) in direction between its inner and outer 
edges. (A step joint may be composed of a cylindrical portion and a 
plane portion or of two or more plane portions.)
    Threaded joint means a joint consisting of a male- and a female-
threaded member, both of which are of the same type and gage.

[33 FR 4660, Mar. 19, 1968, as amended at 39 FR 23999, June 28, 1974; 43 
FR 12314, Mar. 24, 1978; 57 FR 61223, Dec. 23, 1992]



Sec. 18.3  Consultation.

    By appointment, applicants or their representatives may visit 
Approval and Certification Center, Industrial Park Road, Dallas Pike, 
Triadelphia, W. Va. 26059, to discuss a proposed design to be submitted 
for approval, certification, or acceptance for listing. No charge is 
made for such consultation and no written report thereof will be made to 
the applicant.

[33 FR 4660, Mar. 19, 1968, as amended at 43 FR 12314, Mar. 24, 1978]



Sec. 18.4  Electrical equipment for which approval is issued.

    An approval will be issued only for a complete electrical machine or 
accessory. Only components meeting the requirements of subpart B of this 
part or those approved under part 7 of this chapter, unless they contain 
intrinsically safe circuits, shall be included in the assemblies.

[57 FR 61209, Dec. 23, 1992]



Sec. 18.5  Equipment for which certification will be issued.

    Certification will be issued for a component or subassembly suitable 
to incorporate in an approved machine. Certification may be issued for 
such components as explosion-proof enclosures, battery trays, and 
connectors.



Sec. 18.6  Applications.

    (a)(1) Investigation leading to approval, certification, extension 
thereof, or acceptance of hose or conveyor belt, will be undertaken by 
MSHA only pursuant to a written application. The application shall be 
accompanied by all necessary drawings, specifications, descriptions, and 
related materials, as set out in this part. Fees calculated in 
accordance with part 5 of this title shall be submitted in accordance 
with Sec. 5.40.
    (2) Where the applicant for approval has used an independent testing 
laboratory under part 6 of this chapter to perform, in whole or in part, 
the necessary testing and evaluation for approval

[[Page 95]]

under this part, the applicant must provide to MSHA as part of the 
approval application:
    (i) Written evidence of the laboratory's independence and current 
recognition by a laboratory accrediting organization;
    (ii) Complete technical explanation of how the product complies with 
each requirement in the applicable MSHA product approval requirements;
    (iii) Identification of components or features of the product that 
are critical to the safety of the product; and
    (iv) All documentation, including drawings and specifications, as 
submitted to the independent laboratory by the applicant and as required 
by this part.
    (3) An applicant may request testing and evaluation to non-MSHA 
product safety standards which have been determined by MSHA to be 
equivalent, under Sec. 6.20 of this chapter, to MSHA's product approval 
requirements under this part. A listing of all equivalency 
determinations will be published in 30 CFR part 6 and the applicable 
approval parts. The listing will state whether MSHA accepts the non-MSHA 
product safety standards in their original form, or whether MSHA will 
require modifications to demonstrate equivalency. If modifications are 
required, they will be provided in the listing. MSHA will notify the 
public of each equivalency determination and will publish a summary of 
the basis for its determination. MSHA will provide equivalency 
determination reports to the public upon request to the Approval and 
Certification Center. MSHA has made the following equivalency 
determinations applicable to this part 18.
    (i) MSHA will accept applications for explosion-proof enclosures 
under part 18 designed and tested to the International Electrotechnical 
Commission's (IEC) standards for Electrical Apparatus for Explosive Gas 
Atmospheres, Part 0, General Requirements (IEC 60079-0, Fourth Edition, 
2004-01); and Part 1, Electrical Apparatus for Explosive Gas 
Atmospheres, Flameproof Enclosures ``d'' (IEC 60079-1, Fifth Edition, 
2003-11) (which are hereby incorporated by reference and made a part 
hereof) provided the modifications to the IEC standards specified in 
Sec. 18.6(a)(3)(i)(A) through (I) are met. The Director of the Federal 
Register approves this incorporation by reference in accordance with 5 
U.S.C. 552(a) and 1 CFR part 51. The IEC standards may be inspected at 
MSHA's Electrical Safety Division, Approval and Certification Center, 
R.R. 1, Box 251, Industrial Park Road, Triadelphia, West Virginia 26059 
or at the National Archives and Records Administration (NARA). For 
information on the availability of this material at NARA, call 202-741-
6030, or go to: http://www.archives.gov/federal--register/code--of--
federal--regulations/ibr--locations.html. These IEC standards may be 
obtained from International Electrical Commission, Central Office 3, rue 
de Varemb[eacute], P.O. Box 131, CH-1211 GENEVA 20, Switzerland.
    (A) Enclosures shall be made of metal and not have a compartment 
exceeding ten (10) feet in length. Glass or polycarbonate materials 
shall be the only materials utilized in the construction of windows and 
lenses. External surfaces of enclosures shall not exceed 150 [deg]C (302 
[deg]F) and internal surface temperatures of enclosures with 
polycarbonate windows and lenses shall not exceed 115 [deg]C (240 
[deg]F), in normal operation. Other non-metallic materials for 
enclosures or parts of enclosures will be evaluated, on a case-by-case 
basis, under the new technology provisions in Sec. 18.20(b) of this 
part.
    (B) Enclosures shall be rugged in construction and should meet 
existing requirements for minimum bolt size and spacing and for minimum 
wall, cover, and flange thicknesses specified in paragraph (g)(19) of 
Sec. 7.304 Technical requirements. Enclosure fasteners should be 
uniform in size and length, be provided at all corners, and be secured 
from loosening by lockwashers or equivalent. An engineering analysis 
shall be provided for enclosure designs that deviate from the existing 
requirements. The analysis shall show that the proposed enclosure design 
meets or exceeds the mechanical strength of a comparable enclosure 
designed to 150 psig according to existing requirements, and that 
flamepath clearances in excess of existing requirements will not be 
produced at an internal pressure

[[Page 96]]

of 150 psig. This shall be verified by explosion testing the enclosure 
at a minimum of 150 psig.
    (C) Enclosures shall be designed to withstand a minimum pressure of 
at least 150 psig without leakage through any welds or castings, rupture 
of any part that affects explosion-proof integrity, clearances exceeding 
those permitted under existing requirements along flame-arresting paths, 
or permanent distortion exceeding 0.040-inch per linear foot.
    (D) Flamepath clearances, including clearances between fasteners and 
the holes through which they pass, shall not exceed those specified in 
existing requirements. No intentional gaps in flamepaths are permitted.
    (E) The minimum lengths of the flame arresting paths, based on 
enclosure volume, shall conform to those specified in existing 
requirements to the nearest metric equivalent value (e.g., 12.5 mm, 19 
mm, and 25 mm are considered equivalent to \1/2\ inch, \3/4\ inch and 1 
inch respectively for plane and cylindrical joints). The widths of any 
grooves for o-rings shall be deducted in measuring the widths of flame-
arresting paths.
    (F) Gaskets shall not be used to form any part of a flame-arresting 
path. If o-rings are installed within a flamepath, the location of the 
o-rings shall meet existing requirements.
    (G) Cable entries into enclosures shall be of a type that utilizes 
either flame-resistant rope packing material or sealing rings 
(grommets). If plugs and mating receptacles are mounted to an enclosure 
wall, they shall be of explosion-proof construction. Insulated bushings 
or studs shall not be installed in the outside walls of enclosures. Lead 
entrances utilizing sealing compounds and flexible or rigid metallic 
conduit are not permitted.
    (H) Unused lead entrances shall be closed with a metal plug that is 
secured by spot welding, brazing, or equivalent.
    (I) Special explosion tests are required for explosion-proof 
enclosures that share leads (electric conductors) through a common wall 
with another explosion-proof enclosure. These tests are required to 
determine the presence of pressure piling conditions in either enclosure 
when one or more of the insulating barriers, sectionalizing terminals, 
or other isolating parts are sequentially removed from the common wall 
between the enclosures. Enclosures that exhibit pressures during these 
tests that exceed those specified in existing requirements must be 
provided with a warning tag. The durable warning tag must indicate that 
the insulating barriers, sectionalizing terminals, or other isolating 
parts be maintained in order to insure the explosion-proof integrity for 
either enclosure sharing a common wall. A warning tag is not required if 
the enclosures withstand a static pressure of twice the maximum value 
observed in the explosion tests.
    (ii) [Reserved]
    (4) The application, all related documents, and all correspondence 
concerning it shall be addressed to the Approval and Certification 
Center, Rural Route 1, Box 251, Industrial Park Road, 
Triadelphia, WV 26059.
    (b) [Reserved]
    (c) Applications for acceptance of a conveyor belt as fire resistant 
shall include the following information: Trade name of the conveyor 
belt, thickness of covers, friction and skim coats, number of plies, 
type and weight of ply material, and designation of breaker strip or 
floated ply. The applicant shall provide other description or 
specifications as may be subsequently required.
    (d) Applications for acceptance of hose as flame resistant shall 
include the following information: Trade name of hose, identification of 
materials used, including compound numbers, thickness of cover, 
thickness of tube, and number and weight of plies. The applicant shall 
provide other description or specifications as may be subsequently 
required.
    (e) Drawings, drawing lists, specifications, wiring diagram, and 
descriptions shall be adequate in number and detail to identify fully 
the complete assembly, component parts, and subassemblies. Drawings 
shall be titled, numbered, dated and shall show the latest revision. 
Each drawing shall include a warning statement that changes in design 
must be authorized by MSHA before they are applied to approved

[[Page 97]]

equipment. When intrinsically safe circuits are incorporated in a 
machine or accessory, the wiring diagram shall include a warning 
statement that any change(s) in the intrinsically safe circuitry or 
components may result in an unsafe condition. The specifications shall 
include an assembly drawing(s) (see Figure 1 in Appendix II) showing the 
overall dimensions of the machine and the identity of each component 
part which may be listed thereon or separately, as in a bill of material 
(see Figure 2 in Appendix II). MSHA may accept photographs (minimum size 
8 x 10\1/2\) in lieu of assembly drawing(s). 
Purchased parts shall be identified by the manufacturer's name, catalog 
number(s), and rating(s). In the case of standard hardware and 
miscellaneous parts, such as insulating pieces, size and kind of 
material shall be specified. All drawings of component parts submitted 
to MSHA shall be identical to those used in the manufacture of the 
parts. Dimensions of parts designed to prevent the passage of flame 
shall specify allowable tolerances. A notation ``Do Not Drill Through'' 
or equivalent should appear on drawings with the specifications for all 
``blind'' holes.
    (f) MSHA reserves the right to require the applicant to furnish 
supplementary drawings showing sections through complex flame-arresting 
paths, such as labyrinths used in conjunction with ball or roller 
bearings, and also drawings containing dimensions not indicated on other 
drawings submitted to MSHA.
    (g) The applicant may ship his equipment to MSHA for investigation 
at the time of filing his application and payment of the required fees. 
Shipping charges shall be prepaid by the applicant.
    (h) For a complete investigation leading to approval or 
certification the applicant shall furnish MSHA with the components 
necessary for inspection and testing. Expendable components shall be 
supplied by the applicant to permit continuous operation of the 
equipment while being tested. If special tools are necessary to assemble 
or disassemble any component for inspection or test, the applicant shall 
furnish them with the equipment to be tested.
    (i) For investigation of a hose or conveyor belt, the applicant 
shall furnish samples as follows:

Hose--a sample having a minimum length of 2 feet;
Conveyor belt--a sample of each type 8 inches long cut across the entire 
width of the belt.

    (j) The applicant shall submit a sample caution statement (see 
Figure 3 in Appendix II) specifying the conditions for maintaining 
permissibility of the equipment.
    (k) The applicant shall submit a factory-inspection form (see Figure 
4 in Appendix II) used to maintain quality control at the place of 
manufacture or assembly to insure that component parts are made and 
assembled in strict accordance with the drawings and specifications 
covering a design submitted to MSHA for approval or certification.
    (l) MSHA will accept an application for an approval, a letter of 
certification, or an acceptance for listing of a product that is 
manufactured in a country other than the United States provided: (1) All 
correspondence, specifications, lettering on drawings (metric-system 
dimensions acceptable), instructions, and related information are in 
English; and (2) all other requirements of this part are met the same as 
for a domestic applicant.

[33 FR 4660, Mar. 19, 1968, as amended at 43 FR 12314, Mar. 24, 1978; 47 
FR 14696, Apr. 6, 1982; 57 FR 61223, Dec. 23, 1992; 60 FR 33723, June 
29, 1995; 60 FR 35693, July 11, 1995; 68 FR 36419, June 17, 2003; 70 FR 
46343, Aug. 9, 2005; 71 FR 28584, May 17, 2006]



Sec. 18.7  [Reserved]



Sec. 18.8  Date for conducting investigation and tests.

    The date of receipt of an application will determine the order of 
precedence for investigation and testing. If an electrical machine 
component or accessory fails to meet any of the requirements, it shall 
lose its order of precedence. If an application is submitted to resume 
investigation and testing after correction of the cause of failure, it 
will be treated as a new application and the order of precedence for 
investigation and testing will be so determined.

[[Page 98]]



Sec. 18.9  Conduct of investigations and tests.

    (a) Prior to the issuance of an approval, certification, or 
acceptance of a hose or conveyor belt, only MSHA personnel, 
representative(s) of the applicant, and such other person(s) as may be 
mutually agreed upon may observe any part of the investigation or tests. 
The MSHA will hold as confidential and will not disclose principles or 
patentable features; nor will it disclose to persons other than the 
applicant the results of tests, chemical analysis of materials or any 
details of the applicant's drawings, specifications, instructions, and 
related material.
    (b) Unless notified to the contrary by MSHA, the applicant shall 
provide assistance in disassembling parts for inspection, preparing 
parts for testing, and preparing equipment for return shipment. 
Explosion-proof enclosures shall be drilled and tapped for pipe 
connections in accordance with instructions supplied by MSHA.
    (c) MSHA reserves the right to inspect a complete machine, component 
part, or accessory at a place other than the Bureau's premises, such as 
the assembly plant or other location acceptable to MSHA, at the 
applicant's expense.
    (d) Applicants shall be responsible for their representatives 
present during tests and for observers admitted at their request and 
shall save the Government harmless in the event of damage to applicant's 
property or injury to applicant's representatives or to observers 
admitted at their request.

[33 FR 4660, Mar. 19, 1968; 33 FR 6345, Apr. 26, 1968, as amended at 57 
FR 61223, Dec. 23, 1992]



Sec. 18.10  Notice of approval or disapproval.

    (a) Upon completing investigation of a complete assembly of an 
electrical machine or accessory, MSHA will issue to the applicant either 
a written notice of approval or a written notice of disapproval, as the 
case may require. No informal notification of approval will be issued. 
If a notice of disapproval is issued, it will be accompanied by details 
of the defects, with recommendations for possible correction. MSHA will 
not disclose, except to the applicant, any information upon which a 
notice of disapproval has been issued.
    (b) A formal notice of approval will be accompanied by a list of 
drawings, specifications, and related material, covering the details of 
design and construction of the equipment upon which the approval is 
based. Applicants shall keep exact duplicates of the drawings, 
specifications, and descriptions that relate to equipment for which an 
approval has been issued, and the drawings and specifications shall be 
adhered to exactly in production of the approved equipment.
    (c) An applicant shall not advertise or otherwise represent his 
equipment as approved (permissible) until he has received MSHA's formal 
notice of approval.



Sec. 18.11  Approval plate.

    (a)(1) The notice of approval will be accompanied by a photograph of 
an approval plate, bearing the emblem of Mine Safety and Health 
Administration, the name of the complete assembly, the name of the 
applicant, and spaces for the approval number, serial number, and the 
type or model of machine.
    (2) An extension of approval will not affect the original approval 
number except that the extension number shall be added to the original 
approval number on the approval plate. (Example: Original approval No. 
2G-3000; seventh extension No. 2G-3000-7.)
    (b) The applicant shall reproduce the design on a separate plate, 
which shall be attached in a suitable place, on each complete assembly 
to which it relates. The size, type, location, and method of attaching 
an approval plate are subject to MSHA's concurrence. The method for 
affixing the approval plate shall not impair any explosion-proof feature 
of the equipment.
    (c) The approval plate identifies as permissible the machine or 
accessory to which it is attached, and use of the approval plate 
obligates the applicant to whom the approval was issued to maintain in 
his plant the quality of each complete assembly and guarantees that the 
equipment is manufactured and assembled according to the

[[Page 99]]

drawings, specifications, and descriptions upon which the approval and 
subsequent extension(s) of approval were based.
    (d) A completely assembled approved machine with an integral dust 
collector shall bear an approval plate indicating that the requirements 
of part 33 of this chapter (Bureau of Mines Schedule 25B), have been 
complied with. Approval numbers will be assigned under each part of such 
joint approvals.

[33 FR 4660, Mar. 19, 1968, as amended at 43 FR 12314, Mar. 24, 1978]



Sec. 18.12  Letter of certification.

    (a) A letter of certification may be issued by MSHA for a component 
intended for incorporation in a complete machine or accessory for which 
an approval may be subsequently issued. A letter of certification will 
be issued to an applicant when a component has met all the applicable 
requirements of this part. Included in the letter of certification will 
be an assigned MSHA certification number that will identify the 
certified component.
    (b) A letter of certification will be accompanied by a list of 
drawings, specifications, and related material covering the details of 
design and construction of a component upon which the letter of 
certification is based. Applicants shall keep exact duplicates of the 
drawings, specifications, and descriptions that relate to the component 
for which a letter of certification has been issued; and the drawings 
and specifications shall be adhered to exactly in production of the 
certified component.
    (c) A component shall not be represented as certified until the 
applicant has received MSHA's letter of certification for the component. 
Certified components are not to be represented as ``approved'' or 
``permissible'' because such terms apply only to completely assembled 
machines or accessories.



Sec. 18.13  Certification plate.

    Each certified component shall be identified by a certification 
plate attached to the component in a manner acceptable to MSHA. The 
method of attachment shall not impair any explosion-proof 
characteristics of the component. The plate shall be of serviceable 
material, acceptable, to MSHA, and shall contain the following:

Certified as complying with the applicable requirements of 30 CFR part 
--------.
Certification No.--------.


The blank spaces shall be filled with appropriate designations. 
Inclusion of the information on a company name plate will be permitted 
provided the plate is made of material acceptable to MSHA.



Sec. 18.14  Identification of tested noncertified explosion-proof enclosures.

    An enclosure that meets all applicable requirements of this part, 
but has not been certified by MSHA, shall be identified by a permanent 
marking on it in a conspicuous location. The design of such marking 
shall consist of capital letters USMSHA not less than \1/4\ inch in 
height, enclosed in a circle not less than 1 inch in diameter.

[33 FR 4660, Mar. 19, 1968, as amended at 43 FR 12314, Mar. 24, 1978] st



Sec. 18.15  Changes after approval or certification.

    If an applicant desires to change any feature of approved equipment 
or a certified component, he shall first obtain MSHA's concurrence 
pursuant to the following procedure:
    (a)(1) Application shall be made as for an original approval or 
letter of certification requesting that the existing approval or 
certification be extended to cover the proposed changes and shall be 
accompanied by drawings, specifications, and related information, 
showing the changes in detail.
    (2) Where the applicant for approval has used an independent 
laboratory under part 6 of this chapter to perform, in whole or in part, 
the necessary testing and evaluation for approval of changes to an 
approved or certified product under this part, the applicant must 
provide to MSHA as part of the approval application:
    (i) Written evidence of the laboratory's independence and current 
recognition by a laboratory accrediting organization;
    (ii) Complete technical explanation of how the product complies with 
each

[[Page 100]]

requirement in the applicable MSHA product approval requirements;
    (iii) Identification of components or features of the product that 
are critical to the safety of the product; and
    (iv) All documentation, including drawings and specifications, as 
submitted to the independent laboratory by the applicant and as required 
by this part.
    (b) The application will be examined by MSHA to determine whether 
inspection or testing will be required. Testing will be required if 
there is a possibility that the change(s) may adversely affect safety.
    (c) If the change(s) meets the requirements of this part, a formal 
extension of approval or certification will be issued, accompanied by a 
list of new or revised drawings, specifications, and related information 
to be added to those already on file for the original approval or 
certification.
    (d) Revisions in drawings or specifications that do not involve 
actual change in the explosion-proof features of equipment may be 
handled informally.

[43 FR 12313, Mar. 24, 1978, as amended at 52 FR 17514, May 8, 1987; 68 
FR 36419, June 17, 2003]



Sec. 18.16  Withdrawal of approval, certification, or acceptance.

    MSHA reserves the right to rescind, for cause, any approval, 
certification, acceptance, or extension thereof, issued under this part.



             Subpart B_Construction and Design Requirements



Sec. 18.20  Quality of material, workmanship, and design.

    (a) Electrically operated equipment intended for use in coal mines 
shall be rugged in construction and shall be designed to facilitate 
inspection and maintenance.
    (b) MSHA will test only electrical equipment that in the opinion of 
its qualified representatives is constructed of suitable materials, is 
of good quality workmanship, based on sound engineering principles, and 
is safe for its intended use. Since all possible designs, circuits, 
arrangements, or combinations of components and materials cannot be 
foreseen, MSHA reserves the right to modify design, construction, and 
test requirements to obtain the same degree of protection as provided by 
the tests described in Subpart C of this part.
    (c) Moving parts, such as rotating saws, gears, and chain drives, 
shall be guarded to prevent personal injury.
    (d) Flange joints and lead entrances shall be accessible for field 
inspection, where practicable.
    (e) An audible warning device shall be provided on each mobile 
machine that travels at a speed greater than 2.5 miles per hour.
    (f) Brakes shall be provided for each wheel-mounted machine, unless 
design of the driving mechanism will preclude accidental movement of the 
machine when parked.
    (g) A headlight and red light-reflecting material shall be provided 
on both front and rear of each mobile transportation unit that travels 
at a speed greater than 2.5 miles per hour. Red light-reflecting 
material should be provided on each end of other mobile machines.



Sec. 18.21  Machines equipped with powered dust collectors.

    Powered dust collectors on machines submitted for approval shall 
meet the applicable requirements of Part 33 of this chapter (Bureau of 
Mines Schedule 25B), and shall bear the approval number assigned by 
MSHA.



Sec. 18.22  Boring-type machines equipped for auxiliary face ventilation.

    Each boring-type continuous-mining machine that is submitted for 
approval shall be constructed with an unobstructed continuous space(s) 
of not less than 200 square inches total cross-sectional area on or 
within the machine to which flexible tubing may be attached to 
facilitate auxiliary face ventilation.



Sec. 18.23  Limitation of external surface temperatures.

    The temperature of the external surfaces of mechanical or electrical 
components shall not exceed 150 [deg]C. (302 [deg]F.) under normal 
operating conditions.

[[Page 101]]



Sec. 18.24  Electrical clearances.

    Minimum clearances between uninsulated electrical conductor 
surfaces, or between uninsulated conductor surfaces and grounded metal 
surfaces, within the enclosure shall be as follows:

             Minimum Clearances Between Uninsulated Surfaces
------------------------------------------------------------------------
                                                    Clearances (inches)
                                                 -----------------------
                                                               Phase-to-
          Phase-to-Phase Voltage (rms)             Phase-to-   Ground or
                                                     Phase      Control
                                                                Circuit
------------------------------------------------------------------------
0 to 250........................................        0.25        0.25
251 to 600......................................        0.28        0.25
601 to 1000.....................................        0.61        0.25
1001 to 2400....................................        1.4         0.6
2401 to 4160....................................        3.0         1.4
------------------------------------------------------------------------


[57 FR 61209, Dec. 23, 1992]



Sec. 18.25  Combustible gases from insulating material.

    (a) Insulating materials that give off flammable or explosive gases 
when decomposed electrically shall not be used within enclosures where 
the materials are subjected to destructive electrical action.
    (b) Parts coated or impregnated with insulating materials shall be 
heat-treated to remove any combustible solvent(s) before assembly in an 
explosion-proof enclosure. Air-drying insulating materials are excepted.



Sec. 18.26  Static electricity.

    Nonmetallic rotating parts, such as belts and fans, shall be 
provided with a means to prevent an accumulation of static electricity.



Sec. 18.27  Gaskets.

    A gasket(s) shall not be used between any two surfaces forming a 
flame-arresting path except as follows:
    (a) A gasket of lead, elastomer, or equivalent will be acceptable 
provided the gasket does not interfere with an acceptable metal-to-metal 
joint.
    (b) A lead gasket(s) or equivalent will be acceptable between glass 
and a hard metal to form all or a part of a flame-arresting path.



Sec. 18.28  Devices for pressure relief, ventilation, or drainage.

    (a) Devices for installation on explosion-proof enclosures to 
relieve pressure, ventilate, or drain will be acceptable provided the 
length of the flame-arresting path and the clearances or size of holes 
in perforated metal will prevent discharge of flame in explosion tests.
    (b) Devices for pressure relief, ventilation, or drainage shall be 
constructed of materials that resist corrosion and distortion, and be so 
designed that they can be cleaned readily. Provision shall be made for 
secure attachment of such devices.
    (c) Devices for pressure relief, ventilation, or drainage will be 
acceptable for application only on enclosures with which they are 
explosion tested.



Sec. 18.29  Access openings and covers, including unused lead-entrance holes.

    (a) Access openings in explosion-proof enclosures will be permitted 
only where necessary for maintenance of internal parts such as motor 
brushes and fuses.
    (b) Covers for access openings shall meet the same requirements as 
any other part of an enclosure except that threaded covers shall be 
secured against loosening, preferably with screws having heads requiring 
a special tool. (See Figure 1 in Appendix II.)
    (c) Holes in enclosures that are provided for lead entrances but 
which are not in use shall be closed with metal plugs secured by spot 
welding, brazing, or equivalent. (See Figure 10 in Appendix II.)



Sec. 18.30  Windows and lenses.

    (a) MSHA may waive testing of materials for windows or lenses except 
headlight lenses. When tested, material for windows or lenses shall meet 
the test requirements prescribed in Sec. 18.66 and shall be sealed in 
place or provided with flange joints in accordance with Sec. 18.31.
    (b) Windows or lenses shall be protected from mechanical damage by 
structural design, location, or guarding. Windows or lenses, other than 
headlight lenses, having an exposed area greater than 8 square inches, 
shall

[[Page 102]]

be provided with guarding or equivalent.



Sec. 18.31  Enclosures--joints and fastenings.

    (a) Explosion-proof enclosures:
    (1) Cast or welded enclosures shall be designed to withstand a 
minimum internal pressure of 150 pounds per square inch (gage). Castings 
shall be free from blowholes.
    (2) Welded joints forming an enclosure shall have continuous gas-
tight welds. All welds shall be made in accordance with American Welding 
Society standards.
    (3) External rotating parts shall not be constructed of aluminum 
alloys containing more than 0.6 percent magnesium.
    (4) MSHA reserves the right to require the applicant to conduct 
static-pressure tests on each enclosure when MSHA determines that the 
particular design will not permit complete visual inspection or when the 
joint(s) forming an enclosure is welded on one side only (see Sec. 
18.67).
    (5) Threaded covers and mating parts shall be designed with Class 1A 
and 1B (coarse, loose-fitting) threads. The flame-arresting path of 
threaded joints shall conform to the requirements of paragraph (a)(6) of 
this section.
    (6) Enclosure requirements shall be based on the internal volumes of 
the empty enclosure. The internal volume is the volume remaining after 
deducting the volume of any part that is essential in maintaining the 
explosion-proof integrity of the enclosure or necessary for the 
operation. Essential parts include the parts that constitute the flame-
arresting path and those necessary to secure parts that constitute a 
flame-arresting path. Enclosures shall meet the following requirements:

                                  Explosion-Proof Requirements Based on Volume
----------------------------------------------------------------------------------------------------------------
                                                                             Volume of empty enclosure
                                                                 -----------------------------------------------
                                                                   Less than 45    45 to 124 cu.   More than 124
                                                                      cu. in.      in. inclusive      cu. in.
----------------------------------------------------------------------------------------------------------------
Minimum thickness of material for walls \1\.....................   \1/8\             eq>             eq>
Minimum thickness of material for flanges and covers............   \2\ \1/4\         thn-eq>         thn-eq>
Minimum width of joint; all in one plane \4\....................   \1/2\
                                                                             eq>             eq>
Maximum clearance; joint all in one plane.......................  0.002             eq>             eq>
Maximum clearances; joint in two or more planes, cylinders or
 equivalent:
    (a) Portion perpendicular to plane \6\......................  0.008             eq>             eq>
Minimum thread engagement \10\..................................   \1/4\             eq>             eq>
Maximum diametrical clearance between bolt body and unthreaded    \1/64\             eq>             eq>
Minimum distance from interior of enclosure to the edge of a
 bolt hole: \8,13\
    Joint--minimum width 1...........................  ..............  ..............  \14\ \7/16\
    Joint--less than 1 wide..........................   \1/8\             eq>
----------------------------------------------------------------------------------------------------------------
                                                Cylindrical joints
----------------------------------------------------------------------------------------------------------------
 Shaft centered by ball or roller bearings:
    Minimum length of flame-arresting path......................   \1/2\
                                                                             eq>             eq>
    Maximum diametrical clearance...............................  0.020
                                                                             eq>             eq>
    Maximum diametrical clearance...............................  0.006 (\1/4\ minimum) will be acceptable provided the diametrical
  clearance for fastening bolts does not exceed \1/32\.
\15\ Shafts or operating rods through journal bearings shall be at least \1/4\ in diameter. The
  length of fit shall not be reduced when a push button is depressed. Operating rods shall have a shoulder or
  head on the portion inside the enclosure. Essential parts riveted or bolted to the inside portion are
  acceptable in lieu of a head or shoulder, but cotter pins and similar devices shall not be used.
\16\ 6 with a minimum of 4 bolts.

    (7) O-rings, if used in a flame-arresting path, shall meet the 
following:
    (i) When the flame-arresting path is in one plane, the o-ring shall 
be located at least one-half the acceptable flame-arresting path length 
specified in paragraph (a)(6) of this section within the outside edge of 
the path (see figure J-2 in the appendix to subpart J of part 7 of this 
chapter).
    (ii) When the flame-arresting path is one of the plane-cylindrical 
type (step joint), the o-ring shall be located at least \1/2\ inch 
within the outer edge of the plane portion (see figure J-3 in the 
appendix to subpart J of part 7 of this chapter), or at the junction of 
the plane and cylindrical portion of the joint (see figure J-4 in the 
appendix to subpart J of part 7 of this chapter); or in the cylindrical 
portion (see figure J-5 in the appendix to subpart J of part 7 of this 
chapter).
    (8) Mating parts comprising a pressed fit shall result in a minimum 
interference of 0.001 inch between the parts. The minimum length of the 
pressed fit shall be equal to the minimum thickness requirement of 
paragraph (a)(6) of this section for the material in which the fit is 
made.
    (b) Enclosures for potted components: Enclosures shall be rugged and 
constructed with materials having 75 percent, or greater, of the 
thickness and flange width specified in paragraph (a) of this section. 
These enclosures shall be provided with means for attaching hose 
conduit, unless energy carried by the cable is intrinsically safe.
    (c) No assembly will be approved that requires the opening of an 
explosion-proof enclosure to operate a switch, rheostat, or other device 
during normal operation of a machine.

[33 FR 4660, Mar. 19, 1968, as amended at 57 FR 61209, Dec. 23, 1992]



Sec. 18.32  Fastenings--additional requirements.

    (a) Bolts, screws, or studs shall be used for fastening adjoining 
parts to prevent the escape of flame from an enclosure. Hinge pins or 
clamps will be acceptable for this purpose provided MSHA determines them 
to be equally effective.
    (b) Lockwashers shall be provided for all bolts, screws, and studs 
that secure parts of explosion-proof enclosures. Special fastenings 
designed to prevent loosening will be acceptable in lieu of lockwashers, 
provided MSHA determines them to be equally effective.
    (c) Fastenings shall be as uniform in size as practicable to 
preclude improper assembly.
    (d) Holes for fastenings shall not penetrate to the interior of an 
explosion-proof enclosure, except as provided in paragraph (a)(9) of 
Sec. 18.34, and shall be threaded to insure that a specified bolt or 
screw will not bottom even if its lockwasher is omitted.
    (e) A minimum of \1/8\-inch of stock shall be left at the center of 
the bottom of each hole drilled for fastenings.
    (f) Fastenings used for joints on explosion-proof enclosures shall 
not be used for attaching nonessential parts or for making electrical 
connections.
    (g) The acceptable sizes for and spacings of fastenings shall be 
determined by the size of the enclosure, as indicated in Sec. 18.31.

[[Page 104]]

    (h) MSHA reserves the right to conduct explosion tests with standard 
bolts, nuts, cap screws, or studs substituted for any special high-
tensile strength fastening(s) specified by the applicant.
    (i) Coil-thread inserts, if used in holes for fastenings, shall meet 
the following:
    (1) The inserts shall have internal screw threads.
    (2) The holes for the inserts shall be drilled and tapped consistent 
with the insert manufacturer's specifications.
    (3) The inserts shall be installed consistent with the insert 
manufacturer's specifications.
    (4) The insert shall be of sufficient length to ensure the minimum 
thread engagement of fastening specified in Sec. 18.31(a)(6) of this 
part.

[33 FR 4660, Mar. 19, 1968, as amended at 57 FR 61210, Dec. 23, 1992]



Sec. 18.33  Finish of surface joints.

    Flat surfaces between bolt holes that form any part of a flame-
arresting path shall be plane to within a maximum deviation of one-half 
the maximum clearance specified in Sec. 18.31(a)(6). All metal surfaces 
forming a flame-arresting path shall be finished during the 
manufacturing process to not more than 250 microinches. A thin film of 
nonhardening preparation to inhibit rusting may be applied to these 
finished metal surfaces as long as the final surface can be readily 
wiped free of any foreign materials.

[57 FR 61210, Dec. 23, 1992]



Sec. 18.34  Motors.

    Explosion-proof electric motor assemblies intended for use in 
approved equipment in underground mines that are specifically addressed 
in part 7 of this chapter shall be approved under part 7 of this chapter 
after February 22, 1996. Those motor assemblies not specifically 
addressed under part 7 of this chapter shall be accepted or certified 
under this part.
    (a) General. (1) Motors shall have explosion-proof enclosures.
    (2) Motors submitted to MSHA for test shall be equipped with 
unshielded bearings regardless of whether that type of bearing is 
specified.
    (3) MSHA reserves the right to test motors with the maximum 
clearance specified between the shaft and the mating part which forms 
the required flame-arresting path. Also reserved is the right to 
remachine these parts, at the applicant's expense, to specified 
dimensions to provide the maximum clearance.
    Note: For example, a shaft with a diameter greater than 2 inches at 
the flame-arresting portion might require such machining.
    (4) Ball and roller bearings and oil seals will not be acceptable as 
flame-arresting paths; therefore, a separate path shall be provided 
between the shaft and another part, preferably inby the bearing. The 
length and clearances of such flame-arresting path shall conform to the 
requirements of Sec. 18.31.
    (5) Labyrinths or other arrangements that provide change(s) in 
direction of escaping gases will be acceptable but the use of small 
detachable pieces shall not be permitted unless structurally 
unavoidable. The lengths of flame-arresting path(s) and clearance(s) 
shall conform to the requirements of Sec. 18.31.
    (6) Oil seals shall be removed from motors prior to submission for 
explosion tests.
    Note: Oil seals will be removed from motors prior to explosion tests 
and therefore may be omitted from motors submitted for investigation.
    (7) Openings for filling and draining bearing lubricants shall be so 
located as to prevent escape of flame through them.
    (8) An outer bearing cap will not be considered as forming any part 
of a flame-arresting path unless the cap is used as a bearing cartridge.
    Note: The outer bearing cap will be omitted during explosion tests 
unless it houses the bearing.
    (9) If unavoidable, holes may be made through motor casings for 
bolts, studs, or screws to hold essential parts such as pole pieces, 
brush rigging, and bearing cartridges. Such parts shall be attached to 
the casing by at least two fastenings. The threaded holes in these parts 
shall be blind, unless the fastenings are inserted from the inside, in 
which case the fastenings shall not be accessible with the armature of 
the motor in place.
    (b) Direct-current motors. For direct-current motors with narrow 
interpoles,

[[Page 105]]

the distance from the edge of the pole piece to any bolt hole in the 
frame shall be not less than \1/8\ inch. If the distance is \1/8\ to \1/
4\ inch, the diametrical clearance for the pole bolt shall not exceed 
\1/64\ inch for not less than \1/2\ inch through the frame. Furthermore, 
the pole piece shall have the same radius as the inner surface of the 
frame. Pole pieces may be shimmed as necessary.
    (c) Alternating-current motors. Stator laminations that form a part 
of an explosion-proof enclosure will be acceptable provided: (1) The 
laminations and their end rings are fastened together under pressure; 
(2) the joint between the end rings and the laminations is not less than 
\1/4\ inch, but preferably as close to 1 inch as possible; and (3) it 
shall be impossible to insert a 0.0015-inch thickness gage to a depth 
exceeding \1/8\ inch between adjacent laminations or between end rings 
and laminations.
    (d) Small motors (alternating- and direct-current). Motors having 
internal free volume not exceeding 350 cubic inches and joints not 
exceeding 32 inches in outer circumference will be acceptable for 
investigation if provided with rabbet joints between the stator frame 
and the end bracket having the following dimensions:

                   Dimensions of Rabbet Joints--Inches
------------------------------------------------------------------------
                                                                 Max.
                                      Min. width     Max.    diametrical
         Minimum total width          of clamped  clearance   clearance
                                        radial    of radial    at axial
                                        portion    portion     portion
------------------------------------------------------------------------
\3/8\...............................      \3/64\     0.0015        0.003
\1/2\...............................      \3/64\       .002         .003
\1/2\...............................      \3/32\       .002         .004
------------------------------------------------------------------------


[33 FR 4660, Mar. 19, 1968, as amended at 57 FR 61210, Dec. 23, 1992]



Sec. 18.35  Portable (trailing) cables and cords.

    (a) Portable cables and cords used to conduct electrical energy to 
face equipment shall conform to the following:
    (1) Have each conductor of a current-carrying capacity consistent 
with the Insulated Power Cable Engineers Association (IPCEA) standards. 
(See Tables 1 and 2 in Appendix I.)
    (2) Have current-carrying conductors not smaller than No. 14 (AWG). 
Cords with sizes 14 to 10 (AWG) conductors shall be constructed with 
heavy jackets, the diameters of which are given in Table 6 in Appendix 
I.
    (3) Be accepted as flame resistant under this part or approved under 
subpart K of part 7 of this chapter.
    (4) Have short-circuit protection at the outby (circuit-connecting) 
end of ungrounded conductors. (See Table 8 in Appendix I.) The fuse 
rating or trip setting shall be included in the assembler's 
specifications.
    (5) Ordinarily the length of a portable (trailing) cable shall not 
exceed 500 feet. Where the method of mining requires the length of a 
portable (trailing) cable to be more than 500 feet, such length of cable 
shall be permitted only under the following prescribed conditions:
    (i) The lengths of portable (trailing) cables shall not exceed those 
specified in Table 9, Appendix I, titled ``Specifications for Portable 
Cables Longer Than 500 Feet.''
    (ii) Short-circuit protection shall be provided by a protective 
device with an instantaneous trip setting as near as practicable to the 
maximum starting-current-inrush value, but the setting shall not exceed 
the trip value specified in MSHA approval for the equipment for which 
the portable (trailing) cable furnishes electric power.
    (6) Have nominal outside dimensions consistent with IPCEA standards. 
(See Tables 4, 5, 6, and 7 in Appendix I.)
    (7) Have conductors of No. 4 (AWG) minimum for direct-current mobile 
haulage units or No. 6 (AWG) minimum for alternating-current mobile 
haulage units.
    (8) Have not more than five well-made temporary splices in a single 
length of portable cable.
    (b) Sectionalized portable cables will be acceptable provided the 
connectors used inby the last open crosscut in a gassy mine meet the 
requirements of Sec. 18.41.
    (c) A portable cable having conductors smaller than No. 6 (AWG), 
when used with a trolley tap and a rail clamp, shall have well insulated 
single conductors not smaller than No. 6 (AWG) spliced to the outby end 
of each conductor. All splices shall be made in a workmanlike manner to 
insure good electrical conductivity, insulation, and mechanical 
strength.

[[Page 106]]

    (d) Suitable provisions shall be made to facilitate disconnection of 
portable cable quickly and conveniently for replacement.

[33 FR 4660, Mar. 19, 1968; 33 FR 6343, Apr. 26, 1968, as amended at 57 
FR 61223, Dec. 23, 1992]



Sec. 18.36  Cables between machine components.

    (a) Cables between machine components shall have: (1) Adequate 
current-carrying capacity for the loads involved, (2) short-circuit 
protection, (3) insulation compatible with the impressed voltage, and 
(4) flame-resistant properties unless totally enclosed within a flame-
resistant hose conduit or other flame-resistant material.
    (b) Cables between machine components shall be: (1) Clamped in place 
to prevent undue movement, (2) protected from mechanical damage by 
position, flame-resistant hose conduit, metal tubing, or troughs 
(flexible or threaded rigid metal conduit will not be acceptable), (3) 
isolated from hydraulic lines, and (4) protected from abrasion by 
removing all sharp edges which they might contact.
    (c) Cables (cords) for remote-control circuits extending from 
permissible equipment will be exempted from the requirements of conduit 
enclosure provided the total electrical energy carried is intrinsically 
safe or that the cables are constructed with heavy jackets, the sizes of 
which are stated in Table 6 of Appendix I. Cables (cords) provided with 
hose-conduit protection shall have a tensile strength not less than No. 
16 (AWG) three-conductor, type SO cord. (Reference: 7.7.7 IPCEA Pub. No. 
S-19-81, Fourth Edition.) Cables (cords) constructed with heavy jackets 
shall consist of conductors not smaller than No. 14 (AWG) regardless of 
the number of conductors.



Sec. 18.37  Lead entrances.

    (a) Insulated cable(s), which must extend through an outside wall of 
an explosion-proof enclosure, shall pass through a stuffing-box lead 
entrance. All sharp edges that might damage insulation shall be removed 
from stuffing boxes and packing nuts.
    (b) Stuffing boxes shall be so designed, and the amount of packing 
used shall be such, that with the packing properly compressed, the gland 
nut still has a clearance distance of \1/8\ inch or more to travel 
without meeting interference by parts other than packing. In addition, 
the gland nut shall have a minimum of three effective threads engaged. 
(See figures 8, 9 and 10 in appendix II.)
    (c) Packing nuts and stuffing boxes shall be secured against 
loosening.
    (d) Compressed packing material shall be in contact with the cable 
jacket for a length of not less than \1/2\ inch.
    (e) Special requirements for glands in which asbestos-packing 
material is specified are:
    (1) Asbestos-packing material shall be untreated, not less than \3/
16\-inch diameter if round, or not less than \3/16\ by \3/16\ inch if 
square. The width of the space for packing material shall not exceed by 
more than 50 percent the diameter or width of the uncompressed packing 
material.
    (2) The allowable diametrical clearance between the cable and the 
holes in the stuffing box and packing nut shall not exceed 75 percent of 
the nominal diameter or width of the packing material.
    (f) Special requirements for glands in which a compressible material 
(example--synthetic elastomers) other than asbestos is specified, are:
    (1) The packing material shall be flame resistant.
    (2) The radial clearance between the cable jacket and the nominal 
inside diameter of the packing material shall not exceed \1/32\-inch, 
based on the nominal specified diameter of the cable.
    (3) The radial clearance between the nominal outside diameter of the 
packing material and the inside wall of the stuffing box (that portion 
into which the packing material fits) shall not exceed \1/32\-inch.

[33 FR 4660, Mar. 19, 1968, as amended at 57 FR 61210, Dec. 23, 1992]



Sec. 18.38  Leads through common walls.

    (a) Insulated studs will be acceptable for use in a common wall 
between two explosion-proof enclosures.
    (b) When insulated wires or cables are extended through a common 
wall between two explosion-proof enclosures in insulating bushings, such 
bushings shall be not less than 1-inch long and

[[Page 107]]

the diametrical clearance between the wire or cable insulation and the 
holes in the bushings shall not exceed \1/16\-inch (based on the nominal 
specified diameter of the cable). The insulating bushings shall be 
secured in the metal wall.
    (c) Insulated wires or cables conducted from one explosion-proof 
enclosure to another through conduit, tubing, piping, or other solid-
wall passageways will be acceptable provided one end of the passageway 
is plugged, thus isolating one enclosure from the other. Glands of 
secured bushings with close-fitting holes through which the wires or 
cables are conducted will be acceptable for plugging. The tubing or duct 
specified for the passageway shall be brazed or welded into the walls of 
both explosion-proof enclosures with continuous gas-tight welds.
    (d) If wires and cables are taken through openings closed with 
sealing compounds, the design of the opening and characteristics of the 
compounds shall be such as to hold the sealing material in place without 
tendency of the material to crack or flow out of its place. The material 
also must withstand explosion tests without cracking or loosening.
    (e) Openings through common walls between explosion-proof enclosures 
not provided with bushings or sealing compound, shall be large enough to 
prevent pressure piling.



Sec. 18.39  Hose conduit.

    Hose conduit shall be provided for mechanical protection of all 
machine cables that are exposed to damage. Hose conduit shall be flame 
resistant and have a minimum wall thickness of \3/16\ inch. The flame 
resistance of hose conduit will be determined in accordance with the 
requirements of Sec. 18.65.



Sec. 18.40  Cable clamps and grips.

    Insulated clamps shall be provided for all portable (trailing) 
cables to prevent strain on the cable terminals of a machine. Also 
insulated clamps shall be provided to prevent strain on both ends of 
each cable or cord leading from a machine to a detached or separately 
mounted component. Cable grips anchored to the cable may be used in lieu 
of insulated strain clamps. Supporting clamps for cables used for wiring 
around machines shall be provided in a manner acceptable to MSHA.



Sec. 18.41  Plug and receptacle-type connectors.

    (a) Plug and receptacle-type connectors for use inby the last open 
crosscut in a gassy mine shall be so designed that insertion or 
withdrawal of a plug cannot cause incendive arcing or sparking. Also, 
connectors shall be so designed that no live terminals, except as 
hereinafter provided, are exposed upon withdrawal of a plug. The 
following types will be acceptable:
    (1) Connectors in which the mating or separation of the male and 
female electrodes is accomplished within an explosion-proof enclosure.
    (2) Connectors that are mechanically or electrically interlocked 
with an automatic circuit-interrupting device.
    (i) Mechanically interlocked connectors. If a mechanical interlock 
is provided the design shall be such that the plug cannot be withdrawn 
before the circuit has been interrupted and the circuit cannot be 
established with the plug partially withdrawn.
    (ii) Electrically interlocked connectors. If an electrical interlock 
is provided, the total load shall be removed before the plug can be 
withdrawn and the electrical energy in the interlocking pilot circuit 
shall be intrinsically safe, unless the pilot circuit is opened within 
an explosion-proof enclosure.
    (3) Single-pole connectors for individual conductors of a circuit 
used at terminal points shall be so designed that all plugs must be 
completely inserted before the control circuit of the machine can be 
energized.
    (b) Plug and receptacle-type connectors used for sectionalizing the 
cables outby the last open crosscut in a gassy mine need not be 
explosion-proof or electrically interlocked provided such connectors are 
designed and constructed to prevent accidental separation.
    (c) Conductors shall be securely attached to the electrodes in a 
plug or receptacle and the connections shall be totally enclosed.
    (d) Molded-elastomer connectors will be acceptable provided:

[[Page 108]]

    (1) Any free space within the plug or receptacle is isolated from 
the exterior of the plug.
    (2) Joints between the elastomer and metal parts are not less than 1 
inch wide and the elastomer is either bonded to or fits tightly with 
metal parts.
    (e) The contacts of all line-side connectors shall be shielded or 
recessed adequately.
    (f) For a mobile battery-powered machine, a plug and receptacle-type 
connector will be acceptable in lieu of an interlock provided:
    (1) The plug is padlocked to the receptacle and is held in place by 
a threaded ring or equivalent mechanical fastening in addition to a 
padlock. A connector within a padlocked enclosure will be acceptable; 
or,
    (2) The plug is held in place by a threaded ring or equivalent 
mechanical fastening, in addition to the use of a device that is captive 
and requires a special tool to disengage and allow for the separation of 
the connector. All connectors using this means of compliance shall have 
a clearly visible warning tag that states: ``DO NOT DISENGAGE UNDER 
LOAD,'' or an equivalent statement; or,
    (3) The plug is held in place by a spring-loaded or other locking 
device, that maintains constant pressure against a threaded ring or 
equivalent mechanical fastening, to secure the plug from accidental 
separation. All connectors using this means of compliance shall have a 
clearly visible warning tag that states: ``DO NOT DISENGAGE UNDER 
LOAD,'' or an equivalent statement.

[33 FR 4660, Mar. 19, 1968, as amended at 68 FR 37082, June 23, 2003]



Sec. 18.42  Explosion-proof distribution boxes.

    (a) A cable passing through an outside wall(s) of a distribution box 
shall be conducted either through a packing gland or an interlocked plug 
and receptacle.
    (b) Short-circuit protection shall be provided for each branch 
circuit connected to a distribution box. The current-carrying capacity 
of the specified connector shall be compatible with the automatic 
circuit-interrupting device.
    (c) Each branch receptacle shall be plainly and permanently marked 
to indicate its current-carrying capacity and each receptacle shall be 
such that it will accommodate only an appropriate plug.
    (d) Provision shall be made to relieve mechanical strain on all 
connectors to distribution boxes.



Sec. 18.43  Explosion-proof splice boxes.

    Internal connections shall be rigidly held and adequately insulated. 
Strain clamps shall be provided for all cables entering a splice box.



Sec. 18.44  Non-intrinsically safe battery-powered equipment.

    (a) Battery-powered equipment shall use battery assemblies approved 
under Part 7 of this chapter, or battery assemblies accepted or 
certified under this part prior to August 22, 1989.
    (b) Battery box covers shall be secured in a closed position.
    (c) Each wire or cable leaving a battery box on storage battery-
operated equipment shall have short-circuit protection in an explosion-
proof enclosure located as close as practicable to the battery 
terminals. A short-circuit protection device installed within a nearby 
explosion-proof enclosure will be acceptable. In no case shall the 
exposed portion of the cable from the battery box to the enclosure 
exceed 36 inches in length. Each wire or cable shall be protected from 
damage.

[53 FR 23500, June 22, 1988]



Sec. 18.45  Cable reels.

    (a) A self-propelled machine, that receives electrical energy 
through a portable cable and is designed to travel at speeds exceeding 
2.5 miles per hour, shall have a mechanically, hydraulically, or 
electrically driven reel upon which to wind the portable cable.
    (b) The enclosure for moving contacts or slip rings of a cable reel 
shall be explosion-proof.
    (c) Cable-reel bearings shall not constitute an integral part of a 
circuit for transmitting electrical energy.
    (d) Cable reels for shuttle cars and locomotives shall maintain 
positive tension on the portable cable during reeling and unreeling. 
Such tension shall

[[Page 109]]

only be high enough to prevent a machine from running over its own 
cable(s).
    (e) Cable reels and spooling devices shall be insulated with flame-
resistant material.
    (f) The maximum speed of travel of a machine when receiving power 
through a portable (trailing) cable shall not exceed 6 miles per hour.
    (g) Diameters of cable reel drums and sheaves should be large enough 
to prevent undue bending strain on cables.



Sec. 18.46  Headlights.

    (a) Headlights shall be constructed as explosion-proof enclosures.
    (b) Headlights shall be mounted to provide illumination where it 
will be most effective. They shall be protected from damage by guarding 
or location.
    (c) Lenses for headlights shall be glass or other suitable material 
with physical characteristics equivalent to \1/2\-inch thick tempered 
glass, such as ``Pyrex.'' Lenses shall meet the requirements of the 
tests prescribed in Sec. 18.66.
    (d) Lenses permanently fixed in a ring with lead, epoxy, or 
equivalent will be acceptable provided only lens assemblies meeting the 
original manufacturer's specifications are used as replacements.
    (e) If a single lead gasket is used, the contact surface of the 
opposite side of the lens shall be plane within a maximum deviation of 
0.002 inch.



Sec. 18.47  Voltage limitation.

    (a) A tool or switch held in the operator's hand or supported 
against his body will not be approved with a nameplate rating exceeding 
300 volts direct current or alternating current.
    (b) A battery-powered machine shall not have a nameplate rating 
exceeding 240 volts, nominal (120 lead-acid cells or equivalent).
    (c) Other direct-current machines shall not have a nameplate rating 
exceeding 550 volts.
    (d) An alternating-current machine shall not have a nameplate rating 
exceeding 660 volts, except that a machine may have a nameplate rating 
greater than 660 volts but not exceeding 4,160 volts when the following 
conditions are complied with:
    (1) Adequate clearances and insulation for the particular voltage(s) 
are provided in the design and construction of the equipment, its 
wiring, and accessories.
    (2) A continuously monitored, failsafe grounding system is provided 
that will maintain the frame of the equipment and the frames of all 
accessory equipment at ground potential. Also, the equipment, including 
its controls and portable (trailing) cable, will be deenergized 
automatically upon the occurrence of an incipient ground fault. The 
ground-fault-tripping current shall be limited by grounding resistor(s) 
to that necessary for dependable relaying. The maximum ground-fault-
tripping current shall not exceed 25 amperes.
    (3) All high voltage switch gear and control for equipment having a 
nameplate rating exceeding 1,000 volts are located remotely and operated 
by remote control at the main equipment. Potential for remote control 
shall not exceed 120 volts.
    (4) Portable (trailing) cable for equipment with nameplate ratings 
from 661 volts through 1,000 volts shall include grounding conductors, a 
ground check conductor, and grounded metallic shields around each power 
conductor or a grounded metallic shield over the assembly; except that 
on machines employing cable reels, cables without shields may be used if 
the insulation is rated 2,000 volts or more.
    (5) Portable (trailing) cable for equipment with nameplate ratings 
from 1,001 volts through 4,160 volts shall include grounding conductors, 
a ground check conductor, and grounded metallic shields around each 
power conductor.
    (6) MSHA reserves the right to require additional safeguards for 
high-voltage equipment, or modify the requirements to recognize improved 
technology.



Sec. 18.48  Circuit-interrupting devices.

    (a) Each machine shall be equipped with a circuit-interrupting 
device by means of which all power conductors can be deenergized at the 
machine. A manually operated controller will not be acceptable as a 
service switch.
    (b) When impracticable to mount the main-circuit-interrupting device 
on a

[[Page 110]]

machine, a remote enclosure will be acceptable. When contacts are used 
as a main-circuit-interrupting device, a means for opening the circuit 
shall be provided at the machine and at the remote contactors.
    (c) Separate two-pole switches shall be provided to deenergize power 
conductors for headlights or floodlights.
    (d) Each handheld tool shall be provided with a two-pole switch of 
the ``dead-man-control'' type that must be held closed by hand and will 
open when hand pressure is released.
    (e) A machine designed to operate from both trolley wire and 
portable cable shall be provided with a transfer switch, or equivalent, 
which prevents energizing one from the other. Such a switch shall be 
designed to prevent electrical connection to the machine frame when the 
cable is energized.
    (f) Belt conveyors shall be equipped with control switches to 
automatically stop the driving motor in the event the belt is stopped, 
or abnormally slowed down.
    Note: Short transfer-type conveyors will be exempted from this 
requirement when attended.



Sec. 18.49  Connection boxes on machines.

    Connection boxes used to facilitate replacement of cables or machine 
components shall be explosion-proof. Portable-cable terminals on cable 
reels need not be in explosion-proof enclosures provided that 
connections are well made, adequately insulated, protected from damage 
by location, and securely clamped to prevent mechanical strain on the 
connections.



Sec. 18.50  Protection against external arcs and sparks.

    Provision shall be made for maintaining the frames of all off-track 
machines and the enclosures of related detached components at safe 
voltages by using one or a combination of the following:
    (a) A separate conductor(s) in the portable cable in addition to the 
power conductors by which the machine frame can be connected to an 
acceptable grounding medium, and a separate conductor in all cables 
connecting related components not on a common chassis. The cross-
sectional area of the additional conductor(s) shall not be less than 50 
percent of that of one power conductor unless a ground-fault tripping 
relay is used, in which case the minimum size may be No. 8 (AWG). Cables 
smaller than No. 6 (AWG) shall have an additional conductor(s) of the 
same size as one power conductor.
    (b) A means of actuating a circuit-interrupting device, preferably 
at the outby end of the portable cable.
    Note: The frame to ground potential shall not exceed 40 volts.
    (c) A device(s) such as a diode(s) of adequate peak inverse voltage 
rating and current-carrying capacity to conduct possible fault current 
through the grounded power conductor. Diode installations shall include: 
(1) An overcurrent device in series with the diode, the contacts of 
which are in the machine's control circuit; and (2) a blocking diode in 
the control circuit to prevent operation of the machine with the 
polarity reversed.



Sec. 18.51  Electrical protection of circuits and equipment.

    (a) An automatic circuit-interrupting device(s) shall be used to 
protect each ungrounded conductor of a branch circuit at the junction 
with the main circuit when the branch-circuit conductor(s) has a current 
carrying capacity less than 50 percent of the main circuit conductor(s), 
unless the protective device(s) in the main circuit will also provide 
adequate protection for the branch circuit. The setting of each device 
shall be specified. For headlight and control circuits, each conductor 
shall be protected by a fuse or equivalent. Any circuit that is entirely 
contained in an explosion-proof enclosure shall be exempt from these 
requirements.
    (b) Each motor shall be protected by an automatic overcurrent 
device. One protective device will be acceptable when two motors of the 
same rating operate simultaneously and perform virtually the same duty.
    (1) If the overcurrent-protective device in a direct-current circuit 
does not open both lines, particular attention shall be given to marking 
the polarity at the terminals or otherwise preventing the possibility of 
reversing connections which would result in

[[Page 111]]

changing the circuit interrupter to the grounded line.
    (2) Three-phase alternating-current motors shall have an 
overcurrent-protective device in at least two phases such that actuation 
of a device in one phase will cause the opening of all three phases.
    (c) Circuit-interrupting devices shall be so designed that they can 
be reset without opening the compartment in which they are enclosed.
    (d) All magnetic circuit-interrupting devices shall be mounted in a 
manner to preclude the possibility of their closing by gravity.



Sec. 18.52  Renewal of fuses.

    Enclosure covers that provide access to fuses, other than headlight, 
control-circuit, and handheld-tool fuses, shall be interlocked with a 
circuit-interrupting device. Fuses shall be inserted on the load side of 
the circuit interrupter.



Sec. 18.53  High-voltage longwall mining systems.

    (a) In each high-voltage motor-starter enclosure, with the exception 
of a controller on a high-voltage shearer, the disconnect device 
compartment, control/communications compartment, and motor contactor 
compartment must be separated by barriers or partitions to prevent 
exposure of personnel to energized high-voltage conductors or parts. In 
each motor-starter enclosure on a high-voltage shearer, the high-voltage 
components must be separated from lower voltage components by barriers 
or partitions to prevent exposure of personnel to energized high-voltage 
conductors or parts. Barriers or partitions must be constructed of 
grounded metal or nonconductive insulating board.
    (b) Each cover of a compartment in the high-voltage motor-starter 
enclosure containing high-voltage components must be equipped with at 
least two interlock switches arranged to automatically deenergize the 
high-voltage components within that compartment when the cover is 
removed.
    (c) Circuit-interrupting devices must be designed and installed to 
prevent automatic reclosure.
    (d) Transformers with high-voltage primary windings that supply 
control voltages must incorporate grounded electrostatic (Faraday) 
shielding between the primary and secondary windings. The shielding must 
be connected to equipment ground by a minimum No. 12 AWG grounding 
conductor. The secondary nominal voltage must not exceed 120 volts, line 
to line.
    (e) Test circuits must be provided for checking the condition of 
ground-wire monitors and ground-fault protection without exposing 
personnel to energized circuits. Each ground-test circuit must inject a 
primary current of 50 percent or less of the current rating of the 
grounding resistor through the current transformer and cause each 
corresponding circuit-interrupting device to open.
    (f) Each motor-starter enclosure, with the exception of a controller 
on a high-voltage shearer, must be equipped with a disconnect device 
installed to deenergize all high-voltage power conductors extending from 
the enclosure when the device is in the ``open'' position.
    (1) When multiple disconnect devices located in the same enclosure 
are used to satisfy the above requirement they must be mechanically 
connected to provide simultaneous operation by one handle.
    (2) The disconnect device must be rated for the maximum phase-to-
phase voltage and the full-load current of the circuit in which it is 
located, and installed so that--
    (i) Visual observation determines that the contacts are open without 
removing any cover;
    (ii) The load-side power conductors are grounded when the device is 
in the ``open'' position;
    (iii) The device can be locked in the ``open'' position;
    (iv) When located in an explosion-proof enclosure, the device must 
be designed and installed to cause the current to be interrupted 
automatically prior to the opening of the contacts; and
    (v) When located in a non-explosion-proof enclosure, the device must 
be designed and installed to cause the current to be interrupted 
automatically prior to the opening of the contacts, or

[[Page 112]]

the device must be capable of interrupting the full-load current of the 
circuit.
    (g) Control circuits for the high-voltage motor starters must be 
interlocked with the disconnect device so that--
    (1) The control circuit can be operated with an auxiliary switch in 
the ``test'' position only when the disconnect device is in the open and 
grounded position; and
    (2) The control circuit can be operated with the auxiliary switch in 
the ``normal'' position only when the disconnect switch is in the closed 
position.
    (h) A study to determine the minimum available fault current must be 
submitted to MSHA to ensure adequate protection for the length and 
conductor size of the longwall motor, shearer and trailing cables.
    (i) Longwall motor and shearer cables with nominal voltages greater 
than 660 volts must be made of a shielded construction with a grounded 
metallic shield around each power conductor.
    (j) High-voltage motor and shearer circuits must be provided with 
instantaneous ground-fault protection of not more than 0.125-amperes. 
Current transformers used for this protection must be of the single-
window type and must be installed to encircle all three phase 
conductors.
    (k) Safeguards against corona must be provided on all 4,160 voltage 
circuits in explosion-proof enclosures.
    (l) The maximum pressure rise within an explosion-proof enclosure 
containing high-voltage switchgear must be limited to 0.83 times the 
design pressure.
    (m) High-voltage electrical components located in high-voltage 
explosion-proof enclosures must not be coplanar with a single plane 
flame-arresting path.
    (n) Rigid insulation between high-voltage terminals (Phase-to-Phase 
or Phase-to-Ground) must be designed with creepage distances in 
accordance with the following table:

                                                               Minimum Creepage Distances
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                     Minimum creepage distances (inches) for comparative tracking index
                                                                                                              (CTI) range \1\
             Phase to phase voltage                     Points of  measure        ----------------------------------------------------------------------
                                                                                   CTI=500    380<=CTI<500     175<=CTI<380       CTI<175
--------------------------------------------------------------------------------------------------------------------------------------------------------
2,400..........................................  0-0                                            1.50              1.95             2.40             2.90
                                                 0-G                                            1.00              1.25             1.55             1.85
4,160..........................................  0-0                                            2.40              3.15             3.90             4.65
                                                 0-G                                            1.50              1.95             2.40            2.90
--------------------------------------------------------------------------------------------------------------------------------------------------------
\1\ Assumes that all insulation is rated for the applied voltage or higher.

    (o) Explosion-proof motor-starter enclosures must be designed to 
establish the minimum free distance (MFD) between the wall or cover of 
the enclosure and uninsulated electrical conductors inside the enclosure 
in accordance with the following table:

                                    High-Voltage Minimum Free Distances (MFD)
----------------------------------------------------------------------------------------------------------------
                                                Steel MFD (in)                       Aluminum MFD (in)
     Wall/cover thickness (in)     -----------------------------------------------------------------------------
                                       A \1\        B \2\        C \3\          A            B            C
----------------------------------------------------------------------------------------------------------------
\1/4\.............................          2.8          4.3          5.8       \4\ NA       \4\ NA       \4\ NA
\3/8\.............................          1.8          2.3          3.9          8.6         12.8         18.1
\1/2\.............................        * 1.2          2.0          2.7          6.5          9.8         13.0
\5/8\.............................        * 0.9          1.5          2.1          5.1          7.7         10.4
\3/4\.............................        * 0.6        * 1.1          1.6          4.1          6.3          8.6
1.................................          (*)        * 0.6        * 1.0          2.9          4.5         6.2
----------------------------------------------------------------------------------------------------------------
Note: * The minimum electrical clearances must still be maintained.
\1\ Column A specifies the MFD for enclosures that have available 3-phase bolted short-circuit currents of
  10,000 amperes rms or less.
\2\ Column B specifies the MFD for enclosures that have a maximum available 3-phase bolted short-circuit
  currents greater than 10,000 and less than or equal to 15,000 amperes rms.
\3\ Column C specifies the MFD for enclosures that have a maximum available 3-phase bolted short-circuit
  currents greater than 15,000 and less than or equal to 20,000 amperes rms.

[[Page 113]]

 
\4\ Not Applicable--MSHA doesn't allow aluminum wall or covers to be \1/4\ inch or less in thickness (Section
  18.31).

    (1) For values not included in the table, the following formulas on 
which the table is based may be used to determine the minimum free 
distance.
    (i) Steel Wall/Cover:
    [GRAPHIC] [TIFF OMITTED] TR23NO04.000
    
    (ii) Aluminum Wall/Cover:
    [GRAPHIC] [TIFF OMITTED] TR23NO04.001
    
Where C is 1.4 for 2,400 volt systems or 3.0 for 4,160 volt systems, 
Isc is the 3-phase short circuit current in amperes of the 
system, t is the clearing time in seconds of the outby circuit-
interrupting device and d is the thickness in inches of the metal wall/
cover adjacent to an area of potential arcing.

    (2) The minimum free distance must be increased by 1.5 inches for 
4,160 volt systems and 0.7 inches for 2,400 volt systems when the 
adjacent wall area is the top of the enclosure. If a steel shield is 
mounted in conjunction with an aluminum wall or cover, the thickness of 
the steel shield is used to determine the minimum free distances.
    (p) The following static pressure test must be performed on each 
prototype design of explosion-proof enclosures containing high-voltage 
switchgear prior to the explosion tests. The static pressure test must 
also be performed on every explosion-proof enclosure containing high-
voltage switchgear, at the time of manufacture, unless the manufacturer 
uses an MSHA accepted quality assurance procedure covering inspection of 
the enclosure. Procedures must include a detailed check of parts against 
the drawings to determine that the parts and the drawings coincide and 
that the minimum requirements stated in part 18 have been followed with 
respect to materials, dimensions, configuration and workmanship.
    (1) Test procedure. (i) The enclosure must be internally pressurized 
to at least the design pressure, maintaining the pressure for a minimum 
of 10 seconds.
    (ii) Following the pressure hold, the pressure must be removed and 
the pressurizing agent removed from the enclosure.
    (2) Acceptable performance. (i) The enclosure during pressurization 
must not exhibit--
    (A) Leakage through welds or casting; or
    (B) Rupture of any part that affects the explosion-proof integrity 
of the enclosure.
    (ii) The enclosure following removal of the pressurizing agents must 
not exhibit--
    (A) Visible cracks in welds;
    (B) Permanent deformation exceeding 0.040 inches per linear foot; or
    (C) Excessive clearances along flame-arresting paths following 
retightening of fastenings, as necessary.

[67 FR 10999, Mar. 11, 2002; 69 FR 68078, Nov. 23, 2004; 69 FR 70752, 
Dec. 7, 2004]



                     Subpart C_Inspections and Tests



Sec. 18.60  Detailed inspection of components.

    An inspection of each electrical component shall include the 
following:
    (a) A detailed check of parts against the drawings submitted by the 
applicant to determine that: (1) The parts and drawings coincide; and 
(2) the minimum requirements stated in this part

[[Page 114]]

have been met with respect to materials, dimensions, configuration, 
workmanship, and adequacy of drawings and specifications.
    (b) Exact measurement of joints, journal bearings, and other flame-
arresting paths.
    (c) Examination for unnecessary through holes.
    (d) Examination for adequacy of lead-entrance design and 
construction.
    (e) Examination for adequacy of electrical insulation and clearances 
between live parts and between live parts and the enclosure.
    (f) Examination for weaknesses in welds and flaws in castings.
    (g) Examination for distortion of enclosures before tests.
    (h) Examination for adequacy of fastenings, including size, spacing, 
security, and possibility of bottoming.



Sec. 18.61  Final inspection of complete machine.

    (a) A completely assembled new machine or a substantially modified 
design of a previously approved one shall be inspected by a qualified 
representative(s) of MSHA. When such inspection discloses any unsafe 
condition or any feature not in strict conformance with the requirements 
of this part it shall be corrected before an approval of the machine 
will be issued. A final inspection will be conducted at the site of 
manufacture, rebuilding, or other locations at the option of MSHA.
    (b) Complete machines shall be inspected for:
    (1) Compliance with the requirements of this part with respect to 
joints, lead entrances, and other pertinent features.
    (2) Wiring between components, adequacy of mechanical protection for 
cables, adequacy of clamping of cables, positioning of cables, 
particularly with respect to proximity to hydraulic components.
    (3) Adequacy of protection against damage to headlights, push 
buttons, and any other vulnerable component.
    (4) Settings of overload- and short-circuit protective devices.
    (5) Adequacy of means for connecting and protecting portable cable.



Sec. 18.62  Tests to determine explosion-proof characteristics.

    (a) In testing for explosion-proof characteristics of an enclosure, 
it shall be filled and surrounded with various explosive mixtures of 
natural gas and air. The explosive mixture within the enclosure will be 
ignited electrically and the explosion pressure developed therefrom 
recorded. The point of ignition within the enclosure will be varied. 
Motor armatures and/or rotors will be stationary in some tests and 
revolving in others. Coal dust having a minimum of 22 percent dry 
volatile matter and a minimum heat constant of 11,000 moist BTU (coal 
containing natural bed moisture but not visible surface water) ground to 
a fineness of minus 200 mesh U.S. Standard sieve series. At MSHA's 
discretion dummies may be substituted for internal electrical components 
during some of the tests. Not less than 16 explosion tests shall be 
conducted; however, the nature of the enclosure and the results obtained 
during the tests will determine whether additional tests shall be made.
    (b) Explosion tests of an enclosure shall not result in:
    (1) Discharge of flame.
    (2) Ignition of an explosive mixture surrounding the enclosure.
    (3) Development of afterburning.
    (4) Rupture of any part of the enclosure or any panel or divider 
within the enclosure.
    (5) Permanent distortion of the enclosure exceeding 0.040 inch per 
linear foot.
    (c) When a pressure exceeding 125 pounds per square inch (gage) is 
developed during explosion tests, MSHA reserves the right to reject an 
enclosure(s) unless (1) constructional changes are made that result in a 
reduction of pressure to 125 pounds per square inch (gage) or less, or 
(2) the enclosure withstands a dynamic pressure of twice the highest 
value recorded in the initial test.

[33 FR 4660, Mar. 19, 1968, as amended at 57 FR 61210, Dec. 23, 1992]

[[Page 115]]



Sec. 18.63  [Reserved]



Sec. 18.65  Flame test of conveyor belting and hose.

    (a) Size of test specimen. (1) Conveyor belting--four specimens each 
6 inches long by \1/2\-inch wide by belt thickness, two cut parallel to 
the warp and two parallel to the weft.
    (2) Hose--four specimens each 6 inches long by \1/2\-inch wide by 
thickness of the hose.
    (b) Flame-test apparatus. The principal parts of the apparatus 
within and/or appended to a 21-inch cubical test gallery are:
    (1) A support stand with a ring clamp and wire gauze.
    (2) A Pittsburgh-Universal Bunsen-type burner (inside diameter of 
burner tube 11 mm.), or equivalent, mounted in a burner placement guide 
in such a manner that the burner may be placed beneath the test 
specimen, or pulled away from it by an external knob on the front panel 
of the test gallery.
    (3) A variable-speed electric fan and an ASME flow nozzle (16-8\1/2\ 
inches reduction) to attain constant air velocities at any speed between 
50-500 feet a minute.
    (4) An electric timer or stopwatch to measure the duration of the 
tests.
    (5) A mirror mounted inside the test gallery to permit a rear view 
of the test specimen through the viewing door.
    (c) Mounting of test specimen. The specimen shall be clamped in a 
support with its free end centered 1 inch above the burner top. The 
longitudinal axis shall be horizontal and the transverse axis inclined 
at 45[deg] to the horizontal. Under the test specimen shall be clamped a 
piece of 20-mesh iron-wire gauze, 5 inches square, in a horizontal 
position \1/4\-inch below the pulley cover edge of the specimen and with 
about \1/2\-inch of the specimen extending beyond the edge of the gauze.
    (d) Procedure for flame tests. (1) The Bunsen burner, retracted from 
the test position, shall be adjusted to give a blue flame 3 inches in 
height with natural gas.
    (2) The observation door of the gallery shall be closed for the 
entire test.
    (3) The burner flame shall be applied to the free end of the 
specimen for 1 minute in still air.
    (4) At the end of 1 minute the burner flame shall be removed, the 
ventilating fan turned on to give an air current having a velocity of 
300 feet per minute, and the duration of flame measured.
    (5) After the test specimen ceases to flame, it shall remain in the 
air current for at least 3 minutes to determine the presence and 
duration of afterglow. If a glowing specimen exhibits flame within 3 
minutes the duration of flame shall be added to the duration of flame 
obtained according to paragraph (d) (4) of this section.
    (e) Test requirements. The tests of the four specimens cut from any 
sample shall not result in either duration of flame exceeding an average 
of 1 minute after removal of the applied flame or afterglow exceeding an 
average of 3 minutes duration.
    (f) Acceptance markings. (1) Conveyor belting--conveyor belts 
accepted by MSHA as flame-resistant (fire-resistant) shall be marked as 
follows: Metal stencils furnished by the manufacturer shall be used 
during the vulcanizing process to produce letters depressed into the 
conveyor belt with the words ``Fire-Resistant, USMSHA No. ----.'' This 
number will be assigned to the manufacturer after the sample has passed 
the tests. The letters and numbers shall be at least \1/2\ inch high. 
The acceptance markings shall be placed approximately 1 inch from the 
edge of the carrying (top) cover of the conveyor belt and spaced at 
intervals not exceeding 30 feet for the entire length of the conveyor 
belt. The markings shall be so placed that they are alternately at 
opposite edges of the belt. Where cover thickness does not permit 
markings in accordance with the foregoing, other permanent markings may 
be accepted.
    (2) Hose--hose conduit accepted by MSHA as flame-resistant shall be 
marked as follows: Impressed letters, raised letters on depressed 
background, or printed letters with the words ``Flame-Resistant, USMSHA 
No. ----'' at intervals not exceeding 3 feet. This number will be 
assigned to the manufacturer after the sample has passed

[[Page 116]]

the tests. The letters and numbers shall be at least \1/4\-inch high.

[33 FR 4660, Mar. 19, 1968, as amended at 43 FR 12314, Mar. 24, 1978]



Sec. 18.66  Tests of windows and lenses.

    (a) Impact tests. A 4-pound cylindrical weight with a 1-inch-
diameter hemispherical striking surface shall be dropped (free fall) to 
strike the window or lens in its mounting, or the equivalent thereof, at 
or near the center. Three of four samples shall withstand without 
breakage the impact according to the following table:

------------------------------------------------------------------------
                                                               Height of
                 Lens diameter, (D), inches                      fall,
                                                                inches
------------------------------------------------------------------------
D<4.........................................................           6
4<= D<5.....................................................           9
5<= D<6.....................................................          15
6<= D.......................................................          24
------------------------------------------------------------------------


Windows or lenses of smaller diameter than 1 inch may be tested by 
alternate methods at the discretion of MSHA.
    (b) Thermal-shock tests. Four samples of the window or lens will be 
heated in an oven for 15 minutes to a temperature of 150 [deg]C. (302 
[deg]F.) and immediately upon withdrawal of the samples from the oven 
they will be immersed in water having a temperature between 15 [deg]C. 
(59 [deg]F) and 20 [deg]C. (68 [deg]F.). Three of the four samples shall 
show no defect or breakage from this thermal-shock test.



Sec. 18.67  Static-pressure tests.

    Static-pressure tests shall be conducted by the applicant on each 
enclosure of a specific design when MSHA determines that visual 
inspection will not reveal defects in castings or in single-seam welds. 
Such test procedure shall be submitted to MSHA for approval and the 
specifications on file with MSHA shall include a statement assuring that 
such tests will be conducted. The static pressure to be applied shall be 
150 pounds per square inch (gage) or one and one-half times the maximum 
pressure recorded in MSHA's explosion tests, whichever is greater.



Sec. 18.68  Tests for intrinsic safety.

    (a) General:
    (1) Tests for intrinsic safety will be conducted under the general 
concepts of ``intrinsically safe'' as defined in Subpart A of this part. 
Further tests or requirements may be added at any time if features of 
construction or use or both indicate them to be necessary. Some tests 
included in these requirements may be omitted on the basis of previous 
experience.
    (2) Intrinsically safe circuits and/or components will be subjected 
to tests consisting of making and breaking the intrinsically safe 
circuit under conditions judged to simulate the most hazardous probable 
faults or malfunctions. Tests will be made in the most easily ignitable 
mixture of methane or natural gas and air. The method of making and 
breaking the circuit may be varied to meet a particular condition.
    (3) Those components which affect intrinsic safety must meet the 
following requirements:
    (i) Current limiting components shall consist of two equivalent 
devices each of which singly will provide intrinsic safety. They shall 
not be operated at more than 50 percent of their ratings.
    (ii) Components of reliable construction shall be used and they 
shall be so mounted as to provide protection against shock and vibration 
in normal use.
    (iii) Semiconductors shall be amply sized. Rectifiers and 
transistors shall be operated at not more than two-thirds of their rated 
current and permissible peak inverse voltage. Zener diodes shall be 
operated at not more than one-half of their rated current and shall 
short under abnormal conditions.
    (iv) Electrolytic capacitors shall be operated at not more than two-
thirds of their rated voltage. They shall be designed to withstand a 
test voltage of 1,500 volts.
    (4) Intrinsically safe circuits shall be so designed that after 
failure of a single component, and subsequent failures resulting from 
this first failure, the circuit will remain intrinsically safe.
    (5) The circuit will be considered as intrinsically safe if in the 
course of testing no ignitions occur.
    (b) Complete intrinsically safe equipment powered by low energy 
batteries:

[[Page 117]]

    (1) Short-circuit tests shall be conducted on batteries at normal 
operating temperature. Tests may be made on batteries at elevated 
temperature if such tests are deemed necessary.
    (2) Resistance devices for limiting short-circuit current shall be 
an integral part of the battery, or installed as close to the battery 
terminal as practicable.
    (3) Transistors of battery-operated equipment may be subjected to 
thermal ``run-away'' tests to determine that they will not ignite an 
explosive atmosphere.
    (4) A minimum of 1,000 make-break sparks will be produced in each 
test for direct current circuits with consideration given to reversed 
polarity.
    (5) Tests on batteries shall include series and/or parallel 
combinations of twice the normal battery complement, and the effect of 
capacitance and inductance, added to that normally present in the 
circuit.
    (6) No ignition shall occur when approximately \1/2\-inch of a 
single wire strand representative of the wire used in the equipment or 
device is shorted across the intrinsically safe circuit.
    (7) Consideration shall be given to insure against accidental 
reversal of polarity.
    (c) Line-powered equipment and devices:
    (1) Line-powered equipment shall meet all applicable provisions 
specified for battery-powered equipment.
    (2) Nonintrinsically safe components supplying power for 
intrinsically safe circuits shall be housed in explosion-proof 
enclosures and be provided with energy limiting components in the 
enclosure.
    (3) Wiring for nonintrinsically safe circuits shall not be 
intermingled with wiring for intrinsically safe circuits.
    (4) Transformers that supply power for intrinsically safe circuits 
shall have the primary and secondary windings physically separated. They 
shall be designed to withstand a test voltage of 1,500 volts when rated 
125 volts or less and 2,500 volts when rated more than 125 volts.
    (5) The line voltage shall be increased to 120 percent of nominal 
rated voltage to cover power line voltage variations.
    (6) In investigations of alternating current circuits a minimum of 
5,000 make-break sparks will be produced in each test.
    (d) The design of intrinsically safe circuits shall preclude 
extraneous voltages caused by insufficient isolation or inductive 
coupling. The investigation shall determine the effect of ground faults 
where applicable.
    (e) Identification markings: Circuits and components of 
intrinsically safe equipment and devices shall be adequately identified 
by marking or labeling. Battery-powered equipment shall be marked to 
indicate the manufacturer, type designation, ratings, and size of 
batteries used.



Sec. 18.69  Adequacy tests.

    MSHA reserves the right to conduct appropriate test(s) to verify the 
adequacy of equipment for its intended service.



     Subpart D_Machines Assembled With Certified or Explosion-Proof 

Components, Field Modifications of Approved Machines, and Permits To Use 

                         Experimental Equipment



Sec. 18.80  Approval of machines assembled with certified or explosion-proof 

components.

    (a) A machine may be a new assembly, or a machine rebuilt to perform 
a service that is different from the original function, or a machine 
converted from nonpermissible to permissible status, or a machine 
converted from direct- to alternating-current power or vice versa. 
Properly identified components that have been investigated and accepted 
for application on approved machines will be accepted in lieu of 
certified components.
    (b) A single layout drawing (see Figure 1 in Appendix II) or 
photographs will be acceptable to identify a machine that was assembled 
with certified or explosion-proof components. The following information 
shall be furnished:
    (1) Overall dimensions.
    (2) Wiring diagram.

[[Page 118]]

    (3) List of all components (see Figure 2 in Appendix II) identifying 
each according to its certification number or the approval number of the 
machine of which the component was a part.
    (4) Specifications for:
    (i) Overcurrent protection of motors.
    (ii) All wiring between components, including mechanical protection 
such as hose conduits and clamps.
    (iii) Portable cable, including the type, length, outside diameter, 
and number and size of conductors.
    (iv) Insulated strain clamp for machine end of portable cable.
    (v) Short-circuit protection to be provided at outby end of portable 
cable.
    (c) MSHA reserves the right to inspect and to retest any 
component(s) that had been in previous service, as it deems appropriate.
    (d) When MSHA has determined that all applicable requirements of 
this part have been met, the applicant will be authorized to attach an 
approval plate to each machine that is built in strict accordance with 
the drawings and specifications filed with MSHA and listed with MSHA's 
formal approval. A design of the approval plate will accompany the 
notification of approval. (Refer to Sec. Sec. 18.10 and 18.11.)
    (e) Approvals are issued only by Approval and Certification Center, 
Box 201B Industrial Park Road, Dallas Pike, Triadelphia, W. Va. 26049.

[33 FR 4660, Mar. 19, 1968, as amended at 43 FR 12314, Mar. 24, 1978; 52 
FR 17514, May 8, 1987]



Sec. 18.81  Field modification of approved (permissible) equipment; 

application for approval of modification; approval of plans for modification 

before modification.

    (a) An owner of approved (permissible) equipment who desires to make 
modifications in such equipment shall apply in writing to make such 
modifications. The application, together with the plans of 
modifications, shall be filed with Approval and Certification Center, RR 
1, Box 251, Industrial Park Road, Triadelphia, WV 26059.
    (b) Proposed modifications shall conform with the applicable 
requirements of subpart B of this part, and shall not substantially 
alter the basic functional design that was originally approved for the 
equipment.
    (c) Upon receipt of the application for modification, and after such 
examination and investigation as may be deemed necessary by MSHA, MSHA 
will notify the owner and the District office of the mine workers' 
organization having jurisdiction at the mine where such equipment is to 
be operated stating the modifications which are proposed to be made and 
MSHA's action thereon.

[33 FR 4660, Mar. 19, 1968, as amended at 43 FR 12314, Mar. 24, 1978; 60 
FR 35693, July 11, 1995]



Sec. 18.82  Permit to use experimental electric face equipment in a gassy 

mine or tunnel.

    (a) Application for permit. An application for a permit to use 
experimental electric face equipment in a gassy mine or tunnel will be 
considered only when submitted by the user of the equipment. The user 
shall submit a written application to the Assistant Secretary of Labor 
for Mine Safety and Health, 1100 Wilson Blvd., Room 2322, Arlington, 
Virginia 22209-3939, and send a copy to Approval and Certification 
Center, RR 1, Box 251, Industrial Park Road, Triadelphia, WV 26059.
    (b) Requirements--(1) Constructional. (i) Experimental equipment 
shall be so constructed that it will not constitute a fire or explosion 
hazard.
    (ii) Enclosures designed as explosion-proof, unless already 
certified, or components of previously approved (permissible) machines, 
shall be submitted to MSHA for inspection and test and shall meet the 
applicable design requirements of subpart B of this part. Components 
designed as intrinsically safe also shall be submitted to MSHA for 
investigation.
    (iii) MSHA may, at its discretion, waive the requirements for 
detailed drawings of component parts, inspections, and tests provided 
satisfactory evidence is submitted that an enclosure has been certified, 
or otherwise accepted by a reputable testing agency whose standards are 
substantially equivalent to those set forth in subpart B of this part.

[[Page 119]]

    (2) Specifications. The specifications for experimental equipment 
shall include a layout drawing (see Figure 1 in Appendix II) or 
photograph(s) with the components, including overcurrent-protective 
device(s) with setting(s) identified thereon or separately; a wiring 
diagram; and descriptive material necessary to insure safe operation of 
the equipment. Drawings already filed with MSHA need not be duplicated 
by the applicant, but shall be properly identified.
    (c) Final inspection. Unless equipment is delivered to MSHA for 
investigation, the applicant shall notify Approval and Certification 
Center, RR 1, Box 251, Industrial Park Road, Triadelphia, WV 26059, when 
and where the experimental equipment will be ready for inspection by a 
representative of MSHA before installing it on a trial basis. Such 
inspection shall be completed before a permit will be issued.
    (d) Issuance of permit. When the inspection discloses full 
compliance with the applicable requirements of this subpart, the 
Assistant Secretary will issue a permit sanctioning the operation of a 
single unit in a gassy mine or tunnel, as designated in the application. 
If the applicant is not the assembler of the equipment, a copy of the 
permit also may be sent to the assembler.
    (e) Duration of permit. A permit will be effective for a period of 6 
months. For a valid reason, to be stated in a written application, the 
Administrator of MSHA may grant an extension of a permit for an 
additional period, not exceeding 6 months. Further extension will be 
granted only where, after investigation, the Assistant Secretary finds 
that for reasons beyond the control of the user, it has not been 
possible to complete the experiment within the period covered by the 
extended permit.
    (f) Permit label. With the notification granting a permit, the 
applicant will receive a photographic copy of a permit label bearing the 
following:
    (1) Emblem of the Mine Safety and Health Administration.
    (2) Permit number.
    (3) Expiration date of the permit.
    (4) Name of machine.
    (5) Name of the user and mine or tunnel.

The applicant shall attach the photographic copy of the permit label, or 
replica thereof, to the experimental equipment. If a photograph is used, 
a clear plastic covering shall be provided for it.
    (g) Withdrawal of permit. The Assistant Secretary may rescind, for 
cause, any permit granted under this subpart.

[33 FR 4660, Mar. 19, 1968, as amended at 43 FR 12314, Mar. 24, 1978; 52 
FR 17514, May 8, 1987; 60 FR 35693, July 11, 1995; 67 FR 38384, June 4, 
2002]

                   Appendix I to Subpart D of Part 18

                             LIST OF TABLES
------------------------------------------------------------------------
 Table
  No.                                 Title
------------------------------------------------------------------------
      1  Portable power cable ampacities--600 volts.
      2  Portable cord ampacities--600 volts.
      3  Portable power cable ampacities--601 to 5,000 volts.
      4  Normal diameter of round cables with tolerances in inches--600
          volts.
      5  Nominal dimension of flat cables with tolerances in inches--600
          volts.
      6  Nominal diameter of heavy jacketed cords with tolerances in
          inches--600 volts.
      7  Nominal diameter of three-conductor portable power cables with
          tolerances in inches--601 to 5,000 volts.
      8  Fuse ratings or instantaneous settings of circuit breakers for
          short-circuit protection of portable cables.
      9  Specifications for portable cables longer than 500 feet.
------------------------------------------------------------------------


      Table 1--Portable Power Cable Ampacities--600 Volts (Amperes Per Conductor Based on 60 [deg]C. Copper
                                        Temperature--40 [deg]C. Ambient)
----------------------------------------------------------------------------------------------------------------
                                                      2-           3-
                                       Single     conductor,   conductor,
    Conductor size--AWG or MCM       conductor     round or     round or   4-conductor  5-conductor  6-conductor
                                                     flat         flat
----------------------------------------------------------------------------------------------------------------
8.................................           45           40           35           30           25           20
6.................................           60           50           50           40           35           30
4.................................           85           70           65           55           45           35

[[Page 120]]

 
3.................................           95           80           75           65           55           45
2.................................          110           95           90           75           65           55
1.................................          130          110          100           85           75           65
1/0...............................          150          130          120          100           90           80
2/0...............................          175          150          135          115          105           95
3/0...............................          205          175          155          130          120          110
4/0...............................          235          200          180          150          140          130
250...............................          275          220          200          160  ...........  ...........
300...............................          305          240          220          175  ...........  ...........
350...............................          345          240          235          190  ...........  ...........
400...............................          375          280          250          200  ...........  ...........
450...............................          400          300          270          215  ...........  ...........
500...............................          425          320          290          230  ...........  ...........
----------------------------------------------------------------------------------------------------------------


 Table 2--Portable Cord Ampacities--600 Volts (Amperes Per Conductor Based on 60 [deg]C. Copper Temperature--40
                                                [deg]C. Ambient)
----------------------------------------------------------------------------------------------------------------
            Conductor size--AWG                  1-3 conductor          4-6 conductor          7-9 conductor
----------------------------------------------------------------------------------------------------------------
14.........................................                     15                     12                      8
12.........................................                     20                     16                     11
10.........................................                     25                     20                     14
----------------------------------------------------------------------------------------------------------------


 Table 3--Portable Power Cable Ampacities--601 to 5,000 Volts (Amperes Per Conductor Based on 75 [deg]C. Copper
                                        Temperature--40 [deg]C. Ambient)
----------------------------------------------------------------------------------------------------------------
                                   3-conductor types G-GC and SIIC-GC      3-conductor type SHD-GC 2,001-5,000
  Conductor size--AWG or MCM                  2,000 volts                                 volts
----------------------------------------------------------------------------------------------------------------
6.............................                                       65                                       65
4.............................                                       85                                       85
3.............................                                      100                                      100
2.............................                                      115                                      115
1.............................                                      130                                      130
1/0...........................                                      145                                      145
2/0...........................                                      170                                      170
3/0...........................                                      195                                      195
4/0...........................                                      220                                      220
250...........................                                      245                                      245
300...........................                                      275                                      275
350...........................                                      305                                      305
----------------------------------------------------------------------------------------------------------------


                                     Table 4--Nominal Diameters of Round Cables With Tolerances in Inches--600 Volts
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                  2-conductor                 3-conductor                                                 6-conductor
                                          -------------------------------------------------------                                    -------------------
                                                                                          Type      4-conductor--     5-conductor--
  Conductor size--AWG or MCM      Single   Types W    Type     Type              Type    PCG, 3      Types W & G       Types W & G
                                conductor    & G     PG, 2    PCG, 3  Types W   PG, 3   power, 2                                       Type w  Tolerance
                                           twisted   power    power,    & G     power,  control,
                                                              ground            ground   ground
--------------------------------------------------------------------------------------------------------------------------------------------------------
8.............................      0.44      0.81     0.84     0.94     0.91     0.93      1.03          0.99              1.07         1.18    
    O.D., ------[foot] Long
Hose--Motor to Starter Cable:
    ------ I.D., ------ O.D., ------ [foot] Long
Portable (Trailing) Cable--
Type:___________________________________________________________________
    Cond. No. ------, ------
    O.D., ------[foot] Long
Hose--for Portable Cable:
    ------ I.D., ------ O.D., ------[foot] Long
Hose Clamps--
    2 for Motor-Starter Hose conduit ------ D
    1 for Portable Cable Hose conduit ---- D*

    *Only when short length of hose is used. Trolley Tap--

                                                 (Manufacturing Company)
    Model ---------------------------- with -------ampere fuse.
Rail Clamps, 2.
    1 Ground Clamp, Cat. No. ------

                                                 (Manufacturing Company)
    1 Return Power Conductor, Cat. No. ------

                                                 (Manufacturing Company)
or--as Optional
Plug on outby end of potable cable for insertion into receptacle on 
distribution box or equivalent with short-circuit protective device set 
at ------ amperes.
Static-free Belt
    Model
    Style
    Catalog No. ------,

                                                 (Manufacturing Company)
Guard for Belt--
Material________________________________________________________________
    Overall Dimensions ------ Long x ------
    Wide x------ High
    Note: The foregoing is intended as a guide. Additional electrical 
components used shall be completely identified.

Figure 3--Material To Be Included With the Operating Instructions--on or 
           With the Wiring Diagram Submitted to Each Customer

            (Sometimes referred to as ``Caution Statement'')

                                 caution

    To retain ``permissibility'' of this equipment the following 
conditions shall be satisfied:
    1. General safety. Frequent inspection shall be made. All electrical 
parts, including the portable cable and wiring, shall be kept in a safe 
condition. There shall be no openings into the casings of the electrical 
parts. A permissible distribution box shall be used for connection to 
the power circuit unless connection is made in fresh intake air. To 
maintain the overload protection on direct-current machines, the 
ungrounded conductor of the portable cable shall be connected to the 
proper terminal. The machine frame shall be effectively grounded. The 
power wires shall not be used for grounding except in conjunction with 
diode(s) or equivalent. The operating voltage should match the voltage 
rating of the motor(s).
    2. Servicing. Explosion-proof enclosures shall be restored to the 
state of original safety with respect to all flame arresting paths, lead 
entrances, etc., following disassembly for repair or rebuilding, whether 
by the owner or an independent shop.
    3. Fastenings. All bolts, nuts, screws, and other means of 
fastening, and also threaded covers, shall be in place, properly 
tightened and secured.
    4. Renewals and repairs. Inspections, repairs, or renewals of 
electrical parts shall not be made unless the portable cable is 
disconnected from the circuit furnishing power, and the cable shall not 
be connected again until all parts are properly reassembled. Special 
care shall be taken in making renewals or repairs. Leave no parts off. 
Use replacement parts exactly like those furnished by the manufacturer. 
When any lead entrance is disturbed, the original leads or exact 
duplicates thereof shall be used and stuffing boxes shall be repacked in 
the approved manner.
    5. Cable requirements. A flame-resistant portable cable bearing a 
MSHA assigned identification number, adequately protected by an 
automatic circuit-interrupting device shall be used.

[[Page 125]]

Special care shall be taken in handling the cable to guard against 
mechanical injury and wear. Splices in portable cables shall be made in 
a workmanlike manner, mechanically strong, and well insulated. Not more 
than five temporary splices are permitted in a portable cable regardless 
of length. Connections and wiring to the outby end of the cable shall be 
in accordance with recognized standards of safety.

                Figure 4--Sample Factory Inspection Form

                                                       Date ------------
                                      Inspector ------------------------

                                 machine

Designation:____________________________________________________________
Type: ------------ Serial No.___________________________________________

                                  motor

Manufacturer:___________________________________________________________
Serial No.: ------ Type:________________________________________________
Frame:__________________________________________________________________
Hp.---- F.L. Speed:---- Volts:---- Amps.--
Winding: ------ X/P No. ------ (or parts list designation).

                                 starter

Manufacturer:___________________________________________________________
Serial No. ------ Type:_________________________________________________
Hp. ------ Volts: ------ X/P No. ------ (or parts list designation).
Short-circuit protection ------ amps.
Overload-current protection ------ amps.

                             portable cable

Manufacturer: ----------------------------------
Type: ------------ Conductors: --------------
Length: ------ O.D. ------ MSHA No. --------
Is all wiring around machine adequately protected from mechanical 
damage?
By hose conduit----------, Troughs______________________________________
Metal tubing ----------, Other__________________________________________
By removal of all sharp corners or edges?_______________________________
Is wiring separated from hydraulic components?__________________________
Is an adequate insulated strain clamp provided for the portable cable?__
Are all packing glands properly packed so that \1/8\-inch clearance 
remains between packing nut and stuffing box?___________________________
Are lockwashers (or equivalent) provided for all explosion-proof 
enclosure fastenings?___________________________________________________
Are all plane joints securely fastened so that an 0.005-inch feeler gage 
cannot be inserted?_____________________________________________________
Are all threaded covers secured?________________________________________
How?____________________________________________________________________
Are all electrical connections secure --------and properly insulated 
where necessary?________________________________________________________
    Note: Add appropriate material for each explosion-proof enclosure 
when more than a motor and starter are on a machine.

[[Page 126]]

[GRAPHIC] [TIFF OMITTED] TC22OC91.014

[GRAPHIC] [TIFF OMITTED] TC22OC91.015

[GRAPHIC] [TIFF OMITTED] TC22OC91.016

[GRAPHIC] [TIFF OMITTED] TC22OC91.017

[GRAPHIC] [TIFF OMITTED] TC22OC91.018

[GRAPHIC] [TIFF OMITTED] TC22OC91.019


[33 FR 4660, Mar. 19, 1968, as amended at 42 FR 8373, Feb. 10, 1977; 42 
FR 25855, May 20, 1977]



   Subpart E_Field Approval of Electrically Operated Mining Equipment

    Source: 36 FR 7007, Apr. 13, 1971, unless otherwise noted.



Sec. 18.90  Purpose.

    The regulations of this subpart E set forth the procedures and 
requirements

[[Page 127]]

for permissibility which must be met to obtain MSHA field approval of 
electrically operated machinery used or intended for use in by the last 
open crosscut of a coal mine which has not been otherwise approved, 
certified or accepted under the provisions of this part 18, chapter I, 
title 30, Code of Federal Regulations (Bureau of Mines Schedule 2G).



Sec. 18.91  Electric equipment for which field approvals will be issued.

    (a) Individual field approvals will be issued by MSHA under the 
provisions of this subpart E for electrically operated machines 
commercially built, or constructed, by the owner-coal mine operator of 
such machines including any associated electrical equipment, electrical 
components, and electrical accessories.
    (b) Approvals will not be issued under the provisions of this 
subpart E for electrically operated mining equipment manufactured or 
rebuilt primarily for sale or resale to any operator of a coal mine, or 
for small electrically operated equipment which consumes less than 2,250 
watts of electricity, or for instruments and other small devices which 
employ electric power.



Sec. 18.92  Quality of material and design.

    (a) Electrically operated machinery approved under the provisions of 
this subpart E shall be rugged in construction and shall be designed to 
facilitate maintenance and inspection.
    (b) MSHA shall conduct field investigations and, where necessary, 
field test electric machinery only where such machinery is found to be 
constructed of suitable materials and safe for its intended use.



Sec. 18.93  Application for field approval; filing procedures.

    (a)(1) Investigation and testing leading to field approval shall be 
undertaken by MSHA only pursuant to individual written applications for 
each machine submitted in triplicate on MSHA Form No. 6-1481, by the 
owner-coal mine operator of the machine.
    (2) Except as provided in paragraph (b) of this section, each 
application shall be accompanied by appropriate photographs, drawings, 
specifications, and descriptions as required under the provisions of 
Sec. 18.94 and each such application shall be filed with the Coal Mine 
Health and Safety District Manager for the District in which such 
machine will be employed.
    (b) The Coal Mine Health and Safety District Manager may, upon 
receipt of any application filed pursuant to paragraph (a) of this 
section, waive the requirements of Sec. 18.94 with respect to such 
application if he determines that the submission of photographs, 
drawings, specifications, or descriptions will place an undue financial 
burden upon the applicant. In the event a waiver is granted in 
accordance with this paragraph (b), initial review of the application 
will be waived and the applicant shall be notified on MSHA Form 6-1481 
of such waiver and the date, time, and location at which field 
inspection of the equipment described in the application will be 
conducted.
    (c) Following receipt of an application filed in accordance with 
paragraph (a) of this section, the Coal Mine Health and Safety District 
Manager shall determine whether the application has been filed in 
accordance with Sec. 18.91, and cause the application to be reviewed by 
a qualified electrical representative to determine compliance with Sec. 
18.92:
    (1) If it is determined on the basis of the application or the data 
submitted in accordance with Sec. 18.94 that further consideration of a 
field approval is warranted under this subpart E or that the machine 
appears suitable and safe for its intended use, the Coal Mine Health and 
Safety District Manager shall advise the applicant in writing that 
further investigation and inspection of the machine will be necessary. 
The notice issued by the Coal Mine Health and Safety District Manager 
shall set forth the time and place at which such inspection will be 
conducted and specify the location and size of any tapped holes required 
to be made by the applicant to facilitate the pressure testing of 
enclosures.
    (2) If it is determined on the basis of data submitted in accordance 
with Sec. 18.94 that the applicant is not qualified to receive an 
approval or that the machine does not appear to be suitable

[[Page 128]]

and safe for its intended use, the Coal Mine Health and Safety District 
Manager shall so advise the applicant in writing, setting forth the 
reasons for his denial of the application, and where applicable, the 
deficiencies in the machine which rendered it unsuitable or unsafe for 
use.
    (3) Rejected applications, together with attached photographs, 
drawings, specifications and descriptions shall be forwarded by the Coal 
Mine Health and Safety District Manager to Approval and Certification 
Center which shall record all pertinent data with respect to the machine 
for which field approval was sought.

[33 FR 4660, Mar. 19, 1968, as amended at 43 FR 12314, Mar. 24, 1978]



Sec. 18.94  Application for field approval; contents of application.

    (a) Each application for field approval shall, except as provided in 
Sec. 18.93(b), include the following information with respect to the 
electrically operated machine for which field approval is sought:
    (1) The trade name and the certification number or other means of 
identifying any explosion-proof compartment or intrinsically-safe 
component installed on the machine for which a prior approval or 
certification has been issued under the provisions of Bureau of Mines 
Schedules 2D, 2E, 2F, or 2G.
    (2) The trade name and the flame-resistance acceptance or approval 
number of any cable, cord, hose, or conveyor belt installed on the 
machine for which prior acceptance or approval by MSHA has been issued.
    (b) Each application for field approval shall be accompanied by:
    (1) If the machine is constructed or assembled entirely from 
components which have been certified or removed from machines approved 
under Bureau of Mines Schedule 2D, 2E, 2F, or 2G, photographs or a 
single layout drawing which clearly depicts and identifies each of the 
permissible components and its location on the machine.
    (2) If the machine contains one or more components required to be 
permissible which has not been approved or certified under Bureau of 
Mines Schedule 2D, 2E, 2F, or 2G, a single layout drawing which clearly 
identifies all of the components from which it was assembled.
    (3) All applications shall include specifications for:
    (i) Overcurrent protection of motors;
    (ii) All wiring between components, including mechanical protection 
such as hose conduit and clamps;
    (iii) Portable trailing cable for use with the machine, including 
the type, length, diameter, and number and size of conductors;
    (iv) Insulated strain clamp for machine end of portable trailing 
cable;
    (v) Short-circuit protection to be provided at outby end of portable 
trailing cable.

[33 FR 4660, Mar. 19, 1968, as amended at 57 FR 61223, Dec. 23, 1992]



Sec. 18.95  Approval of machines constructed of components approved, accepted 

or certified under Bureau of Mines Schedule 2D, 2E, 2F, or 2G.

    Machines for which field approval is sought which are constructed 
entirely from properly identified components that have been investigated 
and accepted or certified for applications on approved machines under 
the Bureau of Mines Schedule 2D, 2E, 2F, or 2G, shall be approved 
following a determination by the electrical representative that the 
construction of the entire machine is permissible and conforms to the 
data submitted in accordance with Sec. 18.94.



Sec. 18.96  Preparation of machines for inspection; requirements.

    (a) Upon receipt of written notice from the Health and Safety 
District Manager of the time and place at which a field approval 
investigation will be conducted with respect to any machine, the 
applicant will prepare the machine for inspection in the following 
manner:
    (1) The machine shall be in fresh air out by the last open crosscut 
and free from obstructions, or, if the machine is located on the 
surface, moved to a clear area;
    (2) All enclosure covers shall be removed;
    (3) The flanges and interior of each enclosure, including the cover, 
shall be cleaned thoroughly;

[[Page 129]]

    (4) All hoses, cables, cord, and conveyor belts shall be wiped clean 
to expose surface markings;
    (5) All electrical components shall be cleaned to reveal all 
stampings, identification plates, certification numbers, or explosion 
test markings.



Sec. 18.97  Inspection of machines; minimum requirements.

    (a) Except as provided in Sec. 18.95, all machines approved under 
the provisions of this subpart E shall, where practicable, meet the 
minimum design and performance requirements set forth in subpart B of 
this part 18 and, where necessary, the requirements of Sec. 18.98.
    (b) The inspection of each machine shall be conducted by an 
electrical representative and such inspection shall include:
    (1) Examination of all electrical components for materials, 
workmanship, design, and construction;
    (2) Examination of all components of the machine which have been 
approved or certified under Bureau of Mines Schedule 2D, 2E, 2F, or 2G 
to determine whether such components have been maintained in permissible 
conditions;
    (3) Comparison of the location of components on the machine with the 
drawings or photographs submitted to determine that each of them is 
properly located, identified and marked;
    (4) Pressure testing of explosion-proof compartments, when 
necessary, shall be conducted in accordance with Sec. 18.98; and:
    (i) Where the results of pressure testing are acceptable, the 
applicant shall be advised;
    (ii) Where the explosion-proof enclosure is found unacceptable, the 
applicant shall be so informed;
    (iii) If the performance of the explosion-proof enclosure is 
questionable, the qualified electrical representative may, at the 
request of the applicant, conduct a further detailed examination of the 
enclosure after disassembly and record his additional findings on MSHA 
Form No. 6-1481 under Results of Field Inspections.

[33 FR 4660, Mar. 19, 1968, as amended at 42 FR 8373, Feb. 10, 1977]



Sec. 18.98  Enclosures, joints, and fastenings; pressure testing.

    (a) Cast or welded enclosures shall be designed to withstand a 
minimum internal pressure of 150 pounds per square inch (gage). Castings 
shall be free from blowholes.
    (b) Pneumatic field testing of explosion-proof enclosures shall be 
conducted by determining:
    (1) Leak performance with a peak dynamic or static pressure of 150 
pounds per square inch (gage); or
    (2) A pressure rise and rate of decay consistent with unyielding 
components during a pressure-time history as derived from a series of 
oscillograms.
    (c) Welded joints forming an enclosure shall have continuous 
gastight welds.



Sec. 18.99  Notice of approval or disapproval; letters of approval and 

approval plates.

    Upon completion of each inspection conducted in accordance with 
Sec. 18.97(b), the electrical representative conducting such inspection 
shall record his findings with respect to the machine examined on MSHA 
Form No. 6-1481 together with his recommendation of approval or 
disapproval of the machine.
    (a) If the qualified electrical representative recommends field 
approval of the machine, the Coal Mine Health and Safety District 
Manager shall forward the completed application form together with all 
attached photographs, drawings, specifications, and descriptions to 
Approval and Certification Center. Approval and Certification Center 
shall record all pertinent data with respect to such machine, issue a 
letter of approval with a copy to the Coal Mine Health and Safety 
District Manager who authorized its issuance and send the field approval 
plate to the applicant. The approval plate shall be affixed to the 
machine by the applicant in such a manner so as not to impair its 
explosion-proof characteristics.
    (b) If the electrical representative recommends disapproval of the 
machine, he shall record the reasons for such disapproval and the Coal 
Mine Health and Safety District Manager

[[Page 130]]

shall forward the completed application form and other data to Approval 
and Certification Center which shall record all pertinent data with 
respect to such machine and notify the applicant that the application 
for approval has been rejected and the reasons for the rejection.

[33 FR 4660, Mar. 19, 1968, as amended at 42 FR 8373, Feb. 10, 1977; 43 
FR 12314, Mar. 24, 1978]



PART 19_ELECTRIC CAP LAMPS--Table of Contents




Sec.
19.1 Purpose.
19.2 [Reserved]
19.3 Application procedures and requirements.
19.4 Conditions governing investigations.
19.5 General requirements for approval.
19.6 Specific requirements for approval.
19.7 Protection against explosion hazard.
19.8 Protection against bodily hazard.
19.9 Performance.
19.10 Material required for MSHA records.
19.11 How approvals are granted.
19.12 Wording, purpose, and use of approval plate.
19.13 Instructions for handling future changes in lamp design.

    Authority: 30 U.S.C. 957, 961.
    Secs. 19.1(b) and 19.7(a) also issued under 30 U.S.C. 811.

    Source: Schedule 6D, 4 FR 4003, Sept. 21, 1939, unless otherwise 
noted.



Sec. 19.1  Purpose.

    (a) The purpose of investigations made under this part is to promote 
the development of electric cap lamps that may be used in mines, 
especially in mines that may contain dangerous concentrations of 
methane. Lists of such lamps will be published from time to time in 
order that State mine-inspection departments, compensation bureaus, mine 
operators, miners, and others interested in safe equipment for mines may 
have information in regard to available permissible electric cap lamps. 
This part supersedes Schedule 6C issued under date of December 21, 1935, 
and goes into effect August 26, 1939.
    (b) Any electric cap lamp that meets the requirements set forth in 
this part will be termed ``permissible'' by MSHA and, if actively 
marketed, will be listed as such in publications relating to permissible 
electric cap lamps. MSHA will test only electrical equipment that in the 
opinion of its qualified representatives is constructed of suitable 
materials, is of good quality workmanship, is based on sound engineering 
principles, and is safe for its intended use. MSHA reserves the right to 
modify design, construction, and test requirements to obtain the same 
degree of protection as provided by the tests described in this part.
    (c) Definition of permissible. Completely assembled and conforming 
in every respect with the design formally approved by the MSHA under 
this part. (Approvals under this part are given only to equipment for 
use in gassy and dusty mines.)
    Note: Paragraph (b) of this section is issued under the authority of 
Sec. 101 of the Federal Mine Safety and Health Act of 1977, Pub. L. 91-
173 as amended by Pub. L. 95-164, 91 Stat. 1291 (30 U.S.C. 811). All 
other paragraphs in this section continue under the original authority.

(Sec. 101, Federal Mine Safety and Health Act of 1977, 91 Stat. 1291 (30 
U.S.C. 811))

[Sched. 6D, 4 FR 4003, Sept. 21, 1939, as amended by Supp. 1, 20 FR 
2718, Apr. 23, 1955; 47 FR 11369, Mar. 16, 1982]



Sec. 19.2  [Reserved]



Sec. 19.3  Application procedures and requirements.

    (a) Before MSHA will undertake the active investigation leading to 
approval of any lamp, the applicant shall make application by letter for 
an investigation leading to approval of the lamp. This application shall 
be sent to: U.S. Department of Labor, Mine Safety and Health 
Administration, Approval and Certification Center, RR 1, Box 
251, Industrial Park Road, Triadelphia, West Virginia 26059, together 
with the required drawings, one complete lamp, and instructions for its 
operation. Fees calculated in accordance with part 5 of this title shall 
be submitted in accordance with Sec. 5.40.
    (b) Where the applicant for approval has used an independent 
laboratory under part 6 of this chapter to perform, in whole or in part, 
the necessary testing and evaluation for approval under this part, the 
applicant must provide to MSHA as part of the approval application:

[[Page 131]]

    (1) Written evidence of the laboratory's independence and current 
recognition by a laboratory accrediting organization;
    (2) Complete technical explanation of how the product complies with 
each requirement in the applicable MSHA product approval requirements;
    (3) Identification of components or features of the product that are 
critical to the safety of the product; and
    (4) All documentation, including drawings and specifications, as 
submitted to the independent laboratory by the applicant and as required 
by this part.
    (c) An applicant may request testing and evaluation to non-MSHA 
product safety standards which have been determined by MSHA to be 
equivalent, under Sec. 6.20 of this chapter, to MSHA's product approval 
requirements under this part.

[68 FR 36419, June 17, 2003, as amended at 70 FR 46342, Aug. 9, 2005]



Sec. 19.4  Conditions governing investigations.

    (a) One complete lamp, with the assembly and detail drawings that 
show the construction of the lamp and the materials of which it is made, 
should be submitted at the time the application for test is made. This 
material should be sent prepaid to Approval and Certification Center, RR 
1, Box 251, Industrial Park Road, Triadelphia, WV 26059.
    (b) When this lamp has been inspected by MSHA, the applicant will be 
notified as to the amount of material that will be required for the 
tests. In general, the material required will be as follows: (1) Thirty 
complete lamps; (2) 500 bulbs; (3) 50 feet of cord; (4) a battery 
discharge rack for 20 batteries; and (5) a 50-bulb rack. Specifications 
for items (4) and (5) will be furnished by MSHA.
    (c) The applicant will be notified of the date on which the tests 
will start and will be given an opportunity to witness them.
    (d) Observers at formal investigations and demonstrations. No one 
shall be present during any part of the formal investigation conducted 
by MSHA which leads to approval for permissibility except the necessary 
Government personnel, representatives of the applicant, and such other 
persons as may be mutually agreed upon by the applicant and MSHA. Upon 
granting approval for permissibility, MSHA will announce that such 
approval has been granted to the device and may thereafter conduct, from 
time to time in its discretion, public demonstrations of the tests 
conducted on the approved device. Those who attend any part of the 
investigation, or any public demonstration, shall be present solely as 
observers; the conduct of the investigation and of any public 
demonstration shall be controlled by MSHA. Results of chemical analyses 
of material and all information contained in the drawings, 
specifications, and instructions shall be deemed confidential and their 
disclosure will be appropriately safeguarded by MSHA.
    (e) Permissibility tests will not be made unless the lamp has been 
completely developed and is in a form that can be marketed.
    (f) The results of the tests shall be regarded as confidential by 
all present at the tests and shall not be made public in any way prior 
to the formal approval of the lamp by MSHA.
    (g) No verbal report of approval or disapproval will be made to the 
applicant. After MSHA has considered the results of the tests, a formal 
report of the approval or disapproval will be made to the applicant in 
writing by Approval and Certification Center. The applicant shall not 
advertise the lamp as being permissible or as having passed the tests 
prior to receipt of formal notice of approval.

[Sched. 6D, 4 FR 4003, Sept. 21, 1939, as amended by Supp. 1, 20 FR 
2718, Apr. 23, 1955; 43 FR 12314, Mar. 24, 1978; 60 FR 35693, July 11, 
1996]



Sec. 19.5  General requirements for approval.

    Electric cap lamps shall be complete units. They shall be durable in 
construction, practical in operation, and suitable for the conditions of 
underground service. They shall offer no probable explosion hazard if 
used in gassy or dusty mine atmospheres or bodily hazard from the 
spilling of the battery electrolyte. They shall exhibit, under 
laboratory test conditions, the

[[Page 132]]

various minimum performance requirements specified in this part.



Sec. 19.6  Specific requirements for approval.

    (a) Design. In the determination of the adequacy of the lamp, with 
respect to design, the following points will be considered: (1) The 
materials used; (2) construction; (3) weight; (4) amount of light; (5) 
distribution of light; and (6) exclusion of dust from the headpiece. The 
suitability of the materials and the construction shall be determined by 
preliminary inspection, by dropping tests, \1\ by durability tests of 
the cord and cord armor, \2\ and by the general behavior of the lamp 
equipment during the investigation. The amount and distribution of the 
light shall be judged both by observation of the illumination on a white 
screen and by photometric measurements.
---------------------------------------------------------------------------

    \1\ Batteries are dropped 3 feet, at least 20 times onto an oak 
floor. Headpieces are dropped 6 feet, at least 20 times, onto concrete.
    \2\ Ten cords, assembled with the cord armor and outlet of the lamp 
with which it is to be used, are slatted at least 100,000 times through 
an arc of 50 degrees at approximately 90 slattings per minute.
---------------------------------------------------------------------------

    (b) Angle of light beam. MSHA recommends that the angle of the light 
beam be at least 130 degrees horizontally to insure that the contrast 
edge of the beam is away from the more sensitive sector of the wearer's 
vision; however, to allow for manufacturing and assembly tolerances and 
the use of multiple filament bulbs, MSHA will approve lamps giving a 
minimum beam angle of 120 degrees. If the bulb has more than one major 
filament, the one giving the smaller angle will be used in the 
determination.
    (c) Light distribution, visual. Excepting special headpieces for 
inspection purposes, the area illuminated by the beam shall be free from 
sharp gradations in light intensity and spectral shadows.
    (d) Light distribution, photometric. (1) Excepting special 
headpieces for inspection purposes, the maximum candlepower of the light 
beam shall not be greater than 25 times the average or mean candlepower 
of the beam. \3\
---------------------------------------------------------------------------

    \3\ The minimum allowable angle of 120 degrees will be used in 
determining the mean candlepower of the beam.
---------------------------------------------------------------------------

    (2) The minimum candlepower of the beam based upon readings at the 
design voltage of the bulb shall not be less than 1.



Sec. 19.7  Protection against explosion hazard.

    Unless properly designed, electric cap lamps may present two sources 
of probable explosion hazards: Ignition of an explosive atmosphere by 
the heated filament of the bulb in case the bulb glass is accidentally 
broken, and ignition by sparks or flashes from the battery. MSHA 
therefore requires the following safeguards:
    (a) Safety device or design. The headpiece shall have a safety 
device to prevent the ignition of explosive mixtures of methane and air 
if the bulb glass surrounding the filament is broken. Alternatively, if 
the lamp is designed and constructed to prevent the ignition of 
explosive mixtures of methane and air by protecting the bulb from 
breakage and preventing exposure of the hot filament, no safety device 
is required.
    (b) Headpiece lock or seal. The headpiece shall be provided with a 
lock or seal to prevent unauthorized removal of the lens and tampering 
with the safety device, the bulb, or the electrical contacts.
    (c) Locks on charging terminals. Lamps shall be equipped with a 
magnetic or other equally effective lock at the battery, the headpiece, 
or the cord assembly to prevent unauthorized access to live charging 
terminals.
    (d) Protection of battery terminals. The battery covers of lamps 
that are recharged through the cord shall be so constructed and 
assembled as to prevent unauthorized access to the battery terminals.
    (e) Battery current restricted. The amount of current flow between 
the conductors of the cord, if short-circuited just outside of the 
battery casing or cord armor, shall be limited by the design of the 
battery or by a fuse to such a value\4\ as will not

[[Page 133]]

produce sparks that will ignite an explosive mixture of methane and air.
---------------------------------------------------------------------------

    \4\ The following maximum short-circuit current values may be used 
as a guide in the design of cap lamp batteries: 100 amperes for a 4-volt 
battery; 75 amperes for a 6-volt battery; 50 amperes for an 8-volt 
battery.
---------------------------------------------------------------------------

    (f) It shall not be possible to obtain a difference of potential 
between any two accessible points of the cap lamp when assembled for 
use.
    Note: Paragraph (a) of this section is issued under the authority of 
Sec. 101 of the Federal Mine Safety and Health Act of 1977, Pub. L. 91-
173 as amended by Pub. L. 95-164, 91 Stat. 1291 (30 U.S.C. 811). All 
other paragraphs in this section continue under the original authority.

(Sec. 101, Federal Mine Safety and Health Act of 1977, 91 Stat. 1291 (30 
U.S.C. 811))

[Sched. 6D, 4 FR 4003, Sept. 21, 1939, as amended at 47 FR 11369, Mar. 
16, 1982]



Sec. 19.8  Protection against bodily hazard.

    This hazard is chiefly due to the possible burning of the wearer by 
electrolyte spilled from the battery. MSHA therefore requires that:
    (a) Spilling of electrolyte. The lamp shall be so designed and 
constructed that, when properly filled, the battery will neither leak 
nor spill electrolyte under actual service conditions. Lamps passing a 
laboratory spilling test will be considered satisfactory in this 
respect, contingent upon satisfactory performance in service.
    (b) Corrosion of battery container. The material of which the 
container is made shall resist corrosion under conditions of use.



Sec. 19.9  Performance.

    In addition to the general design and the safety features, MSHA 
considers that a lamp of permissible type should meet certain minimum 
requirements with respect to performance, as follows:
    (a) Time of burning and candlepower. Permissible electric cap lamps 
shall burn for at least 10 consecutive hours on one charge of the 
battery and shall give during that period a mean candlepower of light 
beam of not less than 1.
    (b) Bulb life. The average life of the bulbs shall be not less than 
200 hours, and at least 92 percent of the bulbs shall have a life of 150 
hours. The life of a bulb is the number of hours its main filament will 
burn in the cap lamp or its equivalent.
    The life of a bulb having main filaments in parallel is considered 
ended when the first filament ceases to burn; the life of a bulb having 
independent main filament is considered ended when the last filament 
ceases to burn.
    (c) Bulb uniformity. (1) The bulbs submitted shall meet the 
following minimum requirements for variation in current consumption and 
candlepower:
    (2) The current consumption of at least 94 percent of the bulbs 
shall not exceed the average current by more than 6 percent. The 
candlepower (s. cp.) of at least 90 percent of the bulbs shall not fall 
short of the average candlepower by more than 30 percent.
    (d) Corrosion of contacts. Battery terminals and leads therefrom, as 
well as the battery gas vents, shall be designed to minimize corrosion 
of the electrical contacts.

[Sched. 6D, 4 FR 4003, Sept. 21, 1939, as amended at 47 FR 11369, Mar. 
16, 1982]



Sec. 19.10  Material required for MSHA records.

    In order that MSHA may know exactly what it has tested and approved, 
detailed records are kept covering each investigation. These include 
drawings and actual equipment, as follows:
    (a) Drawings. The original drawings submitted with the application 
for the tests and the final drawings, which the manufacturer must submit 
to MSHA before the approval is granted, to show the details of the lamp 
as approved. These drawings are used to identify the lamp in the 
approval and as a means of checking the future commercial product of the 
manufacturer.
    (b) Actual equipment. (1) If MSHA so desires, parts of the lamps 
which are used in the tests will be retained as a permanent record of 
the investigation and of the lamps submitted.
    (2) If the lamp is approved, MSHA will require the manufacturer, as 
soon as his first manufactured lamps are available, to submit one 
complete lamp, bearing the approval plate, as a record of his commercial 
product.



Sec. 19.11  How approvals are granted.

    (a) All approvals are granted by official letter from MSHA. A lamp 
will be

[[Page 134]]

approved under this part only when the testing engineers judge that the 
lamp has met the requirements of the part and MSHA's records concerning 
the lamp are complete, including drawings from the manufacturer that 
show the lamp as it is to be commercially made. No verbal reports of 
MSHA's decisions, concerning the investigation will be given, and no 
informal approvals will be granted.
    (b) As soon as the manufacturer has received the formal approval he 
shall be free to advertise his lamps as permissible.

[Sched. 6D, 4 FR 4003, Sept. 21, 1939, as amended by Supp. 1, 20 FR 
2718, Apr. 23, 1955]



Sec. 19.12  Wording, purpose, and use of approval plate.

    (a) Approval plate. The manufacturer shall attach, stamp, or mold an 
approval plate on the battery container of each permissible lamp. The 
plate shall bear the emblem of the Mine Safety and Health Administration 
and be inscribed as follows: ``Permissible Electric Cap Lamp. Approval 
No. -------- issued to the -------- Company.'' When deemed necessary, an 
appropriate caution statement shall be added. The size and position of 
the approval plate shall be satisfactory to MSHA.
    (b) Purpose of approval plate. The approval plate is a label which 
identifies the lamp so that anyone can tell at a glance whether or not 
the lamp is of the permissible type. By it, the manufacturer can point 
out that his lamp complies with specifications of MSHA and that it has 
been judged as suitable for use in gassy mines.
    (c) Use of approval plate. Permission to place MSHA's approval plate 
on his lamp obligates the manufacturer to maintain the quality of his 
product and to see that each lamp is constructed according to the 
drawings which have been accepted by MSHA for this lamp and which are in 
MSHA's files. Lamps exhibiting changes in design which have not been 
approved are not permissible lamps and must not bear MSHA's approval 
plate.
    (d) Withdrawal of approval. MSHA reserves the right to rescind, for 
cause, at any time any approval granted under this part.

[Sched. 6D, 4 FR 4003, Sept. 21, 1939, as amended at 43 FR 12314, Mar. 
24, 1978]



Sec. 19.13  Instructions for handling future changes in lamp design.

    All approvals are granted with the understanding that the 
manufacturer will make his lamp according to the drawings which he has 
submitted to MSHA and which have been considered and included in the 
approval. Therefore, when he desires to make any change in the design of 
the lamp, he should first of all obtain MSHA's approval of the change. 
The procedure is as follows:
    (a)(1) The manufacturer shall write to the Approval and 
Certification Center, Rural Route 1, Box 251, Industrial Park 
Road, Triadelphia, WV 26059, requesting an extension of the original 
approval and stating the change or changes desired. With this letter the 
manufacturer should submit a revised drawing or drawings showing the 
changes in detail, and one of each of the changed lamp parts.
    (2) Where the applicant for approval has used an independent 
laboratory under part 6 of this chapter to perform, in whole or in part, 
the necessary testing and evaluation for approval of changes to an 
approved product under this part, the applicant must provide to MSHA as 
part of the approval application:
    (i) Written evidence of the laboratory's independence and current 
recognition by a laboratory accrediting organization;
    (ii) Complete technical explanation of how the product complies with 
each requirement in the applicable MSHA product approval requirements;
    (iii) Identification of components or features of the product that 
are critical to the safety of the product; and
    (iv) All documentation, including drawings and specifications, as 
submitted to the independent laboratory by the applicant and as required 
by this part.
    (b) MSHA will consider the application and inspect the drawings and 
parts to determine whether it will be necessary to make any tests.

[[Page 135]]

    (c) If no tests are necessary, the applicant will be advised of the 
approval or disapproval of the change by letter from MSHA.
    (d) If tests are judged necessary, the applicant will be advised of 
the material that will be required.

[Sched. 6D, 4 FR 4003, Sept. 21, 1939, as amended by Supp. 1, 20 FR 
2718, Apr. 23, 1955; 43 FR 12314, Mar. 24. 1978; 52 FR 17514, May 8, 
1987; 60 FR 35693, July, 11, 1995; 68 FR 36419, June 17, 2003]



PART 20_ELECTRIC MINE LAMPS OTHER THAN STANDARD CAP LAMPS--Table of Contents




Sec.
20.0 Compliance with the requirements necessary for obtaining approval.
20.1 Purpose.
20.2 Definitions.
20.3 Application procedures and requirements.
20.4 [Reserved]
20.5 Conditions governing investigations.
20.6 General requirements.
20.7 Specific requirements.
20.8 Class 1 lamps.
20.9 Class 2 lamps.
20.10 Tests (class 1 and 2 lamps).
20.11 Material required for MSHA records.
20.12 How approvals are granted.
20.13 Approval plate.
20.14 Instructions for handling future changes in lamp design.

    Authority: 30 U.S.C. 957, 961.

    Source: Schedule 10C, May 17, 1938, as amended at 5 FR 3467, Aug. 
30, 1940, unless otherwise noted.



Sec. 20.0  Compliance with the requirements necessary for obtaining approval.

    To receive approval of MSHA for any electric mine lamps other than 
standard cap lamps a manufacturer must comply with the requirements 
specified in this part.



Sec. 20.1  Purpose.

    (a) The purpose of the investigations made under this part is to aid 
in the development and use of electric lamps, other than standard cap 
lamps, that may be used in mines, especially in mines that may contain 
dangerous proportions of methane.
    (b) This part supersedes Schedule 10B, issued under date of June 1, 
1932, and Schedule 11A, issued under date of January 13, 1936, and goes 
into effect May 17, 1938.
    (c)(1) Electric lamps and flashlights that meet the requirements set 
forth in this part will be termed ``permissible'' by MSHA, and if 
actively marketed will be listed as such in publications relating to 
permissible equipment, in order that State mine inspection departments, 
compensation bureaus, mine operators, miners, and others interested in 
safety equipment for mines may have information in regard to electric 
lamps and flashlights approved by MSHA.
    (2) MSHA May approve electric lamps and flashlights that incorporate 
technology for which the requirements of this part are not applicable if 
MSHA determines by testing that the electric lamps or flashlights are as 
safe as those which meet the requirements of this part.

[Sched. 10C, May 17, 1938, as amended at 5 FR 3467, Aug. 30, 1940; 54 FR 
30513, July 20, 1989]



Sec. 20.2  Definitions.

    (a) Adequate. Appropriate and sufficient as determined by mutual 
agreement between the manufacturer and MSHA.
    (b) Approval. Official notification in writing from MSHA to a 
responsible organization, stating that upon investigation its lamp has 
been adjudged satisfactory under the requirements of this part.
    (c) Explosion-proof compartment. An enclosure that withstands 
internal explosions of methane-air mixtures without damage to itself or 
discharge of flame and without ignition of surrounding explosive 
methane-air mixtures.
    (d) Permissible. Completely assembled and conforming in every 
respect with the design formally approved by MSHA under this part. 
(Approvals under this part are given only to equipment for use in gassy 
and dusty mines.)

[Sched. 10C, May 17, 1938, as amended by Supp. 1, 20 FR 2718, Apr. 23, 
1955]



Sec. 20.3  Application procedures and requirements.

    (a) Before MSHA will undertake the active investigation of any lamp, 
the applicant shall make application by

[[Page 136]]

letter for an investigation of the lamp. This application shall be sent 
to: U.S. Department of Labor, Mine Safety and Health Administration, 
Approval and Certification Center, RR 1, Box 251, Industrial 
Park Road, Triadelphia, West Virginia 26059, together with the required 
drawings, one complete lamp, and instructions for its operation. Fees 
calculated in accordance with part 5 of this title shall be submitted in 
accordance with Sec. 5.40.
    (b) Where the applicant for approval has used an independent 
laboratory under part 6 of this chapter to perform, in whole or in part, 
the necessary testing and evaluation for approval under this part, the 
applicant must provide to MSHA as part of the approval application:
    (1) Written evidence of the laboratory's independence and current 
recognition by a laboratory accrediting organization;
    (2) Complete technical explanation of how the product complies with 
each requirement in the applicable MSHA product approval requirements;
    (3) Identification of components or features of the product that are 
critical to the safety of the product; and
    (4) All documentation, including drawings and specifications, as 
submitted to the independent laboratory by the applicant and as required 
under this part.
    (c) An applicant may request testing and evaluation to non-MSHA 
product safety standards which have been determined by MSHA to be 
equivalent, under Sec. 6.20 of this chapter, to MSHA's product approval 
requirements under this part.

[68 FR 36420, June 17, 2003, as amended at 70 FR 46343, Aug. 9, 2005]



Sec. 20.4  [Reserved]



Sec. 20.5  Conditions governing investigations.

    (a) One complete lamp, with assembly and detail drawings that show 
the construction of the lamp and the materials of which it is made, 
should be submitted at the time the application for investigation is 
made. This material should be sent prepaid to Approval and Certification 
Center, RR 1, Box 251, Industrial Park Road, Triadelphia, WV 26059.
    (b) When the lamp has been inspected by MSHA, the applicant will be 
notified as to the amount of material that will be required for the 
test. He will also be notified of the date on which the tests will start 
and will be given an opportunity to witness the tests.
    (c) Observers at formal investigations and demonstrations. No one 
shall be present during any part of the formal investigation conducted 
by MSHA which leads to approval for permissibility except the necessary 
Government personnel, representatives of the applicant, and such other 
persons as may be mutually agreed upon by the applicant and MSHA. Upon 
granting approval for permissibility, MSHA will announce that such 
approval has been granted to the device and may thereafter conduct, from 
time to time in its discretion, public demonstrations of the tests 
conducted on the approved device. Those who attend any part of the 
investigation, or any public demonstration, shall be present solely as 
observers; the conduct of the investigation and of any public 
demonstration shall be controlled by MSHA. Results of chemical analyses 
of material and all information contained of material and all 
information contained in the drawings, specifications, and instructions 
shall be deemed confidential and their disclosure will be appropriately 
safeguarded by MSHA.
    (d) Permissibility tests will not be made unless the lamp is 
complete and in a form that can be marketed.
    (e) The results of the tests shall be regarded as confidential by 
all present at the tests and shall not be made public in any way prior 
to the formal approval of the lamp by MSHA.
    (f) No verbal report of approval or disapproval will be made to the 
applicant. Approval will be made only in writing by MSHA. The applicant 
shall not be free to advertise the lamp as being permissible, or as 
having passed the tests, prior to receipt of formal notice of approval.

[Sched. 10C, May 17, 1938, as amended by Supp. 1, 20 FR 2719, Apr. 23, 
1955; 43 FR 12314, Mar. 24, 1978; 60 FR 35693, July, 11, 1995]

[[Page 137]]



Sec. 20.6  General requirements.

    (a) The lamps shall be durable in construction, practical in 
operation, and suitable for the service for which they are designed and 
approved.
    (b) The intensity of light, distribution of light, and battery 
capacity shall be adequate for the use for which the lamp is intended.
    (c) Battery terminals and leads therefrom, as well as the battery 
gas vents, shall be designed to minimize corrosion of the electrical 
contacts.
    (d) Bulbs and other replacement parts of the lamps shall be 
adequately marked as a means of identification.



Sec. 20.7  Specific requirements.

    Two general classes of electric lamps are recognized in these 
requirements, namely: Class 1, those that are self-contained and easily 
carried by hand, and class 2, those that may or may not be self-
contained and not so readily portable as the first class.
    (a) Class 1. Class 1 includes hand lamps, signal lamps, inspection 
lamps, flashlights, and animal lamps which are operated by small storage 
batteries or dry cells.
    (b) Class 2. Class 2 includes lamps such as the pneumatic-electric 
types and large battery lamps.



Sec. 20.8  Class 1 lamps.

    (a) Protection against explosion hazards. Unless properly designed, 
class 1 lamps present two sources of probable explosion hazards: 
Ignition of an explosive atmosphere by the heated filament of the bulb 
in case the bulb glass is accidentally broken, and ignition by electric 
sparks or arcs from the battery or connections thereto. MSHA's 
therefore, requires the following safeguards:
    (1) Safety device or design. The lighting unit shall have a safety 
device to prevent the ignition of explosive mixtures of methane and air 
if the bulb glass surrounding the filament is broken. Alternatively, if 
the lamp is designed and constructed of materials that will prevent the 
ignition of explosive mixtures of methane and air by protecting the bulb 
from breakage and preventing exposure of the hot filament, no separate 
safety device is required. Alternative designs will be evaluated by 
mechanical impact tests, temperature tests and thermal shock tests to 
determine that the protection provided is no less effective than a 
safety device.
    (2) Safety device (protection). The design of the safety device and 
the housing which protects it shall be such that the action of the 
safety device is positive; yet the lamp shall not be too readily 
extinguished during normal service by the unnecessary operation of the 
device.
    (3) Locks or seals. For lamps other than flashlights, all parts, 
such as bulb housing and battery container, through which access may be 
had to live terminals or contacts shall be adequately sealed or equipped 
with magnetic or other equally reliable locks to prevent opening by 
unauthorized persons. For flashlights, provision shall be made for 
sealing the battery container.
    (4) Battery current restricted. Unless all current-carrying parts 
including conductors, are adequately covered and protected by the sealed 
or locked compartments, the maximum possible current flow through that 
part shall be limited by battery design, or by an enclosed-type fuse 
inside the sealed or locked container, to values that will not produce 
sparks or arcs sufficient to ignite an explosive mixture of methane and 
air.
    (b) Protection against bodily hazard. This hazard is chiefly due to 
the possible burning of the user by electrolyte spilled from the 
battery. MSHA, therefore, requires that:
    (1) Spilling of electrolyte. The lamp shall be so designed and 
constructed that when properly filled the battery will neither leak nor 
spill electrolyte under conditions of normal use. Lamps passing a 
laboratory spilling test will be considered satisfactory in this 
respect, contingent upon satisfactory performance in service.
    (2) Corrosion of battery container. The material of which the 
container is made shall resist corrosion under conditions of normal use.

[Sched. 10C, May 17, 1938, as amended at 5 FR 3467, Aug. 30, 1940; 54 FR 
30513, July 20, 1989]



Sec. 20.9  Class 2 lamps.

    (a) Safety. (1) Unless special features of the lamp prevent ignition 
of explosive mixtures of methane and air by

[[Page 138]]

the broken bulb or other igniting sources within the lamp, the bulb and 
all spark-producing parts must be enclosed in explosion-proof 
compartments.
    (2) Explosion-proof compartments will be tested while filled and 
surrounded with explosive mixtures of Pittsburgh natural gas \1\ and 
air. A sufficient number of tests of each compartment will be made to 
prove that there is no danger of ignition of the mixture surrounding the 
lamp by explosions within the compartment. The lamp will not pass the 
above tests, even though the surrounding explosive mixtures are not 
ignited, if external flame is observed, if excessive pressures are 
developed, or if excessive distortion of any part of the compartment 
takes place.
---------------------------------------------------------------------------

    \1\ Investigation has shown that for practical purposes Pittsburgh 
natural gas (containing a high percentage of methane) is a satisfactory 
substitute for pure methane.
---------------------------------------------------------------------------

    (3) Glass-enclosed parts of such compartments must be guarded and be 
of extra-heavy glass to withstand pick blows, and be adequately 
protected by shrouds or by an automatic cut-out that opens the lamp 
circuit if the enclosure is broken.
    (4) When an explosion-proof enclosure consists of two or more parts 
that are held together securely by bolts or some suitable means to 
permit assembly, the flanges comprising the joints between parts shall 
have surfaces with metal-to-metal contact, except enclosures requiring 
glass, in which case glass-to-metal joints are permitted. Gaskets, if 
adequate, may be used to obtain a firm seat for the glass but not 
elsewhere. Rubber, putty, and plaster of paris are not acceptable as 
material for gaskets. For enclosures having an unoccupied volume (air 
space) of more than 60 cubic inches the width of the joint measured 
along the shortest flame path from the inside to the outside of the 
enclosure shall not be less than 1 inch. When the unoccupied volume (air 
space) is less than 60 cubic inches, this path shall not be less than 
three-fourths inch.
    (b) Locks and seals (lighting attachment). Explosion-proof 
compartments shall be equipped with seals or locks that prevent 
unauthorized and unsafe opening of the compartments in a mine.
    (c) Locks or seals (battery). The battery shall be enclosed in a 
locked or sealed container that will prevent exposure of live terminals.
    (d) Temperature of lamp. The temperature of the lamp under 
conditions of use shall not be such that a person may be burned in 
handling it.
    (e) Cable and connection. (1) The cable or cord connecting the lamp 
to its battery shall be of high-grade design and materials, comparable 
to the specially recommended trailing cables as listed by MSHA, and 
shall be not more than 15 feet in length.
    (2) The cable (or cord) shall be adequately protected at the battery 
end by a fuse in the locked battery box or housing. The cable (or cord) 
and the fuse shall be considered parts of the lamp, and specifications 
for them shall be submitted by the lamp manufacturer.
    (3) The method of terminating the cable (or cord) at the lamp and at 
the battery housing shall be adequate, but in no case shall the cable or 
cord be detachable.

MSHA reserves the right to make minor changes in the requirements 
outlined in paragraphs (e) (1), (2), and (3) of this section (No. 9, 
class 2 lamps), as experience and service prove to be necessary in the 
interests of safety.



Sec. 20.10  Tests (class 1 and 2 lamps).

    Such tests will be made as are necessary to prove the adequacy of a 
lamp or any of its parts in fulfilling the purposes for which it was 
designed. These tests include the following:
    (a) Safety tests, including tests of safey devices, electrical 
contacts, and explosion-proof features.
    (b) Photometric tests.
    (c) Tests to demonstrate adequacy of mechanical strength.
    (d) Tests of nonspilling features (storage-battery lamps of class 
1).
    (e) Temperature tests.



Sec. 20.11  Material required for MSHA records.

    In order that MSHA may know exactly what it has tested and approved, 
detailed records are kept covering each

[[Page 139]]

investigation. These include drawings and actual equipment, as follows:
    (a) Drawings. The original drawings submitted with the application 
for the tests and the final drawings which the manufacturer must submit 
to MSHA before approval is granted, to show the details of the lamp as 
approved, are retained. These drawings are used to identify the lamp and 
its parts in the approval and as a means of checking the future 
commercial product of the manufacturer.
    (b) Equipment. (1) If MSHA so desires, parts of the lamps which are 
used in the tests will be retained as a permanent record of the 
investigation and of the lamps submitted.
    (2) If the lamp is approved, MSHA will require the manufacturer, as 
soon as his first manufactured lamps are available, to submit one 
complete lamp, with the approval plate attached, as a record of his 
commercial product.



Sec. 20.12  How approvals are granted.

    (a) All approvals are granted by official letter from MSHA. A lamp 
will be approved under this part only when the testing engineers judge 
that the lamp has met the requirements of this part and after MSHA's 
records concerning the lamp are complete, including manufacturer's 
drawings that show the lamp as it is to be made commercially. No verbal 
reports of MSHA's decision concerning the investigation will be given, 
and no informal approvals will be granted.
    (b) As soon as the manufacturer has received the formal approval he 
shall be free to advertise his lamp as permissible.

[Sched. 10C, May 17, 1938, as amended by Supp. 1, 20 FR 2719, Apr. 23, 
1955]



Sec. 20.13  Approval plate.

    The manufacturer shall attach, stamp, or mold an approval plate on 
the battery container or housing of each permissible lamp. The plate 
shall bear the emblem of the Mine Safety and Health Administration, and 
be inscribed as follows: ``Permissible ---------- Lamp. Approval No. --
------------------ issued to the -------------------- Company.'' When 
deemed necessary, an appropriate caution statement shall be added. The 
size, material, and position of the approval plate shall be satisfactory 
to MSHA.
    (a) Purpose of approval plate. The approval plate is a label which 
identifies the lamp so that anyone can tell at a glance whether the lamp 
is of the permissible type or not. By it the manufacturer can point out 
that his lamp complies with specifications of MSHA and that it has been 
adjudged safe for use in gassy and dusty mines.
    (b) Use of approval plate. Permission to place MSHA's approval plate 
on his lamp obligates the manufacturer to maintain the quality of his 
product and to see that each lamp is constructed according to the 
drawings which have been accepted by MSHA for this lamp and which are in 
the MSHA files. Lamps exhibiting changes in design which have not been 
approved are not permissible lamps and must not bear MSHA's approval 
plate.
    (c) Withdrawal of approval. MSHA reserves the right to rescind for 
cause at any time any approval granted under this part.

[Sched. 10C, May 17, 1938, as amended at 5 FR 3467, Aug. 30, 1940; 43 FR 
12314, Mar. 24, 1978]



Sec. 20.14  Instructions for handling future changes in lamp design.

    All approvals are granted with the understanding that the 
manufacturer will make the lamp according to the drawings submitted to 
MSHA, which have been considered and included in the approval. 
Therefore, when the manufacturer desires to make any change in the 
design of the lamp, the manufacturer should first obtain an extension of 
the original approval to cover the change. The procedure is as follows:
    (a)(1) The manufacturer shall write to the Approval and 
Certification Center, Rural Route 1, Box 251, Industrial Park 
Road, Triadelphia, WV 26059, requesting an extension of the original 
approval and describing the change or changes proposed. With this letter 
the manufacturer should submit a revised drawing or drawings showing the 
changes in detail, and one of each of the changed lamp parts.
    (2) Where the applicant for approval has used an independent 
laboratory under part 6 of this chapter to perform, in whole or in part, 
the necessary testing and evaluation for approval of

[[Page 140]]

changes to an approved product under this part, the applicant must 
provide to MSHA as part of the approval application:
    (i) Written evidence of the laboratory's independence and current 
recognition by a laboratory accrediting organization;
    (ii) Complete technical explanation of how the product complies with 
each requirement in the applicable MSHA product approval requirements;
    (iii) Identification of components or features of the product that 
are critical to the safety of the product; and
    (iv) All documentation, including drawings and specifications, as 
submitted to the independent laboratory by the applicant and as required 
by this part.
    (b) MSHA will consider the application and inspect the drawings and 
parts to determine whether it will be necessary to make any tests.
    (c) If no tests are necessary, the applicant will be advised of the 
acceptance or rejection of the proposed change by letter from MSHA.
    (d) If tests are judged necessary, the applicant will be advised of 
the material that will be required.

[Sched. 10C, May 17, 1938, as amended by Supp. 1, 20 FR 2719, Apr. 23, 
1955; 43 FR 12314, Mar. 24, 1978; 52 FR 17514, May 8, 1987; 60 FR 35693, 
July, 11, 1995; 68 FR 36420, June 17, 2003]



PART 22_PORTABLE METHANE DETECTORS--Table of Contents




Sec.
22.0 Compliance with the requirements necessary for obtaining approval.
22.1 Purpose.
22.2 Definitions.
22.3 [Reserved]
22.4 Application procedures and requirements.
22.5 Conditions governing investigations.
22.6 General requirements.
22.7 Specific requirements.
22.8 Material required for MSHA records.
22.9 How approvals are granted.
22.10 Approval plate.
22.11 Instructions on handling future changes in design.

    Authority: 30 U.S.C. 957, 961.

    Source: Schedule 8C, Oct. 31, 1935, unless otherwise noted.



Sec. 22.0  Compliance with the requirements necessary for obtaining approval.

    To receive approval of MSHA for any portable methane detectors a 
manufacturer must comply with the requirements specified in this part.



Sec. 22.1  Purpose.

    (a) The purpose of investigations under this part is to provide 
portable methane detectors that may be safely used in mines. Lists of 
such detectors will be published from time to time in order that State 
mine-inspection departments, compensation bureaus, mine operators, 
miners, and others interested in safe equipment for mines may have 
information in regard to permissible methane detectors. This part 
supersedes Schedule 8B, issued under date of November 17, 1926, and goes 
into effect October 31, 1935.
    (b) Any methane detector that meets the requirements set forth in 
this part will be termed permissible by MSHA and if actively marketed 
will be listed as such in publications relating to permissible mining 
equipment.



Sec. 22.2  Definitions.

    (a) Methane detector. A methane detector is a device that may be 
used to detect the presence of methane in a gassy mine.
    (b) Methane-indicating detector. A methane-indicating detector is a 
device that will show, within certain limits of error, on an adequate 
scale, the percentage of methane in a gassy atmosphere.
    (c) Permissible. Completely assembled and conforming in every 
respect with the design formally approved by MSHA under this part. 
(Approvals under this part are given only to equipment for use in gassy 
and dusty mines.)

[Sched. 8C, Oct. 31, 1955, as amended by Supp. 1, 20 FR 2575, Apr. 19, 
1955]

[[Page 141]]



Sec. 22.3  [Reserved]



Sec. 22.4  Application procedures and requirements.

    (a) Before MSHA will undertake an active investigation leading to 
approval of any methane detector, the applicant shall make application 
by letter for an investigation leading to approval of the detector. This 
application shall be sent to: U.S. Department of Labor, Mine Safety and 
Health Administration, Approval and Certification Center, RR 1, 
Box 251, Industrial Park Road, Triadelphia, West Virginia 26059, 
together with the required drawings, one complete detector, and 
instructions for its operation. Fees calculated in accordance with part 
5 of this title shall be submitted in accordance with Sec. 5.40.
    (b) Where the applicant for approval has used an independent 
laboratory under part 6 of this chapter to perform, in whole or in part, 
the necessary testing and evaluation for approval under this part, the 
applicant must provide to MSHA as part of the approval application:
    (1) Written evidence of the laboratory's independence and current 
recognition by a laboratory accrediting organization;
    (2) Complete technical explanation of how the product complies with 
each requirement in the applicable MSHA product approval requirements;
    (3) Identification of components or features of the product that are 
critical to the safety of the product; and
    (4) All documentation, including drawings and specifications, as 
submitted to the independent laboratory by the applicant and as required 
by this part.
    (c) An applicant may request testing and evaluation to non-MSHA 
product safety standards which have been determined by MSHA to be 
equivalent, under Sec. 6.20 of this chapter, to MSHA's product approval 
requirements under this part.

[68 FR 36420, June 17, 2003, as amended at 70 FR 46343, Aug. 9, 2005; 70 
FR 48872, Aug. 22, 2005]



Sec. 22.5  Conditions governing investigations.

    (a) One complete detector, with assembly and detail drawings that 
show the construction of the device and the materials of which it is 
made, should be forwarded prepaid to Approval and Certification Center, 
RR 1, Box 251, Industrial Park Road, Triadelphia, WV 26059, at the time 
the application for tests is made.
    (b) When this has been inspected by MSHA, the applicant will be 
notified as to the amount of material that will be required for the 
tests. The manufacturer will be notified of the date on which the tests 
will be started and will be given an opportunity to witness the tests.
    (c) Observers at formal investigations and demonstrations. No one 
shall be present during any part of the formal investigation conducted 
by MSHA which leads to approval for permissibility except the necessary 
Government personnel, representatives of the applicant, and such other 
persons as may be mutually agreed upon by the applicant and MSHA. Upon 
granting approval for permissibility, MSHA will announce that such 
approval has been granted to the device and may thereafter conduct, from 
time to time in its discretion, public demonstrations of the tests 
conducted on the approved device. Those who attend any part of the 
investigation, or any public demonstration, shall be present solely as 
observers; the conduct of the investigation and of any public 
demonstration shall be controlled by MSHA. Results of chemical analyses 
of material and all information contained in the drawings, 
specifications, and instructions shall be deemed confidential and their 
disclosure will be appropriately safeguarded by MSHA.

[Sched. 8C, Oct. 31, 1935, as amended by Supp. 1, 20 FR 2575, Apr. 19, 
1955; 43 FR 12315, Mar. 24, 1978; 60 FR 35694, July 11, 1995]



Sec. 22.6  General requirements.

    Methane detectors approved under this part shall be portable. They 
shall be durable in construction, practical in operation, and suitable 
for service conditions underground. They shall offer no probable 
explosion hazard if used in

[[Page 142]]

gaseous mine atmospheres nor any bodily hazard, such as spilling of 
battery electrolyte. They shall exhibit under laboratory test conditions 
various requirements of minimum performance that are specified in this 
part.



Sec. 22.7  Specific requirements.

    (a) Design. In the determination of adequacy of design, the 
following points will be considered: (1) Materials used, (2) 
construction, (3) accuracy, (4) size and shape, (5) range of detection 
(or indication), (6) life of the active parts, and (7) attention 
required. The suitability of the materials and the construction shall be 
determined by preliminary inspection, by dropping tests, by laboratory 
and field tests in gas and air mixtures, and by the general behavior of 
the equipment during the investigation.
    (b) Safety against explosion hazard--(1) Detectors. Detectors shall 
be constructed so that they will not cause external ignitions when used 
in gaseous mine atmospheres.
    (2) Seals or locks. All parts through which external ignitions might 
result shall be covered and protected adequately. All covers shall be 
sealed adequately or equipped with magnetic or other equally reliable 
locks to prevent their being opened by unauthorized persons.
    (3) Glasses. Glasses or glass windows shall be of good-quality glass 
and protected adequately against breakage. Unguarded windows may be 
considered adequate in this respect, provided they are of small diameter 
and are of reasonably thick glass.
    (4) Battery. If the detector is equipped with a battery, it shall be 
of such design that it will not produce sparks that will ignite an 
explosive mixture of methane and air.
    (5) Detectors of the flame type. Methane detectors of the flame type 
shall be subject to the requirements of the flame-lamp schedule then in 
force.
    (c) Safety against bodily hazard. Bodily hazard with battery-type 
detectors is due chiefly to possible burning of the user by electrolyte 
that has spilled from the battery. MSHA, therefore, requires that:
    (1) Spilling of electrolyte. The battery shall be so designed and 
constructed that when properly filled it will not spill electrolyte 
under actual service conditions.
    (2) Corrosion of battery container. The material of which the 
container is made shall resist corrosion under conditions of use.
    (d) Performance. In addition to the general design and safety 
features, MSHA considers that permissible types of methane detectors 
should meet certain minimum requirements with respect to their 
performance, as follows:
    (1) Detectors. (i) When the detector is operated according to the 
manufacturer's instructions, it shall be possible to detect at least 1 
percent methane in air, and increasing percentages up to 5 percent shall 
be shown by continuously increasing evidence.
    (ii) The average number of determinations that may be made in 
approximately 2-percent methane mixtures without recharging a battery or 
replacing a chemical accessory shall not be less than 25, and the 
average number of such determinations that may be made without replacing 
any other part shall be not less than 100.
    (2) Indicating detectors. Indicating detectors shall give 
indications of as low as 0.25 percent methane. Detectors having an upper 
scale limit of 2 percent may be approved, but it is recommended that the 
detector be designed to give indications of as high as 4 percent 
methane. The indications for these percentages shall be within the 
limits of error specified in the following table:

                  Allowable Variations in Scale Reading
                              [In percent]
------------------------------------------------------------------------
  Methane in mixtures       Minimum indication      Maximum indication
------------------------------------------------------------------------
             0.25                     0.10                    0.40
              .50                      .35                     .65
             1.00                      .80                    1.20
             2.00                     1.80                    2.20
             3.00                     2.70                    3.30
             4.00                     3.70                    4.30
------------------------------------------------------------------------

    (i) Tests shall be made at several percentages within the range of 
the indicating detector and at temperatures between the limits of 
50[deg] and 70 [deg]F. by increments of 5[deg]. Ten determinations shall 
be made at each percentage. Neither the average of the 10 readings nor

[[Page 143]]

more than 2 readings for each percentage shall exceed the limits of 
error given in the table.
    (ii) The average number of determinations that may be made with an 
indicating detector without replacement of any part shall be not less 
than 30, and the average number that may be made without recharging the 
battery shall be not less than 15.
    (iii) The scale shall not be subdivided into smaller divisions than 
the general accuracy of the indicating detector warrants.
    (3) Mechanical strength. Detectors and indicating detectors shall be 
subjected to the following mechanical tests: Four of each of those parts 
or groups of assembled parts that are not normally strapped to the user 
shall be dropped 20 times on a wood floor from a height of 3 feet. Parts 
that are strapped to the user may be subjected to a jarring or bumping 
test to demonstrate adequate strength. The average number of times that 
any one of the detectors can be dropped before breakage or material 
distortion of essential parts shall be not less than 10.
    (e) Attachments for illumination. If detectors are provided with 
attachments for illuminating purposes, such attachments shall be subject 
to the same requirements as those applying to that type of lamp under 
the lamp schedule then in force.



Sec. 22.8  Material required for MSHA records.

    In order that MSHA may know exactly what it has tested and approved, 
it keeps detailed records covering each investigation. These records 
include drawings and actual equipment as follows:
    (a) Drawings. The original drawings submitted with the application 
for the tests and the final drawings which the manufacturer must submit 
to MSHA before the approval is granted to show the details of the 
detector as approved, are retained. These drawings are used to identify 
the detector in the approval and as a means of checking the future 
commercial product of the manufacturer.
    (b) Actual equipment. If MSHA so desires, parts of the detectors 
that are used in the tests will be retained as records of the equipment 
submitted. If the detector is approved, MSHA will require the 
manufacturer to submit one of his detectors, with the approval plate 
attached, as a record of his commercial product.



Sec. 22.9  How approvals are granted.

    All approvals are granted by official letter from MSHA. A detector 
will be approved under this part only when the testing engineers have 
judged that it has met the requirements of the schedule and MSHA's 
records are complete, including drawings from the manufacturer that show 
the detector as it is to be commercially made. No verbal reports of the 
investigation will be given and no informal approvals will be granted. 
As soon as the manufacturer has received the formal approval, he shall 
be free to advertise his detector as permissible.

[Sched. 8C, Oct. 31, 1935, as amended by Supp. 1, 20 FR 2575, Apr. 19, 
1955]



Sec. 22.10  Approval plate.

    (a) Attachment to be made by manufacturers. (1) Manufacturers shall 
attach, stamp, or mold an approval plate on each permissible methane 
detector. The plate shall bear the emblem of the Mines Safety and Health 
Administration and be inscribed as follows:

    Permissible Methane Detector (or Permissible Methane Indicating 
Detector) Approval No. ------ issued to the -------------- Company.

    (2) When deemed necessary, an appropriate caution statement shall be 
added. The size and position of the approval plate shall be satisfactory 
to MSHA.
    (b) Purpose of approval plate. The approval plate is a label that 
identifies the device so that anyone can tell at a glance whether it is 
of the permissible type or not. By the plate, the manufacturer can point 
out that his detector complies with MSHA's requirements and that it has 
been approved for use in gassy mines.
    (c) Use of approval plate. Permission to place MSHA's approval plate 
on his detector obligates the manufacturer to maintain the quality of 
his product and to see that each detector is constructed according to 
the drawings that have

[[Page 144]]

been accepted by MSHA and are in MSHA's files. Detectors exhibiting 
changes in design that have not been approved are not permissible and 
must not bear MSHA's approval plate.
    (d) Withdrawal of approval. MSHA reserves the right to rescind for 
cause at any time any approval granted under this part.

[Sched. 8C, Oct. 31, 1935, as amended at 43 FR 12315, Mar. 24, 1978]



Sec. 22.11  Instructions on handling future changes in design.

    All approvals are granted with the understanding that the 
manufacturer will make the detector according to the drawings submitted 
to MSHA which have been considered and included in the approval. 
Therefore, when the manufacturer desires to make any changes in the 
design, the manufacturer should first obtain MSHA's approval of the 
change. The procedure is as follows:
    (a)(1) The manufacturer must write to the Approval and Certification 
Center, Rural Route 1, Box 251, Industrial Park Road, 
Triadelphia, WV 26059, requesting an extension of the original approval 
and stating the change or changes desired. With this request, the 
manufacturer should submit a revised drawing or drawings showing changes 
in detail, together with one of each of the parts affected.
    (2) Where the applicant for approval has used an independent 
laboratory under part 6 of this chapter to perform, in whole or in part, 
the necessary testing and evaluation for approval of changes to an 
approved product under this part, the applicant must provide to MSHA as 
part of the approval application:
    (i) Written evidence of the laboratory's independence and current 
recognition by a laboratory accrediting organization;
    (ii) Complete technical explanation of how the product complies with 
each requirement in the applicable MSHA product approval requirements;
    (iii) Identification of components or features of the product that 
are critical to the safety of the product; and
    (iv) All documentation, including drawings and specifications, as 
submitted to the independent laboratory by the applicant and as required 
by this part.
    (b) MSHA will consider the application and inspect the drawings and 
parts to determine whether it will be necessary to make any tests.
    (c) If no tests are necessary, the applicant will be advised of the 
approval or disapproval of the change by letter from MSHA.
    (d) If tests are judged necessary, the applicant will be advised of 
the material that will be required.

[Sched. 8C, Oct. 31, 1935, as amended by Supp. 1, 20 FR 2575, Apr. 19, 
1955; 43 FR 12315, Mar. 24, 1978; 52 FR 17514, May 8, 1987; 60 FR 35694, 
July 11, 1995; 68 FR 36420, June 17, 2003]



PART 23_TELEPHONES AND SIGNALING DEVICES--Table of Contents




Sec.
23.1 Purpose.
23.2 Definitions.
23.3 Application procedures and requirements.
23.4 [Reserved]
23.5 Conditions governing investigations.
23.6 General requirements for approval.
23.7 Specific requirements for approval.
23.8 Inspection and tests.
23.9 Special requirements for complete devices.
23.10 Material required for MSHA records.
23.11 How approvals are granted.
23.12 Wording, purpose, and use of approval plate.
23.13 Withdrawal of approval.
23.14 Instructions for handling future changes in design.

    Authority: 30 U.S.C. 957, 961.
    Sec. 23.2(f) also issued under 30 U.S.C. 811.

    Source: Schedule 9B, 4 FR 1555, Apr. 11, 1939, unless otherwise 
noted.



Sec. 23.1  Purpose.

    (a) The purpose of investigations under this part is to promote the 
development of telephones and signaling devices that may be used safely 
in mines, especially in coal mines that may have gassy or dust-laden 
atmospheres. This schedule supersedes Schedule 9A, issued under date of 
December 5, 1922, and becomes effective October 18, 1938.
    (b) Telephones and signaling devices approved under the requirements 
of this part will be termed ``permissible'' by MSHA, and if actively 
marketed will be listed as such in publications

[[Page 145]]

relating to permissible equipment, for the information of State mine 
inspection departments, compensation bureaus, mine operators, miners, 
and others interested in safety equipment for mines.



Sec. 23.2  Definitions.

    (a) Adequate means appropriate and sufficient, as determined by 
mutual agreement of the manufacturer, operators, and MSHA.
    (b) Approval means official notification by letter, from MSHA to a 
responsible organization, stating that the device under consideration 
has been judged to meet the requirements of this part.
    (c) Normal operation means the performance by each part of the 
device of those functions for which the part was designed.
    (d) Permissible as used in this part means completely assembled and 
conforming in every respect with the design formally approved by MSHA 
under this part. (Approvals under this part are given only to equipment 
for use in gassy and dusty mines.)
    (e) Protected means effectively covered, enclosed, or otherwise 
guarded by adequate covers.
    (f) Signaling device. As used in this part, a signaling device is 
one that gives visual or audible signals.
    (g) MESA means the United States Department of the Interior, Mining 
Enforcement and Safety Administration. Predecessor orgainzation to MSHA, 
prior to March 9, 1978.
    (h) MSHA means the U.S. Department of Labor, Mine Safety and Health 
Administration.
    Note: Paragraph (f) of this section is issued under the authority of 
Sec. 101 of the Federal Mine Safety and Health Act of 1977, Pub. L. 91-
173 as amended by Pub. L. 95-164, 91 Stat. 1291 (30 U.S.C. 811). All 
other paragraphs in this section continue under the original authority.

[Sched. 9B, 4 FR 1555, Apr. 11, 1939, as amended by Supp. 1, 20 FR 2975, 
May 4, 1955; 39 FR 24001, June 28, 1974; 43 FR 12315, Mar. 24, 1978; 47 
FR 11370, Mar. 16, 1982]



Sec. 23.3  Application procedures and requirements.

    (a) Before MSHA will undertake an active investigation leading to 
approval of any telephone or signaling device, the applicant shall make 
application by letter for an investigation leading to approval of the 
device. This application shall be sent to: U.S. Department of Labor, 
Mine Safety and Health Administration, Approval and Certification 
Center, RR 1, Box 251, Industrial Park Road, Triadelphia, West 
Virginia 26059, together with the required drawings, one complete 
telephone or signaling device, and instructions for its operation. Fees 
calculated in accordance with part 5 of this title shall be submitted in 
accordance with Sec. 5.40.
    (b) Where the applicant for approval has used an independent 
laboratory under part 6 of this chapter to perform, in whole or in part, 
the necessary testing and evaluation for approval under this part, the 
applicant must provide to MSHA as part of the approval application:
    (1) Written evidence of the laboratory's independence and current 
recognition by a laboratory accrediting organization;
    (2) Complete technical explanation of how the product complies with 
each requirement in the applicable MSHA product approval requirements;
    (3) Identification of components or features of the product that are 
critical to the safety of the product; and
    (4) All documentation, including drawings and specifications, as 
submitted to the independent laboratory by the applicant and as required 
by this part.
    (c) An applicant may request testing and evaluation to non-MSHA 
product safety standards which have been determined by MSHA to be 
equivalent, under Sec. 6.20 of this chapter, to MSHA's product approval 
requirements under this part.

[68 FR 36421, June 17, 2003, as amended at 70 FR 46343, Aug. 9, 2005; 70 
FR 48872, Aug. 22, 2005]



Sec. 23.4  [Reserved]



Sec. 23.5  Conditions governing investigations.

    (a) One complete device together with assembly and detail drawings 
that show its construction and the materials of which the parts are 
made, shall be submitted preferably at the time the application for test 
is made. These

[[Page 146]]

shall be sent prepaid to Approval and Certification Center, Box 201B 
Industrial Park Road, Dallas Pike, Triadelphia, W. Va. 26059.
    (b) After the device has been inspected by MSHA, the applicant will 
be notified as to the amount of material that he will be required to 
supply for the tests and of the date on which testing will be started.
    (c) Observers at formal investigations and demonstrations. No one 
shall be present during any part of the formal investigation conducted 
by MSHA which leads to approval for permissibility except the necessary 
Government personnel, representatives of the applicant, and such other 
persons as may be mutually agreed upon by the applicant and MSHA. Upon 
granting approval for permissibility, MSHA will announce that such 
approval has been granted to the device and may thereafter conduct, from 
time to time in its discretion, public demonstrations of the tests 
conducted on the approved device. Those who attend any part of the 
investigation, or any public demonstration, shall be present solely as 
observers; the conduct of the investigation and of any public 
demonstration shall be controlled by MSHA. Results of chemical analyses 
of material and all information contained in the drawings, 
specifications, and instructions shall be deemed confidential and their 
disclosure will be appropriately safeguarded by MSHA.
    (d) Formal tests will not be made unless the device has been 
completely developed and is in a form that can be marketed.
    (e) The results of the tests shall be regarded as confidential by 
all present at the tests and shall not be made public in any way prior 
to the formal approval of the device by MSHA.
    (f) No verbal report of approval or disapproval will be made to the 
applicant. After MSHA has considered the results of the inspections and 
tests, a formal written report of the approval or disapproval will be 
made to the applicant by MSHA. The applicant shall not advertise his 
device as being permissible or approved, or as having passed the tests, 
prior to receipt of the formal notice of approval.

[Sched. 9B, 4 FR 1555, Apr. 11, 1939, as amended by Supp. 1, 20 FR 2975, 
May 4, 1955; 43 FR 12315, Mar. 24, 1978]



Sec. 23.6  General requirements for approval.

    Telephones and signaling devices shall be durable in construction, 
practical in operation, and suitable for conditions of underground 
service. They shall offer no probable explosion hazard under normal 
operation if use in gassy or dusty mine atmospheres.



Sec. 23.7  Specific requirements for approval.

    (a) The circuits external to telephones and signal devices shall be 
intrinsically safe; that is, the electrical design and construction of 
telephones and signal devices shall be such that neither contact between 
wires comprising the external circuits nor contact of tools or other 
metal objects with external terminals and circuits will result in 
electrical sparks capable of igniting explosive methane-air mixtures (or 
such mixtures with coal dust in suspension) during normal operation of 
the telephones or signal devices.
    (b) All parts which, during normal operation, are capable of 
producing sparks that might ignite explosive methane-air mixtures shall 
be enclosed in explosion-proof compartments. All openings in the casings 
of such compartments shall be adequately protected. It is desirable that 
openings be as few as possible. All joints in the casings of an 
explosion-proof compartment shall be metal-to-metal so designed as to 
have a width of contact, measured along the shortest path from the 
inside to the outside of the compartment, of not less than 1 inch if the 
unoccupied volume (air space) in the compartment is more than 60 cubic 
inches. For unoccupied volume of 60 cubic inches or less, a \3/8\-inch 
width of contact will be acceptable.
    (c) All bolts and screw holes shall be ``blind'' or bottomed if the 
omission of a bolt or screw would otherwise leave an opening into the 
compartment. An adequate lock or seal shall be provided to prevent 
tampering and exposure of

[[Page 147]]

spark-producing parts by unauthorized persons.
    (d) Battery cells shall be placed in an explosion-proof compartment 
or else in one that is locked or sealed, and the terminals and the 
connections thereto shall be so arranged and protected as to preclude 
meddling, tampering, or making other electrical connections with them.
    (e) Manufacturers shall furnish adequate instructions for the 
installation and connection of telephones and signal devices in order 
that the safety of these devices and other circuits shall not be 
diminished by improper installation. MSHA reserves the right to require 
the attachment of wiring diagrams to the cases of telephones and signal 
devices.
    (f) If electric light bulbs are used in signaling devices, they 
shall be either equipped with effective safety devices, such as are 
required for permissible electric mine lamps, \1\ or enclosed in 
explosion-proof compartments.
---------------------------------------------------------------------------

    \1\ In this case, the requirements of the current schedule for mine 
lamps will apply.
---------------------------------------------------------------------------

    (g) Line powered telephones and signaling devices or systems shall 
be equipped with standby power sources that have the capacity to enable 
the devices or systems to continue functioning in the event the line 
power fails or is cut off. Manufacturers shall furnish instructions for 
the proper maintenance of standby power sources.
    Note: Paragraph (g) of this section is issued under the authority of 
Sec. 101 of the Federal Mine Safety and Health Act of 1977, Pub. L. 91-
173 as amended by Pub. L. 95-164, 91 Stat. 1291 (30 U.S.C. 811). All 
other paragraphs in this section continue under the original authority.

[Sched. 9B, 4 FR 1555, Apr. 11, 1939, as amended at 47 FR 11370, Mar. 
16, 1982]



Sec. 23.8  Inspection and tests.

    (a) A thorough inspection of the telephone or signaling device will 
be made to determine its adequacy and permisibility. Tests may be made 
to check the electrical characteristics and constants of the various 
parts, and determine the adequacy of the insulation and other parts of 
features of the device.
    (b) In addition, compartments of explosion-proof design will be 
tested while filled and surrounded with explosive mixtures containing 
varying percentages of Pittsburgh natural gas \2\ and air, the mixture 
within the compartment being ignited by a spark plug or other suitable 
means. For some of the tests bituminous-coal dust will be introduced 
into the compartment in addition to the explosive mixtures, and the 
effects will be noted. A sufficient number of tests will be made under 
the foregoing conditions to determine the ability of the compartment to 
retain flame without bursting. Even though the surrounding mixtures are 
not ignited, the compartment will not be considered as having passed the 
tests, if flames are discharged from any joint or opening; if excessive 
pressures are developed or if serious distortion of the compartment 
walls take place.
---------------------------------------------------------------------------

    \2\ Investigation has shown that for test purposes Pittsburgh 
natural gas (containing a high percentage of methane) is a satisfactory 
substitute for pure methane.
---------------------------------------------------------------------------



Sec. 23.9  Special requirements for complete devices.

    Telephones and signaling devices will be considered nonpermissible 
if used under any of the followings conditions:
    (a) Without the approval plate, mentioned hereafter.
    (b) With unprotected openings in any of the explosion-proof 
compartments. This condition refers to any openings in these 
compartments, but especially to those equipped with removable covers.
    (c) If not complete with all of the parts considered in the 
approval.
    (d) If installed or connected otherwise than in accordance with the 
instructions furnished by the manufacturer.
    (e) If modified in any manner not authorized by MSHA.



Sec. 23.10  Material required for MSHA records.

    In order that MSHA may know exactly what it has tested and approved, 
it keeps detailed records covering each investigation. These records 
include drawings and actual equipment as follows:
    (a) Drawings. The original drawings submitted with the application 
for the tests and the final drawings which the

[[Page 148]]

manufacturer must submit to MSHA before the approval is granted, to show 
the details of the device as approved. These drawings are used to 
identify the device in the approval and as a means of checking the 
future commercial product of the manufacturer.
    (b) Actual equipment. If MSHA so desires, parts of the devices that 
are used in the tests will be retained as records of the equipment 
submitted. If the device is approved, MSHA reserves the right to require 
the manufacturer to submit one, with the approval plate attached and 
without cost to MSHA, as a record of his commercial product.



Sec. 23.11  How approvals are granted.

    All approvals are granted by official letter from MSHA. A device 
will be approved under this part only when the testing engineers have 
judged that it has met the requirements of the part and MSHA's records 
are complete, including drawings from the manufacturer that show the 
device as it is to be commercially made. Individual parts of devices 
will not be approved. No verbal reports of the investigation will be 
given and no informal approvals will be granted. As soon as the 
manufacturer has received the formal approval, he shall be free to 
advertise his device as permissible.

[Sched. 9B, 4 FR 1555, Apr. 11, 1939, as amended by Supp. 1, 20 FR 2975, 
May 4, 1955]



Sec. 23.12  Wording, purpose, and use of approval plate.

    (a) Approval plate. (1) Manufacturers shall attach, stamp, or mold 
an approval plate on each permissible device. The plate shall bear the 
emblem of the Mine Safety and Health Administration and be inscribed as 
follows:

Permissible Telephone (or Permissible Signaling Device) Approval No.----
--Issued to the_________________________________________________________
    Company.

    (2) When deemed necessary, an appropriate caution statement shall be 
added. The size and position of the approval plate shall be satisfactory 
to MSHA.
    (b) Purpose. The approval plate is a label that identifies the 
device so that anyone can tell at a glance whether or not it is of the 
permissible type. By the plate, the manufacturer can point out that his 
device complies with MSHA's requirements and that it has been approved 
for use in gassy or dusty mines.
    (c) Use. Permission to place MSHA's approval plate on his device 
obligates the manufacturer to maintain the quality of his product and to 
see that each device is constructed according to the drawings that have 
been accepted by MSHA and are in MSHA's files. Devices exhibiting 
changes in design that have not been authorized are not permissible and 
must not bear MSHA's approval plate.

[Sched. 9B, 4 FR 1555, Apr. 11, 1939, as amended at 43 FR 12315, Mar. 
24, 1978]



Sec. 23.13  Withdrawal of approval.

    MSHA reserves the right to rescind for cause at any time any 
approval granted under this part.



Sec. 23.14  Instructions for handling future changes in design.

    All approvals are granted with the understanding that the 
manufacturer will make his device according to the drawings that he has 
submitted to MSHA and that have been considered and included in the 
approval. Therefore, before making any changes in the design he shall 
obtain MSHA's authorization of the change. The procedure is as follows:
    (a)(1) The manufacturer shall write to the Approval and 
Certification Center, Rural Route 1, Box 251, Industrial Park 
Road, Triadelphia, WV 26059, requesting an extension of the original 
approval and stating the change or changes desired. With this request, 
the manufacturer should submit a revised drawing or drawings showing the 
changes in detail, together with one of each of the parts affected.
    (2) Where the applicant for approval has used an independent 
laboratory under part 6 of this chapter to perform, in whole or in part, 
the necessary testing and evaluation for approval of changes to an 
approved product under this part, the applicant must provide to MSHA as 
part of the approval application:
    (i) Written evidence of the laboratory's independence and current 
recognition by a laboratory accrediting organization;

[[Page 149]]

    (ii) Complete technical explanation of how the product complies with 
each requirement in the applicable MSHA product approval requirements;
    (iii) Identification of components or features of the product that 
are critical to the safety of the product; and
    (iv) All documentation, including drawings and specifications, as 
submitted to the independent laboratory by the applicant and as required 
by this part.
    (b) MSHA will consider the application and inspect the drawings and 
parts to determine whether it will be necessary to make any tests.
    (c) If no tests are necessary, and the change meets the 
requirements, the applicant will be officially advised by MSHA that his 
original approval has been extended to include the change.
    (d) If tests are judged necessary, the applicant will be advised of 
the material that will be required. In this case extension of approval 
will be granted upon satisfactory completion of the tests and full 
compliance with the requirements.

[Sched. 9B, 4 FR 1555, Apr. 11, 1939, as amended by Supp. 1, 20 FR 2975, 
May 4, 1955; 43 FR 12315, Mar. 24, 1978; 52 FR 17514, May 8, 1987; 68 FR 
36421, June 17, 2003]



PART 27_METHANE-MONITORING SYSTEMS--Table of Contents




                      Subpart A_General Provisions

Sec.
27.1 Purpose.
27.2 Definitions.
27.3 Consultation.
27.4 Application procedures and requirements.
27.5 Letter of certification.
27.6 Certification of components.
27.7 Certification plate or label.
27.8 [Reserved]
27.9 Date for conducting tests.
27.10 Conduct of investigations, tests, and demonstrations.
27.11 Extension of certification.
27.12 Withdrawal of certification.

             Subpart B_Construction and Design Requirements

27.20 Quality of material, workmanship, and design.
27.21 Methane-monitoring system.
27.22 Methane detector component.
27.23 Automatic warning device.
27.24 Power-shutoff component.

                       Subpart C_Test Requirements

27.30 Inspection.
27.31 Testing methods.
27.32 Tests to determine performance of the system.
27.33 Tests to determine explosion-proof construction.
27.34 Test for intrinsic safety.
27.35 Tests to determine life of critical components and subassemblies.
27.36 Test for adequacy of electrical insulation and clearances.
27.37 Tests to determine adequacy of safety devices for bulbs.
27.38 Tests to determine adequacy of windows and lenses.
27.39 Tests to determine resistance to vibration.
27.40 Test to determine resistance to dust.
27.41 Tests to determine resistance to moisture.

    Authority: 30 U.S.C. 957, 961.

    Source: 31 FR 10607, Aug. 9, 1966, unless otherwise noted.



                      Subpart A_General Provisions



Sec. 27.1  Purpose.

    The regulations in this part set forth the requirements for methane-
monitoring systems or components thereof to procure certification for 
their incorporation in or with permissible equipment that is used in 
gassy mines, tunnels, or other underground workings and procedures for 
applying for such certification.

[31 FR 10607, Aug. 9, 1966, as amended at 52 FR 17515, May 8, 1987]



Sec. 27.2  Definitions.

    As used in this part:
    (a) MSHA means the United States Department of Labor, Mine Safety 
and Health Administration.
    (b) Applicant means an individual, partnership, company, 
corporation, association, or other organization that designs, 
manufactures, or assembles and that seeks certification or preliminary 
testing of a methane-monitoring system or component.
    (c) Methane-monitoring system means a complete assembly of one or 
more methane detectors and all other components required for measuring 
and signalling the presence of methane in the atmosphere of a mine, 
tunnel, or

[[Page 150]]

other underground workings, and shall include a power-shutoff component.
    (d) Methane detector means a component for a methane-monitoring 
system that functions in a gassy mine, tunnel, or other underground 
workings to sample the atmosphere continuously and responds to the 
presence of methane.
    (e) Power-shutoff component means a component of a methane-
monitoring system, such as a relay, switch, or switching mechanism, that 
will cause a control circuit to deenergize a machine, equipment, or 
power circuit when actuated by the methane detector.
    (f) Flammable mixture means a mixture of a gas, such as methane, 
natural gas, or similar hydrocarbon gas with normal air, that can be 
ignited.
    (g) Gassy mine or tunnel means a mine, tunnel, or other underground 
workings in which a flammable mixture has been ignited, or has been 
found with a permissible flame safety lamp, or has been determined by 
air analysis to contain 0.25 percent or more (by volume) of methane in 
any open workings when tested at a point not less than 12 inches from 
the roof, face, or rib.
    (h) Letter of certification means a formal document issued by MSHA 
stating that a methane-monitoring system or subassembly or component 
thereof:
    (1) Has met the requirements of this part, and
    (2) Is certified for incorporation in or with permissible or 
approved equipment that is used in gassy mines and tunnels.
    (i) Component means a part of a methane-monitoring system that is 
essential to its operation as a certified methane-monitoring system.
    (j) Explosion-proof means that a component or group of components 
(subassembly) is so constructed and protected by an enclosure with or 
without a flame arrester(s) that, if a flammable mixture of gas is 
ignited within the enclosure, it will withstand the resultant pressure 
without damage to the enclosure and/or flame arrester(s). Also the 
enclosure and/or flame arrester(s) shall prevent the discharge of flame 
from within either the enclosure or the flame arrester, or the ignition 
of any flammable mixture that surrounds the enclosure and/or flame 
arrester. \1\
---------------------------------------------------------------------------

    \1\ Explosion-proof components or subassemblies shall be constructed 
in accordance with the requirements of Part 18 of this subchapter.
---------------------------------------------------------------------------

    (k) Normal operation means that performance of each component as 
well as of the entire assembly of the methane-monitoring system is in 
conformance with the functions for which it was designed and for which 
it was tested by MSHA.
    (l) Flame arrester means a device so constructed that it will 
prevent propagation of flame or explosion from within the unit of which 
it is part to a surrounding flammable mixture.
    (m) Intrinsically safe equipment and circuitry means equipment and 
circuitry that are incapable of releasing enough electrical or thermal 
energy under normal or abnormal conditions to cause ignition of a 
flammable mixture of the most easily ignitable composition.
    (n) Fail safe means that the circuitry of a methane-monitoring 
system shall be so designed that electrical failure of a component which 
is critical in MSHA's opinion will result in deenergizing the methane-
monitoring system and the machine or equipment of which it is a part.

[31 FR 10607, Aug. 9, 1966, as amended at 39 FR 24003, June 28, 1974; 43 
FR 12316, Mar. 24, 1978]



Sec. 27.3  Consultation.

    By appointment, applicants or their representatives may visit 
Approval and Certification Center, RR 1, Box 251, Industrial Park Road, 
Triadelphia, WV 26059, to discuss with qualified MSHA personnel proposed 
methane-monitoring systems to be submitted in accordance with the 
regulations of this part. No charge is made for such consultation and no 
written report thereof will be made to the applicant.

[31 FR 10607, Aug. 9, 1966, as amended at 43 FR 12316, Mar. 24, 1978; 60 
FR 35694, July, 11, 1995]



Sec. 27.4  Application procedures and requirements.

    (a)(1) No investigation or testing for certification will be 
undertaken by

[[Page 151]]

MSHA except pursuant to a written application, accompanied by all 
drawings, specifications, descriptions, and related materials. The 
application and all related matters and correspondence shall be 
addressed to: U.S. Department of Labor, Mine Safety and Health 
Administration, Approval and Certification Center, RR 1, Box 
251, Industrial Park Road, Triadelphia, West Virginia 26059. Fees 
calculated in accordance with part 5 of this title shall be submitted in 
accordance with Sec. 5.40.
    (2) Where the applicant for approval has used an independent 
laboratory under part 6 of this chapter to perform, in whole or in part, 
the necessary testing and evaluation for approval under this part, the 
applicant must provide to MSHA as part of the approval application:
    (i) Written evidence of the laboratory's independence and current 
recognition by a laboratory accrediting organization;
    (ii) Complete technical explanation of how the product complies with 
each requirement in the applicable MSHA product approval requirements;
    (iii) Identification of components or features of the product that 
are critical to the safety of the product; and
    (iv) All documentation, including drawings and specifications, as 
submitted to the independent laboratory by the applicant and as required 
by this part.
    (3) An applicant may request testing and evaluation to non-MSHA 
product safety standards which have been determined by MSHA to be 
equivalent, under Sec. 6.20 of this chapter, to the product approval 
requirements under this part.
    (b) Drawings, specifications, and descriptions shall be adequate in 
detail to identify fully all components and subassemblies that are 
submitted for investigation, and shall include wiring and block 
diagrams. All drawings shall include title, number, and date; any 
revision dates and the purpose of each revision shall also be shown on 
the drawing.
    (c) For a complete investigation leading to certification, the 
applicant shall furnish all necessary components and material to MSHA. 
MSHA reserves the right to require more than one of each component, 
subassembly, or assembly for the investigation. Spare parts and 
expendable components, subject to wear in normal operation, shall be 
supplied by the applicant to permit continuous operation during test 
periods. The applicant shall furnish special tools necessary to assemble 
or disassemble any component or subassembly for inspection or test.
    (d) The applicant shall submit a plan of inspection of components at 
the place of manufacture or assembly. The applicant shall furnish to 
MSHA a copy of any factory-inspection form or equivalent with the 
application. The form shall direct attention to the points that must be 
checked to make certain that all components or subassemblies of the 
complete assembly are in proper condition, complete in all respects, and 
in agreement with the drawings, specifications, and descriptions filed 
with MSHA.
    (e) The applicant shall furnish to MSHA complete instructions for 
operating the assembly and servicing components. After completion of 
MSHA's investigation, and before certification, if any revision of the 
instructions is required, a revised copy thereof shall be submitted to 
MSHA for inclusion with the drawings and specifications.

[31 FR 10607, Aug. 9, 1966, as amended at 43 FR 12316, Mar. 24, 1978; 60 
FR 35694, July, 11, 1995; 68 FR 36421, June 17, 2003; 70 FR 46343, Aug. 
9, 2005]



Sec. 27.5  Letter of certification.

    (a) Upon completion of investigation of a methane-monitoring system, 
or component or subassembly thereof, MSHA will issue to the applicant 
either a letter of certification or a written notice of disapproval, as 
the case may require If a letter of certification is issued, no test 
data or detailed results of tests will accompany it. If a notice of 
disapproval is issued, it will be accompanied by details of the defects, 
with a view to possible correction. MSHA will not disclose except to the 
applicant or his authorized representative, any information because of 
which a notice of disapproval has been issued.

[[Page 152]]

    (b) A letter of certification will be accompanied by an appropriate 
cautionary statement specifying the conditions to be observed for 
operating and maintaining the device(s) and to preserve its certified 
status.



Sec. 27.6  Certification of components.

    In accordance with Sec. 27.4, manufacturers of components may apply 
to MSHA to issue a letter of certification. To qualify for 
certification, electrical components shall conform to the prescribed 
inspection and test requirements and the construction thereof shall be 
adequately covered by specifications officially recorded and filed with 
MSHA. Letters of certification may be cited to fabricators of equipment 
intended for use in a certified methane-monitoring system as evidence 
that further inspection and test of the components will not be required.



Sec. 27.7  Certification plate or label.

    A certified methane-monitoring system or component thereof shall be 
identified with a certification plate or label which is attached to the 
system or component in a manner acceptable to MSHA. The method of 
attachment shall not impair the explosion-proof characteristics of any 
enclosure. The plate or label shall be of serviceable material, 
acceptable to MSHA, and shall contain the following inscription with 
spaces for appropriate identification of the system or component and 
assigned certificate number:

Manufacturer's Name_____________________________________________________
Description_____________________________________________________________
                                                                  (Name)
Model or Type No________________________________________________________
Certified as complying with the applicable requirements of Schedule 32A.
Certificate No__________________________________________________________



Sec. 27.8  [Reserved]



Sec. 27.9  Date for conducting tests.

    The date of receipt of an application will determine the order of 
precedence for investigation and testing. The applicant will be notified 
of the date on which tests will begin.
    Note: If an assembly, subassembly, or component fails to meet any of 
the requirements, testing of it may be suspended and other items may be 
tested. However, if the cause of failure is corrected, testing will be 
resumed after completing such other test work as may be in progress.

[31 FR 10607, Aug. 9, 1966, as amended at 70 FR 46343, Aug. 9, 2005]



Sec. 27.10  Conduct of investigations, tests, and demonstrations.

    MSHA shall hold as confidential and shall not disclose principles or 
patentable features, nor shall it disclose any details of drawings, 
specifications, or related materials. The conduct of all investigations, 
tests, and demonstrations shall be under the direction and control of 
MSHA, and any other persons shall be present only as observers, except 
as noted in paragraph (b) of this section.
    (a) Prior to the issuance of a letter of certification, necessary 
Government personnel, representatives of the applicant, and such other 
persons as are mutually agreed upon may observe the investigations or 
tests.
    (b) When requested by MSHA the applicant shall provide assistance in 
assembling or disassembling components, subassemblies, or assemblies for 
testing, preparing components, subassemblies, or assemblies for testing, 
and operating the system during the tests.
    (c) After the issuance of a letter of certification, MSHA may 
conduct such public demonstrations and tests of the certified methane-
monitoring system or components as it deems appropriate.

[31 FR 10607, Aug. 9, 1966, as amended at 39 FR 24003, June 28, 1974]



Sec. 27.11  Extension of certification.

    If an applicant desires to change any feature of a certified system 
or component, he shall first obtain MSHA's approval of the change, 
pursuant to the following procedure:
    (a)(1) Application shall be made as for an original certification, 
requesting that the existing certification be extended to cover the 
proposed changes. The application shall include complete drawings, 
specifications, and related data, showing the changes in detail.
    (2) Where the applicant for approval has used an independent 
laboratory under part 6 of this chapter to perform, in whole or in part, 
the necessary testing and evaluation for approval of changes to an 
approved product under this part, the applicant must provide

[[Page 153]]

to MSHA as part of the approval application:
    (i) Written evidence of the laboratory's independence and current 
recognition by a laboratory accrediting organization;
    (ii) Complete technical explanation of how the product complies with 
each requirement in the applicable MSHA product approval requirements;
    (iii) Identification of components or features of the product that 
are critical to the safety of the product; and
    (iv) All documentation, including drawings and specifications, as 
submitted to the independent laboratory by the applicant and as required 
by this part.
    (b) The application will be examined by MSHA to determine whether 
inspection and testing of the modified system or component or of a part 
will be required. MSHA will inform the applicant whether testing is 
required and the component or components and related material to be 
submitted for that purpose.
    (c) If the proposed modification meets the requirements of this 
part, a formal extension of certification will be issued, accompanied by 
a list of revised drawings and specifications which MSHA has added to 
those already on file.

[31 FR 10607, Aug. 9, 1966, as amended at 52 FR 17515, May 8, 1987; 68 
FR 36421, June 17, 2003]



Sec. 27.12  Withdrawal of certification.

    MSHA reserves the right to rescind for cause any certification 
issued under this part.



             Subpart B_Construction and Design Requirements



Sec. 27.20  Quality of material, workmanship, and design.

    (a) MSHA will test only equipment that, in its opinion, is 
constructed of suitable materials, is of good workmanship, is based on 
sound engineering principles, and is safe for its intended use. Since 
all possible designs, arrangements, or combinations of components cannot 
be foreseen, MSHA reserves the right to modify the construction and 
design requirements of components or subassemblies and the tests to 
obtain the degree of protection intended by the tests described in 
Subpart C of this part.
    (b) Unless otherwise noted, the requirements stated in this part 
shall apply to explosion-proof enclosures and intrinsically safe 
circuits.
    (c) All components, subassemblies, and assemblies shall be designed 
and constructed in a manner that will not create an explosion or fire 
hazard.
    (d) All assemblies or enclosures--explosion-proof or intrinsically 
safe--shall be so designed that the temperatures of the external 
surfaces, during continuous operation, do not exceed 150 [deg]C. (302 
[deg]F.) at any point.
    (e) Lenses or globes shall be protected against damage by guards or 
by location.
    (f) If MSHA determines that an explosion hazard can be created by 
breakage of a bulb having an incandescent filament, the bulb mounting 
shall be so constructed that the bulb will be ejected if the bulb glass 
enclosing the filament is broken.
    Note: Other methods that provide equivalent protection against 
explosion hazards from incandescent filaments may be considered 
satisfactory at the discretion of MSHA.



Sec. 27.21  Methane-monitoring system.

    (a) A methane-monitoring system shall be so designed that any 
machine or equipment, which is controlled by the system, cannot be 
operated unless the electrical components of the methane-monitoring 
system are functioning normally.
    (b) A methane-monitoring system shall be rugged in construction so 
that its operation will not be affected by vibration or physical shock, 
such as normally encountered in mining operations.
    (c) Insulating materials that give off flammable or explosive gases 
when decomposed shall not be used within enclosures where they might be 
subjected to destructive electrical action.
    (d) An enclosure shall be equipped with a lock, seal, or acceptable 
equivalent when MSHA deems such protection necessary for safety.
    (e) A component or subassembly of a methane-monitoring system shall 
be constructed as a package unit or otherwise in a manner acceptable to 
MSHA. Such components or subassemblies

[[Page 154]]

shall be readily replaceable or removable without creating an ignition 
hazard.
    (f) The complete system shall ``fail safe'' in a manner acceptable 
to MSHA.



Sec. 27.22  Methane detector component.

    (a) A methane detector component shall be suitably constructed for 
incorporation in or with permissible and approved equipment that is 
operated in gassy mines and tunnels.
    (b) A methane detector shall include:
    (1) A method of continuous sampling of the atmosphere in which it 
functions.
    (2) A method for actuating a warning device which shall function 
automatically at a methane content of the mine atmosphere between 1.0 to 
1.5 volume percent. The warning device shall also function automatically 
at all higher concentrations of methane in the mine atmosphere.
    (3) A method for actuating a power-shutoff component, which shall 
function automatically when the methane content of the mine atmosphere 
is 2.0 volume percent and at all higher concentrations of methane.
    (4) A suitable filter on the sampling intake to prevent dust and 
moisture from entering and interfering with normal operation.
    Note: This requirement for the methane detector may be waived if the 
design is such as to preclude the need of a filter.
    (c) A methane detector may provide means for sampling at more than 
one point; provided, the methane detector shall separately detect the 
methane in the atmosphere at each sampling point with, in MSHA's 
opinion, sufficient frequency.



Sec. 27.23  Automatic warning device.

    (a) An automatic warning device shall be suitably constructed for 
incorporation in or with permissible and approved equipment that is 
operated in gassy mines and tunnels.
    (b) An automatic warning device shall include an alarm signal 
(audible or colored light), which shall be made to function 
automatically at a methane content of the mine atmosphere between 1.0 to 
1.5 volume percent and at all higher concentrations of methane.
    (c) It is recommended that the automatic warning device be 
supplemented by a meter calibrated in volume percent of methane.



Sec. 27.24  Power-shutoff component.

    (a) A power-shutoff component shall be suitably constructed for 
incorporation in or with permissible and approved equipment that is 
operated in gassy mines and tunnels.
    (b) The power-shutoff component shall include:
    (1) A means which shall be made to function automatically to 
deenergize the machine or equipment when actuated by the methane 
detector at a methane concentration of 2.0 volume percent and at all 
higher concentrations in the mine atmosphere.
    (i) For an electric-powered machine or equipment energized by means 
of a trailing cable, the power-shutoff component shall, when actuated by 
the methane detector, cause a control circuit to shut down the machine 
or equipment on which it is installed; or it shall cause a control 
circuit to deenergize both the machine or equipment and the trailing 
cable.
    Note: It is not necessary that power be controlled both at the 
machine and at the outby end of the trailing cable.
    (ii) For a battery-powered machine or equipment, the methane-monitor 
power-shutoff component shall, when actuated by the methane detector, 
cause a control circuit to deenergize the machine or equipment as near 
as possible to the battery terminals.
    (iii) For a diesel-powered machine or equipment, the power-shutoff 
component, when actuated by the methane detector, shall shut down the 
prime mover and deenergize all electrical components of the machine or 
equipment. Batteries are to be disconnected as near as possible to the 
battery terminals. Headlights which are approved under Part 20 of this 
subchapter (Schedule 10, or any revision thereof) are specifically 
exempted from this requirement.
    (2) An arrangement for testing the power-shutoff characteristic to 
determine whether the power-shutoff component is functioning properly.

[[Page 155]]



                       Subpart C_Test Requirements



Sec. 27.30  Inspection.

    A detailed inspection shall be made by MSHA of the equipment and all 
components and functions related to safety in operation, which shall 
include:
    (a) Examining materials, workmanship, and design to determine 
conformance with paragraph (a) of Sec. 27.20.
    (b) Comparing components and subassemblies with the drawings and 
specifications to verify conformance with the requirements of this part.



Sec. 27.31  Testing methods.

    A methane-monitoring system shall be tested by MSHA to determine its 
functional performance, and its explosion-proof and other safety 
characteristics. Since all possible designs, arrangements, or 
combinations cannot be foreseen, MSHA reserves the right to make any 
tests or to place any limitations on equipment, or components or 
subassemblies thereof, not specifically covered herein, to determine and 
assure the safety of such equipment with regard to explosion and fire 
hazards.



Sec. 27.32  Tests to determine performance of the system.

    (a) Laboratory tests for reliability and durability. Five hundred 
successful consecutive tests \2\ for gas detection, alarm action, and 
power shutoff in natural gas-air mixtures \3\ shall be conducted to 
demonstrate acceptable performance as to reliability and durability of a 
methane-monitoring system. The tests shall be conducted as follows:
---------------------------------------------------------------------------

    \2\ Normal replacements and adjustments shall not constitute a 
failure.
    \3\ Investigation has shown that, for practical purposes, natural 
gas (containing a high percentage of methane) is a satisfactory 
substitute for pure methane in these tests.
---------------------------------------------------------------------------

    (1) The methane detector component shall be placed in a test gallery 
into which natural gas shall be made to enter at various rates with 
sufficient turbulence for proper mixing with the air in the gallery. To 
comply with the requirements of this test, the detector shall provide an 
impulse to actuate an alarm at a predetermined percentage of gas and 
also provide an impulse to actuate a power shutoff at a second 
predetermined percentage of gas. (See Sec. Sec. 27.21, 27.22, 27.23, 
and 27.24.) \4\
---------------------------------------------------------------------------

    \4\At the option of MSHA, these tests will be conducted with dust or 
moisture added to the atmosphere within the gallery.
---------------------------------------------------------------------------

    (b) Field tests. MSHA reserves the right to conduct tests, similar 
to those stated in paragraph (a) of this section, in underground 
workings to verify reliability and durability of a methane-monitoring 
system installed in connection with a piece of mining equipment.



Sec. 27.33  Test to determine explosion-proof construction.

    Any assembly, subassembly, or component which, in the opinion of 
MSHA, requires explosion-proof construction shall be tested in 
accordance with the procedures stated in Part 18 of this subchapter.



Sec. 27.34  Test for intrinsic safety.

    Assemblies, subassemblies, or components that are designed for 
intrinsic safety shall be tested by introducing into the circuit(s) 
thereof a circuit-interrupting device which produces an electric spark 
from the current in the circuit. The circuit-interrupting device shall 
be placed in a gallery containing various flammable natural gas-air 
mixtures. To meet the requirements of this test, the spark shall not 
ignite the flammable mixture. For this test the circuit-interrupting 
device shall be operated not less than 100 times at 125 percent of the 
normal operating voltage of the particular circuit.



Sec. 27.35  Tests to determine life of critical components and subassemblies.

    Replaceable components may be subjected to appropriate life tests at 
the discretion of MSHA.



Sec. 27.36  Test for adequacy of electrical insulation and clearances.

    MSHA shall examine, and test in a manner it deems suitable, 
electrical insulation and clearances between electrical conductors to 
determine adequacy for the intended service.

[[Page 156]]



Sec. 27.37  Tests to determine adequacy of safety devices for bulbs.

    The glass envelope of bulbs with the filament incandescent at normal 
operating voltage shall be broken in flammable methane-air or natural 
gas-air mixtures in a gallery to determine that the safety device will 
prevent ignition of the flammable mixtures.



Sec. 27.38  Tests to determine adequacy of windows and lenses.

    Impact tests. A 4-pound cylindrical weight with a one-inch diameter 
hemispherical striking surface will be dropped (free fall) to strike the 
window or lens in its mounting or the equivalent thereof at or near the 
center. At least three out of four samples shall withstand the impact 
according to the following table:

------------------------------------------------------------------------
                                                                 Height
                Overall lens diameter (inches)                   of fall
                                                                (inches)
------------------------------------------------------------------------
Less than 4...................................................         6
4 to 5........................................................         9
5 to 6........................................................        15
Greater than 6................................................        24
------------------------------------------------------------------------


Lenses or windows of smaller diameter than 1 inch may be tested by 
alternate methods at the discretion of MSHA.



Sec. 27.39  Tests to determine resistance to vibration.

    (a) Laboratory tests for reliability and durability. Components, 
subassemblies, or assemblies that are to be mounted on permissible and 
approved equipment shall be subjected to two separate vibration tests, 
each of one-hour duration. The first test shall be conducted at a 
frequency of 30 cycles per second with a total movement per cycle of \1/
16\-inch. The second test shall be conducted at a frequency of 15 cycles 
per second with a total movement per cycle of \1/8\-inch. Components, 
subassemblies, and assemblies shall be secured to the vibration testing 
equipment in their normal operating positions (with shock mounts, if 
regularly provided with shock mounts). Each component, subassembly and 
assembly shall function normally during and after each vibration test.
    Note: The vibrating equipment is designed to impart a circular 
motion in a plane inclined 45[deg] to the vertical or horizontal.
    (b) Field tests. MSHA reserves the right to conduct tests to 
determine resistance to vibration in underground workings to verify the 
reliability and durability of a methane-monitoring system or 
component(s) thereof where installed in connection with a piece of 
mining equipment.



Sec. 27.40  Test to determine resistance to dust.

    Components, subassemblies, or assemblies, the normal functioning of 
which might be affected by dust, such as coal or rock dust, shall be 
tested in an atmosphere containing an average concentration (50 million 
minus 40 micron particles per cubic foot) of such dust(s) for a 
continuous period of 4 hours. The component, subassembly, or assembly 
shall function normally after being subjected to this test.
    Note: Dust measurements, when necessary, shall be made by impinger 
sampling and light-field counting technique.



Sec. 27.41  Test to determine resistance to moisture.

    Components, subassemblies, or assemblies, the normal functioning of 
which might be affected by moisture, shall be tested in atmospheres of 
high relative humidity (80 percent or more at 65[deg]-75 [deg]F.) for 
continuous operating and idle periods of 4 hours each. The component or 
subassembly or assembly shall function normally after being subjected to 
those tests.



PART 28_FUSES FOR USE WITH DIRECT CURRENT IN PROVIDING SHORT-CIRCUIT 

PROTECTION FOR TRAILING CABLES IN COAL MINES--Table of Contents




                      Subpart A_General Provisions

Sec.
28.1 Purpose.
28.2 Approved fuses.
28.3 Installation, use, and maintenance of approved fuses.
28.4 Definitions.

                   Subpart B_Application for Approval

28.10 Application procedures.

[[Page 157]]

                   Subpart C_Approval and Disapproval

28.20 Certificates of approval; scope of approval.
28.21 Certificates of approval; contents.
28.22 Notice of disapproval.
28.23 Approval labels or markings; approval of contents; use.
28.24 Revocation of certificates of approval.
28.25 Changes or modifications of approved fuses; issuance of 
          modification of certificate of approval.

                        Subpart D_Quality Control

28.30 Quality control plans; filing requirements.
28.31 Quality control plans; contents.
28.32 Proposed quality control plans; approval by MSHA.
28.33 Quality control test methods, equipment, and records; review by 
          MSHA: revocation of approval.

      Subpart E_Construction, Performance and Testing Requirements

28.40 Construction and performance requirements; general.
28.41 Testing requirements; general.

    Authority: 30 U.S.C. 957, 961.

    Source: 37 FR 7562, Apr. 15, 1972, unless otherwise noted.



                      Subpart A_General Provisions



Sec. 28.1  Purpose.

    The purpose of the regulations contained in this Part 28 is: (a) To 
establish procedures and prescribe requirements which must be met in 
filing applications for the approval of fuses for use with direct 
current in providing short-circuit protection for trailing cables in 
coal mines, or the approval of changes or modifications of approved 
fuses; (b) to specify minimum performance requirements and to prescribe 
methods to be employed in conducting inspections, examinations, and 
tests to determine the effectiveness of fuses for use with direct 
current in providing short-circuit protection for trailing cables in 
coal mines; and (c) to provide for the issuance of certificates of 
approval or modifications of certificates of approval for fuses which 
have met the minimum requirements for performance and short-circuit 
protection set forth in this part.



Sec. 28.2  Approved fuses.

    (a) On and after the effective date of this part, fuses shall be 
considered to be approved for use with direct current in providing 
short-circuit protection for trailing cables in coal mines only where 
such fuses are: (1) The same in all respects as those fuses which have 
been approved after meeting the minimum requirements for performance and 
short-circuit protection prescribed in this Part 28; and (2) maintained 
in an approved condition.



Sec. 28.3  Installation, use, and maintenance of approved fuses.

    Approved fuses shall be installed and maintained in accordance with 
the specifications prescribed by the manufacturer of the fuses, and 
shall be selected and used in accordance with the standards prescribed 
for short-circuit protective devices for trailing cables in Parts 75 and 
77, Subchapter O of this chapter.



Sec. 28.4  Definitions.

    As used in this part--
    (a) Applicant means an individual, partnership, company, 
corporation, association, or other organization that designs, 
manufactures, assembles, or fabricates, or controls the design, 
manufacture, assembly, or fabrication of a fuse, and who seeks to obtain 
a certificate of approval for such fuse.
    (b) Approval means a certificate or formal document issued by MSHA 
stating that an individual fuse or combination of fuses has met the 
minimum requirements of this Part 28, and that the applicant is 
authorized to use and attach an approval label or other equivalent 
marking to any fuse manufactured, assembled, or fabricated in 
conformance with the plans and specifications upon which the approval 
was based, as evidence of such approval.
    (c) Approved means conforming to the minimum requirements of this 
Part 28.
    (d) MESA means the United States Department of the Interior, Mining 
Enforcement and Safety Administration. Predecessor organization to MSHA, 
prior to March 9, 1978.
    (e) MSHA means the United States Department of Labor, Mine Safety 
and Health Administration.

[[Page 158]]

    (f) Fuse means a device, no less effective than an automatic circuit 
breaker, for use with direct current which provides short-circuit 
protection for trailing cables in coal mines by interrupting an 
excessive current in the circuit.

[37 FR 7562, Apr. 15, 1972, as amended at 39 FR 24003, June 28, 1974; 43 
FR 12316, Mar. 24, 1978]



                   Subpart B_Application for Approval



Sec. 28.10  Application procedures.

    (a) Each applicant seeking approval of a fuse for use with direct 
current in providing short-circuit protection for trailing cables shall 
arrange for submission, at applicant's own expense, of the number of 
fuses necessary for testing to a nationally recognized independent 
testing laboratory capable of performing the examination, inspection, 
and testing requirements of this part.
    (b) The applicant shall insure, at his own expense, that the 
examination, inspection, and testing requirements of this part are 
properly and thoroughly performed by the independent testing laboratory 
of his choice.
    (c) Upon satisfactory completion by the independent testing 
laboratory of the examination, inspection, and testing requirements of 
this part, the data and results of such examination, inspection, and 
tests shall be certified by both the applicant and the laboratory and 
shall be sent for evaluation of such data and results to Approval and 
Certification Center, RR 1, Box 251, Industrial Park Road, Triadelphia, 
WV 26059. Fees calculated in accordance with part 5 of this title shall 
be submitted in accordance with Sec. 5.40.
    (d) The certified data and results of the examinations, inspections, 
and tests required by this part and submitted to MSHA for evaluation 
shall be accompanied by a proposed plan for quality control which meets 
the minimum requirements set forth in Subpart D of this part.
    (e) Each applicant shall deliver to MSHA at his own expense, three 
fuses of each size and type which may be necessary for evaluation of the 
examination, inspection, and test results by the Bureau.
    (f) Applicants or their representatives may visit or communicate 
with Approval and Certification Center in order to discuss the 
requirements for approval of any fuse, or to obtain criticism of 
proposed designs; no charge shall be made for such consultation and no 
written report shall be issued by MSHA as a result of such consultation.

[37 FR 7562, Apr. 15, 1972, as amended at 43 FR 12316, Mar. 24, 1978; 52 
FR 17515, May 8, 1987; 60 FR 35694, July 11, 1995; 70 FR 46343, Aug. 9, 
2005]



                   Subpart C_Approval and Disapproval



Sec. 28.20  Certificates of approval; scope of approval.

    (a) MSHA shall issue certificates of approval pursuant to the 
provisions of this subpart only for individual, completely fabricated 
fuses which have been examined, inspected, and tested as specified in 
Sec. 28.10, and have been evaluated by MSHA to ensure that they meet 
the minimum requirements prescribed in this part.
    (b) MSHA shall not issue an informal notification of approval.



Sec. 28.21  Certificates of approval; contents.

    (a) Each certificate of approval shall contain a description of the 
fuse and a classification of its current-interrupting capacity and 
current rating.
    (b) The certificate of approval shall specifically set forth any 
restrictions or limitations on the use of the fuse in providing short-
circuit protection for trailing cables.
    (c) Each certificate of approval shall be accompanied by a 
reproduction of the approval label or marking design, as appropriate, to 
be employed by the applicant with each approved fuse as provided in 
Sec. 28.23.
    (d) No test data or specific laboratory findings will accompany any 
certificate of approval; however, MSHA will release analyses of 
pertinent test data and specific findings upon receipt of a written 
request by the applicant, or when required by statute or regulation.

[[Page 159]]

    (e) Each certificate of approval shall also contain the approved 
quality control plan as specified in Sec. 28.31.



Sec. 28.22  Notice of disapproval.

    (a) If, upon completion of the evaluation by MSHA conducted in 
accordance with Sec. 28.10, it is determined that the fuse does not 
meet the minimum requirements set forth in this part, MSHA shall issue a 
written notice of disapproval to the applicant.
    (b) Each notice of disapproval shall be accompanied by all available 
findings with respect to the defects of the fuse for which approval was 
sought with a view to the possible correction of any such defects.
    (c) MSHA shall not disclose, except to the applicant upon written 
request or when required by statute or regulation, any data, findings, 
or other information with respect to any fuse for which a notice of 
disapproval is issued.



Sec. 28.23  Approval labels or markings; approval of contents; use.

    (a) Approval labels shall bear the emblem of the Mine Safety and 
Health Administration, an approval number, the restrictions, if any, 
placed upon the use of the fuse by MSHA, and where appropriate, the 
applicant's name and address.
    (b) Upon receipt of a certificate of approval, the applicant shall 
submit to MSHA, for approval of contents, full-scale reproductions of 
approval labels or markings, as appropriate, and a sketch or description 
of the method of application and position on the fuse, together with 
instructions for the installation, use, and maintenance of the fuse.
    (c) Legible reproductions or abbreviated forms of the label or 
markings approved by MSHA shall be attached to or printed on each fuse.
    (d) Each fuse shall be marked with the rating of the Underwriters 
Laboratories, Inc.
    (e) MSHA shall, where necessary, notify the applicant when 
additional labels, markings, or instructions will be required.
    (f) Approval labels or markings shall only be used by the applicant 
to whom they were issued.
    (g) The use of any MSHA approval label or marking obligates the 
applicant to whom it is issued to maintain or cause to be maintained the 
approved quality control sampling procedure and the acceptable quality 
level for each characteristic tested, and to guarantee that the approved 
fuse is manufactured according to the specifications upon which the 
certificate of approval is based.
    (h) The use of any MSHA approval label or marking obligates the 
applicant to whom it is issued to retest the approved fuse within a 2-
year period from the date of the certificate of approval, and every 2 
years thereafter, in accordance with the provisions of Sec. 28.10.

[37 FR 7562, Apr. 15, 1972, as amended at 43 FR 12316, Mar. 24, 1978; 45 
FR 68935, Oct. 17, 1980]



Sec. 28.24  Revocation of certificates of approval.

    MSHA reserves the right to revoke, for cause, any certificate of 
approval issued pursuant to the provisions of this part. Such causes 
include, but are not limited to, misuse of approval labels and markings, 
misleading advertising, violations of section 110(h) of the Federal Mine 
Safety and Health Act of 1977 and failure to maintain or cause to be 
maintained the quality control requirements of the certificate of 
approval.

[37 FR 7562, Apr. 15, 1972, as amended at 43 FR 12316, Mar. 24, 1978]



Sec. 28.25  Changes or modifications of approved fuses; issuance of 

modification of certificate of approval.

    (a) Each applicant may, if he desires to change any feature of an 
approved fuse, request a modification of the original certificate of 
approval issued by MSHA for such fuse by filing an application for 
modification in accordance with the provisions of this section.
    (b) Applications, including fees, shall be submitted as specified in 
Sec. 28.10 for an original certificate of approval, with a request for 
a modification of the existing certificate to cover any proposed change.

[[Page 160]]

    (c) The application for modification, together with the examination, 
inspection, and test results prescribed by Sec. 28.10 shall be examined 
and evaluated by MSHA to determine if the proposed modification meets 
the requirements of this part.
    (d) If the proposed modification meets the requirements of this 
part, a formal modification of approval will be issued, accompanied, 
where necessary, by reproductions of revised approval labels or 
markings.



                        Subpart D_Quality Control



Sec. 28.30  Quality control plans; filing requirements.

    As a part of each application for approval or modification of 
approval submitted pursuant to this part, each applicant shall file with 
MSHA a proposed quality control plan which shall be designed to assure 
the quality of short-circuit protection provided by the fuse for which 
approval is sought.



Sec. 28.31  Quality control plans; contents.

    (a) Each quality control plan shall contain provisions for the 
management of quality, including: (1) Requirements for the production of 
quality data and the use of quality control records; (2) control of 
engineering drawings, documentations, and changes; (3) control and 
calibration of measuring and test equipment; (4) control of purchased 
material to include incoming inspection; (5) lot identification, control 
of processes, manufacturing, fabrication, and assembly work conducted in 
the applicant's plant; (6) audit or final inspection of the completed 
product; and, (7) the organizational structure necessary to carry out 
these provisions.
    (b) The sampling plan shall include inspection tests and sampling 
procedures developed in accordance with Military Specification MIL-F-
15160D, ``Fuses; Instrument, Power, and Telephone'' (which is hereby 
incorporated by reference and made a part hereof), Group A tests and 
Group B tests, except that the continuity and/or resistance 
characteristics of each fuse shall be tested. Military Specification 
MIL-F-15160D is available for examination at Approval and Certification 
Center, RR 1, Box 251, Industrial Park Road, Triadelphia, WV 26059. 
Copies of the document may be purchased from Information Dissemination 
(Superintendent of Documents), P.O. Box 371954, Pittsburgh, PA 15250-
7954; Telephone: 866-512-1800, http://bookstore.gpo.gov.
    (c) The sampling procedure shall include a list of the 
characteristics to be tested by the applicant or his agent and shall 
include but not be limited to: (1) Continuity and/or resistance 
determination for each fuse; (2) carry current capability (not less than 
110 percent of the rated current); and, (3) overload current 
interruption capability (not less than 135 percent of the rated 
current).
    (d) The quality control inspection test method to be used by the 
applicant or his agent for each characteristic required to be tested 
shall be described in detail.

[37 FR 7562, Apr. 15, 1972, as amended at 43 FR 12316, Mar. 24, 1978; 60 
FR 35694, July 11, 1995; 71 FR 16666, Apr. 3, 2006]



Sec. 28.32  Proposed quality control plans; approval by MSHA.

    (a) Each proposed quality control plan submitted in accordance with 
this subpart shall be reviewed by MSHA to determine its effectiveness in 
insuring the quality of short-circuit protection provided by the fuse 
for which an approval is sought.
    (b) If MSHA determines that the proposed quality control plan 
submitted by the applicant will not insure adequate quality control, 
MSHA shall require the applicant to modify the procedures and testing 
requirements of the plan prior to approval of the plan and issuance of 
any certificate of approval.
    (c) Approved quality control plans shall constitute a part of and be 
incorporated into any certificate of approval issued by MSHA, and 
compliance with such plans by the applicant shall be a condition of 
approval.



Sec. 28.33  Quality control test methods, equipment, and records; review by 

MSHA; revocation of approval.

    (a) MSHA reserves the right to have its representatives inspect the 
applicant's quality control test methods,

[[Page 161]]

equipment, and records, and to interview any employee or agent of the 
applicant in regard to quality control test methods, equipment, and 
records.
    (b) MSHA reserves the right to revoke, for cause, any certificate of 
approval where it finds that the applicant's quality control test 
methods, equipment, or records do not ensure effective quality control 
over the fuse for which the approval was issued.



      Subpart E_Construction, Performance, and Testing Requirements



Sec. 28.40  Construction and performance requirements; general.

    (a) MSHA shall issue approvals for fuses for use with direct current 
in providing short-circuit protection for trailing cables, when such 
fuses have met the minimum construction, performance, and testing 
requirements set forth in this subpart.
    (b) Fuses submitted to MSHA for approval will not be accepted unless 
they are designed on sound engineering and scientific principles, 
constructed of suitable materials, and evidence good workmanship.
    (c) Fuses may be single-element or dual-element in type, however, 
they shall be capable of interrupting any direct current within a range 
from the ampere rating of the fuse under consideration for approval up 
to 20,000 amperes.
    (d) MSHA shall accept the fuse size and ampere rating as specified 
in the Underwriters Laboratories, Inc., standard for alternating current 
fuses (UL-198), which is hereby incorporated by reference and made a 
part hereof. This document is available for examination at Approval and 
Certification Center, RR 1, Box 251, Industrial Park Road, Triadelphia, 
WV 26059, and copies of the document are available from COMM 2000, 1414 
Brook Drive, Downers Grove, IL 60515; Telephone: 888-853-3512 (toll 
free); http://ulstandardsinfonet.ul.com.''.
    (e) Fuses shall be capable of completely interrupting a current 
within 30 milliseconds after initial current interruption, and shall not 
show any evidence of restriking after 30 milliseconds.
    (f) The blown fuse shall show only superficial damage.

[37 FR 7562, Apr. 15, 1972, as amended at 43 FR 12316, Mar. 24, 1978; 60 
FR 35694, July 11, 1995; 71 FR 16666, Apr. 3, 2006]



Sec. 28.41  Testing requirements; general.

    (a) The open circuit voltage of the test circuit shall be 300 volts 
d.c., or 600 volts d.c., depending on the voltage rating of the fuse 
being tested.
    (b) Time constant of the circuit (defined as T=L/R, where T is the 
time in seconds, L is the inductance in henries, and R is the resistance 
in ohms) shall be as follows:
    (1) For 10,000 amperes and greater currents, T=0.016 second or more;
    (2) For 1,000 amperes to 10,000 amperes, T=0.008 second or more;
    (3) For 100 amperes to 1,000 amperes, T=0.006 second or more; and
    (4) For less than 100 amperes, T=0.002 seconds or more.
    (c) Test currents shall be as follows:
    (1) 200 percent of rated current for fuses having 200 or less ampere 
rating, or 300 percent of rated current for fuses having greater than 
200 ampere rating;
    (2) 900 percent of rated current;
    (3) 10,000 amperes; and
    (4) 20,000 amperes.
    (d) The voltage shall continue to be applied for at least 30 seconds 
after completion of circuit interruption.
    (e) Five fuses of each case size shall be tested at each test 
current specified in paragraph (c) of this section, with the value of 
the fuse being the maximum value for the case size.
    (f) Three of each lot of five fuses shall be preconditioned at 95 
5 percent RH for not less than 5 days immediately 
prior to testing; and the other two fuses of each lot of five shall be 
preconditioned by heating to 90 [deg]C. for 24 hours, and tested within 
1 hour after removal from the preconditioning chamber.
    (g) At least three of each lot of five fuses shall be tested in a 
fuse holder of a trolley-tap type, and the fuse holder shall remain 
intact and shall readily accept and retain a replacement fuse.

[[Page 162]]



PART 33_DUST COLLECTORS FOR USE IN CONNECTION WITH ROCK DRILLING IN COAL 

MINES--Table of Contents




                      Subpart A_General Provisions

Sec.
33.1 Purpose.
33.2 Definitions.
33.3 Consultation.
33.4 Types of dust collectors for which certificates of approval may be 
          granted.
33.5 [Reserved]
33.6 Application procedures and requirements.
33.7 Date for conducting tests.
33.8 Conduct of investigations, tests, and demonstrations.
33.9 Certification of dust-collecting systems.
33.10 Certificates of approval or performance.
33.11 Approval plates.
33.12 Changes after certification.
33.13 Withdrawal of certification.

                  Subpart B_Dust-Collector Requirements

33.20 Design and construction.
33.21 Modification of test equipment.
33.22 Mode of use.
33.23 Mechanical positioning of parts.

                       Subpart C_Test Requirements

33.30 Test site.
33.31 Test space.
33.32 Determination of dust concentration.
33.33 Allowable limits of dust concentration.
33.34 Drilling test.
33.35 Methods of drilling; dust-collector unit.
33.36 Method of drilling; combination unit or dust-collecting system.
33.37 Test procedure.
33.38 Electrical parts.

    Authority: 30 U.S.C. 957, 961.

    Source: Schedule 25B, 25 FR 6473, July 9, 1960, unless otherwise 
noted.



                      Subpart A_General Provisions



Sec. 33.1  Purpose.

    The regulations in this part set forth the requirements for dust 
collectors used in connection with rock drilling in coal mines to 
procure their certification as permissible for use in coal mines; 
procedures for applying for such certification; and fees.



Sec. 33.2  Definitions.

    As used in this part:
    (a) Permissible, as applied to a dust collector, means that it 
conforms to the requirements of this part, and that a certificate of 
approval to that effect has been issued.
    (b) Bureau means the United States Bureau of Mines.
    (c) Certificate of approval means a formal document issued by MSHA 
stating that the dust collector unit or combination unit has met the 
requirements of this part, and authorizing the use and attachment of an 
official approval plate or a marking so indicating.
    (d) Certificate of performance means a formal document issued by 
MSHA stating that a dust-collecting system has met the test requirements 
of Subpart C of this part and therefore is suitable for use as part of 
permissible units.
    (e) Dust-collector unit means a complete assembly of parts 
comprising apparatus for collecting the dust that results from drilling 
in rock in coal mines, and is independent of the drilling equipment.
    (f) Combination unit means a rock-drilling device with an integral 
dust-collecting system, or mining equipment with an integral rock-
drilling device and dust-collecting system.
    (g) Dust-collecting system means an assembly of parts comprising 
apparatus for collecting the dust that results from drilling in rock and 
is dependent upon attachment to other equipment for its operation.
    (h) Applicant means an individual, partnership, company, 
corporation, association, or other organization that designs and 
manufactures, assembles or controls the assembly of a dust-collecting 
system, dust-collector unit, or a combination unit, and seeks 
certification thereof.
    (i) MSHA means the United States Department of Labor, Mine Safety 
and Health Administration.

[Sched. 25B, 25 FR 6473, July 9, 1960, as amended at 39 FR 24005, June 
28, 1974; 43 FR 12317, Mar. 24, 1978]



Sec. 33.3  Consultation.

    By appointment, applicants or their representatives may visit the 
Approval and Certification Center, Industrial Park Road, Dallas Pike, 
Triadelphia,

[[Page 163]]

WV 26059, to discuss with MSHA personnel proposed designs of equipment 
to be submitted in accordance with the regulations of this part. No 
charge is made for such consultation and no written report thereof will 
be made to the applicant.

[70 FR 46343, Aug. 9, 2005]



Sec. 33.4  Types of dust collectors for which certificates of approval may be 

granted.

    (a) Certificates of approval will be granted only for completely 
assembled dust-collector or combination units; parts or subassemblies 
will not be approved.
    (b) The following types of equipment may be approved: Dust-collector 
or combination units having components designed specifically to prevent 
dissemination of airborne dust generated by drilling into coal-mine rock 
strata in concentrations in excess of those hereinafter stated in Sec. 
33.33 as allowable, and to confine or control the collected dust in such 
manner that it may be removed or disposed of without dissemination into 
the mine atmosphere in quantities that would create unhygienic 
conditions.



Sec. 33.5  [Reserved]



Sec. 33.6  Application procedures and requirements.

    (a)(1) No investigation or testing for certification will be 
undertaken by MSHA except pursuant to a written application (except as 
provided in paragraph (e) of this section), accompanied by all 
prescribed drawings, specifications, and related materials. The 
application and all related matters and correspondence shall be 
addressed to: U.S. Department of Labor, Mine Safety and Health 
Administration, Approval and Certification Center, RR 1, Box 
251, Industrial Park Road, Triadelphia, West Virginia 26059. Fees 
calculated in accordance with part 5 of this title shall be submitted in 
accordance with Sec. 5.40.
    (2) Where the applicant for approval has used an independent 
laboratory under part 6 of this chapter to perform, in whole or in part, 
the necessary testing and evaluation for approval under this part, the 
applicant must provide to MSHA as part of the approval application:
    (i) Written evidence of the laboratory's independence and current 
recognition by a laboratory accrediting organization;
    (ii) Complete technical explanation of how the product complies with 
each requirement in the applicable MSHA product approval requirements;
    (iii) Identification of components or features of the product that 
are critical to the safety of the product; and
    (iv) All documentation, including drawings and specifications, as 
submitted to the independent laboratory by the applicant and as required 
by this part.
    (3) An applicant may request testing and evaluation to non-MSHA 
product safety standards which have been determined by MSHA to be 
equivalent, under Sec. 6.20 of this chapter, to MSHA's product approval 
requirements under this part.
    (b) The application shall specify the operating conditions (see 
Sec. 33.22) for which certification is requested.
    (c) Shipment of the equipment to be tested shall be deferred until 
MSHA has notified the applicant that the application will be accepted. 
Shipping instructions will be issued by MSHA and shipping charges shall 
be prepaid by the applicant. Upon completion of the investigation and 
notification thereof to the applicant by MSHA, the applicant shall 
remove his equipment promptly from the test site (see Sec. 33.30).
    (d) Drawings and specifications shall be adequate in number and 
detail to identify fully the design of the unit or system and to 
disclose its materials and detailed dimensions of all component parts. 
Drawings must be numbered and dated to insure accurate identification 
and reference to records, and must show the latest revision. 
Specifications and drawings, including a complete assembly drawing with 
each part that affects dust collection identified thereon, shall 
include:
    (1) Details of all dust-collector parts. A manufacturer who supplies 
the applicant with component parts or sub- assemblies may submit 
drawings and specifications of such parts or subassemblies direct to 
MSHA instead of to the applicant. If the unit or system

[[Page 164]]

is certified, MSHA will supply the applicant with a list, in duplicate, 
of drawing numbers pertaining to such parts or subassemblies for 
identification purposes only.
    (2) Details of the electrical parts of units designed to operate as 
face equipment (see Sec. 33.38) in accordance with the provisions of 
Part 18 of Subchapter D of this chapter. (Bureau of Mines Schedule 2, 
revised, the current revision of which is Schedule 2F).
    (3) Storage capacity of the various stages of dust collection in the 
dust separator.
    (4) Net filter area in the dust separator, and complete 
specifications of the filtering material.
    (e) If an application is made for certification of a dust-collector 
unit or a combination unit that includes electrical parts, and is 
designed to operate as electric face equipment, as defined in Sec. 
33.38, the application shall be in triplicate.
    (f) The application shall state that the unit or system is 
completely developed and of the design and materials which the applicant 
believes to be suitable for a finished marketable product.
    (g) The applicant shall furnish a complete unit or system for 
inspection and testing. Spare parts, such as gaskets and other 
expendable components subject to wear in normal operation, shall be 
supplied by the applicant to permit continuous operation during test 
periods. If special tools are necessary to disassemble any part for 
inspection or test, they shall be furnished by the applicant.
    (h) Each unit or system shall be carefully inspected before it is 
shipped from the place of manufacture or assembly and the results of the 
inspection shall be recorded on a factory-inspection form. The applicant 
shall furnish MSHA with a copy of the factory-inspection form with his 
application. The form shall direct attention to the points that must be 
checked to make certain that all parts are in proper condition, complete 
in all respects, and in agreement with the drawings and specifications 
filed with MSHA.
    (i) With the application the applicant shall furnish MSHA with 
complete instructions for operating and servicing the unit or system and 
information as to the kind of power required. After MSHA's 
investigation, if any revision of the instructions is required a revised 
copy thereof shall be submitted to MSHA for inclusion with the drawings 
and specifications.

[Sched. 25B, 25 FR 6473, July 9, 1960, as amended at 43 FR 12317, Mar. 
24, 1978; 47 FR 14696, Apr. 6, 1982; 47 FR 28095, June 29, 1982; 60 FR 
33723, June 29, 1995; 68 FR 36422, June 17, 2003; 70 FR 46343, Aug. 9, 
2005]



Sec. 33.7  Date for conducting tests.

    The date of acceptance of an application will determine the order of 
precedence for testing when more than one application is pending, and 
the applicant will be notified of the date on which tests will begin. If 
a unit or system fails to meet any of the requirements, it shall lose 
its order of precedence. If an application is submitted to resume 
testing after correction of the cause of failure, it will be treated as 
a new application and the order of precedence for testing will be so 
determined.



Sec. 33.8  Conduct of investigations, tests, and demonstrations.

    (a) Prior to the issuance of a certificate of approval or 
performance, necessary government personnel, representatives of the 
applicant, and such other persons as may be mutually agreed upon, may 
observe the investigations or tests. MSHA shall hold as confidential and 
shall not disclose principles or patentable features, nor shall it 
disclose any details of drawings, specifications, and related materials. 
After the issuance of a certificate, MSHA may conduct such public 
demonstrations and tests of the unit or system as it deems appropriate. 
The conduct of all investigations, tests, and demonstrations shall be 
under the direction and control of MSHA, and any other persons shall be 
present only as observers, except as noted in paragraph (b) of this 
section.
    (b) When requested by MSHA, the applicant shall provide assistance 
in disassembling parts for inspection, preparing parts for testing, and 
operating combination units.

[Sched. 25B, 25 FR 6473, July 9, 1960, as amended at 39 FR 24005, June 
28, 1974]

[[Page 165]]



Sec. 33.9  Certification of dust-collecting systems.

    Manufacturers of dust-collecting systems that are designed for 
integral use on machines with drilling equipment may apply to MSHA to 
issue a certificate of performance for such systems. To qualify for a 
certificate of performance, the dust-collecting system shall have met 
satisfactorily the test requirements of Subpart C under specified 
operating conditions, such as type of drilling equipment, drilling 
speed, and power requirements and the construction thereof shall be 
adequately covered by specifications and drawings officially recorded 
and filed with MSHA. Individual parts of dust-collecting systems will 
not be certified for performance. Certificates of performance may be 
cited to fabricators of combination units as evidence that further 
inspection and testing of the dust-collecting system will not be 
required, provided the dust-collecting requirements of the drilling 
equipment do not exceed the limits of performance for which the system 
was certified. Since MSHA does not sanction the use of the words 
``permissible'' or ``approved'' except as applying to completely 
assembled equipment, dust-collecting systems, which have been certified 
only as to performance, shall not be advertised or labeled in a manner 
inferring that such systems themselves are permissible or approved by 
MSHA. However, a certified system may be advertised as suitable for use 
on combination units for which certification may be desired if the 
limits of its performance are cited. Certified dust-collecting systems 
shall bear labels or tags which shall contain the following: 
``Performance-tested Dust Collecting, System, MSHA File No. P/T--------
,'' and name of manufacturer, identifying numbers of the dust-collector 
parts, and description of the limitations for which performance is 
certified. MSHA will assign a P/T file number in the certification 
letter.



Sec. 33.10  Certificates of approval or performance.

    (a) Upon completion of an investigation, MSHA will issue to the 
applicant either a certificate or a written notice of disapproval, as 
they case may require. No informal notification of approval will be 
issued. If a certificate is issued, no test data or detailed results of 
tests will accompany it. If a notice of disapproval is issued, it will 
be accompanied by details of the defects, with a view to possible 
correction. MSHA will not disclose, except to the applicant, any 
information on a unit or system upon which a notice of disapproval has 
been issued.
    (b) A certificate will be accompanied by a list of the drawings and 
specifications covering the details of design and construction of the 
unit or system, including the electrical parts, if applicable, upon 
which the certificate is based. Applicants shall keep exact duplicates 
of the drawings and specifications submitted and the list of drawing 
numbers referred to in Sec. 33.6(d)(1) that relate to the certified 
unit or system, and these are to be adhered to exactly in production.



Sec. 33.11  Approval plates.

    (a) A certificate of approval will be accompanied by a photograph of 
a design for an approval plate, bearing the emblem of the Mine Safety 
and Health Administration, the name of the applicant, the name of the 
unit, the approval number or space for the approval number (or numbers 
if permissibility of electrical parts is involved), spaces for the type 
and the serial numbers of the unit, conditions of approval, and 
identifying numbers of the dust-collector parts. When deemed necessary 
by MSHA, an appropriate statement shall be added, giving the precautions 
to be observed in maintaining the unit in an approved condition.
    (b) An approval plate for a unit designed for use in a nongassy coal 
mine shall state that any electrical parts are not certified for use in 
a gassy coal mine. (See Sec. 33.38(c).)
    (c) The applicant shall reproduce the design either as a separate 
plate or by stamping or molding it in some suitable place on each unit 
to which it relates. The size, type, and method of attaching and 
location of an approval plate are subject to the approval of MSHA. The 
method of affixing the plate shall not impair the dust-collection or 
explosion-proof features of the unit.

[[Page 166]]

    (d) The approval plate identifies the unit, to which it is attached, 
as permissible, and is the applicant's guarantee that the unit complies 
with the requirements of this part. Without an approval plate, no unit 
has the status of ``permissible'' under the provisions of this part.
    (e) Use of the approval plate obligates the applicant to whom the 
certificate of approval was granted to maintain the quality of each unit 
bearing it and guarantees that it is manufactured and assembled 
according to the drawings and specifications upon which a certificate of 
approval was based. Use of the approval plate is not authorized except 
on units that conform strictly with the drawings and specifications upon 
which the certificate of approval was based.

[Sched. 25B, 25 FR 6473, July 9, 1960, as amended at 43 FR 12317, Mar. 
24, 1978]



Sec. 33.12  Changes after certification.

    If an applicant desires to change any feature of a certified unit or 
system, he shall first obtain MSHA's approval of the change, pursuant to 
the following procedure:
    (a)(1) Application shall be made as for an original certificate, 
requesting that the existing certification be extended to cover the 
proposed changes, and shall be accompanied by drawings, specifications, 
and related data showing the changes in detail.
    (2) Where the applicant for approval has used an independent 
laboratory under part 6 of this chapter to perform, in whole or in part, 
the necessary testing and evaluation for approval of changes to an 
approved product under this part, the applicant must provide to MSHA as 
part of the approval application:
    (i) Written evidence of the laboratory's independence and current 
recognition by a laboratory accrediting organization;
    (ii) Complete technical explanation of how the product complies with 
each requirement in the applicable MSHA product approval requirements;
    (iii) Identification of components or features of the product that 
are critical to the safety of the product; and
    (iv) All documentation, including drawings and specifications, as 
submitted to the independent laboratory by the applicant and as required 
by this part.
    (b) The application will be examined by MSHA to determine whether 
inspection and testing will be required. Testing will be necessary if 
there is a possibility that the modification may affect adversely the 
performance of the unit or system. MSHA will inform the applicant 
whether such testing is required and the components or materials to be 
submitted for that purpose.
    (c) If the proposed modification meets the requirements of this part 
and Part 18 of Subchapter D of this chapter (Bureau of Mines Schedule 2, 
revised, the current revision of which is Schedule 2F) if applicable, a 
formal extension of certification will be issued, accompanied by a list 
of new and corrected drawings and specifications to be added to those 
already on file as the basis for the extension of certification.

[Schedule 25B, 25 FR 6473, July 9, 1960, as amended at 52 FR 17515, May 
8, 1987; 68 FR 36422, June 17, 2003]



Sec. 33.13  Withdrawal of certification.

    MSHA reserves the right to rescind for cause, at any time, any 
certification granted under this part.



                  Subpart B_Dust-Collector Requirements



Sec. 33.20  Design and construction.

    (a) MSHA will not test or investigate any dust collector that in its 
opinion is not constructed of suitable materials, that evidences faulty 
workmanship, or that is not designed upon sound engineering principles. 
Since all possible designs, arrangements, or combinations of components 
and materials cannot be foreseen, MSHA reserves the right to modify the 
tests specified in this part in such manner to obtain substantially the 
same information and degree of protection as provided by the tests 
described in Subpart C of this part.
    (b) Adequacy of design and construction of a unit or system will be 
determined in accordance with its ability (1) to prevent the 
dissemination of objectionable or harmful concentrations of

[[Page 167]]

dust into a mine atmosphere, and (2) to protect against explosion and/or 
fire hazards of electrical equipment, except as provided in Sec. 
33.38(b).



Sec. 33.21  Modification of test equipment.

    For test purposes the unit or system may be modified, such as by 
attaching instruments or measuring devices, at MSHA's discretion; but 
such modification shall not alter its performance.



Sec. 33.22  Mode of use.

    (a) A unit or system may be designed for use in connection with 
percussion and/or rotary drilling in any combination of the following 
drilling positions: (1) Vertically upward, (2) upward at angles to the 
vertical, (3) horizontally, and (4) downward.
    (b) Dust-collector units may be designed for use with specific 
drilling equipment or at specific drilling speeds.



Sec. 33.23  Mechanical positioning of parts.

    All parts of a unit that are essential to the dust-collection 
feature shall be provided with suitable mechanical means for positioning 
and maintaining such parts properly in relation to the stratum being 
drilled.



                       Subpart C_Test Requirements



Sec. 33.30  Test site.

    Tests shall be conducted at an appropriate location determined by 
MSHA.

[39 FR 24005, June 28, 1974]



Sec. 33.31  Test space.

    (a) Drilling tests shall be conducted in a test space formed by two 
curtains suspended across a mine opening in such a manner that the 
volume of the test space shall be approximately 2,000 cubic feet.
    (b) No mechanical ventilation shall be provided in the test space 
during a drilling test, except such air movement as may be induced by 
operation of drilling- or dust-collecting equipment.
    (c) All parts of a unit or system shall be within the test space 
during a drilling test.



Sec. 33.32  Determination of dust concentration.

    (a) Concentrations of airborne dust in the test space shall be 
determined by sampling with a midget impinger apparatus, and a light-
field microscopic technique shall be employed in determining 
concentrations of dust in terms of millions of particles (5 microns or 
less in diameter) per cubic foot of air sampled.
    (b) Before a drilling test is started the surfaces of the test space 
shall be wetted; the test space shall be cleared of air-borne dust 
insofar as practicable by mechanical ventilation or other means; and an 
atmospheric sample, designated as a control sample, shall be collected 
during a 5-minute period to determine residual airborne dust in the test 
space.
    (c) A sample of airborne dust, designated as a test sample, shall be 
collected in the breathing zone of the drill operators during the 
drilling of each test hole. Time consumed in changing drill steel shall 
not be considered as drilling time and sampling shall be discontinued 
during such periods.

[Sched. 25B, 25 FR 6473, July 9, 1960, as amended at 26 FR 2599, Mar. 
28, 1961]



Sec. 33.33  Allowable limits of dust concentration.

    (a) The concentration of dust determined by the control sample shall 
be subtracted from the average concentration of dust determined by the 
test samples collected at each drill operator's position, and the 
difference shall be designated as the net concentration of airborne 
dust. Calculations of the average concentration of dust determined from 
the test samples shall be based upon the results of not less than 80 
percent of each set of test samples.
    (b) Under each prescribed test condition, the net concentration of 
airborne dust at each drill operator's position shall not exceed 10 
million particles (5 microns or less in diameter) per cubic foot of air 
when determined in accordance with the method given in Sec. 33.32(a).

[Sched. 25B, 25 FR 6473, July 9, 1960, as amended at 26 FR 2599, Mar. 
28, 1961]

[[Page 168]]



Sec. 33.34  Drilling test.

    (a) A drilling test shall consist of drilling a set of 10 test 
holes, without undue delay, under specified operating conditions. When 
the test involves the control of dust from more than one drill, all the 
drills shall be used in the intended manner to complete the set of test 
holes.
    (b) Holes shall be drilled to a depth of 4 feet plus or minus 2 
inches and shall be spaced so as not to interfere with adjacent holes. 
Each hole may be plugged after completion.
    (c) Receptacles and filters for collecting drill cuttings shall be 
emptied and cleaned before each drilling test is started.
    (d) Holes designated as ``vertical'' shall be drilled to incline not 
more than 10 degrees to the vertical. Holes designated as ``angle'' 
shall be drilled to incline not less than 30 and not more than 45 
degrees to the vertical. Holes designated as ``horizontal'' shall be 
drilled to incline not more than 15 degrees to the horizontal.

[Sched. 25B, 25 FR 6473, July 9, 1960, as amended at 26 FR 2599, Mar. 
28, 1961]



Sec. 33.35  Methods of drilling; dust-collector unit.

    (a) General. All drilling shall be done with conventional, 
commercial drilling equipment--pneumatic-percussion, hydraulic-rotary, 
and/or electric-rotary types--in accordance with the applicant's 
specifications.
    (b) Pneumatic-percussion drilling. A stoper-type drill with a piston 
diameter of 2\1/2\ to 3 inches shall be used for roof drilling, A hand-
held, sinker-type drill with a piston diameter of 2\1/2\ to 3 inches 
shall be used for down drilling and also for horizontal drilling, except 
that the drill shall be supported mechanically. Compressed air for 
operating the drill shall be supplied at a gage pressure of 85-95 pounds 
per square inch. Drill bits shall be detachable, cross type with hard 
inserts, and shall be sharp when starting to drill each set of 10 holes. 
In roof drilling, 1\1/4\- and 1\1/2\-inch diameter drill bits shall be 
used; in horizontal and down drilling, 1\3/4\-inch diameter bits shall 
be used. The drill steel shall be \7/8\-inch hexagonal and of hollow 
type to permit the introduction of compressed air through the drill 
steel when necessary to clean a hole during drilling.
    (c) Rotary drilling. A hydraulic-rotary drill with a rated drilling 
speed of 18 feet per minute free lift, capable of rotating drill steel 
at 900 revolutions per minute with 100 foot-pounds torque, and having a 
feed force of 7,000 pounds, shall be used for roof drilling. An 
electric-rotary drill, supported by a post mounting, with a rated 
drilling speed of 30 inches per minute and powered by a 2.25 horsepower 
motor, shall be used for horizontal drilling. For roof drilling, the 
bits shall be hard-tipped, 1\3/8\ and 1\1/2\ inches outside diameter, 
and 1\1/4\-inch auger-type drill steel shall be used. For horizontal 
drilling, the bits shall be hard-tipped, 2 inches outside diameter, and 
1\3/4\-inch auger-type drill steel shall be used. Drill bits shall be 
sharp when starting to drill each set of 10 holes.



Sec. 33.36  Method of drilling; combination unit or dust-collecting system.

    Drilling shall be conducted in accordance with the applicant's 
specifications and operating instructions. If special drill bits or 
drill steel are required, they shall be furnished to MSHA by the 
applicant. Otherwise the drill bit and drill steel requirements stated 
in paragraphs (b) and (c) of Sec. 33.35 shall be complied with for all 
types of combination units or dust-collecting systems.



Sec. 33.37  Test procedure.

    (a) Roof drilling: Drilling shall be done in friable strata, similar 
to the roof in the Bureau's Experimental Mine, which tends to produce 
large scale-like cuttings.
    (b) Horizontal drilling: Drilling shall be done in strata comparable 
in hardness to that of coal-mine draw slate. Holes shall be started near 
the roof of the test space under conditions simulating the drilling of 
draw slate in coal mining.
    (c) Down drilling: Drilling shall be done in typical mine floor 
strata with a pneumatic percussion-type drill. Five holes shall be 
drilled vertically and five holes shall be drilled at an angle.
    (d) At MSHA's discretion drilling in ``on site'' strata may be 
acceptable in

[[Page 169]]

lieu of strata requirements in paragraphs (a), (b), and (c) of this 
section. (See Sec. 33.20(a).)



Sec. 33.38  Electrical parts.

    (a) Units with electrical parts and designed to operate as electric 
face equipment (see definition, Sec. 45.44-1 of this chapter) in gassy 
coal mines shall meet the requirements of Part 18 of Subchapter D of 
this chapter (Bureau of Mines Schedule 2, revised, the current revision 
of which is Schedule 2F), and the examination and testing of the 
electrical parts shall be entirely separate from the examination and 
testing of dust-collecting equipment as such.
    (b) Units with electrical parts designed to operate only outby the 
last open crosscut in a gassy coal-mine entry, room, or other opening 
(including electric-drive units with their controls and push buttons) 
are not required to comply with the provisions of Part 18 of Subchapter 
D of this chapter (Bureau of Mines Schedule 2, revised, the current 
revision of which is Schedule 2F).
    (c) Units with electrical parts and designed for operation only in 
nongassy coal mines are not required to comply with the provisions of 
Part 18 of Subchapter D of this chapter (Bureau of Mines Schedule 2, 
revised, the current revision of which is Schedule 2F). (See Sec. 
33.11(b).)



PART 35_FIRE-RESISTANT HYDRAULIC FLUIDS--Table of Contents




                      Subpart A_General Provisions

Sec.
35.1 Purpose.
35.2 Definitions.
35.3 Consultation.
35.4 Types of hydraulic fluid for which certificates of approval may be 
          granted.
35.5 [Reserved]
35.6 Application procedures and requirements.
35.7 Date for conducting tests.
35.8 Conduct of investigations, tests, and demonstrations.
35.9 Certificates of approval.
35.10 Approval labels or markings.
35.11 Material required for record.
35.12 Changes after certification.
35.13 Withdrawal of certification.

                       Subpart B_Test Requirements

35.20 Autogenous-ignition temperature test.
35.21 Temperature-pressure spray-ignition test.
35.22 Test to determine effect of evaporation on flammability.
35.23 Performance required for certification.

    Authority: 30 U.S.C. 957, 961.

    Source: Schedule 30, 24 FR 10201, Dec. 17, 1959, unless otherwise 
noted.



                      Subpart A_General Provisions



Sec. 35.1  Purpose.

    The regulations in this part set forth the requirements for fire-
resistant hydraulic fluids and concentrates for the production thereof 
to procure their certification as approved for use in machines and 
devices that are operated in coal mines and procedures for applying for 
such certification.

[Schedule 30, 24 FR 10201, Dec. 17, 1959, as amended at 52 FR 17515, May 
8, 1987]



Sec. 35.2  Definitions.

    As used in this part--
    (a) Permissible, as applied to hydraulic fluids, means that the 
fluid conforms to the requirements of this part, and that a certificate 
of approval to that effect has been issued.
    (b) MSHA means the United States Department of Labor, Mine Safety 
and Health Administration.
    (c) Certificate of approval means a formal document issued by MESA 
stating that the fluid has met the requirements of this part for fire-
resistant hydraulic fluids and authorizing the use of an official 
identifying marking so indicating.
    (d) Fire-resistant hydraulic fluid means a fluid of such chemical 
composition and physical characteristics that it will resist the 
propagation of flame.
    (e) Concentrate means a substance in concentrated form that might 
not be fire resistant as such but when mixed with water or other vehicle 
in accordance with instructions furnished by the applicant will 
constitute a fire-resistant hydraulic fluid.
    (f) Applicant means an individual, partnership, company, 
corporation, association, or other organization that manufactures, 
compounds, refines, or

[[Page 170]]

otherwise produces, a fire-resistant hydraulic fluid or a concentrate 
for the production thereof, and seeks a certificate of approval.

[Sched. 30, 24 FR 10201, Dec. 17, 1959, as amended at 39 FR 24005, June 
28, 1974; 43 FR 12317, Mar. 24, 1978]



Sec. 35.3  Consultation.

    By appointment, applicants or their representatives may visit 
Approval and Certification Center, RR 1, Box 251, Industrial Park Road, 
Triadelphia, WV 26059, to discuss with qualified MSHA personnel proposed 
fluids to be submitted in accordance with the regulations of this part. 
No charge is made for such consultation and no written report thereof 
will be submitted to the applicant.

[Sched. 30, 24 FR 10201, Dec. 17, 1959, as amended at 43 FR 12317, Mar. 
24, 1978; 60 FR 35694, July 11, 1995]



Sec. 35.4  Types of hydraulic fluid for which certificates of approval may be 

granted.

    Certificates of approval will be granted for completely compounded 
or mixed fluids and not for individual ingredients; except that when a 
concentrate is submitted for testing, complete instructions for mixing 
with water or other vehicle shall be furnished to MSHA, together with 
the vehicle other than water, and the approval will cover only the 
specific mixture that constitutes the hydraulic fluid for use in coal 
mines.



Sec. 35.5  [Reserved]



Sec. 35.6  Application procedures and requirements.

    (a)(1) No investigation or testing will be undertaken by MSHA except 
pursuant to a written application accompanied by all descriptions, 
specifications, test samples, and related materials. The application and 
all related matters and correspondence shall be addressed to: U.S. 
Department of Labor, Mine Safety and Health Administration, Approval and 
Certification Center, RR 1, Box 251, Industrial Park Road, 
Triadelphia, West Virginia 26059. Fees calculated in accordance with 
part 5 of this title shall be submitted in accordance with Sec. 5.40.
    (2) Where the applicant for approval has used an independent 
laboratory under part 6 of this chapter to perform, in whole or in part, 
the necessary testing and evaluation for approval under this part, the 
applicant must provide to MSHA as part of the approval application:
    (i) Written evidence of the laboratory's independence and current 
recognition by a laboratory accrediting organization;
    (ii) Complete technical explanation of how the product complies with 
each requirement in the applicable MSHA product approval requirements;
    (iii) Identification of components or features of the product that 
are critical to the safety of the product; and
    (iv) All documentation, including drawings and specifications, as 
submitted to the independent laboratory by the applicant and as required 
by this part.
    (3) An applicant may request testing and evaluation to non-MSHA 
product safety standards which have been determined by MSHA to be 
equivalent, under Sec. 6.20 of this chapter, to MSHA's product approval 
requirements under this part.
    (b) Descriptions and specifications shall be adequate in detail to 
identify fully the composition of the hydraulic fluid and to disclose 
its characteristics. Descriptions and specifications shall include:
    (1) An identifying name or number of the fluid or concentrate for 
the production thereof.
    (2) Pour point, [deg]F.; freezing point, [deg]F.; color; 
neutralization number or pH; viscosity at 100 [deg]F., 150 [deg]F., 175 
[deg]F. (Saybolt or Furol); viscosity index; specific gravity.
    (3) A statement of the water or other vehicle content in percent by 
weight or volume and how it affects fire resistance of the hydraulic 
fluid. If water is the vehicle, the statement shall include the 
applicant's method for determining water content quickly in the field.
    (c) The application shall state whether the fluid submitted for test 
is toxic or irritating to the skin and what precautions are necessary in 
handling it.
    (d) The application shall state that the applicant has tested the 
fluid

[[Page 171]]

which he believes to have fire-resistant properties, the basis for such 
determination, and submit with his application the data resulting from 
the applicant's use or laboratory tests to determine the fire-resistant 
properties of the fluid.
    (e) The application shall contain evidence that the fluid has 
lubricating and hydraulic properties and is satisfactory for use in 
underground mining machinery; and shall state that the fluid, or 
concentrate for the production thereof, is fully developed and is of the 
composition that the applicant believes to be a suitable marketable 
product.
    (f) The application shall state the nature, adequacy, and continuity 
of control of the constituents of the fluid to maintain its fire-
resistant characteristics and how each lot will be sampled and tested to 
maintain its protective qualities. MSHA reserves the right to have its 
qualified representative(s) inspect the applicant's control-test 
equipment, procedures, and records, and to interview the personnel who 
conduct the control tests to satisfy MSHA that the proper procedure is 
being followed to insure that the fire-resistant qualities of the 
hydraulic fluid are maintained.
    (g) When MSHA notifies the applicant that the application will be 
accepted, it will also notify him as to the number of samples and 
related materials that will be required for testing. Ordinarily a 5-
gallon sample of hydraulic fluid will be required provided that it is a 
finished product or, if in concentrate form, enough shall be furnished 
to make a 5-gallon sample when mixed with water or other vehicle 
according to the applicant's instructions. All samples and related 
materials required for testing must be delivered (charges prepaid) to 
Approval and Certification Center, RR 1, Box 251, Industrial Park Road, 
Triadelphia, WV 26059.

[Sched. 30, 24 FR 10201, Dec. 17, 1959, as amended at 43 FR 12317, Mar. 
24, 1978; 60 FR 35694, July 11, 1995; 68 FR 36422, June 17, 2003; 70 FR 
46344, Aug. 9, 2005]



Sec. 35.7  Date for conducting tests.

    The date of acceptance of an application will determine the order of 
precedence for testing when more than one application is pending, and 
the applicant will be notified of the date on which tests will begin. 
However, not more than two fluids will be tested consecutively for one 
applicant provided other applications are pending. If a fluid fails to 
meet any of the requirements, it shall lose its order of precedence. If 
an application is submitted to resume testing after correction of the 
course of failure, it will be treated as a new application and the order 
of precedence for testing will be so determined.



Sec. 35.8  Conduct of investigations, tests, and demonstrations.

    Prior to the issuance of a certificate of approval, necessary 
Government personnel, representatives of the applicant, and such other 
persons as may be mutually agreed upon, may observe the investigations 
or tests. MSHA shall hold as confidential and shall not disclose 
features of this hydraulic fluid such as the chemical analysis, 
specifications, descriptions, and related material. After issuing a 
certificate of approval MSHA may conduct such public demonstrations and 
tests of the approved hydraulic fluid as it deems appropriate. The 
conduct of all investigations, tests, and demonstrations shall be under 
the direction and control of MSHA, and any other persons shall be 
present only as observers.

[Sched. 30, 24 FR 10201, Dec. 17, 1959, as amended at 39 FR 24005, June 
28, 1974]



Sec. 35.9  Certificates of approval.

    (a) Upon completion of an investigation of a hydraulic fluid MSHA 
will issue to the applicant either a certificate of approval or a 
written notice of disapproval as the case may require. No informal 
notification of approval will be issued. If a certificate of approval is 
issued, no test data or detailed results of tests will accompany it. If 
a notice of disapproval is issued, it will be accompanied by details of 
the defect(s), with a view to possible correction. MSHA will not 
disclose, except to the applicant, any information on a fluid upon which 
a notice of disapproval has been issued.
    (b) A certificate of approval will be accompanied by a list of 
specifications covering the characteristics of a hydraulic fluid upon 
which the certificate

[[Page 172]]

of approval is based. In addition to the applicant's record of control 
in maintaining the fire-resistant characteristics, applicants shall keep 
exact duplicates of the specifications that have been submitted to MSHA 
and that relate to any fluid which has received a certificate of 
approval; and these are to be adhered to exactly in production of the 
certified fluid for commercial purposes.



Sec. 35.10  Approval labels or markings.

    (a) A certificate of approval will be accompanied by a photograph of 
a design for an approval label or marking, which shall bear the emblem 
of the Mine Safety and Health Administration and shall be inscribed 
substantially as follows:

               Permissible Fire-Resistant Hydraulic Fluid

MSHA Approval No._______________________________________________________
Issued to_______________________________________________________________
                                                     (Name of Applicant)

    (b) A label so inscribed shall be attached to each fluid container 
in such a manner that it cannot be easily removed or containers may be 
so marked with a metal stencil. The letters and numbers shall be at 
least \1/2\ inch in height and of a color which contrasts with that of 
the container.
    (c) For a concentrate the label or marking shall clearly indicate 
that the certification thereof applies only when the concentrate is used 
in exact conformance with the instructions on such label or marking. The 
label or marking shall clearly indicate the exact amount of water or 
other vehicle to make the fire-resistant hydraulic fluid upon which the 
certificate of approval was based.
    (d) Appropriate instructions and caution statements on the handling 
of the hydraulic fluid or concentrate shall be included on the approval 
label or marking.
    (e) Use of MSHA's approval label or marking obligates the applicant 
to whom the certificate of approval was granted to maintain the fire-
resistant characteristics of the hydraulic fluid and guarantees that it 
is manufactured according to the specifications upon which the 
certificate of approval was based. Use of the approval label or marking 
is not authorized except on containers of hydraulic fluids that conform 
strictly with the specifications and characteristics upon which the 
certificate of approval was based.

[Sched. 30, 24 FR 10201, Dec. 17, 1959, as amended at 43 FR 12317, Mar. 
24, 1978]



Sec. 35.11  Material required for record.

    MSHA may retain for record all or part of the material submitted for 
testing. Any material that MSHA does not require will be returned to the 
applicant at his expense upon receipt of his written request and 
shipping instructions not more than 6 months after the termination or 
completion of the tests. Thereafter MSHA will dispose of such surplus 
material as it deems appropriate.



Sec. 35.12  Changes after certification.

    If an applicant desires to change any specification or 
characteristic of a certified hydraulic fluid, he shall first obtain 
MSHA's approval of the change, pursuant to the following procedures:
    (a)(1) Application shall be made, as for an original certificate of 
approval, requesting that the existing certification be extended to 
cover the proposed change. The application shall be accompanied by 
specifications and related material as in the case of an original 
application.
    (2) Where the applicant for approval has used an independent 
laboratory under part 6 of this chapter to perform, in whole or in part, 
the necessary testing and evaluation for approval of changes to an 
approved product under this part, the applicant must provide to MSHA as 
part of the approval application:
    (i) Written evidence of the laboratory's independence and current 
recognition by a laboratory accrediting organization;
    (ii) Complete technical explanation of how the product complies with 
each requirement in the applicable MSHA product approval requirements;
    (iii) Identification of components or features of the product that 
are critical to the safety of the product; and
    (iv) All documentation, including drawings and specifications, as 
submitted to the independent laboratory

[[Page 173]]

by the applicant and as required by this part.
    (b) The application and related material(s) will be examined by MSHA 
to determine whether testing of the modified hydraulic fluid will be 
required. Testing will be necessary if there is a possibility that the 
modification may affect adversely the performance characteristics of the 
fluid. MSHA will inform the applicant in writing whether such testing is 
required.
    (c) If the proposed modification meets the requirements of this 
part, a formal extension of certification will be issued, accompanied by 
a list of new and corrected specifications to be added to those already 
on file, as the basis for the extension of certification.

[Schedule 30, 24 FR 10201, Dec. 17, 1959, as amended at 52 FR 17515, May 
8, 1987; 68 FR 36422, June 17, 2003]



Sec. 35.13  Withdrawal of certification.

    MSHA reserves the right to rescind for cause, at any time, any 
certificate of approval granted under this part.



                       Subpart B_Test Requirements



Sec. 35.20  Autogenous-ignition temperature test.

    (a) Purpose. The purpose of this test, referred to hereinafter as 
the ignition-temperature test, is to determine the lowest autogenous-
ignition temperature of a hydraulic fluid at atmospheric pressure when 
using the syringe-injection method.
    (b) Description of apparatus--(1) Test flask. The test flask, which 
is heated and into which the test sample is injected, shall be a 
commercial 200 ml. borosilicate glass Erlenmeyer flask.
    (2) Thermocouples. Calibrated thermocouples--iron-constantan or 
chromelalumel--and a potentiometer shall be used for all temperature 
measurements.
    (3) Syringe. A hypodermic syringe (0.25 or 1 cc. capacity) equipped 
with a 2-inch No. 18 stainless steel needle and calibrated in hundredths 
of a cubic centimeter (0.01 cc.) shall be used to inject samples into 
the heated test flask.
    (4) Timer. An electric timer or stopwatch calibrated in not more 
than 0.2 second intervals shall be used to determine the time lag before 
ignition.
    Note: Time lag is the time that elapses between the instant of 
injection and that of ignition of the test sample, as evidenced by 
flame.
    (5) Furnace. The furnace in which the ignition-temperature test is 
conducted shall consist of a refractory (alundum or equivalent) cylinder 
5 inches in internal diameter and 5 inches in height; a transite-ring 
top and a transite-disk bottom, each of which is attached to a metal 
cylinder. The furnace is heated by three elements as follows: (i) A 
circumferential heater embedded in the refractory cylinder; (ii) a top 
or toroidal-neck heater that surrounds the neck of the test flask; and 
(iii) a flat base heater on which the test flask rests. The temperature 
of each heating element shall be controlled independently by an 
autotransformer. Means shall be provided for applying thermocouples at 
the neck, mid-section, and base of the test flask, which shall be 
inserted upright in the furnace.
    (c) Test procedures--(1) Temperature control. Each autotransformer 
shall be so adjusted that the temperature at the neck, mid-section, and 
base of the test flask is uniform within 2 [deg]F. 
of the desired test temperature.
    (2) Sample injection and timing. A 0.07 cc. test sample shall be 
injected into the heated test flask with the hypodermic syringe, and the 
syringe shall be withdrawn immediately. Measurement of time shall start 
at the instant the sample is injected.
    (3) Observations. (i) If flame does not result in 5 minutes or more 
after injection of the test sample, the sample shall be considered 
nonflammable at the test temperature, and the timer shall be stopped. 
The test flask shall then be flushed well with clean dry air and, after 
a lapse of 15 minutes or more, the test shall be repeated with the test 
flask temperature raised 50 [deg]F. 2 [deg]F. 
above the first test temperature.
    (ii) If ignition (flame) is observed in 5 minutes or less after the 
injection of the test sample (0.07 cc.), the time lag (time interval) 
shall be noted. After an ignition occurs the temperature of the test 
flask shall be reduced 5 [deg]F., and the test procedure repeated in 
decrements of 5 [deg]F. until ignition no longer occurs and this 
temperature shall be noted as the first nonignition

[[Page 174]]

test temperature for the 0.07 cc. sample.
    (iii) The temperature shall be increased 50 [deg]F. 2 [deg]F. above the first nonignition test temperature, 
and the ignition-temperature test procedure shall be repeated with a 
0.10 cc. test sample injected into the heated test flask.
    (iv) If the lowest temperature at which ignition occurs with the 
0.10 cc. sample (in decrements of 5 [deg]F.) is lower than that obtained 
with the 0.07 cc. sample, the ignition-temperature test procedure shall 
be repeated using a test sample of 0.12 cc., then 0.15 cc., and so on by 
increments of 0.03 cc. until the lowest ignition temperature is 
obtained.
    (v) If the lowest temperature at which ignition is obtained with the 
0.10 cc. sample is greater than that obtained with the 0.07 cc. sample, 
the ignition temperature test procedure shall be repeated by reducing 
the test sample to 0.05 cc. and then to 0.03 cc. until the lowest 
ignition temperature is obtained.
    (d) Appraisal of test. A fluid shall be considered fire-resistant, 
according to the test requirements of this section: Provided, That in no 
instance of the ignition-temperature test procedure, as stated in this 
section, shall the ignition temperature of the test sample be less than 
600 [deg]F.



Sec. 35.21  Temperature-pressure spray-ignition tests.

    (a) Purpose. The purpose of this test shall be to determine the 
flammability of a hydraulic fluid when it is sprayed over three 
different sources of ignition which are described in paragraph (b)(4) of 
this section.
    (b) Description of apparatus. (1) A 3-quart pressure vessel, with 
the necessary connections, valves, and heating elements, shall be used 
for containing and heating the fluid under the test conditions as 
specified hereinafter.
    (2) An atomizing round-spray nozzle, having a discharge orifice of 
0.025-inch diameter, capable of discharging 3.28 gallons of water per 
hour with a spray angle of 90 degrees at a pressure of 100 p.s.i., shall 
be connected to the pressure vessel.
    (3) A commercial pressurized cylinder, containing nitrogen with the 
customary regulators, valves, tubing, and connectors, shall be used to 
supply nitrogen to the pressure vessel described in paragraph (b) (1) of 
this section.
    (4) Three igniting devices shall provide three different sources of 
ignition as follows:
    (i) A metal trough with a metal cover in which cotton waste soaked 
in kerosene is ignited.
    (ii) An electric arcing device in which the arc is produced by a 
12,000-volt transformer.
    (iii) A propane torch--Bernzomatic or equivalent.
    (5) A means of measuring distances from the nozzle tip to the 
igniting device shall be provided.
    (c) Test procedures. (1) A 2\1/2\-quart sample of the fluid shall be 
poured into the pressure vessel and heated to a temperature of 150 
[deg]F. The temperature shall be maintained at not less than 145 [deg]F. 
or not more than 155 [deg]F. during the test.
    (2) Nitrogen shall be introduced into the vessel at 150 p.s.i.g.
    (3) The fluid shall be sprayed at each igniting device, described in 
paragraph (b) (4) of this section, which is moved along the trajectory 
of the spray. Each igniting device shall be held in the spray at 
different distances from the nozzle tip for one minute or until the 
flame or arc is extinguished (if less than one minute) to determine this 
fire-resistant characteristic of the fluid.
    (d) Appraisal of tests. If the test procedures in paragraph (c) of 
this section do not result in an ignition of any sample of fluid or if 
an ignition of a sample does not result in flame propagation for a time 
interval not exceeding 6 seconds at a distance of 18 inches or more from 
the nozzle tip to the center of each igniting device, it shall be 
considered fire resistant, according to the test requirements of this 
section.



Sec. 35.22  Test to determine effect of evaporation on flammability.

    (a) Purpose. The purpose of this test shall be to determine the 
effect of evaporation on the reduction of fire resistance of a hydraulic 
fluid.

[[Page 175]]

    (b) Description of apparatus--(1) Petri dish. Standard laboratory 
Petri dishes, approximately 90 mm. by 16 mm., shall be used to contain 
the test samples.
    (2) Oven. A gravity convection air oven, capable of maintaining the 
specified evaporation temperature constant within 2 [deg]F., shall be used in the test.
    (3) Pipe cleaner. An ordinary smoker's pipe cleaner (U.S. Tobacco 
Co., Dill's or equivalent) shall be used in the test procedure, 
described in paragraph (c) of this section.
    (c) Test procedures. (1) Three 30-milliliter samples of the fluid 
shall be placed in uncovered Petri dishes. Two of these samples shall be 
inserted in the oven, that shall have been heated to a temperature of 
150 [deg]F., 2 [deg]F., which shall be maintained 
throughout this test. The third sample shall remain at room temperature.
    (2) An electrically operated cycling device, such as an automobile 
windshield wiper mechanism, shall be oscillated in a horizontal plane, 
25 2 cycles per minute. A pipe cleaner shall be 
attached to the device so that it will enter and leave a flame of a 
standard (Bunsen or equivalent) laboratory burner, which is adjusted to 
provide a nonluminous flame approximately 4 inches in height without 
forming a sharp inner cone. The cycling device shall be so arranged that 
when a 2-inch length of pipe cleaner is attached thereto the exposed end 
shall describe an arc with a radius of 4 inches \1/8\ inch. The cycling device shall be so arranged that 
when the 2-inch length of pipe cleaner is attached thereto, its midpoint 
shall be in the center of the flame at one extreme end of the cycle.
    (3) Each of five 2-inch lengths of pipe cleaner shall be soaked 
separately for a period of 2 minutes in the test sample that remained at 
room temperature. Each pipe cleaner shall then be removed from the test 
sample and permitted to drain freely until all excess fluid is expelled 
from it. Each soaked pipe cleaner shall be attached to the cycling 
device, the mechanism started, and the pipe cleaner permitted to enter 
and leave the burner flame, as described in paragraph (c) (2) of this 
section, until a self-sustaining flame shall be observed on the pipe 
cleaner. The number of cycles necessary to obtain a self-sustaining 
flame shall be noted and averaged for each of the five soaked pipe 
cleaners.
    (4) After one test sample has remained in the oven for a period of 2 
hours, the Petri dish containing it shall be removed from the oven and 
allowed to cool to room temperature, after which 5 lengths of 2-inch 
pipe cleaner shall be soaked separately in the test sample for a period 
of 2 minutes. Then the test procedure stated in paragraph (c) (3) of 
this section shall be repeated.
    (5) After one test sample has remained in the oven for a period of 4 
hours, the Petri dish containing it shall be removed from the oven and 
allowed to cool to room temperature, after which 5 lengths of 2-inch 
pipe cleaner shall be soaked separately in the test sample for a period 
of 2 minutes. Then the test procedure stated in paragraph (c) (3) of 
this section shall be repeated.
    (d) Appraisal of tests. To be determined as fire resistant according 
to the test requirements of this section, the three following results 
shall be achieved:
    (1) The average number of cycles before attaining a self-sustaining 
flame in the test described in paragraph (c) (3) of this section shall 
be 24 or more.
    (2) The average number of cycles before attaining a self-sustaining 
flame in the test described in paragraph (c) (4) of this section shall 
be 18 or more.
    (3) The average number of cycles before attaining a self-sustaining 
flame in the test described in paragraph (c) (5) of this section shall 
be 12 or more.



Sec. 35.23  Performance required for certification.

    To qualify as fire-resistant under the regulations of this part, a 
hydraulic fluid shall meet each performance requirement and stated in 
Sec. Sec. 35.20(d), 35.21(d), and 35.22(d).

[[Page 176]]



PART 36_APPROVAL REQUIREMENTS FOR PERMISSIBLE MOBILE DIESEL-POWERED TRANSPORTATION EQUIPMENT--Table of Contents




                      Subpart A_General Provisions

Sec.
36.1 Purpose.
36.2 Definitions.
36.3 Consultation.
36.4 Mobile diesel-powered transportation equipment for which 
          certificates of approval may be granted.
36.5 Letters of certification.
36.6 Application procedures and requirements.
36.7 [Reserved]
36.8 Date for conducting tests.
36.9 Conduct of investigations, tests, and demonstrations.
36.10 Certificate of approval.
36.11 Approval plates.
36.12 Changes after certification.
36.13 Withdrawal of certification.

             Subpart B_Construction and Design Requirements

36.20 Quality of material, workmanship, and design.
36.21 Engine for equipment considered for certification.
36.22 Fuel-injection system.
36.23 Engine intake system.
36.24 Engine joints.
36.25 Engine exhaust system.
36.26 Composition of exhaust gas.
36.27 Fuel-supply system.
36.28 Signal or warning device.
36.29 Brakes.
36.30 Rerailing device.
36.31 Fire extinguisher.
36.32 Electrical components and systems.
36.33 Headlights and fixtures.

                       Subpart C_Test Requirements

36.40 Test site.
36.41 Testing methods.
36.42 Inspection.
36.43 Determination of exhaust-gas composition.
36.44 Maximum allowable fuel: air ratio.
36.45 Quantity of ventilating air.
36.46 Explosion tests of intake and exhaust systems.
36.47 Tests of exhaust-gas cooling system.
36.48 Tests of surface temperature of engine and components of the 
          cooling system.
36.49 Tests of exhaust-gas dilution system.
36.50 Tests of fuel tank.

    Authority: 30 U.S.C. 957, 961.

    Source: Schedule 31, 26 FR 645, Jan. 24, 1961, unless otherwise 
noted.



                      Subpart A_General Provisions



Sec. 36.1  Purpose.

    The regulations in this part set forth the requirements for mobile 
diesel-powered transportation equipment to procure their approval and 
certification as permissible; procedures for applying for such 
certification; and fees.

[61 FR 55525, Oct. 25, 1996]



Sec. 36.2  Definitions.

    The following definitions apply in this part.
    Applicant An individual, partnership, company, corporation, 
association, or other organization, that designs, manufactures, 
assembles, or controls the assembly and that seeks a certificate of 
approval or preliminary testing of mobile diesel-powered transportation 
equipment as permissible.
    Certificate of approval. A formal document issued by MSHA stating 
that the complete assembly has met the requirements of this part for 
mobile diesel-powered transportation equipment and authorizing the use 
and attachment of an official approval plate so indicating.
    Component. A piece, part, or fixture of mobile diesel-powered 
transportation equipment that is essential to its operation as a 
permissible assembly.
    Diesel engine. A compression-ignition, internal-combustion engine 
that utilizes diesel fuel.
    Explosion proof. A component or subassembly that is so constructed 
and protected by an enclosure and/or flame arrester (s) that if a 
flammable mixture of gas is ignited within the enclosure it will 
withstand the resultant pressure without damage to the enclosure and/or 
flame arrester(s). Also the enclosure and/or flame arrester(s) shall 
prevent the discharge of flame or ignition of any flammable mixture that 
surrounds the enclosure.
    Flame arrester. A device so constructed that flame or sparks from 
the diesel engine cannot propagate an explosion of a flammable mixture 
through it.

[[Page 177]]

    Flammable mixture. A mixture of gas, such as methane, natural gas, 
or similar hydrocarbon gas with normal air, that will propagate flame or 
explode violently when initiated by an incendive source.
    Fuel-air ratio. The composition of the mixture of fuel and air in 
the combustion chamber of the diesel engine expressed as weight-pound of 
fuel per pound of air.
    MSHA. The United States Department of Labor, Mine Safety and Health 
Administration.
    Mobile diesel-powered transportation equipment. Equipment that is:
    (1) Used for transporting the product being mined or excavated, or 
for transporting materials and supplies used in mining or excavating 
operations;
    (2) Mounted on wheels or crawler treads (tracks); and
    (3) Powered by a diesel engine as the prime mover.
    Normal operation. When each component and the entire assembly of the 
mobile diesel-powered transportation equipment performs the functions 
for which they were designed.
    Permissible. As applied to mobile diesel-powered transportation 
equipment, this means that the complete assembly conforms to the 
requirements of this part, and that a certificate of approval to that 
effect has been issued.
    Subassembly. A group or combination of components.

[61 FR 55525, Oct. 25, 1996]



Sec. 36.3  Consultation.

    By appointment, applicants or their representatives may visit 
Approval and Certification Center, RR 1, Box 251, Industrial Park Road, 
Triadelphia, WV 26059, to discuss with qualified MSHA personnel proposed 
mobile diesel-powered transportation equipment to be submitted in 
accordance with the regulations of this part. No charge is made for such 
consultation and no written report thereof will be submitted to the 
applicant.

[Sched. 31, 26 FR 645, Jan. 24, 1961, as amended at 43 FR 12318, Mar. 
24, 1978; 60 FR 35695, July 11, 1995]



Sec. 36.4  Mobile diesel-powered transportation equipment for which 

certificates of approval may be granted.

    Certificates of approval will be granted for completely assembled 
mobile diesel-powered transportation equipment only. Subassemblies or 
components may be granted letters of certification in accordance with 
Sec. 36.5.



Sec. 36.5  Letters of certification.

    When a component or subassembly meets all of the applicable 
requirements of Subparts B and C of this part, and also its normal 
operation will not be affected by connection to adjacent components or 
subassemblies, MSHA will issue to the applicant, upon his request, a 
letter of certification informing him that additional inspection or 
tests of the component or subassembly will not be required when it is 
incorporated without modification in a piece of completely assembled 
mobile diesel-powered transportation equipment. The applicant may cite 
this letter of certification to another applicant who seeks approval and 
certification of his completely assembled mobile diesel-powered 
transportation equipment and who desires to incorporate the component or 
subassembly in such equipment.



Sec. 36.6  Application procedures and requirements.

    (a)(1) No investigation or testing will be undertaken by MSHA except 
pursuant to a written application accompanied by all descriptions, 
specifications, test samples, and related materials. The application and 
all related matters and correspondence shall be addressed to: U.S. 
Department of Labor, Mine Safety and Health Administration, Approval and 
Certification Center, RR 1, Box 251, Industrial Park Road, 
Triadelphia, West Virginia 26059. Fees calculated in accordance with 
part 5 of this title shall be submitted in accordance with Sec. 5.40.
    (2) Where the applicant for approval has used an independent 
laboratory under part 6 of this chapter to perform, in whole or in part, 
the necessary testing and evaluation for approval under this part, the 
applicant must provide to MSHA as part of the approval application:

[[Page 178]]

    (i) Written evidence of the laboratory's independence and current 
recognition by a laboratory accrediting organization;
    (ii) Complete technical explanation of how the product complies with 
each requirement in the applicable MSHA product approval requirements;
    (iii) Identification of components or features of the product that 
are critical to the safety of the product; and
    (iv) All documentation, including drawings and specifications, as 
submitted to the independent laboratory by the applicant and as required 
by this part.
    (3) An applicant may request testing and evaluation to non-MSHA 
product safety standards which have been determined by MSHA to be 
equivalent, under Sec. 6.20 of this chapter, to MSHA's product approval 
requirements under this part.
    (b) Drawings, specifications, and descriptions shall be adequate in 
detail to identify fully the complete assembly, components, and 
subassemblies. Drawings, specifications, and descriptions shall include:
    (1) Assembly drawing(s) showing the overall dimensions of the 
equipment, location and capacity of the fuel tank, location of flame 
arresters, exhaust-gas conditioner and its water-supply tank, if 
applicable, exhaust-gas dilution system, and other details that are 
essential to the functioning of the equipment.
    (2) Except for equipment utilizing part 7, subpart F power packages, 
detailed drawings showing the intake, combustion, and exhaust systems of 
the diesel engine, including joints and gaskets; the turbulence or 
precombustion chamber, if applicable; injector assembly and nozzle 
details; and any surfaces that form the combustion chamber or part 
thereof, such as the cylinder head, piston and cylinder liner; and other 
features that may affect permissibility, such as exhaust-gas conditioner 
and flame arresters.
    (3) Except for equipment utilizing part 7, subpart F power packages, 
a schematic drawing of the fuel system showing piping, connections, fuel 
filters, fuel-injection pump, and mechanical governor assembly. All 
components shall be identified to permit adjustment, as necessary, and 
the location of seals or locks to prevent tampering shall be indicated.
    (4) Except for equipment utilizing part 7, subpart F power packages, 
drawing(s) specifying the kind of material and detailed dimensions of 
the components of explosion-proof enclosures, including joints and 
openings.
    (5) Drawing(s) showing the construction of headlights, battery 
boxes, including seals or locks, and method of mounting.
    (6) Other drawings, specifications, or descriptions identifying any 
feature that MSHA considers necessary for certification of the 
particular mobile diesel-powered transportation equipment.
    (c) Shipment of the mobile diesel-powered transportation equipment 
or component part or subassembly as the case may be, shall be deferred 
until MSHA has notified the applicant that the application will be 
accepted. Shipping instructions will be issued by MSHA and shipping 
charges shall be prepaid by the application. Upon completion of the 
investigation and notification thereof to the applicant by MSHA, the 
applicant shall remove his equipment promptly from the test site (see 
Sec. 36.40).
    (d) The application shall state that the equipment is completely 
developed and of the design and materials that the applicant believes to 
be suitable for a finished marketable product or is a completely 
developed component or subassembly suitable for incorporation in a 
finished marketable complete assembly of mobile diesel-powered 
transportation equipment. If the final design of a component depends 
upon results of MSHA's tests, this shall be so stated in the 
application.
    (e) For a complete investigation leading to approval and 
certification, the applicant shall furnish a complete operable assembly 
for inspecting and testing. Spare parts and expendable components, 
subject to wear in normal operation, shall be supplied by the applicant 
to permit continuous operation of the equipment during test periods. If 
special tools are necessary to disassembly any component for inspection 
or test, the applicant shall furnish these with the equipment to be 
tested.

[[Page 179]]

    (f) With each application, the applicant shall submit evidence of 
how he proposes to inspect his completely assembled mobile diesel-
powered transportation equipment at the place of manufacture or assembly 
before shipment to purchasers. Ordinarily such inspection is recorded on 
a factory inspection form and the applicant shall furnish to MSHA a copy 
of his factory inspection form or equivalent with his application. The 
form shall direct attention to the points that must be checked to make 
certain that all components of the assembly are in proper condition, 
complete in all respects, and in agreement with the drawings, 
specifications, and descriptions filed with MSHA.
    (g) With the application, the applicant shall furnish to MSHA 
complete instructions for operating and servicing his equipment. After 
completing MSHA's investigation, if any revision of the instructions is 
required, a revised copy thereof shall be submitted to MSHA for 
inclusion with the drawings and specifications.

[Sched. 31, 26 FR 645, Jan. 24, 1961, as amended at 43 FR 12318, Mar. 
24, 1978; 47 FR 14696, Apr. 6, 1982; 60 FR 33723, June 29, 1995; 60 FR 
35695, July 11, 1995; 61 FR 55526, Oct. 25, 1996; 68 FR 36422, June 17, 
2003; 70 FR 46344, Aug. 9, 2005]



Sec. 36.7  [Reserved]



Sec. 36.8  Date for conducting tests.

    The date for acceptance of an application will determine the order 
of precedence for testing when more than one application is pending, and 
the applicant will be notified of the date on which tests will begin. If 
a complete assembly, or component, or subassembly fails to meet any of 
the requirements, it shall lose its order of precedence. However, if the 
cause of failure is corrected, testing will be resumed after completing 
such test work as may be in progress.



Sec. 36.9  Conduct of investigations, tests, and demonstrations.

    (a) Prior to the issuance of a certificate of approval or a letter 
of certification, as the case may require, necessary Government 
personnel, representatives of the applicant, and such other persons as 
may be mutually agreed upon may observe the investigations or tests. 
MSHA shall hold as confidential and shall not disclose principles or 
patentable features prior to certification, nor shall it disclose any 
details of drawings, specifications, descriptions, or related materials. 
After the issuance of a certificate of approval, MSHA may conduct such 
public demonstrations and tests of the approved mobile diesel-powered 
transportation equipment as it deems appropriate. The conduct of all 
investigations, tests, and demonstrations shall be under the direction 
and control of MSHA, and any other persons shall be present only as 
observers, except as noted in paragraph (b) of this section.
    (b) When requested by MSHA, the applicant shall provide assistance 
in disassembling parts for inspection, preparing parts for testing, and 
operating equipment during the tests.

[Sched. 31, 26 FR 645, Jan. 24, 1961, as amended at 39 FR 24006, June 
28, 1974; 61 FR 55526, Oct. 25, 1996]



Sec. 36.10  Certificate of approval.

    (a) Upon completion of investigation of a complete assembly of 
mobile diesel-powered transportation equipment, MSHA will issue to the 
applicant either a certificate of approval or a written notice of 
disapproval, as the case may require. No informal notification of 
approval will be issued. If a certificate of approval is issued, no test 
data or detailed results of tests will accompany it. If a notice of 
disapproval is issued, it will be accompanied by details of the defects, 
with a view to possible correction. MSHA will not disclose, except to 
the applicant, any information on mobile diesel-powered transportation 
equipment upon which a notice of disapproval has been issued.
    (b) A certificate of approval will be accompanied by a list of 
drawings, specifications, and related material covering the details of 
design and construction of equipment upon which the certificate of 
approval is based. Applicants shall keep exact duplicates of the 
drawings, specifications, and descriptions that relate to equipment 
which has received a certificate of approval, and these are to be 
adhered to exactly

[[Page 180]]

in production of the certified equipment.
    (c) A certificate of approval will be accompanied by an appropriate 
caution statement specifying the conditions to be observed for operating 
and maintaining the equipment and to preserve its permissible status.



Sec. 36.11  Approval plates.

    (a) A certificate of approval will be accompanied by a photograph of 
an approval plate, bearing the emblem of the Mine Safety and Health 
Administration and spaces for the approval number, the type, the serial 
number, and ventilation requirement; the name of the complete assembly; 
and the name of the applicant.
    (b) The applicant shall reproduce the design as a separate plate, 
which shall be attached, in a suitable place, on each complete assembly 
to which it relates. The size, type, and method of attaching and 
location of an approval plate are subject to MSHA's approval. The method 
of affixing the approval plate shall not impair the permissibility 
(explosion-proof) features of the complete assembly of mobile diesel-
powered transportation equipment.
    (c) The approval plate identifies the equipment, to which it is 
attached, as permissible and is the applicant's guarantee that the 
equipment complies with the requirements of this part. Without an 
approval plate no equipment is considered permissible under the 
provisions of this part.
    (d) Use of the approval plate obligates the applicant to whom the 
certificate of approval was granted to maintain in his plant the quality 
of each complete assembly bearing it and guarantees that it is 
manufactured and assembled according to the drawings, specifications, 
and descriptions upon which a certificate of approval was based.

[Sched. 31, 26 FR 645, Jan. 24, 1961, as amended at 43 FR 12318, Mar. 
24, 1978]



Sec. 36.12  Changes after certification.

    If an applicant desires to change any feature of certified 
equipment, he shall first obtain MSHA's approval of the change, pursuant 
to the following procedure:
    (a)(1) Application shall be made, as for an original certificate of 
approval, requesting that the existing certification be extended to 
cover the proposed change. The application shall be accompanied by 
specifications and related material as in the case of an original 
application.
    (2) Where the applicant for approval has used an independent 
laboratory under part 6 of this chapter to perform, in whole or in part, 
the necessary testing and evaluation for approval of changes to an 
approved product under this part, the applicant must provide to MSHA as 
part of the approval application:
    (i) Written evidence of the laboratory's independence and current 
recognition by a laboratory accrediting organization;
    (ii) Complete technical explanation of how the product complies with 
each requirement in the applicable MSHA product approval requirements;
    (iii) Identification of components or features of the product that 
are critical to the safety of the product; and
    (iv) All documentation, including drawings and specifications, as 
submitted to the independent laboratory by the applicant and as required 
by this part.
    (b) The application will be examined by MSHA to determine whether 
inspection and testing of the modified equipment or component or 
subassembly will be required. Testing will be necessary if there is a 
possibility that the modification may affect adversely the performance 
of the equipment. MSHA will inform the applicant whether such testing is 
required and the component, subassembly, and related material to be 
submitted for that purpose.
    (c) If the proposed modification meets the requirements of this 
part, a formal extension of certification will be issued, accompanied by 
a list of new and corrected drawings and specifications to be added to 
those already on file as the basis for the extension of certification.

[Schedule 31, 26 FR 645, Jan. 24, 1961, as amended at 52 FR 17516, May 
8, 1987; 68 FR 36423, June 17, 2003]

[[Page 181]]



Sec. 36.13  Withdrawal of certification.

    MSHA reserves the right to rescind for cause any certificate of 
approval granted under this part.



             Subpart B_Construction and Design Requirements



Sec. 36.20  Quality of material, workmanship, and design.

    (a) MSHA will test only equipment that in the opinion of its 
qualified representatives is constructed of suitable materials, is of 
good quality workmanship, based on sound engineering principles, and is 
safe for its intended use. Since all possible designs, arrangements, or 
combinations of components and materials cannot be foreseen, MSHA 
reserves the right to modify the construction and design requirements of 
subassemblies or components and tests thereof to obtain the same degree 
of protection as provided by the tests described in Subpart C of this 
part.
    (b) The quality of material, workmanship, and design shall conform 
to the requirements of Sec. 7.98(q) of this chapter.
    (c) Power packages approved under part 7, subpart F of this chapter 
are considered to be acceptable for use in equipment submitted for 
approval under this part. Sections 36.21 through 36.26 (except Sec. 
36.25(f)) and Sec. Sec. 36.43 through 36.48 are not applicable to 
equipment utilizing part 7, subpart F power packages, since these 
requirements have already been satisfied.

[Sched. 31, 26 FR 645, Jan. 24, 1961, as amended at 61 FR 55526, Oct. 
25, 1996]



Sec. 36.21  Engine for equipment considered for certification.

    Only equipment powered by a compression-ignition (diesel) engine and 
burning diesel fuel will be considered for approval and certification. 
The starting mechanism shall be actuated pneumatically, hydraulically, 
or by other methods acceptable to MSHA. Electric starting shall not be 
accepted. Engines burning other fuels or utilizing volatile fuel 
starting aids will not be investigated.

[Sched. 31, 26 FR 645, Jan. 24, 1961, as amended at 61 FR 55526, Oct. 
25, 1996]



Sec. 36.22  Fuel-injection system.

    This system shall be so constructed that the quantity of fuel 
injected can be controlled at a desired maximum value and shall be so 
arranged that this adjustment can be changed only after breaking a seal 
or unlocking a compartment. Provision shall be made for convenient 
adjustment of the maximum fuel-injection rate to that required for safe 
operation at different altitudes (elevations above sea level). The 
governor, controlling engine speed and fuel injection, shall not 
directly affect airflow to the engine and provision shall be made to 
seal or lock its adjustment compartment. Filters shall be provided to 
insure that only clean fuel will reach the injection pump or injectors.



Sec. 36.23  Engine intake system.

    (a) Construction. The intake system (exclusive of the air cleaner) 
shall be designed to withstand an internal pressure equal to 4 times the 
maximum pressure observed in explosion tests, which are described in 
Sec. 36.46, or a pressure of 125 pounds per square inch, whichever is 
the lesser. Joints in the intake system shall be formed by metal flanges 
fitted with metal or metal-clad gaskets, positively positioned by 
through bolts or other suitable means for secure assembly, or shall meet 
the requirements for flanged metal-to-metal flame-proof joints as 
required in Sec. 36.20(b). Either type of joint shall withstand 
repeated explosions within the intake system without permanent 
deformation and shall prevent the propagation of flame through the joint 
into a surrounding flammable mixture.
    (b) Intake flame arrester. (1) The intake system shall include a 
flame arrester that will prevent an explosion within the system from 
propagating to a surrounding flammable mixture. This flame arrester 
shall be between the air cleaner and the intake manifold and shall be 
attached so that it may be removed for inspecting, cleaning, or 
repairing. Its construction shall be such that it may be cleaned 
readily. The flame arrester shall be of rugged construction to withstand 
the effects of repeated explosions within the intake

[[Page 182]]

system, and the material of construction shall resist deterioration in 
service. It shall be so mounted in the equipment assembly that it is 
protected from accidental external damage.
    (2) The parts of any flame arrester shall be positively positioned 
to produce a flame path that will arrest the propagation of an explosion 
and shall be so designed that improper assembly is impossible. In flame 
arresters of the spaced-plate type, the thickness of the plates shall be 
at least 0.125 inch; spacing between the plates shall not exceed 0.018 
inch; and the plates forming the flame path shall be at least 1 inch 
wide. The unsupported length of the plates shall be short enough that 
deformation during the explosion tests shall not exceed 0.002 inch. 
Corrosion-resistant metal shall be used to construct flame arresters.
    (c) Air shutoff valve. The intake system shall include a valve, 
operable from the operator's compartment, to shut off the air supply to 
the engine. This valve shall be constructed to permit its operation only 
after the fuel supply to the engine is shut off. In reverse operation 
the valve must open fully before fuel can be supplied to the engine.
    (d) Air cleaner. An air cleaner shall be included in the engine 
intake system and so arranged that only clean air will enter the flame 
arrester. The resistance to airflow shall not increase rapidly in dusty 
atmospheres. Filters of the self-cleansing (oil-bath) type will be 
considered satisfactory for this application. Provision, satisfactory to 
MSHA, shall be made to prevent overfilling the oil-bath air cleaner.
    (e) Vacuum-gage connection. A connection shall be provided in the 
intake system for temporary attachment of a vacuum gage to indicate the 
pressure drop under flow conditions. This opening shall be closed by a 
plug or other suitable device that is sealed or locked in place except 
when a gage is attached.



Sec. 36.24  Engine joints.

    (a) Cylinder head. The joint between the cylinder head and block of 
the engine shall be fitted with a metal or metal-clad gasket 
satisfactory to MSHA held securely in position by through bolts or other 
suitable means to prevent a change in alignment. This joint shall 
provide an adequate flame barrier with the gasket in place.
    (b) Valve guides. Valve guides shall be long enough to form an 
adequate flame barrier along the valve stem.
    (c) Gaskets. All metal or metal-clad gaskets shall maintain their 
tightness during repeated explosions within the engine and its intake 
and exhaust systems to prevent the propagation of flame.



Sec. 36.25  Engine exhaust system.

    (a) Construction. The exhaust system of the engine shall be designed 
to withstand an internal pressure equal to 4 times the maximum pressure 
observed in explosion tests, which are described in Sec. 36.46, or a 
pressure of 125 pounds per square inch, whichever is the lesser. The 
system shall withstand repeated internal explosions without permanent 
deformation or deterioration.
    (b) Exhaust flame arrester. (1) The exhaust system of the engine 
shall be provided with a flame arrester to prevent propagation of flame 
or discharge of heated particles to a surrounding flammable mixture. The 
flame arrester shall be so positioned that only cooled exhaust gas will 
discharge through it and shall be so designed and attached that it can 
be removed for inspecting, cleaning, or repairing. Its construction 
shall be such that it can be cleaned readily. The flame arrester shall 
be of rugged construction to withstand the effects of repeated 
explosions within the exhaust system, and the material of construction 
shall resist deterioration in service. It shall be so mounted in the 
equipment assembly that it is protected from accidental external damage.
    (2) A spaced-plate flame arrester for the exhaust system shall meet 
the same requirements as flame arresters for the intake system (see 
Sec. 36.23(b)(2)).
    (3) In lieu of a space-place flame arrester, an exhaust-gas cooling 
box or conditioner may be used as the exhaust flame arrester provided 
that explosion tests demonstrate that the cooling box will arrest flame. 
When used as a flame arrester the cooling box shall be equipped with a 
device to shut off automatically the fuel supply to the engine

[[Page 183]]

at a safe minimum water level. A cooling box used as a flame arrester 
shall withstand repeated explosion tests without permanent deformation. 
It shall be constructed of material, satisfactory to MSHA, that will 
resist deterioration in service.
    (c) Exhaust cooling system. (1) A cooling system shall be provided 
for the engine exhaust gas. The heat-dissipation capacity shall be 
capable of reducing the temperature of the undiluted exhaust gas to less 
than 170 [deg]F. at the point of discharge from the cooling system under 
any condition of engine operation acceptable to MSHA. A device shall be 
provided that will automatically shut off the fuel supply to the engine 
immediately if the temperature of the exhaust gas exceeds 185 [deg]F. at 
the point of discharge from the cooling system. Provision shall be made, 
acceptable to MSHA, to prevent restarting the engine after the fuel 
supply has been shut off automatically until the water supply in the 
cooling box has been replenished. When the cooling box is used as a 
flame arrester, one safety device may be accepted provided it controls a 
safe minimum water level in the cooling box and also prevents the final 
exhaust temperature from exceeding 185 [deg]F.
    (2) Cooling shall be obtained by passing the exhaust gas through 
water or a dilute aqueous chemical solution held in a cooling box or 
conditioner, or by a spray of water or a dilute aqueous chemical 
solution that will enter the exhaust system near the outlet of the 
exhaust manifold, or a combination of the two methods. When a spray is 
used it shall be provided with a filtering device to protect the nozzle 
from clogging. Provisions shall be made for draining and cleaning all 
parts of the exhaust cooling system. Openings for draining and cleaning 
shall be closed and sealed or locked by a method satisfactory to MSHA.
    (3) The cooling system shall be constructed of corrosion-resistant 
metal suitable for the intended application.
    (4) The cooling system shall store enough water or aqueous solution 
to permit operation of the engine at one-third load factor for eight 
hours. The minimum quantity of usable water or aqueous solution 
available for cooling shall equal the consumption for one hour with the 
engine operating at maximum load and speed multiplied by 8 and this 
product divided by 3.
    (d) Surface temperature of engine and exhaust system. (1) The 
temperature of any external surface of the engine or exhaust system 
shall not exceed 400 [deg]F. under any condition of engine operation 
prescribed by MSHA. Water-jacketed components shall have integral 
jackets and provision shall be made for positive circulation of water in 
the jackets and to automatically shut off the engine when the 
temperature in the cooling jacket(s) exceeds 212 [deg]F. Insulated 
coverings to control surface temperature are not acceptable.
    (2) When a spray is used to reduce the temperature of the exhaust 
gas, it shall be located as near as practicable to the outlet of the 
exhaust manifold.
    (3) Exterior surfaces of the exhaust system shall be designed to 
minimize accumulation and lodgement of dust or combustible substances 
and to permit ready access for cleaning.
    (e) Tightness of exhaust system. All joints in the exhaust system 
shall be tight to prevent the flow of exhaust gas through them under any 
condition of engine operation prescribed by MSHA. A tight system shall 
be obtained by the use of ground joints, or thin metal or metal-clad 
gaskets. All such joints shall be fitted with adequate through bolts and 
all gaskets shall be aligned and held firmly in position by the bolts or 
other suitable means. Such joints shall remain tight to prevent passage 
of flame or propagation of repeated internal explosions to a surrounding 
flammable mixture.
    (f) Dilution of exhaust gas. (1) Provision shall be made to dilute 
the exhaust gas with and before it is discharged into the surrounding 
atmosphere. The discharged exhaust gas shall be so diluted with air that 
the mixture shall not contain more than 0.5 percent, by volume, of 
carbon dioxide; 0.01 percent, by volume, of carbon monoxide; 0.0025 
percent, by volume, of oxides of nitrogen (calculated as equivalent 
nitrogen dioxide); or 0.0010 percent, by volume, of aldehydes 
(calculated as equivalent formaldehyde) under any condition of engine 
operation prescribed by MSHA.

[[Page 184]]

    (2) The final diluted exhaust mixture shall be discharged in such a 
manner that it is directed away from the operator's compartment and also 
away from the breathing zones of persons required to be alongside the 
equipment.
    (g) Pressure-gage connection. A connection shall be provided in the 
exhaust system for convenient, temporary attachment of a pressure gage 
at a point suitable for measuring the total back pressure in the system. 
The connection also shall be suitable for temporary attachment of gas-
sampling equipment to the exhaust system. This opening shall be closed 
by a plug or other suitable device that is sealed or locked in place 
except when a gage or sampling tube is attached.



Sec. 36.26  Composition of exhaust gas.

    (a) Preliminary engine adjustment. The engine shall be submitted to 
MSHA by the applicant in such condition that it can be tested 
immediately at full load and speed. The preliminary liquid-fuel-
injection rate shall be such that the exhaust will not contain black 
smoke and the applicant shall adjust the injection rate promptly to 
correct any adverse conditions disclosed by preliminary tests.
    (b) Final engine adjustment. The liquid fuel supply to the engine 
shall be adjusted so that the undiluted exhaust gas shall contain not 
more than 0.30 percent, by volume, of carbon monoxide or 0.20 percent, 
by volume, of oxides of nitrogen (calculated as equivalent nitrogen 
dioxide, NO2) under any conditions of engine operation 
prescribed by MSHA when the intake air mixture to the engine contains 
1.5 0.1 percent, by volume, of Pittsburgh natural 
gas. \3\
---------------------------------------------------------------------------

    \3\ Investigation has shown that for practical purposes, Pittsburgh 
natural gas (containing a high percentage of methane) is a satisfactory 
substitute for pure methane in these tests.
---------------------------------------------------------------------------

    (c) Coupling or adapter. The applicant shall provide the coupling or 
adapter for connecting the engine to MSHA's dynamometer.
    Note: Preferably this coupling or adapter should be attached to the 
flywheel of the engine.

Clutches, transmissions, or torque converters ordinarily are not 
required in the coupling train.



Sec. 36.27  Fuel-supply system.

    (a) Fuel tank. (1) The fuel tank shall not leak and shall be 
fabricated of metal at least \1/16\ inch thick, welded at all seams, 
except that tanks of 5 gallons or less capacity may have thinner walls 
which shall be preformed or reinforced to provide good resistance to 
deflection. A drain plug (not a valve or petcock) shall be provided and 
locked in position. A vent opening shall be provided in the fuel filler 
cap of such design that atmospheric pressure is maintained inside the 
tank. The size of the vent opening shall be restricted to prevent fuel 
from splashing through it. The filler opening shall be so arranged that 
fuel can be added only through a self-closing valve at least 1 foot from 
the exhaust manifold of the engine, preferably below it. The self-
closing valve shall constitute a fuel-tight closure when fuel is not 
being added. Any part of the self-closing valve that might become 
detached during the addition of fuel shall be secured to the tank by a 
chain or other fastening to prevent loss.
    (2) The fuel tank shall have a definite position in the equipment 
assembly, and no provision shall be made for attachment of separate or 
auxiliary fuel tanks.
    (3) Capacity of the fuel tank shall not exceed the amount of fuel 
necessary to operate the engine continuously at full load for 
approximately four hours.
    (b) Fuel lines. All fuel lines shall be installed to protect them 
against damage in ordinary use and they shall be designed, fabricated, 
and secured to resist breakage from vibration.
    (c) Valve in fuel line. A shutoff valve shall be provided in the 
fuel system, installed in a manner acceptable to MSHA.
    Note: This shutoff valve is in addition to the normal shutoff 
provided in the fuel-injection system and also in addition to the air-
shutoff valve.



Sec. 36.28  Signal or warning device.

    All mobile diesel-powered transportation equipment shall be provided 
with a bell, horn, or other suitable

[[Page 185]]

warning device convenient to the operator. Warning devices shall be 
operated manually or pneumatically.



Sec. 36.29  Brakes.

    All mobile diesel-powered transportation equipment shall be equipped 
with adequate brakes acceptable to MSHA.



Sec. 36.30  Rerailing device.

    All mobile diesel-powered transportation equipment designed to 
travel on rails in haulage service shall carry a suitable rerailing 
device.



Sec. 36.31  Fire extinguisher.

    Each unit of mobile diesel-powered transportation equipment shall be 
fitted with a fire extinguisher carried in a location easily accessible 
to the operator and protected by position from external damage. Liquid 
carbon dioxide extinguishers shall contain an active charge of not less 
than 4 pounds. Pressurized dry chemical extinguishers shall contain an 
active charge of not less than 2\1/2\ pounds.



Sec. 36.32  Electrical components and systems.

    (a) Electrical components on mobile diesel-powered transportation 
equipment shall be certified or approved under Part 18, 20 or 27 of this 
chapter, as applicable, and shall bear the certification number assigned 
by MSHA.
    (b) Electrical systems on mobile diesel-powered transportation 
equipment shall meet the requirements of Part 18 or 27 of this chapter, 
as applicable.

[47 FR 11372, Mar. 16, 1982]



Sec. 36.33  Headlights and fixtures.

    (a) Headlights and lighting fixtures on mobile diesel-powered 
transportation equipment shall be protected from external damage by 
recessing them in the equipment frame, enclosing them within a shield of 
substantial construction, or by any other method that provides 
equivalent protection.
    (b) Mobile diesel-powered transportation equipment shall be equipped 
with at least one headlight on each end.

[47 FR 11372, Mar. 16, 1982]



                       Subpart C_Test Requirements



Sec. 36.40  Test site.

    Tests shall be conducted at MSHA's Diesel Testing Laboratory or 
other appropriate place(s) determined by MSHA.

[39 FR 24006, June 28, 1974, as amended at 43 FR 12318, Mar. 24, 1978]



Sec. 36.41  Testing methods.

    Mobile diesel-powered transportation equipment submitted for 
certification and approval shall be tested to determine its combustion, 
explosion-proof, and other safety characteristics. MSHA shall prescribe 
the tests and reserves the right to modify the procedure(s) to attain 
these objectives (see Sec. 36.20).



Sec. 36.42  Inspection.

    A detailed inspection shall be made of the equipment and all 
components and features related to safety in operation. The inspection 
shall include:
    (a) Investigating the materials, workmanship, and design to 
determine their adequacy.
    (b) Checking the parts and assemblies against the drawings and 
specifications with respect to materials, dimensions, and locations to 
verify their conformance.
    (c) Inspecting and measuring joints, flanges, and other possible 
flame paths in the intake and exhaust systems to determine whether they 
will prevent the issuance of flame or propagation of an internal 
explosion.
    (d) Inspecting and measuring flame arresters to determine whether 
they will prevent the issuance of flame or propagation of an internal 
explosion.



Sec. 36.43  Determination of exhaust-gas composition.

    (a) Samples shall be taken to determine the composition of the 
exhaust gas while the engine is operated at loads and speeds prescribed 
by MSHA to determine the volume of air (ventilation) required to dilute 
the exhaust gas (see Sec. 36.45). The engine shall be at temperature 
equilibrium before exhaust-gas samples are collected or other test data 
are observed. At all test conditions the intake mixture shall contain 
1.5 0.1 percent, by volume, of

[[Page 186]]

Pittsburgh natural gas (see footnote 3) in the air. Test observations 
shall include the rate of fuel consumption, pressures, temperatures, and 
other data significant in the safe operation of diesel equipment.
    (b) Exhaust-gas samples shall be analyzed for carbon dioxide, 
oxygen, carbon monoxide, hydrogen, methane, nitrogen, oxides of 
nitrogen, and aldehydes, or any other constituent prescribed by MSHA.
    (c) The intake and exhaust systems shall be complete with all 
component equipment such as air cleaners, flame arresters, and exhaust 
cooling systems. The performance of component equipment shall be 
observed to determine whether it functions properly.

[Sched. 31, 26 FR 645, Jan. 24, 1961, as amended at 61 FR 55526, Oct. 
25, 1996]



Sec. 36.44  Maximum allowable fuel : air ratio.

    (a) When an engine is delivered to MSHA with the fuel-injection 
system adjusted by the applicant and tests of the exhaust-gas 
composition (see Sec. 36.43) show not more than 0.30 percent, by 
volume, of carbon monoxide, the applicant's adjustment of the fuel-
injection system shall be accepted. The maximum fuel : air ratio 
determined from the exhaust-gas composition shall be designated as the 
maximum allowable fuel : air ratio. The maximum liquid fuel rate (pounds 
per hour) that produces the maximum allowable fuel : air ratio shall be 
designated as the maximum allowable fuel rate for operating the 
equipment at elevations not exceeding 1,000 feet above sea level.
    (b) When the carbon monoxide content of the exhaust exceeds 0.30 
percent, by volume, only near maximum power output, the maximum fuel : 
air ratio at which carbon monoxide does not exceed 0.30 percent shall be 
calculated and designated as the maximum allowable fuel : air ratio. The 
corresponding calculated liquid fuel rate shall be designated as the 
maximum allowable fuel rate at elevations not exceeding 1,000 feet above 
sea level.
    Note: The applicant may be requested to adjust the liquid fuel rate 
during tests to determine the maximum allowable fuel : air ratio.
    (c) The maximum allowable fuel : air ratio and maximum liquid fuel 
rates shall be used to calculate a liquid fuel rate-altitude table that 
shall govern the liquid fuel rate of engines operated at elevations 
exceeding 1,000 feet above sea level.



Sec. 36.45  Quantity of ventilating air.

    (a) Results of the engine tests shall be used to calculate 
ventilation (cubic feet of air per minute) that shall be supplied by 
positive air movement when the permissible mobile diesel-powered 
transportation equipment is used underground. This quantity shall be 
stamped on the approval plate. The quantity so determined shall apply 
when only one machine is operated.
    (b) Determination of the ventilation rate shall be based upon 
dilution of the exhaust gas with normal air. The most undesirable and 
hazardous condition of engine operation prescribed by MSHA shall be used 
in the calculations. The concentration of any of the following 
individual constituents in the diluted mixture shall not exceed:

0.25 percent, by volume, of carbon dioxide (CO2).
0.005 percent, by volume, of carbon monoxide (CO).
0.00125 percent, by volume, of oxides of nitrogen (calculated as 
equivalent nitrogen dioxide, NO2).


The oxygen (O2) content of the diluted mixture shall be not 
less than 20 percent, by volume. The maximum quantity of normal air to 
produce the above dilution shall be designated the ventilation rate.

    Note: This ventilation rate will provide a factor of safety for 
exposure of persons to air mixtures containing harmful or objectionable 
gases and for minor variations in engine performance.



Sec. 36.46  Explosion tests of intake and exhaust systems.

    (a) Explosion tests to determine the strength of the intake and 
exhaust systems to withstand internal explosions and the adequacy of the 
flame arresters to prevent the propagation of an explosion shall be made 
with the systems connected to the engine or the systems simulated as 
connected to the engine. The system shall be filled with and surrounded 
by an explosive natural gas-air

[[Page 187]]

mixture. The mixture within the intake and exhaust systems shall be 
ignited by suitable means and the internal pressure developed by the 
resultant explosion shall be determined. Tests shall be conducted with 
the ignition source in several different locations to determine the 
maximum pressure developed by an internal explosion.
    (b) Explosion tests shall be made with the engine at rest and with 
the flammable natural gas-air mixtures in the intake and exhaust 
systems. In other tests with the flammable mixture in motion, the engine 
shall be driven (externally) at speeds prescribed by MSHA but no liquid 
fuel shall be supplied to the injection valves.
    (c) The temperature of the flame arresters in the intake or exhaust 
systems shall not exceed 212 [deg]F. when an explosion test is 
conducted. Any water-spray cooling for the exhaust system shall not be 
operated and water shall not be present in the exhaust cooling boxes 
except when water is the cooling agent for a cooling box designed to act 
as a flame arrester, in which case MSHA will prescribe the test 
conditions.
    (d) The explosion tests of the intake and exhaust systems shall not 
result in:
    (1) Discharge of visible flame from any joint or opening.
    (2) Ignition of surrounding flammable gas-air mixture.
    (3) Development of dangerous afterburning. \4\
---------------------------------------------------------------------------

    \4\ The term ``afterburning'' as used in this part is applied to 
combustion of a flammable gas-air mixture drawn into the system under 
test by the cooling of the products from an explosion in the system.
---------------------------------------------------------------------------

    (4) Excessive pressures.



Sec. 36.47  Tests of exhaust-gas cooling system.

    (a) The adequacy of the exhaust-gas cooling system and its 
components shall be determined with the engine operating at the maximum 
allowable liquid fuel rate and governed speed with 0.5 0.1 percent, by volume, of natural gas in the intake air 
mixture. All parts of the engine and exhaust-gas cooling system shall be 
at their respective equilibrium temperatures. The cooling spray, if any, 
shall be operated, and all compartments designed to hold cooling water 
shall be filled with the quantity of water recommended by the applicant. 
No cooling air shall be circulated over the engine or components in the 
cooling system during the test.
    (b) Determinations shall be made during the test to establish the 
cooling performance of the system, the cooling water consumption, high-
water level when the system sprays excess water, and low-water level 
when the cooling system fails.
    (c) The final exhaust-gas temperature at discharge from the cooling 
system, and before the exhaust gas is diluted with air, shall not exceed 
170 [deg]F. or the temperature of adiabatic saturation, if this 
temperature is lower.
    (d) Water consumed in cooling the exhaust gas under the test 
conditions shall not exceed by more than 15 percent that required for 
adiabatic saturation of the exhaust-gas at the final temperature. Water 
in excess of that required for adiabatic saturation shall be considered 
as entrained water. Enough water shall be available in the cooling 
system or in reserve supply compartments for sustained satisfactory 
operation for at least 2\2/3\ hours under the test conditions.
    Note: This amount is enough to cool the exhaust for an 8-hour shift 
at one-third load factor.
    (e) The adequacy of the automatic fuel shutoff actuated by the 
temperature of the final exhaust shall be determined with the engine 
operating under test conditions by withdrawing water until the cooling 
system fails to function. The final exhaust-gas temperature at which the 
liquid fuel to the engine is automatically shut off shall be noted. This 
temperaure shall not exceed 185 [deg]F.
    (f) Following the automatic fuel shutoff test in paragraph (e) of 
this section, the temperature of the control point shall be allowed to 
fall to 170 [deg]F. At this temperature and with the water replenished 
in the cooling system, it shall be possible to start the engine.
    Note: If the cooling system includes a reserve supply water tank, 
the line or lines connecting it to the cooling compartment may require a 
suitable flame arrester.

[[Page 188]]

    (g) The effectiveness of the automatic engine shut-off, which will 
operate when the water in the cooling jacket(s) exceeds 212 [deg]F., 
shall be determined by causing the jacket temperature to exceed 212 
[deg]F.



Sec. 36.48  Tests of surface temperature of engine and components of the 

cooling system.

    (a) The surface temperatures of the engine, exhaust cooling system, 
and other components subject to heating by engine operation shall be 
determined with the engine operated as prescribed by MSHA. All parts of 
the engine, cooling system, and other components shall have reached 
their respective equilibrium temperatures. The exhaust cooling system 
shall be operated, but air shall not be circulated over the engine or 
components. Surface temperatures shall be measured at various places 
prescribed by MSHA to determine where maximum temperatures develop.
    (b) The temperature of any surface shall not exceed 400 [deg]F.

    Note to Sec. 36.48: The engine may be operated under test 
conditions prescribed by MSHA while completely surrounded by a flammable 
mixture. MSHA reserves the right to apply combustible materials to any 
surface for test. Operation under such conditions shall not ignite the 
flammable mixture.

[Sched. 31, 26 FR 645, Jan. 24, 1961, as amended at 61 FR 55526, Oct. 
25, 1996]



Sec. 36.49  Tests of exhaust-gas dilution system.

    The performance and adequacy of the exhaust-gas dilution system 
shall be determined in tests of the complete equipment. The engine, at 
temperature equilibrium, shall be operated in normal air as prescribed 
by MSHA. Samples of the undiluted exhaust gas and of the diluted exhaust 
gas, at location(s) prescribed by MSHA, shall be considered with the 
data obtained from the engine test (see Sec. 36.43) to determine that 
the concentrations of carbon dioxide, carbon monoxide, oxides of 
nitrogen, and aldehydes in the diluted exhaust shall be below the 
required concentrations specified in Sec. 36.25(f)(1).



Sec. 36.50  Tests of fuel tank.

    The fuel tank shall be inspected and tested to determine whether: 
(a) It is fuel-tight, (b) the vent maintains atmospheric pressure within 
the tank, and (c) the vent and closure restrict the outflow of liquid 
fuel.



                       SUBCHAPTERS C-F [RESERVED]

[[Page 189]]



        SUBCHAPTER G_FILING AND OTHER ADMINISTRATIVE REQUIREMENTS



PART 40_REPRESENTATIVE OF MINERS--Table of Contents




Sec.
40.1 Definitions.
40.2 Requirements.
40.3 Filing procedures.
40.4 Posting at mine.
40.5 Termination of designation as representative of miners.

    Authority: Secs. 5(f)(1), 101(c) and (e), 103(c), (f), (g)(1) and 
(g)(2), 104(c), 105(a), (b)(1), (c)(1), (c)(2), (c)(3), and (d), 
107(b)(1) and (e)(1), 109(b), 115(a)(1) and (a)(2), 302(a), 305(b), 
312(b), 505 and 508, Federal Mine Safety and Health Act of 1977, Pub. L. 
91-173 as amended by Pub. L. 95-164, 83 Stat. 745, 91 Stat. 1294, 1295, 
1298, 1299, 1301, 1303, 1304, 1305, 1308, 1310 and 1316, 83 Stat. 766, 
777, 785, 802, and 803 (30 U.S.C. 804(f)(1), 811(c) and (e), 813(c), 
(f), (g)(1) and (g)(2), 814(c), 815(a), (b)(1), (c)(1), (c)(2), (c)(3) 
and (d), 817(b)(1) and (e)(1), 819(b), 825(a)(1) and (a)(2), 862(a), 
865(b), 872(b), 954 and 957); sec. 307, Federal Mine Safety and Health 
Amendments Act of 1977, Pub. L. 95-164, 91 Stat. 1322 (30 U.S.C. 801 
note).

    Source: 43 FR 29509, July 7, 1978, unless otherwise noted.



Sec. 40.1  Definitions.

    As used in this Part 40:
    (a) Act means the Federal Mine Safety and Health Act of 1977.
    (b) Representative of miners means:
    (1) Any person or organization which represents two or more miners 
at a coal or other mine for the purposes of the Act, and
    (2) Representatives authorized by the miners, miners or their 
representative, authorized miner representative, and other similar terms 
as they appear in the Act.



Sec. 40.2  Requirements.

    (a) A representative of miners shall file with the Mine Safety and 
Health Administration District Manager for the district in which the 
mine is located the information required by Sec. 40.3 of this part. 
Concurrently, a copy of this information shall be provided to the 
operator of the mine by the representative of miners.
    (b) Miners or their representative organization may appoint or 
designate different persons to represent them under various sections of 
the act relating to representatives of miners.
    (c) All information filed pursuant to this part shall be maintained 
by the appropriate Mine Safety and Health Administration District Office 
and shall be made available for public inspection.

(Pub. L. No. 96-511, 94 Stat. 2812 (44 U.S.C. 3501 et seq.))

[43 FR 29509, July 7, 1978, as amended at 47 FR 14696, Apr. 6, 1982; 60 
FR 33722, June 29, 1995]



Sec. 40.3  Filing procedures.

    (a) The following information shall be filed by a representative of 
miners with the appropriate District Manager, with copies to the 
operators of the affected mines. This information shall be kept current:
    (1) The name, address, and telephone number of the representative of 
miners. If the representative is an organization, the name, address, and 
telephone number of the organization and the title of the official or 
position, who is to serve as the representative and his or her telephone 
number.
    (2) The name and address of the operator of the mine where the 
represented miners work and the name, address, and Mine Safety and 
Health Administration identification number, if known, of the mine.
    (3) A copy of the document evidencing the designation of the 
representative of miners.
    (4) A statement that the person or position named as the 
representative of miners is the representative for all purposes of the 
Act; or if the representative's authority is limited, a statement of the 
limitation.
    (5) The names, addresses, and telephone numbers, of any 
representative to serve in his absence.
    (6) A statement that copies of all information filed pursuant to 
this section have been delivered to the operator of the affected mine, 
prior to or concurrently with the filing of this statement.

[[Page 190]]

    (7) A statement certifying that all information filed is true and 
correct followed by the signature of the representative of miners.
    (b) The representative of miners shall be responsible for ensuring 
that the appropriate District Manager and operator have received all of 
the information required by this part and informing such District 
Manager and operator of any subsequent changes in the information.



Sec. 40.4  Posting at mine.

    A copy of the information provided the operator pursuant to Sec. 
40.3 of this part shall be posted upon receipt by the operator on the 
mine bulletin board and maintained in a current status.



Sec. 40.5  Termination of designation as representative of miners.

    (a) A representative of miners who becomes unable to comply with the 
requirements of this part shall file a statement with the appropriate 
District Manager terminating his or her designation.
    (b) The Mine Safety and Health Administration shall terminate and 
remove from its files all designations of representatives of miners 
which have been terminated pursuant to paragraph (a) of this section or 
which are not in compliance with the requirements of this part. The Mine 
Safety and Health Administration shall notify the operator of such 
termination.



PART 41_NOTIFICATION OF LEGAL IDENTITY--Table of Contents




                          Subpart A_Definitions

Sec.
41.1 Definitions.

                Subpart B_Notification of Legal Identity

41.10 Scope.
41.11 Notification by operator.
41.12 Changes; notification by operator.
41.13 Failure to notify.

Subpart C_Operator's Report to the Mine Safety and Health Administration

41.20 Legal identity report.
41.30 Address of record and telephone number.

    Authority: Secs. 103(h), 109(d) and 508, Federal Mine Safety and 
Health Act of 1977, Pub. L. 91-173 as amended by Pub. L. 95-164, 91 
Stat. 1299 and 1310, 83 Stat. 803 (30 U.S.C. 813(h), 819(d) and 957); 
sec. 307, Federal Mine Safety and Health Amendments Act of 1977, Pub. L. 
95-164, 91 Stat. 1322 (30 U.S.C. 801 note).

    Source: 43 FR 29512, July 7, 1978, unless otherwise noted.



                          Subpart A_Definitions



Sec. 41.1  Definitions.

    As used in this part:
    (a) Operator means any owner, lessee, or other person who operates, 
controls, or supervises a coal or other mine or any designated 
independent contractor performing services or construction at such mine.
    (b) Person means any individual, sole proprietor, partnership, 
association, corporation, firm, subsidiary of a corporation, or other 
organization.
    (c) Coal or other mine means (a) an area of land from which minerals 
are extracted in nonliquid form or, if in liquid form, are extracted 
with workers underground, (b) private ways and roads appurtenant to such 
area, and (c) lands, excavations, underground passageways, shafts, 
slopes, tunnels and workings, structures, facilities, equipment, 
machines, tools, or other property including impoundments, retention 
dams, and tailings ponds, on the surface or underground, used in, or to 
be used in, or resulting from, the work of extracting such minerals from 
their natural deposits in nonliquid form, or if in liquid form, with 
workers underground, or used in, or to be used in, the milling of such 
minerals, or the work of preparing coal or other minerals, and includes 
custom coal preparation facilities. In making a determination of what 
constitutes mineral milling for purposes of this act, the Secretary 
shall give due consideration to the convenience of administration 
resulting from the delegation to one Assistant Secretary of all 
authority with respect to the health and safety of miners employed at 
one physical establishment.

[[Page 191]]



                Subpart B_Notification of Legal Identity



Sec. 41.10  Scope.

    Section 109(d) of the Federal Mine Safety and Health Act of 1977 
(Pub. L. 91-173, as amended by Pub. L. 95-164), requires each operator 
of a coal or other mine to file with the Secretary of Labor the name and 
address of such mine, the name and address of the person who controls or 
operates the mine, and any revisions in such names and addresses. 
Section 103(h) of the act requires the operator of a coal or other mine 
to provide such information as the Secretary of Labor may reasonably 
require from time to time to enable the Secretary to perform his 
functions under the act. The regulations in this Subpart B provide for 
the notification to the Mine Safety and Health Administration of the 
legal identity of the operator of a coal or other mine and the reporting 
of all changes in the legal identity of the operator as they occur. The 
submission of a properly completed Legal Identity Report Form No. 2000-7 
required under Subpart C of this part will constitute adequate 
notification of legal identity to the Mine Safety and Health 
Administration.



Sec. 41.11  Notification by operator.

    (a) Not later than 30 days after (1) the effective date of this 
part, and (2) the opening of a new mine thereafter, the operator of a 
coal or other mine shall, in writing, notify the appropriate district 
manager of the Mine Safety and Health Administration in the district in 
which the mine is located of the legal identity of the operator in 
accordance with the applicable provisions of paragraph (b), (c), (d), or 
(e) of this section.
    (b) If the operator is a sole proprietorship, the operator shall 
state: (1) His full name and address; (2) the name and address of the 
mine and the Federal mine identification number; (3) the name and 
address of the person at the mine in charge of health and safety; (4) 
the name and address of the person with overall responsibility for a 
health and safety program at all of the operator's mines, if the 
operator is not directly involved in the daily operation of the mine; 
(5) the Federal mine identification numbers of all other mines in which 
the sole proprietor has a 20 percent or greater ownership interest; and 
(6) the trade name, if any, and the full name, address of record and 
telephone number of the proprietorship.
    (c) If the operator is a partnership, the operator shall state: (1) 
The name and address of the mine and the Federal mine identification 
number; (2) the name and address of the person at the mine in charge of 
health and safety; (3) the name and address of the person with overall 
responsibility for a health and safety program at all of the operator's 
mines, if the operator is not directly involved in the daily operation 
of the mine; (4) the Federal mine identification numbers of all other 
mines in which the partnership has a 20 percent or greater ownership 
interest; (5) the full name and address of all partners; (6) the trade 
name, if any, and the full name and address of record and telephone 
number of the partnership; and (7) the Federal mine identification 
numbers of all other mines in which any partner has a 20 percent or 
greater ownership interest.
    (d) If the operator is a corporation, the operator shall state: (1) 
The name and address of the mine and the Federal mine identification 
number; (2) the name and address of the person at the mine in charge of 
health and safety; (3) the name and address of the person with overall 
responsibility for a health and safety program at all of the operator's 
mines, if the operator is not directly involved in the daily operation 
of the mine; (4) the Federal mine identification numbers of all other 
mines in which the corporation has a 20 percent or greater ownership 
interest; (5) the full name, address of record and telephone number of 
the corporation and the State of incorporation; (6) the full name and 
address of each officer and director of the corporation; (7) whether 
such corporation is a domestic or foreign corporation in the State in 
which the mine is located; (8) if the corporation is a subsidiary 
corporation, the operator shall state the full name, address, and State 
of incorporation of the parent corporation; and (9) the Federal mine 
identification numbers of all

[[Page 192]]

other mines in which any corporate officer has a 20 percent or greater 
ownership interest.
    (e) If the operator is any organization other than a sole 
proprietorship, partnership, or corporation, the operator shall state: 
(1) The nature and type, or legal identity of the organization; (2) the 
name and address of the mine and the Federal mine identification number; 
(3) the name and address of the person at the mine in charge of health 
and safety; (4) the name and address of the person with overall 
responsibility for a health and safety program at all of the operator's 
mines, if the operator is not directly involved in the daily operation 
of the mine; (5) the Federal mine identification numbers of all other 
mines in which the organization has a 20 percent or greater ownership 
interest; (6) the full name, address of record and telephone number of 
the organization; (7) the name and address of each individual who has an 
ownership interest in the organization; (8) the name and address of the 
principal organization officials or members; and (9) the Federal mine 
identification numbers of all other mines in which any official or 
member has a 20 percent or greater ownership interest.



Sec. 41.12  Changes; notification by operator.

    Within 30 days after the occurrence of any change in the information 
required by Sec. 41.11, the operator of a coal or other mine shall, in 
writing, notify the appropriate district manager of the Mine Safety and 
Health Administration in the district in which the mine is located of 
such change.



Sec. 41.13  Failure to notify.

    Failure of the operator to notify the Mine Safety and Health 
Administration, in writing, of the legal identity of the operator or any 
changes thereof within the time required under this part will be 
considered to be a violation of section 109(d) of the Act and shall be 
subject to penalties as provided in section 110 of the Act.



Subpart C_Operator's Report to the Mine Safety and Health Administration



Sec. 41.20  Legal identity report.

    Each operator of a coal or other mine shall file notification of 
legal identity and every change thereof with the appropriate district 
manager of the Mine Safety and Health Administration by properly 
completing, mailing, or otherwise delivering form 2000-7 ``legal 
identity report'' which shall be provided by the Mine Safety and Health 
Administration for this purpose. If additional space is required, the 
operator may use a separate sheet or sheets.



Sec. 41.30  Address of record and telephone number.

    The address of record and telephone number required under this part 
shall be considered the operator's official address and telephone number 
for purposes of the Act. Service of documents upon the operator may be 
proved by a post office return receipt showing that the documents could 
not be delivered to such operator at the address of record because the 
operator had moved without leaving a forwarding address or because 
delivery was not accepted at that address, or because no such address 
existed. However, operators may request service by delivery to another 
appropriate address provided by the operator. The telephone number 
required under this part will be used in connection with proposed civil 
penalty assessments as provided in 30 CFR part 100.



PART 42_NATIONAL MINE HEALTH AND SAFETY ACADEMY--Table of Contents




Subpart A [Reserved]

                         Subpart B_Tuition Fees

Sec.
42.10 Tuition fees.
42.20 Schedule of fees.
42.30 Procedure for payment.
42.40 Refunds.

                        Subpart C_Room and Board

42.50 Charges for room and board.

    Authority: 30 U.S.C. 957.

[[Page 193]]


    Source: 50 FR 11643, Mar. 22, 1985, unless otherwise noted. 
Redesignated at 67 FR 42382, June 21, 2002.

Subpart A [Reserved]



                         Subpart B_Tuition Fees



Sec. 42.10  Tuition fees.

    The National Mine Health and Safety Academy, located in Beckley, 
West Virginia, will charge tuition fees to all persons attending Academy 
courses, except employees of Federal, State, or local governments, 
persons attending the Academy under a program supported through an MSHA 
State grant, and persons performing a direct service. Also, subject to 
available resources, MSHA may waive all or part of fees for students, or 
persons employed by a non-profit organization, who are invited by MSHA 
to attend an Academy course which would, in the Agency's judgment, 
contribute to improved conduct, supervision, or management of a function 
or activity under the Federal Mine Safety and Health Act of 1977 or a 
function related to an MSHA appropriation. requests for waivers must be 
in writing.

[62 FR 60985, Nov. 13, 1997]



Sec. 42.20  Schedule of fees.

    (a) Tuition fees will be computed on the basis of the cost to the 
Government for the Academy to conduct the course, as determined by the 
Superintendent of the Academy.
    (b) The tuition fee for each course will be stated in the course 
announcement and will be reassessed on an annual basis.



Sec. 42.30  Procedure for payment.

    When notified of acceptance for a course by the Academy, applicants 
shall submit a check or money order to the Academy, payable to the 
``Mine Safety and Health Administration'' in the amount indicated by the 
course announcement prior to the commencement of the course.



Sec. 42.40  Refunds.

    An applicant may withdraw an application and receive a full refund 
of tuition fees provided that written notification to the Academy's 
Student Services Branch is mailed no later than 14 days before the 
course begins.



                        Subpart C_Room and Board



Sec. 42.50  Charges for room and board.

    The Academy will charge room and board to all persons staying at the 
Academy, except MSHA personnel, persons attending the Academy under a 
program supported through an MSHA State grant, and persons performing a 
direct service. Also, subject to available resources, MSHA may waive all 
or part of fees for students, or persons employed by a non-profit 
organization, who are invited by MSHA to attend an MSHA-sponsored 
training or meeting which would, in the Agency's judgment, contribute to 
improved conduct, supervision, or management of a function or activity 
under the Federal Mine Safety and Health Act of 1977 or a function 
related to an MSHA appropriation. Requests for waivers must be in 
writing. Charges for room and board will be based upon the average cost 
per person of the lodging, meals, and services provided and will be 
reassessed on an annual basis.

[62 FR 60985, Nov. 13, 1997]



PART 43_PROCEDURES FOR PROCESSING HAZARDOUS CONDITIONS COMPLAINTS--Table of 

Contents




                            Subpart A_General

Sec.
43.1 Definitions.
43.2 General.
43.3 Purpose and scope of this part.

                      Subpart B_Special Inspections

43.4 Requirements for giving notice.
43.5 Action by the Secretary.
43.6 Notice of negative finding.

                        Subpart C_Informal Review

43.7 Informal review upon written notice given to an inspector on the 
          mine premises.
43.8 Informal review upon the issuance of a notice of negative finding.

    Authority: Secs. 103(g), and 508, Federal Mine Safety and Health Act 
of 1977 Pub. L. 91-173 as amended by Pub. L. 95-164, 91 Stat. 1298 83 
Stat. 803 (30 U.S.C. 813(g) and 957); sec.

[[Page 194]]

307, Federal Mine Safety and Health Amendments Act of 1977, Pub. L. 95-
164, 91 Stat. 1322 (30 U.S.C. 801 note).

    Source: 43 FR 29515, July 7, 1978, unless otherwise noted.



                            Subpart A_General



Sec. 43.1  Definitions.

    For purposes of this part, Act means the Federal Mine Safety and 
Health Act of 1977, Pub. L. 91-173, as amended by Pub. L. 95-164, and 
``Secretary'' means the Secretary of Labor or his designee.



Sec. 43.2  General.

    (a) Under section 103(g)(1) of the Act, a representative of miners, 
or where there is no such representative, a miner, who has reasonable 
grounds to believe that a violation of the act or a mandatory health or 
safety standard exists, or an imminent danger exists, has a right to 
obtain a special inspection if he or she gives notice of such violation 
to the Secretary or his duly authorized representative. The notice shall 
be reduced to writing and signed by the miners' representative or miner, 
and a copy that does not reveal the name of the person giving the notice 
must be served on the operator no later than at the time of the 
inspection. If the Secretary determines that a violation or danger does 
not exist, he must so notify the miners' representative or miner in 
writing.
    (b) Under section 103(g)(2) of the Act, a representative of miners 
or, if there is no such representative, a miner, may notify in writing 
an authorized representative of the Secretary who is on mine premises 
prior to or during an inspection, of any violation or imminent danger 
which he or she has reason to believe exists in the mine. There shall be 
procedures for the informal review of any refusal by the Secretary's 
authorized representative to issue a citation with respect to such 
alleged violation or danger, including notification to the miners' 
representative or miner of the reasons for his disposition of the case.

(Pub. L. No. 96-511, 94 Stat. 2812 (44 U.S.C. 3501 et seq.))

[43 FR 29515, July 7, 1978, as amended at 47 FR 14696, Apr. 6, 1982; 60 
FR 33722, June 29, 1995]



Sec. 43.3  Purpose and scope of this part.

    This part sets forth the procedures for giving notice to the 
Secretary under section 103(g)(1) of the Act, for responding to such 
notices and for reviewing refusals by authorized representatives of the 
Secretary to issue citations or orders under section 103 (g)(1) or 
(g)(2). Specifically, Subpart B details the steps to be taken by a 
representative of miners or a miner in making a request for a special 
inspection and by the Secretary in processing and taking action on such 
a request under section 103(g)(1). Subpart C sets forth informal review 
procedures which a representative of miners or a miner may request under 
sections 103 (g)(1) and (g)(2) where no citation or order is issued 
under those sections.



                      Subpart B_Special Inspections



Sec. 43.4  Requirements for giving notice.

    (a) A representative of miners or, where there is no such 
representative, a miner, who has reasonable grounds to believe that a 
violation of the act or a mandatory health or safety standard exists, or 
that an imminent danger exists, may obtain a special inspection by 
giving notice to the Secretary or any authorized representative of the 
Secretary of such violation or danger.
    (b) Any such notice shall set forth the alleged violation or 
imminent danger and the location of such violation or danger and shall 
be reduced to a writing signed by the representative of miners or miner 
giving such notice.
    (c) A copy of such written notice shall be provided to the operator 
or his agent by the Secretary or his authorized representative no later 
than the time that the inspection begins. In addition, if the notice 
indicates that an imminent danger exists, the operator or his agent 
shall be notified as quickly as possible of the alleged danger. The name 
of the person giving such notice

[[Page 195]]

and the names of any individual miners referred to therein shall not 
appear in the copy of the written notice or in a notification provided 
to the operator.



Sec. 43.5  Action by the Secretary.

    (a) As soon as possible after the receipt of a notice of alleged 
violation or imminent danger under this subpart, the Secretary or his 
authorized representative shall make a special inspection to determine 
if a citation or withdrawal order should be issued, unless on the face 
of the notice, the condition complained of, even if it were found to 
exist, would clearly not constitute a violation or imminent danger.
    (b) Where the Secretary or his authorized representative makes a 
special inspection under this subpart and finds a violation or imminent 
danger, a citation or withdrawal order, as appropriate, shall be issued.



Sec. 43.6  Notice of negative finding.

    (a) If it is determined that a special inspection is not warranted, 
a written notice of negative finding shall be issued as soon as possible 
following such determination.
    (b) If it is determined that an inspection is warranted and upon 
such inspection it is determined that neither a citation nor a 
withdrawal order should be issued for the alleged violation or imminent 
danger, a written notice of negative finding shall be issued by the 
authorized representative of the Secretary prior to leaving the mine 
premises.
    (c) Any notice of negative finding issued under this part shall be 
issued to the representative of miners or miner seeking the special 
inspection and a copy shall be served upon the operator.



                        Subpart C_Informal Review



Sec. 43.7  Informal review upon written notice given to an inspector on the 

mine premises.

    (a) A representative of miners or, where there is no such 
representative, a miner, who has reason to believe that a violation of 
the Act or a mandatory health or safety standard exists, or an imminent 
danger exists, may notify an authorized representative of the Secretary 
in writing prior to or during an inspection conducted by such 
representative of any violation of the Act or mandatory health or safety 
standard or of any imminent danger which he or she has reason to believe 
exists in the mine being inspected. Where the authorized representative 
or the Secretary refuses to issue a citation or order with respect to 
such alleged violation or imminent danger, the representative of miners 
or miner may obtain review of such refusal in accordance with paragraphs 
(b) through (d) of this section.
    (b) A request for informal review shall be sent in writing to the 
appropriate district manager within 10 days of the date of the refusal 
to issue a citation or order and shall be accompanied by any supporting 
information the person requesting review wishes to submit.
    (c) After receipt of the request for informal review, the district 
manager or his agent may hold, at his or her discretion, an informal 
conference where the person requesting review can present his views.
    (d) After review of all written and oral statements submitted, the 
district manager may either affirm the refusal to issue a citation or 
order or may direct that a new inspection be conducted with respect to 
the alleged violation or imminent danger. The district manager shall 
furnish the person requesting review with a written statement of the 
reasons for his or her final disposition of the request as soon 
thereafter as possible. A copy of such statement shall be furnished the 
operator. The district manager's determination in the matter shall be 
final.



Sec. 43.8  Informal review upon issuance of a notice of negative finding.

    A person to whom a notice of negative finding has been issued 
pursuant to Sec. 43.6 of this part may request informal review of such 
finding in accordance with the provisions of Sec. 43.7(b)-(d) of this 
subpart.

[[Page 196]]



PART 44_RULES OF PRACTICE FOR PETITIONS FOR MODIFICATION OF MANDATORY SAFETY 

STANDARDS--Table of Contents




                            Subpart A_General

Sec.
44.1 Scope and construction.
44.2 Definitions.
44.3 Parties.
44.4 Standard of evaluation of petitions; effect of petitions granted.
44.5 Notice of a granted petition for modification.
44.6 Service.
44.7 Filing.
44.8 Ex parte communication.
44.9 Posting of petition.

       Subpart B_Initial Procedure for Petitions for Modification

44.10 Filing of petition; service.
44.11 Contents of petition.
44.12 Procedure for public notice of petition received.
44.13 Proposed decision.
44.14 Request for hearing.
44.15 Referral to Chief Administrative Law Judge.
44.16 Application for temporary relief; relief to give effect to the 
          proposed decision and order.

                           Subpart C_Hearings

44.20 Designation of administrative law judge.
44.21 Filing and form of documents.
44.22 Administrative law judges; powers and duties.
44.23 Prehearing conferences.
44.24 Discovery.
44.25 Depositions.
44.26 Subpoenas; witness fees.
44.27 Consent findings and rules or orders.
44.28 Notice of hearing.
44.29 Motions.
44.30 Hearing procedures.
44.31 Proposed findings of fact, conclusions, and orders.
44.32 Initial decision.
44.33 Departmental review.
44.34 Transmission of record.
44.35 Decision of the Assistant Secretary.

                       Subpart D_Summary Decisions

44.40 Motion for summary decision.
44.41 Summary decision.

                  Subpart E_Effect of Initial Decision

44.50 Effect of appeal on initial decision.
44.51 Finality for purposes of judicial review.
44.52 Revocation of modification.
44.53 Amended modification.

    Authority: 30 U.S.C. 957.

    Source: 43 FR 29518, July 7, 1978, unless otherwise noted.



                            Subpart A_General



Sec. 44.1  Scope and construction.

    (a) The procedures and rules of practice set forth in this part 
shall govern petitions for modification of mandatory safety standards 
filed under section 101(c) of the Act.
    (b) These rules shall be liberally construed to carry out the 
purpose of the Act by assuring adequate protection of miners and to 
secure just and prompt determination of all proceedings consistent with 
adequate consideration of the issues involved.

[43 FR 29518, July 7, 1978, as amended at 55 FR 53440, Dec. 28, 1990]



Sec. 44.2  Definitions.

    As used in this part, unless the context clearly requires otherwise, 
the term--
    (a) Act means the Federal Mine Safety and Health Act of 1977, Pub. 
L. 91-173, as amended by Pub. L. 95-164.
    (b) Secretary, operator, agent, person, miner, and coal or other 
mine, have the meanings set forth in section 3 of the act.
    (c) Assistant Secretary means the Assistant Secretary of Labor for 
Mine Safety and Health.
    (d) Administrative law judge means an administrative law judge of 
the Department of Labor appointed under section 3105 of title 5 of the 
United States Code.
    (e) Representative of miners means a person or organization 
designated by two or more miners to act as their representative for 
purposes of the act and who is in compliance with 30 CFR part 40.

[43 FR 29518, July 7, 1978, as amended at 55 FR 53440, Dec. 28, 1990]



Sec. 44.3  Parties.

    Parties to proceedings under this part shall include the Mine Safety 
and Health Administration, the operator of the mine, and any 
representative of the miners in the affected mine. Any other

[[Page 197]]

person claiming a right of participation as an interested party in a 
proceeding may become a party upon application to the Assistant 
Secretary and the granting of such application. After referral of a 
petition to the Chief Administrative Law Judge, all applications for 
status as a party shall be made to the Chief Administrative Law Judge 
for his disposition.



Sec. 44.4  Standard of evaluation of petitions; effect of petitions granted.

    (a) A petition for modification of application of a mandatory safety 
standard may be granted upon a determination that--
    (1) An alternative method of achieving the result of the standard 
exists that will at all times guarantee no less than the same measure of 
protection afforded by the standard, or
    (2) Application of the standard will result in a diminution of 
safety to the miners.
    (b) Except as may be provided in Sec. 44.16 for relief to give 
effect to a proposed decision and order, a decision of an Administrator 
or an administrative law judge granting or denying a petition for 
modification shall not be effective until time for appeal has expired 
under Sec. 44.14 or Sec.  44.33, as appropriate.
    (c) All petitions for modification granted pursuant to this part 
shall have only future effect: Provided, That the granting of the 
modification under this part shall be considered as a factor in the 
resolution of any enforcement action previously initiated for claimed 
violation of the subsequently modified mandatory safety standard. Orders 
granting petitions for modification may contain special terms and 
conditions to assure adequate protection to miners. The modification, 
together with any conditions, shall have the same effect as a mandatory 
safety standard.

[43 FR 29518, July 7, 1978, as amended at 55 FR 53440, Dec. 28, 1990]



Sec. 44.5  Notice of a granted petition for modification.

    (a) Every final action granting a petition for modification under 
this part shall be published in the Federal Register. Every such final 
action published shall specify the statutory grounds upon which the 
modification is based and a summary of the facts which warranted the 
modification.
    (b) Every final action or a summary thereof granting a petition for 
modification under this part shall be posted by the operator on the mine 
bulletin board at the affected mine and shall remain posted as long as 
the modification is effective. If a summary of the final action is 
posted on the mine bulletin board, a copy of the full decision shall be 
kept at the affected mine office and made available to the miners.



Sec. 44.6  Service.

    (a) Copies of all documents filed in any proceeding described in 
this part and copies of all notices pertinent to such proceeding shall 
be served by the filing party on all other persons made parties to the 
proceeding under Sec. 44.3. If a request for hearing has been filed by 
any party, a copy of all subsequent documents filed shall be served upon 
the Mine Safety and Health Administration through its representative, 
the Office of the Solicitor, Department of Labor.
    (b) All documents filed subsequent to a petition for modification 
may be served personally or by first class mail to the last known 
address of the party. Service may also be completed by telecopier or 
other electronic means.
    (c) Whenever a party is represented by an attorney who has signed 
any document filed on behalf of such party or otherwise entered an 
appearance on behalf of such party, service thereafter shall be made 
upon the attorney.
    (d) Any party filing a petition for modification under these rules 
shall file proof of service in the form of a return receipt where 
service is by registered or certified mail or an acknowledgment by the 
party served or a verified return where service is made personally. A 
certificate of service shall accompany all other documents filed by a 
party under these rules.
    (e) Service by mail shall be complete upon mailing. Service by 
telecopier or other electronic means shall be complete upon receipt.
    (f) Whenever a party has the right to do some act within a 
prescribed period after the service of a document or other material upon 
the party and the

[[Page 198]]

document or other material is served upon the party by mail, 5 days 
shall be added to the prescribed period: Provided, that specific 
provisions may, for good cause, be made otherwise by an order of an 
administrative law judge or the Assistant Secretary in a particular 
proceeding pending before that person.

[43 FR 29518, July 7, 1978, as amended at 55 FR 53440, Dec. 28, 1990]



Sec. 44.7  Filing.

    For purposes of this part, a petition, request for hearing, notice 
of appeal, or other document shall be considered to be filed when 
received, or when mailed by certified mail, return receipt requested. 
Such documents may be filed by telecopier or other electronic means.

[55 FR 53440, Dec. 28, 1990]



Sec. 44.8  Ex parte communication.

    There shall be no ex parte communication with respect to the merits 
of any case not concluded between the Assistant Secretary or the 
administrative law judge, including any employee or agent of the 
Assistant Secretary or of the administrative law judge, and any of the 
parties, intervenors, representatives, or other interested parties.

[55 FR 53440, Dec. 28, 1990]



Sec. 44.9  Posting of petition.

    An operator of a mine for which there is no representative of miners 
shall post a copy of each petition concerning the mine on the mine 
bulletin board and shall maintain the posting until a ruling on the 
petition becomes final.



       Subpart B_Initial Procedure for Petitions for Modification



Sec. 44.10  Filing of petition; service.

    A petition for modification of the application of a mandatory safety 
standard under section 101(c) of the Act may be filed only by the 
operator of the affected mine or any representative of the miners at 
such mine. All petitions must be in writing and must be filed with the 
Director, Office of Standards, Regulations, and Variances, Mine Safety 
and Health Administration, 1100 Wilson Blvd., Room 2352, Arlington, 
Virginia 22209-3939. If the petition is filed by a mine operator, a copy 
of the petition shall be served by the mine operator upon a 
representative of miners at the affected mine. If the petition is filed 
by a representative of the miners, a copy of the petition shall be 
served by the representative of miners upon the mine operator. Service 
shall be accomplished personally or by registered or certified mail, 
return receipt requested.

[55 FR 53440, Dec. 28, 1990, as amended at 67 FR 38384, June 4, 2002]



Sec. 44.11  Contents of petition.

    (a) A petition for modification filed pursuant to Sec. 44.10 shall 
contain:
    (1) The name and address of the petitioner.
    (2) The mailing address and mine identification number of the mine 
or mines affected.
    (3) The mandatory safety standard to which the petition is directed.
    (4) A concise statement of the modification requested, and whether 
the petitioner proposes to establish an alternate method in lieu of the 
mandatory safety standard or alleges that application of the standard 
will result in diminution of safety to the miners affected or requests 
relief based on both grounds.
    (5) A detailed statement of the facts the petitioner would show to 
establish the grounds upon which it is claimed a modification is 
warranted.
    (6) Identification of any representative of the miners at the 
affected mine, if the petitioner is a mine operator.
    (b) A petition for modification shall not include a request for 
modification of the application of more than one mandatory safety 
standard. A petition for modification shall not request relief for more 
than one operator. However, an operator may file a petition for 
modification pertaining to more than one mine where it can be shown that 
identical issues of law and fact exist as to the petition for each mine.



Sec. 44.12  Procedure for public notice of petition received.

    (a) Within 15 days from the filing of a petition for modification, 
the Mine Safety and Health Administration will

[[Page 199]]

give notice of the petition to each known representative of miners or 
the operator of the affected mine, as appropriate, and shall publish 
notice of the petition in the Federal Register.
    (b) The Federal Register notice shall contain a statement that the 
petition has been filed, identify the petitioner and the mine or mines 
to which the petition relates, cite the mandatory safety standard for 
which modification is sought, and describe the requested relief.
    (c) All such notices shall advise interested parties that they may, 
within 30 days from the date of publication in the Federal Register, in 
writing, comment upon or provide information relative to the proposed 
modification.

[43 FR 29518, July 7, 1978, as amended at 55 FR 53440, Dec. 28, 1990]



Sec. 44.13  Proposed decision.

    (a) Upon receipt of a petition for modification, the Mine Safety and 
Health Administration shall cause an investigation to be made as to the 
merits of the petition. Any party may request that the investigation of 
the petition for modification be expedited, or that the time period for 
investigating the petition be extended. Such requests shall be granted 
in the discretion of the Administrator upon good cause shown.
    (b) As soon as is practicable after the investigation is completed, 
the appropriate Administrator shall make a proposed decision and order, 
which shall be served upon all parties to the proceeding. The proposed 
decision shall become final upon the 30th day after service thereof, 
unless a request for hearing has been filed with the appropriate 
Administrator, as provided in Sec. 44.14 of this part.
    (c) Service of the proposed decision is complete upon mailing.

[55 FR 53440, Dec. 28, 1990]



Sec. 44.14  Request for hearing

    A request for hearing filed in accordance with Sec. 44.13 of this 
part must be filed within 30 days after service of the proposed decision 
and shall include:
    (a) A concise summary of position on the issues of fact or law 
desired to be raised by the party requesting the hearing, including 
specific objections to the proposed decision. A party other than 
petitioner who has requested a hearing shall also comment upon all 
issues of fact or law presented in the petition, and
    (b) An indication of a desired hearing site.
    (c) Partial appeal. (1) If the Administrator has issued a proposed 
decision and order granting the requested modification, a request for 
hearing on the proposed decision and order may be made by any party 
based upon objection to one or more of the terms and conditions of the 
Administrator's proposed decision and order. If such a request for 
hearing is made, the request should specify which of the terms and 
conditions should be the subject of the hearing.
    (2) During the pendency of the partial appeal, the proposed decision 
and order of the Administrator will become final on the 30th day after 
service thereof, unless a request for hearing on the proposed decision 
and order is filed in accordance with paragraph (a) of this section by 
any other party. The decision and order will remain in effect as 
proposed by the Administrator until the terms and conditions for which 
the hearing was requested are modified, affirmed, or set aside by a 
final order of the presiding administrative law judge or the Assistant 
Secretary. The presiding administrative law judge shall take such action 
upon a determination of whether--
    (i) The terms and conditions for which the hearing was requested are 
necessary to ensure that the alternative method of achieving the result 
of the standard will at all times guarantee to the miners at the mine at 
least the same measure of protection afforded to the miners at the mine 
by such standard; or
    (ii) In the case of a petition involving a finding by the 
Administrator of a diminution of safety to the miners caused by 
application of the standard at the mine, whether the terms and 
conditions for which the hearing was requested are necessary to provide 
equivalent protection to the miners at the mine from the hazard against 
which the standard is directed.

[43 FR 29518, July 7, 1978, as amended at 55 FR 53441, Dec. 28, 1990]

[[Page 200]]



Sec. 44.15  Referral to Chief Administrative Law Judge.

    Upon receipt of a request for hearing as provided in Sec. 44.14 of 
this part, the Administrator shall, within 5 days, refer to the Chief 
Administrative Law Judge the original petition, the proposed decision 
and order, all information upon which the proposed decision was based, 
any written request for a hearing on the petition filed, any other 
written comments or information received and considered in making the 
proposed decision. The MSHA investigation report shall be made part of 
the record on the petition.

[55 FR 53441, Dec. 28, 1990]



Sec. 44.16  Application for temporary relief; relief to give effect to the 

proposed decision and order.

    (a) Time for filing. An application for temporary relief from 
enforcement of a mandatory standard may be filed at any time before a 
proposed decision and order is issued on a petition for modification and 
shall be served upon all parties to the proceeding.
    (b) With whom filed. The application shall be filed with and decided 
by the appropriate Administrator.
    (c) Investigation and decision. Upon receipt of an application for 
temporary relief, the Administrator shall cause an investigation to be 
made as to the merits of the application. As soon thereafter as 
practicable, but in no event greater than 60 days from filing of the 
application, the Administrator shall issue a decision. If the 
Administrator does not issue a decision within 60 days of filing of the 
application, the application shall be deemed to be denied.
    (d) Contents of application. An application for temporary relief 
shall comply with applicable general requirements of this part, state 
the specific relief requested, and include specific evidence showing how 
the applicant meets the criteria set forth in paragraph (e) of this 
section.
    (e) Criteria. Before temporary relief is granted, the applicant must 
clearly show that--
    (1) The application was filed in good faith;
    (2) The requested relief will not adversely affect the health or 
safety of miners in the affected mine;
    (3) An identifiable hazard to miners exists in the mine which is 
caused by application of the standard at the mine;
    (4) Other means will be used to reasonably address the hazard 
against which the original standard was designed to protect; and
    (5) Compliance with the standard while the petition for modification 
is pending will expose miners to the identifiable hazard upon which the 
application is based.
    (f) Response. All parties to the proceeding in which an application 
for temporary relief has been filed shall have 15 days from receipt of 
the application to file a written response with the Administrator.
    (g) Evidence. An application for temporary relief or a response to 
such an application may be supported by affidavits or other evidentiary 
matter.
    (h) Findings. Temporary relief may be granted by the Administrator 
upon a finding that application of the standard at the mine will result 
in a diminution of safety to the miners at such mine.
    (i) Appeal to the Office of the Administrative Law Judges. If the 
application for temporary relief is granted by the Administrator, any 
other party may request a hearing within 15 days of the Administrator's 
decision. The request shall be addressed to the Administrator and shall 
be referred by the Administrator, along with the petition for 
modification, to the Chief Administrative Law Judge in accordance with 
Sec. 44.15. The hearing and decision of the presiding administrative 
law judge shall be in accordance with subparts C through E of this part. 
After referral of the petition for modification and application for 
temporary relief, no further decision shall be rendered by the 
Administrator.
    (j) Duration of relief. An order granting temporary relief shall be 
effective until superseded by the Administrator's proposed decision and 
order, unless a hearing is requested in accordance with paragraph (i) of 
this section. If such hearing is requested, the temporary relief shall 
remain in effect until modified, affirmed or set aside by the presiding 
administrative law judge.

[[Page 201]]

In no case, however, shall the Administrator's order remain in effect 
for more than one year, unless renewed or affirmed by the presiding 
administrative law judge.
    (k) Application for relief to give effect to the proposed decision 
and order. At any time following the proposed decision and order of the 
Administrator on the accompanying petition for modification, any party 
may request relief to give effect to the proposed decision and order 
until it becomes final.
    (l) An application for relief under paragraph (k) shall be filed 
with the Administrator and shall include a good faith representation 
that no party is expected to contest the granting of the petition for 
modification.
    (m) A decision to grant relief requested under paragraph (k) will 
take effect on the seventh day following the decision. If a request for 
hearing on the proposed decision and order is filed in accordance with 
Sec. 44.14 prior to the seventh day following the granting of such 
relief, the relief will not become effective. If such request for 
hearing on the proposed decision and order is filed after relief becomes 
effective, the relief will expire immediately.

[55 FR 53441, Dec. 28, 1990]



                           Subpart C_Hearings



Sec. 44.20  Designation of administrative law judge.

    Within 5 days after receipt of a referral of a request for hearing 
in a petition for modification proceeding, the Chief Administrative Law 
Judge shall designate an administrative law judge appointed under 
section 3105 of Title 5 of the United States Code to preside over the 
hearing.

[55 FR 53442, Dec. 28, 1990]



Sec. 44.21  Filing and form of documents.

    (a) Where to file. After a petition has been referred to the Office 
of the Chief Administrative Law Judge, the parties will be notified of 
the name and address of the administrative law judge assigned to the 
case. All further documents shall be filed with the administrative law 
judge at the address designated or with the Chief Administrative Law 
Judge, if the assignment has not been made. While the petition is before 
the Assistant Secretary at any stage of the proceeding, all documents 
should be filed with the Assistant Secretary of Labor for Mine Safety 
and Health, 1100 Wilson Blvd., Room 2322, Arlington, Virginia 22209-
3939.
    (b) Caption, title and signature. (1) The documents filed in any 
proceeding under this part shall be captioned in the name of the 
operator of the mine to which the proceeding relates and in the name of 
the mine or mines affected. After a docket number has been assigned to 
the proceeding by the Office of the Chief Administrative Law Judge, the 
caption shall contain such docket number.
    (2) After the caption each such document shall contain a title which 
shall be descriptive of the document and which shall identify the party 
by whom the document is submitted.
    (3) The original of all documents filed shall be signed at the end 
by the party submitting the document or, if the party is represented by 
an attorney, by such attorney. The address of the party or the attorney 
shall appear beneath the signature.

[43 FR 29518, July 7, 1978, as amended at 67 FR 38384, June 4, 2002]



Sec. 44.22  Administrative law judges; powers and duties.

    (a) Powers. An administrative law judge designated to preside over a 
hearing shall have all powers necessary or appropriate to conduct a 
fair, full, and impartial hearing, including the following:
    (1) To administer oaths and affirmations;
    (2) To issue subpoenas on his own motion or upon written application 
of a party;
    (3) To rule upon offers of proof and receive relevant evidence;
    (4) To take depositions or have depositions taken when the ends of 
justice would be served;
    (5) To provide for discovery and determine its scope;
    (6) To regulate the course of the hearing and the conduct of parties 
and their counsel;
    (7) To consider and rule upon procedural requests;

[[Page 202]]

    (8) To hold conferences for settlement or simplification of issues 
by consent of the parties;
    (9) To make decisions in accordance with the Act, this part, and 
section 557 of title 5 of the United States Code; and
    (10) To take any other appropriate action authorized by this part, 
section 556 of title 5 of the United States Code, or the Act.
    (b) Disqualification. (1) When an administrative law judge deems 
himself disqualified to preside over a particular hearing, he shall 
withdraw therefrom by notice on the record directed to the Chief 
Administrative Law Judge.
    (2) Any party who deems an administrative law judge for any reason 
to be disqualified to preside or continue to preside over a particular 
hearing, may file with the Chief Administrative Law Judge of the 
Department of Labor a motion to be supported by affidavits setting forth 
the alleged grounds for disqualification. The Chief Administrative Law 
Judge shall rule upon the motion.
    (c) Contumacious conduct; failure or refusal to appear or obey 
rulings of a presiding administrative law judge. (1) Contumacious 
conduct at any hearing before the administrative law judge shall be 
grounds for exclusion from the hearing.
    (2) If a witness or party refuses to answer a question after being 
directed to do so or refuses to obey an order to provide or permit 
discovery, the administrative law judge may make such orders with regard 
to the refusal as are just and appropriate, including an order denying 
the application of a petitioner or regulating the contents of the record 
of the hearing.
    (d) Referral to Federal Rules of Civil Procedure and Evidence. On 
any procedural question not regulated by this part, the act, or the 
Administrative Procedure Act, an administrative law judge shall be 
guided to the extent practicable by any pertinent provisions of the 
Federal Rules of Civil Procedure or Federal Rules of Evidence, as 
appropriate.
    (e) Remand. The presiding administrative law judge shall be 
authorized to remand the petition for modification proceeding to the 
appropriate Administrator based upon new evidence which was not 
available to the Administrator and which may have materially affected 
the Administrator's proposed decision and order. Remand may be upon the 
judge's own motion or the motion of any party, and shall be granted in 
the discretion of the presiding administrative law judge.

[43 FR 29518, July 7, 1978, as amended at 55 FR 53442, Dec. 28, 1990]



Sec. 44.23  Prehearing conferences.

    (a) Convening a conference. Upon his own motion or the motion of a 
party, the administrative law judge may direct the parties or their 
counsel to meet with him for a conference to consider:
    (1) Simplification of issues;
    (2) Necessity or desirability of amendments to documents for 
clarification, simplification, or limitation;
    (3) Stipulations and admissions of facts;
    (4) Limitation of the number of parties and expert witnesses; and
    (5) Such other matters as may tend to expedite the disposition of 
the proceeding and assure a just conclusion thereof.
    (b) Record of conference. The administrative law judge may, where 
appropriate, issue an order which recites the action taken at the 
conference, amendments allowed to any filed documents, and agreements 
made between the parties as to any of the matters considered. The order 
shall limit the issues for hearing to those not disposed of by 
admissions or agreements. Such an order controls the subsequent course 
of the hearing, unless modified at the hearing to prevent manifest 
injustice.



Sec. 44.24  Discovery.

    Parties shall be governed in their conduct of discovery by 
appropriate provisions of the Federal Rules of Civil Procedure, except 
as provided in Sec. 44.25 of this part. After consultation with the 
parties, the administrative law judge shall prescribe a time of not more 
than 45 days to complete discovery. Alternative periods of time for 
discovery may be prescribed by the presiding administrative law judge 
upon the request of any party. As soon as is practicable after 
completion of discovery, the administrative law judge

[[Page 203]]

shall schedule a hearing in accordance with Sec. 44.28 of this part.

[55 FR 53442, Dec. 28, 1990]



Sec. 44.25  Depositions.

    (a) Purpose. For reasons of unavailability or for purpose of 
discovery, the testimony of any witness may be taken by deposition.
    (b) Form. Depositions may be taken before any person having the 
power to administer oaths. Each witness testifying upon deposition shall 
be sworn, and the parties not calling him shall have the right to cross-
examine him. Questions propounded and answers thereto, together with all 
objections made, shall be reduced to writing, read to or by the witness, 
subscribed by him, and certified by the officer before whom the 
deposition is taken. The officer shall send copies by registered mail to 
the Chief Administrative Law Judge or the presiding administrative law 
judge.



Sec. 44.26  Subpoenas; witness fees.

    (a) Except as provided in paragraph (b) of this section, the Chief 
Administrative Law Judge or the presiding administrative law judge, as 
appropriate, shall issue subpoenas upon written application of a party 
requiring attendance of witnesses and production of relevant papers, 
books, documents, or tangible things in their possession and under their 
control. A subpoena may be served by any person who is not a party and 
is not less than 18 years of age, and the original subpoena bearing a 
certificate of service shall be filed with the administrative law judge. 
A witness may be required to attend a deposition or hearing at a place 
not more than 100 miles from the place of service.
    (b) If a party's written application for subpoena is submitted 3 
working days or less before the hearing to which it relates, a subpoena 
shall issue at the discretion of the Chief Administrative Law Judge or 
presiding administrative law judge, as appropriate.
    (c) Any person served with a subpoena may move in writing to revoke 
or modify the subpoena. All motions to revoke or modify shall be served 
on the party at whose request the subpoena was issued. The 
administrative law judge shall revoke or modify the subpoena if in his 
opinion the evidence required to be produced does not relate to any 
matter under investigation or in question in the proceedings; the 
subpoena does not describe with sufficient particularity the evidence 
required to be produced; or if for any other reason, sufficent in law, 
the subpoena is found to be invalid or unreasonable. The administrative 
law judge shall make a simple statement of procedural or other grounds 
for the ruling on the motion to revoke or modify. The motion to revoke 
or modify, any answer filed thereto, and any ruling thereon shall become 
a part of the record.
    (d) Witnesses subpoened by any party shall be paid the same fees for 
attendance and mileage as are paid in the District Courts of the United 
States. The fees shall be paid by the party at whose instance the 
witness appears.



Sec. 44.27  Consent findings and rules or orders.

    (a) General. At any time after a request for hearing is filed in 
accordance with Sec. 44.14, a reasonable opportunity may be afforded to 
permit negotiation by the parties of an agreement containing consent 
findings and a rule or order disposing of the whole or any part of the 
proceedings. Allowance of such opportunity and the duration thereof 
shall be in the discretion of the Chief Administrative Law Judge, if no 
administrative law judge has been assigned, or of the presiding 
administrative law judge. In deciding whether to afford such an 
opportunity, the administrative law judge shall consider the nature of 
the proceeding, requirements of the public interest, representations of 
the parties, and probability of an agreement which will result in a just 
disposition of the issues involved.
    (b) Contents. Any agreement containing consent findings and rule or 
order disposing of a proceeding shall also provide:
    (1) That the rule or order shall have the same effect as if made 
after a full hearing;
    (2) That the record on which any rule or order may be based shall 
consist of the petition and agreement, and all other pertinent 
information, including: any request for hearing on the petition; the 
investigation report; discovery;

[[Page 204]]

motions and requests, filed in written form and rulings thereon; any 
documents or papers filed in connection with prehearing conferences; 
and, if a hearing has been held, the transcript of testimony and any 
proposed findings, conclusions, rules or orders, and supporting reasons 
as may have been filed.
    (3) A waiver of further procedural steps before the administrative 
law judge and Assistant Secretary; and
    (4) A waiver of any right to challenge or contest the validity of 
the findings and rule or order made in accordance with the agreement.
    (c) Submission. On or before expiration of the time granted for 
negotiations, the parties or their counsel may:
    (1) Submit the proposed agreement to the Chief Administrative Law 
Judge or presiding administrative law judge, as appropriate, for his 
consideration; or
    (2) Inform the Chief Administrative Law Judge or presiding 
administrative law judge, as appropriate, that agreement cannot be 
reached.
    (d) Disposition. In the event an agreement containing consent 
findings and rule or order is submitted within the time allowed, the 
Chief Administrative Law Judge or presiding administrative law judge, as 
appropriate, may accept the agreement by issuing his decision based upon 
the agreed findings.

[43 FR 29518, July 7, 1978, as amended at 55 FR 53442, Dec. 28, 1990]



Sec. 44.28  Notice of hearing.

    (a) The administrative law judge shall fix a place and date for the 
hearing and notify all parties at least 30 days in advance of the date 
set, unless at least one party requests and all parties consent to an 
earlier date, or the hearing date has been otherwise advanced in 
accordance with this part. The notice shall include:
    (1) The time, place, and nature of the hearing; and
    (2) The legal authority under which the hearing is to be held.
    (b) In accordance with the provisions of section 554 of title 5 of 
the United States Code, a party may move for transfer of a hearing on 
the basis of convenience to parties and witnesses. Such motion should be 
filed with the administrative law judge assigned to the case.



Sec. 44.29  Motions.

    Each motion filed shall be in writing and shall contain a short and 
plain statement of the grounds upon which it is based. A statement in 
opposition to the motion may be filed by any party within 10 days after 
the date of service. The administrative law judge may permit oral 
motions during proceedings.



Sec. 44.30  Hearing procedures.

    (a) Order of proceeding. Except as may be ordered otherwise by the 
administrative law judge, the petitioner shall proceed first at a 
hearing.
    (b) Burden of proof. The petitioner shall have the burden of proving 
his case by a preponderance of the evidence.
    (c) Evidence--(1) Admissibility. A party shall be entitled to 
present its case or defense by oral or documentary evidence, to submit 
rebuttal evidence, and to conduct such cross-examination as may be 
required for full and true disclosure of the facts. Any oral or 
documentary evidence may be received, but the administrative law judge 
shall exclude evidence which is irrelevant, immaterial, or unduly 
repetitious.
    (2) Testimony of witnesses. The testimony of a witness shall be upon 
oath or affirmation administered by the administrative law judge.
    (3) Objections. If a party objects to admission or rejection of any 
evidence, limitation of the scope of any examination or cross-
examination, or failure to limit such scope, he shall state briefly the 
grounds for such objection. Rulings on such objections shall appear in 
the record.
    (4) Exceptions. Formal exception to an adverse ruling is not 
required.
    (d) Official notice. Official notice may be taken of any material 
fact not appearing in evidence in the record, which is among the 
traditional matters of judicial notice or concerning which the 
Department of Labor by reason of its functions is presumed to be expert: 
Provided, That the parties shall be given adequate notice at the hearing 
or by reference in the presiding administrative law judge's decision of 
the matters so noticed and shall be given adequate opportunity to show 
the contrary.

[[Page 205]]

    (e) Transcript. Copies of the transcript of the hearing may be 
obtained by the parties upon written application filed with the reporter 
and payment of fees at the rate provided in the agreement with the 
reporter.



Sec. 44.31  Proposed findings of fact, conclusions, and orders.

    After consultation with the parties, the administrative law judge 
may prescribe a time period of 30 days within which each party may file 
proposed findings of fact, conclusions of law, and rule or order, 
together with a supporting brief expressing the reasons for such 
proposals. Such time may be expedited or extended upon request and at 
the discretion of the Administrative Law Judge. Proposals and briefs 
shall be served on all other parties and shall refer to all portions of 
the record and to all authorities relied upon in support of each 
proposal.

[55 FR 53442, Dec. 28, 1990]



Sec. 44.32  Initial decision.

    (a) Within 60 days after the time allowed for the filing of proposed 
findings of fact and conclusions of law, the administrative law judge 
shall make and serve upon each party a decision, which shall become 
final upon the 30th day after service thereof, unless an appeal is filed 
as provided in Sec. 44.33 of this part. After consultation with the 
parties, the administrative law judge may expedite or extend the time 
for issuing the decision. The decision of the administrative law judge 
shall include:
    (1) A statement of findings of fact and conclusions of law, with 
reasons therefor, upon each material issue of fact, law, or discretion 
presented on the record; and
    (2) The appropriate rule, order, relief, or denial thereof.
    (b) The decision of the administrative law judge shall be based upon 
a consideration of the whole record and shall state all facts officially 
noticed and relied upon. It shall be made on the basis of a 
preponderance of reliable and probative evidence.

[43 FR 29518, July 7, 1978, as amended at 55 FR 53442, Dec. 28, 1990]



Sec. 44.33  Departmental review.

    (a) Notice of appeal. Any party may appeal from the initial decision 
of the administrative law judge by filing with the Assistant Secretary a 
notice of appeal within 30 days after service of the initial decision. 
The Assistant Secretary may consolidate related appeals. Copies of a 
notice of appeal shall be served on all parties to the proceeding in 
accordance with Sec. 44.6 of this part.
    (b) Statement of objections. Within 20 days after filing the notice 
of appeal, the appellant shall file his statement of objections to the 
decision of the administrative law judge and serve copies on all other 
parties to the proceeding. The statement shall refer to the specific 
findings of fact, conclusions of law, or terms of the order objected to 
in the initial decision. Where any objection is based upon evidence of 
record, the objection need not be considered by the Assistan( Secretary 
if specific record citations to the pertinent evidence are not contained 
in the statement of objections.
    (c) Responding statements. Within 20 days after service of the 
statement of objections, any other party to the proceeding may file a 
statement in response.

[43 FR 29518, July 7, 1978, as amended at 55 FR 53442, Dec. 28, 1990]



Sec. 44.34  Transmission of record.

    If an appeal is filed, the administrative law judge shall, as soon 
thereafter as is practicable, transmit the record of the proceeding to 
the Assistant Secretary for review. The record shall include: the 
petition; the MSHA investigation report; any request for hearing on the 
petition; the transcript of testimony taken at the hearing, together 
with exhibits admitted in evidence; any documents or papers filed in 
connection with prehearing conferences; such proposed findings of fact, 
conclusions of law, rules or orders, and supporting reasons, as may have 
been filed; and the administrative law judge's decision.

[55 FR 53442, Dec. 28, 1990]

[[Page 206]]



Sec. 44.35  Decision of the Assistant Secretary.

    Appeals from a decision rendered pursuant to Sec. 44.32 of this 
part shall be decided by the Assistant Secretary within 120 days after 
the time for filing responding statements under Sec. 44.33 of this 
part. The Assistant Secretary's decision shall be based upon 
consideration of the entire record of the proceedings transmitted, 
together with the statements submitted by the parties. The decision may 
affirm, modify, or set aside, in whole or part, the findings, 
conclusions, and rule or order contained in the decision of the 
presiding administrative law judge and shall include a statement of 
reasons for the action taken. The Assistant Secretary may also remand 
the petition to the administrative law judge for additional legal or 
factual determinations. Any party may request that the time for the 
Assistant Secretary's decision be expedited. Such requests shall be 
granted in the discretion of the Assistant Secretary.

[55 FR 53442, Dec. 28, 1990]



                       Subpart D_Summary Decisions



Sec. 44.40  Motion for summary decision.

    (a) Any party may, at least 20 days before the date fixed for any 
hearing under Subpart C of this part, move with or without supporting 
affidavits for a summary decision on all or any part of the proceeding. 
Any other party may, within 10 days after service of the motion, serve 
opposing affidavits or countermove for summary decision. The 
administrative law judge may set the matter for argument and call for 
submission of briefs.
    (b) Filing of any documents under paragraph (a) of this section 
shall be with the administrative law judge, and copies of such documents 
shall be served in accordance with Sec. 44.6 of this part.
    (c) Any affidavits submitted with the motion shall set forth such 
facts as would be admissible in evidence in a proceeding subject to 5 
U.S.C. 556 and 557 and shall show affirmatively that the affiant is 
competent to testify to the matters stated therein. When a motion for 
summary decision is made and supported as provided in this section, a 
party opposing the motion may not rest upon the mere allegations or 
denials of such pleading. Such response must set forth specific facts 
showing that there is a genuine issue of fact for the hearing.
    (d) The administrative law judge may grant the motion if the 
pleadings, affidavits, material obtained by discovery or otherwise, or 
matters officially noticed show that there is no genuine issue as to any 
material fact and a party is entitled to summary decision. The 
administrative law judge may deny the motion whenever the moving party 
denies access to information by means of discovery to a party opposing 
the motion.
    (e) The denial of all or part of a motion for summary decision by 
the administrative law judge shall not be subject to interlocutory 
appeal to the Assistant Secretary unless the administrative law judge 
certifies in writing that (1) the ruling involves an important question 
of law or policy as to which there are substantial grounds for 
difference of opinion, and (2) an immediate appeal from the ruling may 
materially advance termination of the proceeding. The allowance of an 
interlocutory appeal shall not stay the proceedings before the 
administrative law judge unless ordered by the Assistant Secretary.



Sec. 44.41  Summary decision.

    (a) No genuine issue of material fact. (1) Where no genuine issue of 
a material fact is found to have been raised, the administrative law 
judge may issue an initial decision to become final 30 days after 
service thereof, unless, within such time, any party has filed an appeal 
with the Assistant Secretary. Thereafter, the Assistant Secretary, after 
consideration of the entire record, may issue a final decision.
    (2) An initial decision and a final decision made under this 
paragraph shall include a statement of--
    (i) Findings and conclusions, and the reasons therefor, on all 
issues presented; and
    (ii) Any terms and conditions of the rule or order.

[[Page 207]]

    (3) A copy of an initial decision and final decision under this 
paragraph shall be served on each party.
    (b) Hearings on issues of fact. Where a genuine question of material 
fact is raised, the administrative law judge shall, and in any other 
case may, set the case for an evidentiary hearing in accordance with 
Subpart C of this part.



                  Subpart E_Effect of Initial Decision



Sec. 44.50  Effect of appeal on initial decision.

    Except as provided in Sec. 44.14(c), a proposed decision and order 
of an Administrator is not operative pending appeal to an administrative 
law judge, and a decision of an administrative law judge is not 
operative pending appeal to the Assistant Secretary.

[55 FR 53443, Dec. 28, 1990]



Sec. 44.51  Finality for purposes of judicial review.

    Only a decision by the Assistant Secretary shall be deemed final 
agency action for purposes of judicial review. A decision by an 
Administrator or administrative law judge which becomes final for lack 
of appeal is not deemed final agency action for purposes of 5 U.S.C. 
704.



Sec. 44.52  Revocation of modification.

    (a) Petition for revocation. Any party to a proceeding under this 
part in which a petition for modification of a mandatory safety standard 
was granted by an Administrator, administratior law judge, or the 
Assistant Secretary may petition that the modification be revoked. Such 
petition shall be filed with the Chief Administrative Law Judge for 
disposition.
    (b) Revocation by the Administrator. The appropriate Administrator 
may propose to revoke a modification previously granted by the 
Administrator, an administrative law judge, or the Assistant Secretary, 
by issuing a proposed decision and order revoking the modification. Such 
proposed revocation and a statement of reasons supporting the proposal 
must be served upon all parties to the proceeding, and shall become 
final on the 30th day after service thereof unless a hearing is 
requested in accordance with Sec. 44.14.
    (c) Revocation of a granted modification must be based upon a change 
in circumstances or because findings which originally supported the 
modification are no longer valid.
    (d) Disposition of the revocation shall be subject to all procedures 
of subparts C through E of this part.

[55 FR 53443, Dec. 28, 1990]



Sec. 44.53  Amended modification.

    (a) The Administrator may propose to revise the terms and conditions 
of a granted modification by issuing an amended proposed decision and 
order, along with a statement of reasons for the amended proposed 
decision and order, when one or both of the following occurs:
    (1) A change in circumstances which originally supported the terms 
and conditions of the modification.
    (2) The Administrator determines that findings which originally 
supported the terms and conditions of the modification are no longer 
valid.
    (b) The Administrator's amended proposed decision and order shall be 
served upon all parties to the proceeding and shall become final upon 
the 30th day after service thereof, unless a request for hearing on the 
proposed amendments is filed under Sec. 44.14. If a request for hearing 
is filed, the amended proposed decision and order shall be subject to 
all procedures of subparts C through E of this part as if it were a 
proposed decision and order of the Administrator issued in accordance 
with Sec. 44.13. The original modification shall remain in effect until 
superseded by a final amended modification.
    (c) In cases where the original decision and order was based upon an 
alternative method of achieving the result of the standard, the amended 
decision and order shall at all times provide to miners at the mine at 
least the same measure of protection afforded to the miners at the mine 
by such standard. In cases where the original decision and order was 
based upon a diminution of safety to the miners resulting from 
application of the standard at such time, the amended decision and order

[[Page 208]]

shall not reduce the protection afforded miners by the original decision 
and order.

[55 FR 53443, Dec. 28, 1990]



PART 45_INDEPENDENT CONTRACTORS--Table of Contents




Sec.
45.1 Scope and purpose.
45.2 Definitions.
45.3 Identification of independent contractors.
45.4 Independent contractor register.
45.5 Service of documents; independent contractors.
45.6 Address of record and telephone number; independent contractors.

    Authority: 30 U.S.C. 802(d), 957.

    Source: 45 FR 44496, July 1, 1980, unless otherwise noted.



Sec. 45.1  Scope and purpose.

    This part sets forth information requirements and procedures for 
independent contractors to obtain an MSHA identification number and 
procedures for service of documents upon independent contractors. 
Production-operators are required to maintain certain information for 
each independent contractor at the mine. The purpose of this rule is to 
facilitate implementation of MSHA's enforcement policy of holding 
independent contractors responsible for violations committed by them and 
their employees.



Sec. 45.2  Definitions.

    As used in this part:
    (a) Act means the Federal Mine Safety and Health Act of 1977, Pub. 
L. 91-173, as amended by Pub. L. 95-164;
    (b) District Manager means the District Manager of the Mine Safety 
and Health Administration District in which the independent contractor 
is located;
    (c) Independent contractor means any person, partnership, 
corporation, subsidiary of a corporation, firm, association or other 
organization that contracts to perform services or construction at a 
mine; and,
    (d) Production-operator means any owner, lessee, or other person who 
operates, controls or supervises a coal or other mine.



Sec. 45.3  Identification of independent contractors.

    (a) Any independent contractor may obtain a permanent MSHA 
identification number. To obtain an identification number, an 
independent contractor shall submit to the District Manager in writing 
the following information:
    (1) The trade name and business address of the independent 
contractor;
    (2) An address of record for service of documents;
    (3) A telephone number at which the independent contractor can be 
contacted during regular business hours; and
    (4) The estimated annual hours worked on mine property by the 
independent contractor in the previous calendar year, or in the instance 
of a business operating less than one full calendar year, prorated to an 
annual basis.

(Pub. L. No. 96-511, 94 Stat. 2812 (44 U.S.C. 3501 et seq.))

[45 FR 44496, July 1, 1980, as amended at 47 FR 14696, Apr. 6, 1982; 60 
FR 33722, June 29, 1995]



Sec. 45.4  Independent contractor register.

    (a) Each independent contractor shall provide the production-
operator in writing the following information:
    (1) The independent contractor's trade name, business address and 
business telephone number;
    (2) A description of the nature of the work to be performed by the 
independent contractor and where at the mine the work is to be 
performed;
    (3) The independent contractor's MSHA identification number, if any; 
and
    (4) The independent contractor's address of record for service of 
citations, or other documents involving the independent contractor.
    (b) Each production-operator shall maintain in writing at the mine 
the information required by paragraph (a) of this section for each 
independent contractor at the mine. The production-operator shall make 
this information available to any authorized representative of the 
Secretary upon request.

[[Page 209]]



Sec. 45.5  Service of documents; independent contractors.

    Service of citations, orders and other documents upon independent 
contractors shall be completed upon delivery to the independent 
contractor or mailing to the independent contractor's address of record.



Sec. 45.6  Address of record and telephone number; independent contractors.

    (a) The address and telephone number required under this part shall 
be the independent contractor's official address and telephone number 
for purposes of the Act. Service of documents upon independent 
contractors may be proved by a Post Office return receipt showing that 
the documents were delivered to the address of record or that the 
documents could not be delivered to the address of record because the 
independent contractor is no longer at that address and has established 
no forwarding address; because delivery was not accepted at that 
address; or because no such address exists. Independent contractors may 
request service by delivery to another appropriate address of record 
provided by the independent contractor. The telephone number required 
under this part will be used in connection with the proposed penalty 
assessment procedures in 30 CFR part 100.

[[Page 210]]



                   SUBCHAPTER H_EDUCATION AND TRAINING



PART 46_TRAINING AND RETRAINING OF MINERS ENGAGED IN SHELL DREDGING OR 

EMPLOYED AT SAND, GRAVEL, SURFACE STONE, SURFACE CLAY, COLLOIDAL PHOSPHATE, OR 

SURFACE LIMESTONE MINES.--Table of Contents




Sec.
46.1 Scope.
46.2 Definitions.
46.3 Training plans.
46.4 Training plan implementation.
46.5 New miner training.
46.6 Newly hired experienced miner training.
46.7 New task training.
46.8 Annual refresher training.
46.9 Records of training.
46.10 Compensation for training.
46.11 Site-specific hazard awareness training.
46.12 Responsibility for independent contractor training.

    Authority: 30 U.S.C. 811, 825.

    Source: 64 FR 53130, Sept. 30, 1999, unless otherwise noted.



Sec. 46.1  Scope.

    The provisions of this part set forth the mandatory requirements for 
training and retraining miners and other persons at shell dredging, 
sand, gravel, surface stone, surface clay, colloidal phosphate, and 
surface limestone mines.



Sec. 46.2  Definitions.

    The following definitions apply in this part:
    (a) Act means the Federal Mine Safety and Health Act of 1977.
    (b) Competent person means a person designated by the production-
operator or independent contractor who has the ability, training, 
knowledge, or experience to provide training to miners in his or her 
area of expertise. The competent person must be able both to effectively 
communicate the training subject to miners and to evaluate whether the 
training given to miners is effective.
    (c) Equivalent experience means work experience where the person 
performed duties similar to duties performed in mining operations at 
surface mines. Such experience may include, but is not limited to, work 
as a heavy equipment operator, truck driver, skilled craftsman, or plant 
operator.
    (d)(1) Experienced miner means:
    (i) A person who is employed as a miner on April 14, 1999;
    (ii) A person who has at least 12 months of cumulative surface 
mining or equivalent experience on or before October 2, 2000;
    (iii) A person who began employment as a miner after April 14, 1999, 
but before October 2, 2000 and who has received new miner training under 
Sec. 48.25 of this title or under proposed requirements published April 
14, 1999, which are available from the Office of Standards, Regulations 
and Variances, MSHA, 1100 Wilson Blvd., Room 2352, Arlington, Virginia 
22209-3939; or
    (iv) A person employed as a miner on or after October 2, 2000 who 
has completed 24 hours of new miner training under Sec. 46.5 of this 
part or under Sec. 48.25 of this title and who has at least 12 
cumulative months of surface mining or equivalent experience.
    (2) Once a miner is an experienced miner under this section, the 
miner will retain that status permanently.
    (e) Independent contractor means any person, partnership, 
corporation, subsidiary of a corporation, firm, association, or other 
organization that contracts to perform services at a mine under this 
part.
    (f) Mine site means an area of the mine where mining operations 
occur.
    (g)(1) Miner means:
    (i) Any person, including any operator or supervisor, who works at a 
mine and who is engaged in mining operations. This definition includes 
independent contractors and employees of independent contractors who are 
engaged in mining operations; and
    (ii) Any construction worker who is exposed to hazards of mining 
operations.
    (2) The definition of ``miner'' does not include scientific workers; 
delivery workers; customers (including commercial over-the-road truck 
drivers); vendors; or visitors. This definition

[[Page 211]]

also does not include maintenance or service workers who do not work at 
a mine site for frequent or extended periods.
    (h) Mining operations means mine development, drilling, blasting, 
extraction, milling, crushing, screening, or sizing of minerals at a 
mine; maintenance and repair of mining equipment; and associated haulage 
of materials within the mine from these activities.
    (i) New miner means a person who is beginning employment as a miner 
with a production-operator or independent contractor and who is not an 
experienced miner.
    (j) Newly hired experienced miner means an experienced miner who is 
beginning employment with a production-operator or independent 
contractor. Experienced miners who move from one mine to another, such 
as drillers and blasters, but who remain employed by the same 
production-operator or independent contractor are not considered newly 
hired experienced miners.
    (k) Normal working hours means a period of time during which a miner 
is otherwise scheduled to work, including the sixth or seventh working 
day if such a work schedule has been established for a sufficient period 
of time to be accepted as the common practice of the production-operator 
or independent contractor, as applicable.
    (l) Operator means any production-operator, or any independent 
contractor whose employees perform services at a mine.
    (m) Production-operator means any owner, lessee, or other person who 
operates, controls, or supervises a mine under this part.
    (n) Task means a work assignment or component of a job that requires 
specific job knowledge or experience.
    (o) We or us means the Mine Safety and Health Administration (MSHA).
    (p) You means production-operators and independent contractors.

[64 FR 53130, Sept. 30, 1999, as amended at 67 FR 38384, June 4, 2002]



Sec. 46.3  Training plans.

    (a) You must develop and implement a written plan, approved by us 
under either paragraph (b) or (c) of this section, that contains 
effective programs for training new miners and newly hired experienced 
miners, training miners for new tasks, annual refresher training, and 
site-specific hazard awareness training.
    (b) A training plan is considered approved by us if it contains, at 
a minimum, the following information:
    (1) The name of the production-operator or independent contractor, 
mine name(s), and MSHA mine identification number(s) or independent 
contractor identification number(s);
    (2) The name and position of the person designated by you who is 
responsible for the health and safety training at the mine. This person 
may be the production-operator or independent contractor;
    (3) A general description of the teaching methods and the course 
materials that are to be used in the training program, including the 
subject areas to be covered and the approximate time or range of time to 
be spent on each subject area.
    (4) A list of the persons and/or organizations who will provide the 
training, and the subject areas in which each person and/or organization 
is competent to instruct; and
    (5) The evaluation procedures used to determine the effectiveness of 
training.
    (c) A plan that does not include the minimum information specified 
in paragraphs (b)(1) through (b)(5) of this section must be submitted to 
and approved by the Regional Manager, Educational Field Services 
Division, or designee, for the region in which the mine is located. You 
also may voluntarily submit a plan for Regional Manager approval. You 
must notify miners or their representatives when you submit a plan for 
Regional Manager approval. Within two weeks of receipt or posting of the 
plan, miners and their representatives may also request review and 
approval of the plan by the Regional Manager and must notify the 
production-operator or independent contractor of such request.
    (d) You must provide the miners' representative, if any, with a copy 
of the plan at least 2 weeks before the plan is implemented or, if you 
request MSHA approval of your plan, at least two weeks before you submit 
the plan to the Regional Manager for approval. At

[[Page 212]]

mines where no miners' representative has been designated, you must post 
a copy of the plan at the mine or provide a copy to each miner at least 
2 weeks before you implement the plan or submit it to the Regional 
Manager for approval.
    (e) Within 2 weeks following the receipt or posting of the training 
plan under paragraph (d) of this section, miners or their 
representatives may submit written comments on the plan to you, or to 
the Regional Manager, as appropriate.
    (f) The Regional Manager must notify you and miners or their 
representatives in writing of the approval, or status of the approval, 
of the training plan within 30 calendar days of the date we received the 
training plan for approval, or within 30 calendar days of the date we 
received the request by a miner or miners' representative that we 
approve your plan.
    (g) You must provide the miners' representative, if any, with a copy 
of the approved plan within one week after approval. At mines where no 
miners' representative has been designated, you must post a copy of the 
plan at the mine or provide a copy to each miner within one week after 
approval.
    (h) If you, miners, or miners' representatives wish to appeal a 
decision of the Regional Manager, you must send the appeal, in writing, 
to the Director for Educational Policy and Development, MSHA, 1100 
Wilson Blvd., Room 2100, Arlington, Virginia 22209-3939, within 30 
calendar days after notification of the Regional Manager's decision. The 
Director will issue a final decision of the Agency within 30 calendar 
days after receipt of the appeal.
    (i) You must make available at the mine a copy of the current 
training plan for inspection by us and for examination by miners and 
their representatives. If the training plan is not maintained at the 
mine, you must have the capability to provide the plan within one 
business day upon request by us, miners, or their representatives.
    (j) You must comply with the procedures for plan approval under this 
section whenever the plan undergoes revisions.
    (k) The addresses for the EFS Regional Managers are as follows. 
Current information on the EFS organization is available on MSHA's 
Internet Home Page at http://www.msha.gov.

                        Eastern Regional Manager

Educational Field Services, National Mine Health and Safety Academy, 
1301 Airport Road, Beaver, WV 25813-9426, Telephone: (304) 256-3223, 
FAX: (304) 256-3319, E-mail: EFS--EAST@MSHA.GOV

                        Western Regional Manager

Educational Field Services, P.O. Box 25367, Denver, CO 80225-0367, 
Telephone: (303) 231-5434, FAX: (304) 231-5474, E-mail: EFS--
WEST@MSHA.GOV

[64 FR 53130, Sept. 30, 1999, as amended at 67 FR 38384, June 4, 2002]



Sec. 46.4  Training plan implementation.

    (a) You must ensure that each program, course of instruction, or 
training session is:
    (1) Conducted in accordance with the written training plan;
    (2) Presented by a competent person; and
    (3) Presented in language understood by the miners who are receiving 
the training.
    (b) You may conduct your own training programs or may arrange for 
training to be conducted by: state or federal agencies; associations of 
production-operators or independent contractors; miners' 
representatives; consultants; manufacturers' representatives; private 
associations; educational institutions; or other training providers.
    (c) You may substitute, as applicable, health and safety training 
required by the Occupational Safety and Health Administration (OSHA), or 
other federal or state agencies to meet requirements under this part. 
This training must be relevant to training subjects required in this 
part. You must document the training in accordance with Sec. 46.9 of 
this part.
    (d) Training methods may consist of classroom instruction, 
instruction at the mine, interactive computer-based instruction or other 
innovative training methods, alternative training technologies, or any 
combination of training methods.
    (e) Employee health and safety meetings, including informal health 
and safety talks and instruction, may be credited under this part toward 
either

[[Page 213]]

new miner training, newly hired experienced miner training, or annual 
refresher training requirements, as appropriate, provided that you 
document each training session in accordance with Sec. 46.9 of this 
part. In recording the duration of training, you must include only the 
portion of the session actually spent in training.



Sec. 46.5  New miner training.

    (a) Except as provided in paragraphs (f) and (g) of this section, 
you must provide each new miner with no less than 24 hours of training 
as prescribed by paragraphs (b), (c), and (d). Miners who have not yet 
received the full 24 hours of new miner training must work where an 
experienced miner can observe that the new miner is performing his or 
her work in a safe and healthful manner.

----------------------------------------------------------------------------------------------------------------
 
----------------------------------------------------------------------------------------------------------------
(b) Before a new miner begins work at the mine--                 You must provide the miner with no less than 4
                                                                  hours of training in the following subjects,
                                                                  which must also address site-specific hazards:
                                                                 (1) An introduction to the work environment,
                                                                  including a visit and tour of the mine, or
                                                                  portions of the mine that are representative
                                                                  of the entire mine (walkaround training). The
                                                                  method of mining or operation utilized must be
                                                                  explained and observed;
                                                                 (2) Instruction on the recognition and
                                                                  avoidance of electrical hazards and other
                                                                  hazards present at the mine, such as traffic
                                                                  patterns and control, mobile equipment (e.g.,
                                                                  haul trucks and front-end loaders), and loose
                                                                  or unstable ground conditions;
                                                                 (3) A review of the emergency medical
                                                                  procedures, escape and emergency evacuation
                                                                  plans, in effect at the mine, and instruction
                                                                  on the firewarning signals and firefighting
                                                                  procedures;
                                                                 (4) Instruction on the health and safety
                                                                  aspects of the tasks to be assigned, including
                                                                  the safe work procedures of such tasks, the
                                                                  mandatory health and safety standards
                                                                  pertinent to such tasks, information about the
                                                                  physical and health hazards of chemicals in
                                                                  the miner's work area, the protective measures
                                                                  a miner can take against these hazards, and
                                                                  the contents of the mine's HazCom program;
                                                                 (5) Instruction on the statutory rights of
                                                                  miners and their representatives under the
                                                                  Act;
                                                                 (6) A review and description of the line of
                                                                  authority of supervisors and miners'
                                                                  representatives and the responsibilities of
                                                                  such supervisors and miners' representatives;
                                                                  and
                                                                 (7) An introduction to your rules and
                                                                  procedures for reporting hazards.
----------------------------------------------------------------------------------------------------------------
(c) No later than 60 calendar days after a new miner begins      You must provide the miner with training in the
 work at the mine--                                               following subject:
                                                                 (1) Instruction and demonstration on the use,
                                                                  care, and maintenance of self-rescue and
                                                                  respiratory devices, if used at the mine; and
                                                                 (2) A review of first aid methods.
----------------------------------------------------------------------------------------------------------------
(d) No later than 90 calendar days after a new miner begins      You must provide the miner with the balance, if
 work at the mine--                                               any, of the 24 hours of training on any other
                                                                  subjects that promote occupational health and
                                                                  safety for miners at the mine.
----------------------------------------------------------------------------------------------------------------

    (e) Practice under the close observation of a competent person may 
be used to fulfill the requirement for training on the health and safety 
aspects of an assigned task in paragraph (b)(4) of this section, if 
hazard recognition training

[[Page 214]]

specific to the assigned task is given before the miner performs the 
task.
    (f) A new miner who has less than 12 cumulative months of surface 
mining or equivalent experience and has completed new miner training 
under this section or under Sec. 48.25 of this title within 36 months 
before beginning work at the mine does not have to repeat new miner 
training. However, you must provide the miner with training specified in 
paragraph (b) of this section before the miner begins work at the mine.
    (g) A new miner training course completed under Sec. 48.5 or Sec.  
48.25 of this title may be used to satisfy the requirements of 
paragraphs (a), (b), and (c) of this section, if the course was 
completed by the miner within 36 months before beginning work at the 
mine; and the course is relevant to the subjects specified in paragraphs 
(b) and (c) of this section.

[64 FR 53130, Sept. 30, 1999, as amended at 67 FR 42382, June 21, 2002]



Sec. 46.6  Newly hired experienced miner training.

    (a) Except as provided in paragraph (f) of this section, you must 
provide each newly hired experienced miner with training as prescribed 
by paragraphs (b) and (c).

----------------------------------------------------------------------------------------------------------------
 
----------------------------------------------------------------------------------------------------------------
(b) Before a newly hired experienced miner begins work at the    You must provide the miner with training in the
 mine--                                                           following subjects, which must also address
                                                                  site-specific hazards:
                                                                 (1) An introduction to the work environment,
                                                                  including a visit and tour of the mine, or
                                                                  portions of the mine that are representative
                                                                  of the entire mine (walkaround training). The
                                                                  method of mining or operation utilized must be
                                                                  explained and observed;
                                                                 (2) Instruction on the recognition and
                                                                  avoidance of electrical hazards and other
                                                                  hazards present at the mine, such as traffic
                                                                  patterns and control, mobile equipment (e.g.,
                                                                  haul trucks and front-end loaders), and loose
                                                                  or unstable ground conditions;
                                                                 (3) A review of the emergency medical
                                                                  procedures, escape and emergency evacuation
                                                                  plans, in effect at the mine, and instruction
                                                                  on the firewarning signals and firefighting
                                                                  procedures;
                                                                 (4) Instruction on the health and safety
                                                                  aspects of the tasks to be assigned, including
                                                                  the safe work procedures of such tasks, the
                                                                  mandatory health and safety standards
                                                                  pertinent to such tasks, information about the
                                                                  physical and health hazards of chemicals in
                                                                  the miner's work area, the protective measures
                                                                  a miner can take against these hazards, and
                                                                  the contents of the mine's HazCom program;
                                                                 (5) Instruction on the statutory rights of
                                                                  miners and their representatives under the
                                                                  Act;
                                                                 (6) A review and description of the line of
                                                                  authority of supervisors and miners'
                                                                  representatives and the responsibilities of
                                                                  such supervisors and miners' representatives;
                                                                  and
                                                                 (7) An introduction to your rules and
                                                                  procedures for reporting hazards.
----------------------------------------------------------------------------------------------------------------
(c) No later than 60 calendar days after a newly hired           You must provide the miner with an instruction
 experienced miner begins work at the mine--                      and demonstration on the use, care, and
                                                                  maintenance of self-rescue and respiratory
                                                                  devices, if used at the mine.
----------------------------------------------------------------------------------------------------------------

    (d) Practice under the close observation of a competent person may 
be used to fulfill the requirement for training on the health and safety 
aspects of an assigned task in paragraph (b)(4) of this section, if 
hazard recognition training specific to the assigned task is given 
before the miner performs the task.

[[Page 215]]

    (e) In addition to subjects specified in paragraphs (b) and (c) of 
this section, you may provide training on any other subjects that 
promote occupational health and safety for miners.
    (f) You are not required to provide a newly hired experienced miner 
who returns to the same mine, following an absence of 12 months or less, 
with the training specified in paragraphs (b) and (c) of this section. 
Instead you must provide such miner with training on any changes at the 
mine that occurred during the miner's absence that could adversely 
affect the miner's health or safety. This training must be given before 
the miner begins work at the mine. If the miner missed any part of 
annual refresher training under Sec. 46.8 of this part during the 
absence, you must provide the miner with the missed training no later 
than 90 calendar days after the miner begins work at the mine.

[64 FR 53130, Sept. 30, 1999, as amended at 67 FR 42382, June 21, 2002]



Sec. 46.7  New task training.

    (a) You must provide any miner who is reassigned to a new task in 
which he or she has no previous work experience with training in the 
health and safety aspects of the task to be assigned, including the safe 
work procedures of such task, information about the physical and health 
hazards of chemicals in the miner's work area, the protective measures a 
miner can take against these hazards, and the contents of the mine's 
HazCom program. This training must be provided before the miner performs 
the new task.
    (b) If a change occurs in a miner's assigned task that affects the 
health and safety risks encountered by the miner, you must provide the 
miner with training under paragraph (a) of this section that addresses 
the change.
    (c) You are not required to provide new task training under 
paragraphs (a) and (b) of this section to miners who have received 
training in a similar task or who have previous work experience in the 
task, and who can demonstrate the necessary skills to perform the task 
in a safe and healthful manner. To determine whether task training under 
this section is required, you must observe that the miner can perform 
the task in a safe and healthful manner.
    (d) Practice under the close observation of a competent person may 
be used to fulfill the requirement for task training under this section, 
if hazard recognition training specific to the assigned task is given 
before the miner performs the task.
    (e) Training provided under this section may be credited toward new 
miner training, as appropriate.

[64 FR 53130, Sept. 30, 1999, as amended at 67 FR 42382, June 21, 2002]



Sec. 46.8  Annual refresher training.

    (a) You must provide each miner with no less than 8 hours of annual 
refresher training--
    (1) No later than 12 months after the miner begins work at the mine, 
or no later than March 30, 2001, whichever is later; and
    (2) Thereafter, no later than 12 months after the previous annual 
refresher training was completed.
    (b) The refresher training must include instruction on changes at 
the mine that could adversely affect the miner's health or safety.
    (c) Refresher training must also address other health and safety 
subjects that are relevant to mining operations at the mine. Recommended 
subjects include, but are not limited to: applicable health and safety 
requirements, including mandatory health and safety standards; 
information about the physical and health hazards of chemicals in the 
miner's work area, the protective measures a miner can take against 
these hazards, and the contents of the mine's HazCom program; 
transportation controls and communication systems; escape and emergency 
evacuation plans, firewarning and firefighting; ground conditions and 
control; traffic patterns and control; working in areas of highwalls; 
water hazards, pits, and spoil banks; illumination and night work; first 
aid; electrical hazards; prevention of accidents; health; explosives; 
and respiratory devices. Training is also recommended on the hazards 
associated with the equipment that has accounted for the most fatalities 
and serious injuries at the mines covered by this rule, including: 
mobile equipment (haulage and service

[[Page 216]]

trucks, front-end loaders and tractors); conveyor systems; cranes; 
crushers; excavators; and dredges. Other recommended subjects include: 
maintenance and repair (use of hand tools and welding equipment); 
material handling; fall prevention and protection; and working around 
moving objects (machine guarding).

[64 FR 53130, Sept. 30, 1999, as amended at 67 FR 42382, June 21, 2002]



Sec. 46.9  Records of training.

    (a) You must record and certify on MSHA Form 5000-23, or on a form 
that contains the information listed in paragraph (b) of this section, 
that each miner has received training required under this part.
    (b) The form must include:
    (1) The printed full name of the person trained;
    (2) The type of training, the duration of the training, the date the 
training was received, the name of the competent person who provided the 
training:
    (3) The name of the mine or independent contractor, MSHA mine 
identification number or independent contractor identification number, 
and location of training (if an institution, the name and address of the 
institution).
    (4) The statement, ``False certification is punishable under Sec. 
110(a) and (f) of the Federal Mine Safety and Health Act,'' printed in 
bold letters and in a conspicuous manner; and
    (5) A statement signed by the person designated in the MSHA-approved 
training plan for the mine as responsible for health and safety 
training, that states ``I certify that the above training has been 
completed.''
    (c) You must make a record of training under paragraphs (b)(1) 
through (b)(4) of this section--
    (1) For new miner training under Sec. 46.5, no later than--
    (i) when the miner begins work at the mine as required under Sec. 
46.5(b);
    (ii) 60 calendar days after the miner begins work at the mine as 
required under Sec. 46.5(c); and
    (iii) 90 calendar days after the miner begins work at the mine as 
required under Sec. 46.5(d), if applicable.
    (2) For newly hired experienced miner training under Sec. 46.6, no 
later than--
    (i) when the miner begins work at the mine; and
    (ii) 60 calendar days after the miner begins work at the mine.
    (3) Upon completion of new task training under Sec. 46.7;
    (4) After each session of annual refresher training under Sec. 
46.8; and
    (5) Upon completion by miners of site-specific hazard awareness 
training under Sec. 46.11.
    (d) You must ensure that all records of training under paragraphs 
(c)(1) through (c)(5) of this section are certified under paragraph 
(b)(5) of this section and a copy provided to the miner--
    (1) Upon completion of the 24 hours of new miner training;
    (2) Upon completion of newly hired experienced miner training;
    (3) At least once every 12 months for new task training, or upon 
request by the miner, if applicable;
    (4) Upon completion of the 8 hours of annual refresher training; and
    (5) Upon completion by miners of site-specific hazard awareness 
training.
    (e) False certification that training was completed is punishable 
under Sec. 110(a) and (f) of the Act.
    (f) When a miner leaves your employ, you must provide each miner 
with a copy of his or her training records and certificates upon 
request.
    (g) You must make available at the mine a copy of each miner's 
training records and certificates for inspection by us and for 
examination by miners and their representatives. If training 
certificates are not maintained at the mine, you must be able to provide 
the certificates upon request by us, miners, or their representatives.
    (h) You must maintain copies of training certificates and training 
records for each currently employed miner during his or her employment, 
except records and certificates of annual refresher training under Sec. 
46.8, which you must maintain for only two years. You must maintain 
copies of training certificates and training records for at least 60 
calendar days after a miner terminates employment.

[[Page 217]]

    (i) You are not required to make records under this section of site-
specific hazard awareness training you provide under Sec. 46.11 of this 
part to persons who are not miners under Sec. 46.2. However, you must 
be able to provide evidence to us, upon request, that the training was 
provided, such as the training materials that are used; copies of 
written information distributed to persons upon their arrival at the 
mine; or visitor log books that indicate that training has been 
provided.



Sec. 46.10  Compensation for training.

    (a) Training must be conducted during normal working hours. Persons 
required to receive training must be paid at a rate of pay that 
corresponds to the rate of pay they would have received had they been 
performing their normal work tasks.
    (b) If training is given at a location other than the normal place 
of work, persons required to receive such training must be compensated 
for the additional costs, including mileage, meals, and lodging, they 
may incur in attending such training sessions.



Sec. 46.11  Site-specific hazard awareness training.

    (a) You must provide site-specific hazard awareness training before 
any person specified under this section is exposed to mine hazards.
    (b) You must provide site-specific hazard awareness training, as 
appropriate, to any person who is not a miner as defined by Sec. 46.2 
of this part but is present at a mine site, including:
    (1) Office or staff personnel;
    (2) Scientific workers;
    (3) Delivery workers;
    (4) Customers, including commercial over-the-road truck drivers;
    (5) Construction workers or employees of independent contractors who 
are not miners under Sec. 46.2 of this part;
    (6) Maintenance or service workers who do not work at the mine site 
for frequent or extended periods; and
    (7) Vendors or visitors.
    (c) You must provide miners, such as drillers or blasters, who move 
from one mine to another mine while remaining employed by the same 
production-operator or independent contractor with site-specific hazard 
awareness training for each mine.
    (d) Site-specific hazard awareness training is information or 
instructions on the hazards a person could be exposed to while at the 
mine, as well as applicable emergency procedures. The training must 
address site-specific health and safety risks, such as unique geologic 
or environmental conditions, recognition and avoidance of hazards such 
as electrical and powered-haulage hazards, traffic patterns and control, 
and restricted areas; and warning and evacuation signals, evacuation and 
emergency procedures, or other special safety procedures.
    (e) You may provide site-specific hazard awareness training through 
the use of written hazard warnings, oral instruction, signs and posted 
warnings, walkaround training, or other appropriate means that alert 
persons to site-specific hazards at the mine.
    (f) Site-specific hazard awareness training is not required for any 
person who is accompanied at all times by an experienced miner who is 
familiar with hazards specific to the mine site.



Sec. 46.12  Responsibility for independent contractor training.

    (a)(1) Each production-operator has primary responsibility for 
ensuring that site-specific hazard awareness training is given to 
employees of independent contractors who are required to receive such 
training under Sec. 46.11 of this part.
    (2) Each production-operator must provide information to each 
independent contractor who employs a person at the mine on site-specific 
mine hazards and the obligation of the contractor to comply with our 
regulations, including the requirements of this part.
    (b)(1) Each independent contractor who employs a miner, as defined 
in Sec. 46.2, at the mine has primary responsibility for complying with 
Sec. Sec. 46.3 through 46.10 of this part, including providing new 
miner training, newly hired experienced miner training, new task 
training, and annual refresher training.
    (2) The independent contractor must inform the production-operator 
of any hazards of which the contractor is

[[Page 218]]

aware that may be created by the performance of the contractor's work at 
the mine.



PART 47_HAZARD COMMUNICATION (HazCom)--Table of Contents




   Subpart A_Purpose, Scope, Applicability, and Initial Miner Training

Sec.
47.1 Purpose of a HazCom standard; applicability.
47.2 Operators and chemicals covered; initial miner training.

                          Subpart B_Definitions

47.11 Definitions of terms used in this part.

                     Subpart C_Hazard Determination

47.21 Identifying hazardous chemicals.

                        Subpart D_HazCom Program

47.31 Requirement for a HazCom program.
47.32 HazCom program contents.

          Subpart E_Container Labels and Other Forms of Warning

47.41 Requirement for container labels.
47.42 Label contents.
47.43 Label alternatives.
47.44 Temporary, portable containers.

              Subpart F_Material Safety Data Sheets (MSDS)

47.51 Requirement for an MSDS.
47.52 MSDS contents.
47.53 Alternative for hazardous waste.
47.54 Availability of an MSDS.
47.55 Retaining an MSDS.

Subpart G [Reserved]

              Subpart H_Making HazCom Information Available

47.71 Access to HazCom materials.
47.72 Cost for copies.
47.73 Providing labels and MSDSs to customers.

                Subpart I_Trade Secret Hazardous Chemical

47.81 Provisions for withholding trade secrets.
47.82 Disclosure of information to MSHA.
47.83 Disclosure in a medical emergency.
47.84 Non-emergency disclosure.
47.85 Confidentiality agreement and remedies.
47.86 Denial of a written request for disclosure.
47.87 Review of denial.

                          Subpart J_Exemptions

47.91 Exemptions from the HazCom standard.
47.92 Exemptions from labeling.

    Authority: 30 U.S.C. 811, 825.

    Source: 67 FR 42383, June 21, 2002, unless otherwise noted.



   Subpart A_Purpose, Scope, Applicability, and Initial Miner Training



Sec. 47.1  Purpose of a HazCom standard; applicability.

    The purpose of this part is to reduce injuries and illnesses by 
ensuring that each operator--
    (a) Identifies the chemicals at the mine,
    (b) Determines which chemicals are hazardous,
    (c) Establishes a HazCom program, and
    (d) Informs each miner who can be exposed, and other on-site 
operators whose miners can be exposed, about chemical hazards and 
appropriate protective measures.
    (e) As of September 23, 2002, all mines employing six or more miners 
are required to comply with this part.
    (f) As of March 21, 2003, all mines employing five or fewer miners 
are required to comply with this part.



Sec. 47.2  Operators and chemicals covered; initial miner training.

    (a) This part applies to any operator producing or using a hazardous 
chemical to which a miner can be exposed under normal conditions of use 
or in a foreseeable emergency. (Subpart J of this part lists exemptions 
from coverage.)
    (b) Operators of mines which employ six or more miners must instruct 
each miner with information about the physical and health hazards of 
chemicals in the miner's work area, the protective measures a miner can 
take against these hazards, and the contents of the mine's HazCom 
program by September 23, 2002. Operators of mines that employ five or 
fewer miners must instruct each miner with information

[[Page 219]]

about the physical and health hazards of chemicals in the miner's work 
area, the protective measures a miner can take against these hazards, 
and the contents of the mine's HazCom program by March 21, 2003.



                          Subpart B_Definitions



Sec. 47.11  Definitions of terms used in this part.

    The definitions in Table 47.11 apply in this part as follows:

                        Table 47.11--Definitions
------------------------------------------------------------------------
             Term                  Definition for purposes of HazCom
------------------------------------------------------------------------
Access.......................  The right to examine and copy records.
Article......................  A manufactured item, other than a fluid
                                or particle, that--
                               (1) Is formed to a specific shape or
                                design during manufacture, and
                               (2) Has end-use functions dependent on
                                its shape or design.
Chemical.....................  Any element, chemical compound, or
                                mixture of these.
Chemical name................  (1) The scientific designation of a
                                chemical in accordance with the
                                nomenclature system of either the
                                International Union of Pure and Applied
                                Chemistry (IUPAC) or the Chemical
                                Abstracts Service (CAS), or
                               (2) A name that will clearly identify the
                                chemical for the purpose of conducting a
                                hazard evaluation.
Common name..................  Any designation or identification (such
                                as a code name, code number, trade name,
                                brand name, or generic name) used to
                                identify a chemical other than by its
                                chemical name.
Consumer product.............  A product or component of a product that
                                is packaged, labeled, and distributed in
                                the same form and concentration as it is
                                sold for use by the general public.
Container....................  (1) Any bag, barrel, bottle, box, can,
                                cylinder, drum, reaction vessel, storage
                                tank, or the like.
                               (2) The following are not considered to
                                be containers for the purpose of
                                compliance with this part:
                               (i) Pipes or piping systems;
                               (ii) Conveyors; and
                               (iii) Engines, fuel tanks, or other
                                operating systems or parts in a vehicle.
Cosmetics and drugs..........  (1) Cosmetics are any article applied to
                                the human body for cleansing,
                                beautifying, promoting attractiveness,
                                or altering appearance.
                               (2) Drugs are any article used to affect
                                the structure or any function of the
                                body of humans or other animals.
CPSC.........................  The U.S. Consumer Product Safety
                                Commission.
Designated representative....  (1) Any individual or organization to
                                whom a miner gives written authorization
                                to exercise the miner's rights under
                                this part, or
                               (2) A representative of miners under part
                                40 of this chapter.
EPA..........................  The U.S. Environmental Protection Agency.
Exposed......................  Subjected, or potentially subjected, to a
                                physical or health hazard in the course
                                of employment. ``Subjected,'' in terms
                                of health hazards, includes any route of
                                entry, such as through the lungs
                                (inhalation), the stomach (ingestion),
                                or the skin (skin absorption).
Foreseeable emergency........  Any potential occurrence that could
                                result in an uncontrolled release of a
                                hazardous chemical into the mine.
Hazard warning...............  Any words, pictures, or symbols,
                                appearing on a label or other form of
                                warning, that convey the specific
                                physical and health hazards of the
                                chemical. (See the definitions for
                                physical hazard and health hazard for
                                examples of the hazards that the warning
                                must convey.)
Hazardous chemical...........  Any chemical that can present a physical
                                or health hazard.
Hazardous substance..........  Regulated by CPSC under the Federal
                                Hazardous Substances Act or EPA under
                                the Comprehensive Environmental
                                Response, Compensation, and Liability
                                Act.
Hazardous waste..............  Chemicals regulated by EPA under the
                                Solid Waste Disposal Act as amended by
                                the Resource Conservation and Recovery
                                Act.
Health hazard................  A chemical for which there is
                                statistically significant evidence that
                                it can cause acute or chronic health
                                effects in exposed persons. Health
                                hazard includes chemicals which--
                               (1) Cause cancer;
                               (2) Damage the reproductive system or
                                cause birth defects;
                               (3) Are irritants, corrosives, or
                                sensitizers;
                               (4) Damage the liver;
                               (5) Damage the kidneys;
                               (6) Damage the nervous system;
                               (7) Damage the blood or lymphatic
                                systems;
                               (8) Damage the stomach or intestines;
                               (9) Damage the lungs, skin, eyes, or
                                mucous membranes; or
                               (10) Are toxic or highly toxic agents.
Health professional..........  A physician, physician's assistant,
                                nurse, emergency medical technician, or
                                other person qualified to provide
                                medical or occupational health services.
Identity.....................  A chemical's common name or chemical
                                name.
Label........................  Any written, printed, or graphic material
                                displayed on or affixed to a container
                                to identify its contents and convey
                                other relevant information.
Material safety data sheet     Written or printed material concerning a
 (MSDS).                        hazardous chemical which--

[[Page 220]]

 
                               (1) An operator prepares in accordance
                                with Table 47.52--Contents of MSDS; or
                               (2) An employer prepares in accordance
                                with 29 CFR 1910.1200, 1915.1200,
                                1917.28, 1918.90, 1926.59, or 1928.21
                                (OSHA Hazard Communication regulations);
                                or
                               (3) An independent source prepares which
                                contains equivalent information, such as
                                International Chemical Safety Cards
                                (ICSC) and Workplace Hazardous Material
                                Information Sheets (WHMIS).
Mixture......................  Any combination of two or more chemicals
                                which is not the result of a chemical
                                reaction.
Ordinary consumer use........  Household, family, school, recreation, or
                                other personal use or enjoyment, as
                                opposed to business use.
OSHA.........................  The Occupational Safety and Health
                                Administration, U.S. Department of
                                Labor.
Physical hazard..............  A chemical for which there is
                                scientifically valid evidence that it
                                is--
                               (1) Combustible liquid:
                               (i) A liquid having a flash point at or
                                above 100 [deg]F (37.8 [deg]C) and below
                                200 [deg]F (93.3 [deg]C); or
                               (ii) A liquid mixture having components
                                with flashpoints of 200 [deg]F (93.3
                                [deg]C) or higher, the total volume of
                                which make up 99% or more of the
                                mixture.
                               (2) Compressed gas:
                               (i) A contained gas or mixture of gases
                                with an absolute pressure exceeding:
                               (A) 40 psi (276 kPa) at 70 [deg]F (21.1
                                [deg]C); or
                               (B) 104 psi (717 kPa) at 130 [deg]F (54.4
                                [deg]C) regardless of pressure at 70
                                [deg]F.
                               (ii) A liquid having a vapor pressure
                                exceeding 40 psi (276 kPa) at 100 [deg]F
                                (37.8 [deg]C) as determined by ASTM D-
                                323-82.
                               (3) Explosive: A chemical that undergoes
                                a rapid chemical change causing a
                                sudden, almost instantaneous release of
                                pressure, gas, and heat when subjected
                                to sudden shock, pressure, or high
                                temperature.
                               (4) Flammable: A chemical that will
                                readily ignite and, when ignited, will
                                burn persistently at ambient temperature
                                and pressure in the normal concentration
                                of oxygen in the air.
                               (5) Organic peroxide: An explosive, shock
                                sensitive, organic compound or an oxide
                                that contains a high proportion of
                                oxygen-superoxide.
                               (6) Oxidizer: A chemical, other than an
                                explosive, that initiates or promotes
                                combustion in other materials, thereby
                                causing fire either of itself or through
                                the release of oxygen or other gases.
                               (7) Pyrophoric: Capable of igniting
                                spontaneously in air at a temperature of
                                130 [deg]F (54.4 [deg]C) or below.
                               (8) Unstable (reactive): A chemical which
                                in the pure state, or as produced or
                                transported, will vigorously polymerize,
                                decompose, condense, or become self-
                                reactive under conditions of shock,
                                pressure, or temperature.
                               (9) Water-reactive: A chemical that
                                reacts with water to release a gas that
                                is either flammable or a health hazard.
Produce......................  To manufacture, process, formulate,
                                generate, or repackage.
Raw material.................  Ore, valuable minerals, worthless
                                material or gangue, overburden, or a
                                combination of these, that is removed
                                from natural deposits by mining or is
                                upgraded through milling.
Trade secret.................  Any confidential formula, pattern,
                                process, device, information, or
                                compilation of information that is used
                                by the operator and that gives the
                                operator an opportunity to obtain an
                                advantage over competitors who do not
                                know about it or use it.
Use..........................  To package, handle, react, or transfer.
Work area....................  Any place in or about a mine where a
                                miner works.
------------------------------------------------------------------------


[67 FR 42383, June 21, 2002; 67 FR 57635, Sept. 11, 2002]



                     Subpart C_Hazard Determination



Sec. 47.21  Identifying hazardous chemicals.

    The operator must evaluate each chemical brought on mine property 
and each chemical produced on mine property to determine if it is 
hazardous as specified in Table 47.21 as follows:

              Table 47.21--Identifying Hazardous Chemicals
------------------------------------------------------------------------
                                     Basis for determining if a chemical
             Category                           is hazardous
------------------------------------------------------------------------
(a) Chemical brought to the mine..  The chemical is hazardous when its
                                     MSDS or container label indicates
                                     it is a physical or health hazard;
                                     or the operator may choose to
                                     evaluate the chemical using the
                                     criteria in paragraphs (b) and (c)
                                     of this table.
(b) Chemical produced at the mine.  The chemical is hazardous if any one
                                     of the following that it is a
                                     hazard:
                                    (1) Available evidence concerning
                                     its physical or health hazards.
                                    (2) MSHA standards in 30 CFR chapter
                                     I.
                                    (3) Occupational Safety and Health
                                     Administration (OSHA), 29 CFR part
                                     1910, subpart Z, Toxic and
                                     Hazardous Substances.

[[Page 221]]

 
                                    (4) American Conference of
                                     Governmental Industrial Hygienists
                                     (ACGIH), Threshold Limit Values and
                                     Biological Exposure Indices (2001).
                                    (5) U.S. Department of Health and
                                     Human Services, National Toxicology
                                     Program (NTP), Ninth Annual Report
                                     on Carcinogens, January 2001.
                                    (6) International Agency for
                                     Research on Cancer (IARC),
                                     Monographs and related supplements,
                                     Volumes 1 through 77.
(c) Mixture produced at the mine..  (1) If a mixture has been tested as
                                     a whole to determine its hazards,
                                     use the results of that testing.
                                    (2) If a mixture has not been tested
                                     as a whole to determine its
                                     hazards--
                                    (i) Use available, scientifically
                                     valid evidence to determine its
                                     physical hazard potential;
                                    (ii) Assume that it presents the
                                     same health hazard as a non-
                                     carcinogenic component that makes
                                     up 1% or more (by weight or volume)
                                     of the mixture; and
                                    (iii) Assume that it presents a
                                     carcinogenic health hazard if a
                                     component considered carcinogenic
                                     by NTP or IARC makes up 0.1% or
                                     more (by weight or volume) of the
                                     mixture.
                                    (3) If evidence indicates that a
                                     component could be released from a
                                     mixture in a concentration that
                                     could present a health risk to
                                     miners, assume that the mixture
                                     presents the same hazard.
------------------------------------------------------------------------



                        Subpart D_HazCom Program



Sec. 47.31  Requirement for a HazCom program.

    Each operator must--
    (a) Develop and implement a written HazCom program,
    (b) Maintain it for as long as a hazardous chemical is known to be 
at the mine, and
    (c) Share relevant HazCom information with other on-site operators 
whose miners can be affected.



Sec. 47.32  HazCom program contents.

    The HazCom program must include the following:
    (a) How this part is put into practice at the mine through the use 
of--
    (1) Hazard determination,
    (2) Labels and other forms of warning,
    (3) Material safety data sheets (MSDSs), and
    (4) Miner training.
    (b) A list or other record identifying all hazardous chemicals known 
to be at the mine. The list must--
    (1) Use a chemical identity that permits cross-referencing between 
the list, a chemical's label, and its MSDS; and
    (2) Be compiled for the whole mine or by individual work areas.
    (c) At mines with more than one operator, the methods for--
    (1) Providing other operators with access to MSDSs, and
    (2) Informing other operators about--
    (i) Hazardous chemicals to which their miners can be exposed,
    (ii) The labeling system on the containers of these chemicals, and
    (iii) Appropriate protective measures.

[67 FR 42383, June 21, 2002; 67 FR 57635, Sept. 11, 2002]



          Subpart E_Container Labels and Other Forms of Warning



Sec. 47.41  Requirement for container labels.

    (a) The operator must ensure that each container of a hazardous 
chemical has a label. If a container is tagged or marked with the 
appropriate information, it is labeled.
    (1) The operator must replace a container label immediately if it is 
missing or if the hazard information on the label is unreadable.
    (2) The operator must not remove or deface existing labels on 
containers of hazardous chemicals.
    (b) For each hazardous chemical produced at the mine, the operator 
must prepare a container label and update this label with any 
significant, new information about the chemical's hazards within 3 
months of becoming aware of this information.
    (c) For each hazardous chemical brought to the mine, the operator 
must

[[Page 222]]

replace an outdated label when a revised label is received from the 
chemical's manufacturer or supplier. The operator is not responsible for 
an inaccurate label obtained from the chemical's manufacturer or 
supplier.



Sec. 47.42  Label contents.

    When an operator must make a label, the label must--
    (a) Be prominently displayed, legible, accurate, and in English;
    (b) Display appropriate hazard warnings;
    (c) Use a chemical identity that permits cross-referencing between 
the list of hazardous chemicals, a chemical's label, and its MSDS; and
    (d) Include on labels for cutomers, the name and address of the 
operator or another responsible party who can provide additional 
information about the hazardous chemical.

[67 FR 42383, June 21, 2002; 67 FR 63255, Oct. 11, 2002]



Sec. 47.43  Label alternatives.

    The operator may use signs, placards, process sheets, batch tickets, 
operating procedures, or other label alternatives for individual, 
stationary process containers, provided that the alternative--
    (a) Identifies the container to which it applies,
    (b) Communicates the same information as required on the label, and
    (c) Is readily available throughout each work shift to miners in the 
work area.



Sec. 47.44  Temporary, portable containers.

    (a) The operator does not have to label a temporary, portable 
container if he or she ensures that the miner using the portable 
container--
    (1) Knows the identity of the chemical, its hazards, and any 
protective measures needed, and
    (2) Leaves the container empty at the end of the shift.
    (b) Otherwise, the operator must mark the temporary, portable 
container with at least the common name of its contents.



              Subpart F_Material Safety Data Sheets (MSDS)



Sec. 47.51  Requirement for an MSDS.

    Operators must have an MSDS for each hazardous chemical which they 
produce or use. The MSDS may be in any medium, such as paper or 
electronic, that does not restrict availability.
    (a) For each hazardous chemical produced at the mine, the operator 
must prepare an MSDS, and update it with significant, new information 
about the chemical's hazards or protective measures within 3 months of 
becoming aware of this information.
    (b) For each hazardous chemical brought to the mine, the operator 
must rely on the MSDS received from the chemical manufacturer or 
supplier, develop their own MSDS, or obtain one from another source.
    (c) Although the operator is not responsible for an inaccurate MSDS 
obtained from the chemical's manufacturer, supplier, or other source, 
the operator must--
    (1) Replace an outdated MSDS upon receipt of an updated revision, 
and
    (2) Obtain an accurate MSDS as soon as possible after becoming aware 
of an inaccuracy.
    (d) The operator is not required to prepare an MSDS for an 
intermediate chemical or by-product resulting from mining or milling if 
its hazards are already addressed on the MSDS of the source chemical.



Sec. 47.52  MSDS contents.

    When an operator must prepare an MSDS for a hazardous chemical 
produced at the mine, the MSDS must--
    (a) Be legible, accurate, and in English;
    (b) Use a chemical identity that permits cross-referencing between 
the list of hazardous chemicals, the chemical's label, and its MSDS; and
    (c) Contain information, or indicate if no information is available, 
for the categories listed in Table 47.52 as follows:

[[Page 223]]



                      Table 47.52--Contents of MSDS
------------------------------------------------------------------------
                                    Requirements, descriptions, and
           Category                            exceptions
------------------------------------------------------------------------
(1) Identity.................  The identity of the chemical or, if the
                                chemical is a mixture, the identities of
                                all hazardous ingredients. See Sec.
                                47.21 (Identifying hazardous chemicals).
(2) Properties...............  The physical and chemical characteristics
                                of the chemical, such as vapor pressure
                                and solubility in water.
(3) Physical.................  The physical hazards of the chemical
                                including the potential for fire,
                                explosion, and reactivity.
(4) Health hazards...........  The health hazards of the chemical
                                including--
                               (i) Signs and symptoms of exposure,
                               (ii) Any medical conditions which are
                                generally recognized as being aggravated
                                by exposure to the chemical, and
                               (iii) The primary routes of entry for the
                                chemical, such as lungs, stomach, or
                                skin.
(5) Exposure limits..........  For the chemical or the ingredients of a
                                mixture--
                               (i) The MSHA or OSHA permissible limit,
                                if there is one, and
                               (ii) Any other exposure limit recommended
                                by the preparer of the MSDS.
(6) Carcinogenicity..........  Whether the chemical or an ingredient in
                                the mixture is a carcinogen or potential
                                carcinogen. See the sources specified in
                                Sec.  47.21 (Identifying hazardous
                                chemicals).
(7) Safe use.................  Precautions for safe handling and use
                                including--
                               (i) Appropriate hygienic practices,
                               (ii) Protective measures during repair
                                and maintenance of contaminated
                                equipment, and
                               (iii) Procedures for clean-up of spills
                                and leaks.
(8) Control measures.........  Generally applicable control measures
                                such as engineering controls, work
                                practices, and personal protective
                                equipment.
(9) Emergency information....  (i) Emergency medical and first-aid
                                procedures; and
                               (ii) The name, address, and telephone
                                number of the operator or other
                                responsible party who can provide
                                additional information on the hazardous
                                chemical and appropriate emergency
                                procedures.
(10) Date prepared...........  The date the MSDS was prepared or last
                                changed.
------------------------------------------------------------------------


[67 FR 42383, June 21, 2002; 67 FR 57635, Sept. 11, 2002]



Sec. 47.53  Alternative for hazardous waste.

    If the mine produces or uses hazardous waste, the operator must 
provide potentially exposed miners and designated representatives access 
to available information for the hazardous waste that--
    (a) Identifies its hazardous chemical components,
    (b) Describes its physical or health hazards, or
    (c) Specifies appropriate protective measures.



Sec. 47.54  Availability of an MSDS.

    The operator must make MSDSs accessible to miners during each work 
shift for each hazardous chemical to which they may be exposed either--
    (a) At each work area where the hazardous chemical is produced or 
used, or
    (b) At an alternative location, provided that the MSDS is readily 
available to miners in an emergency.



Sec. 47.55  Retaining an MSDS.

    The operator must--
    (a) Retain its MSDS for as long as the hazardous chemical is known 
to be at the mine, and
    (b) Notify miners at least 3 months before disposing of the MSDS.

Subpart G [Reserved]



              Subpart H_Making HazCom Information Available



Sec. 47.71  Access to HazCom materials.

    Upon request, the operator must provide access to all HazCom 
materials required by this part to miners and designated 
representatives, except as provided in Sec. 47.81 through Sec.  47.87 
(provisions for trade secrets).



Sec. 47.72  Cost for copies.

    (a) The operator must provide the first copy and each revision of 
the HazCom material without cost.
    (b) Fees for a subsequent copy of the HazCom material must be non-
discriminatory and reasonable.



Sec. 47.73  Providing labels and MSDSs to customers.

    For a hazardous chemical produced at the mine, the operator must 
provide customers, upon request, with the

[[Page 224]]

chemical's label or a copy of the label information, and the chemical's 
MSDS.



                Subpart I_Trade Secret Hazardous Chemical



Sec. 47.81  Provisions for withholding trade secrets.

    (a) Operators may withhold the identity of a trade secret chemical, 
including the name and other specific identification, from the written 
list of hazardous chemicals, the label, and the MSDS, provided that the 
operator--
    (1) Can support the claim that the chemical's identity is a trade 
secret,
    (2) Identifies the chemical in a way that it can be referred to 
without disclosing the secret,
    (3) Indicates in the MSDS that the chemical's identity is withheld 
as a trade secret, and
    (4) Discloses in the MSDS information on the properties and effects 
of the hazardous chemical.
    (b) The operator must make the chemical's identity available to 
miners, designated representatives, and health professionals in 
accordance with the provisions of this subpart.
    (c) This subpart does not require the operator to disclose process 
or percentage of mixture information, which is a trade secret, under any 
circumstances.



Sec. 47.82  Disclosure of information to MSHA.

    (a) Even if the operator has a trade secret claim, the operator must 
disclose to MSHA, upon request, any information which this subpart 
requires the operator to make available.
    (b) The operator must make a trade secret claim, no later than at 
the time the information is provided to MSHA, so that MSHA can determine 
the trade secret status and implement the necessary protection.



Sec. 47.83  Disclosure in a medical emergency.

    (a) Upon request and regardless of the existence of a written 
statement of need or a confidentiality agreement, the operator must 
immediately disclose the identity of a trade secret chemical to the 
treating health professional when that person determines that--
    (1) A medical emergency exists, and
    (2) The identity of the hazardous chemical is necessary for 
emergency or first-aid treatment.
    (b) The operator may require a written statement of need and 
confidentiality agreement in accordance with the provisions of Sec. 
47.84 and Sec. 47.85 as soon as circumstances permit.



Sec. 47.84  Non-emergency disclosure.

    Upon request, the operator must disclose the identity of a trade 
secret chemical in a non-emergency situation to an exposed miner, the 
miner's designated representative, or a health professional providing 
services to the miner, if the following conditions are met.
    (a) The request is in writing.
    (b) The request describes in reasonable detail an occupational 
health need for the information, as follows:
    (1) To assess the chemical hazards to which the miner will be 
exposed.
    (2) To conduct or assess health sampling to determine the miner's 
exposure levels.
    (3) To conduct reassignment or periodic medical surveillance of the 
exposed miner.
    (4) To provide medical treatment to the exposed miner.
    (5) To select or assess appropriate personal protective equipment 
for the exposed miner.
    (6) To design or assess engineering controls or other protective 
measures for the exposed miner.
    (7) To conduct studies to determine the health effects of exposure.
    (c) The request explains in detail why the disclosure of the 
following information would not satisfy the purpose described in 
paragraph (b) of this section:
    (1) The properties and effects of the chemical.
    (2) Measures for controlling the miner's exposure to the chemical.
    (3) Methods of monitoring and analyzing the miner's exposure to the 
chemical.
    (4) Methods of diagnosing and treating harmful exposures to the 
chemical.
    (d) The request describes the procedures to be used to maintain the 
confidentiality of the disclosed information.

[[Page 225]]

    (e) The person making the request enters a written confidentiality 
agreement that he or she will not use the information for any purpose 
other than the health needs asserted and agrees not to release the 
information under any circumstances, except as authorized by Sec. 
47.85, by the terms of the agreement, or by the operator.



Sec. 47.85  Confidentiality agreement and remedies.

    (a) The confidentiality agreement authorized by Sec. 47.84--
    (1) May restrict the use of the trade secret chemical identity to 
the health purposes indicated in the written statement of need;
    (2) May provide for appropriate legal remedies in the event of a 
breach of the agreement, including stipulation of a reasonable pre-
estimate of likely damages;
    (3) Must allow the exposed miner, the miner's designated 
representative, or the health professional to disclose the trade secret 
chemical identity to MSHA;
    (4) May provide that the exposed miner, the miner's designated 
representative, or the health professional inform the operator who 
provided the trade secret chemical identity prior to or at the same time 
as its disclosure to MSHA; and
    (5) May not include requirements for the posting of a penalty bond.
    (b) Nothing in this subpart precludes the parties from pursuing non-
contractual remedies to the extent permitted by law.



Sec. 47.86  Denial of a written request for disclosure.

    To deny a written request for disclosure of the identity of a trade 
secret chemical, the operator must--
    (a) Put the denial in writing,
    (1) Including evidence to substantiate the claim that the chemical's 
identity is a trade secret,
    (2) Stating the specific reasons why the request is being denied, 
and
    (3) Explaining how alternative information will satisfy the specific 
medical or occupational health need without revealing the chemical's 
identity.
    (b) Provide the denial to the health professional, miner, or 
designated representative within 30 days of the request.



Sec. 47.87  Review of denial.

    (a) The health professional, miner, or designated representative may 
refer the written denial to MSHA for review. The request for review must 
include a copy of--
    (1) The request for disclosure of the identity of the trade secret 
chemical,
    (2) The confidentiality agreement, and
    (3) The operator's written denial.
    (b) If MSHA determines that the identity of the trade secret 
chemical should have been disclosed, the operator will be subject to 
citation by MSHA.
    (c) If MSHA determines that the confidentiality agreement would not 
sufficiently protect against unauthorized disclosure of the trade 
secret, MSHA may impose additional conditions to ensure that the 
occupational health services are provided without an undue risk of harm 
to the operator.
    (d) If the operator contests a citation for a failure to release the 
identity of a trade secret chemical, the matter will be adjudicated by 
the Federal Mine Safety and Health Review Commission. The Administrative 
Law Judge may review the citation and supporting documentation ``in 
camera'' or issue appropriate orders to protect the trade secret.



                          Subpart J_Exemptions



Sec. 47.91  Exemptions from the HazCom standard.

    A hazardous chemical is exempt from this part under the conditions 
described in Table 47.91 as follows:

  Table 47.91--Chemicals and Products Exempt from this HazCom Standard
------------------------------------------------------------------------
             Exemption                    Conditions for exemption
------------------------------------------------------------------------
Article...........................  If, under normal conditions of use,
                                     it--
                                    (1) Releases no more than
                                     insignificant amounts of a
                                     hazardous chemical, and

[[Page 226]]

 
                                    (2) Poses no physical or health risk
                                     to exposed miners.
Biological hazards................  All biological hazards, such as
                                     poisonous plants, insects, and
                                     micro-organisms.
Consumer product or hazardous       (1) If the miner uses it for the
 substance regulated by CPSC.        purpose the manufacturer intended;
                                     and
                                    (2) Such use does not expose the
                                     miner more often and for longer
                                     periods than ordinary consumer use.
Cosmetics, drugs, food, food        When intended for personal
 additive, color additive, drinks,   consumption or use.
 alcoholic beverages, tobacco and
 tobacco products, or medical or
 veterinary device or product,
 including materials intended for
 use as ingredients in such
 products (such as flavors and
 fragrances).
Radiation.........................  All ionizing or non-ionizing
                                     radiation, such as alpha or gamma,
                                     microwaves, or x-rays.
Wood or wood products, including    If they do not release or otherwise
 lumber.                             result in exposure to a hazardous
                                     chemical under normal conditions of
                                     use. For example, wood is not
                                     exempt if it is treated with a
                                     hazardous chemical or if it will be
                                     subsequently cut or sanded.
------------------------------------------------------------------------



Sec. 47.92  Exemptions from labeling.

    A hazardous chemical is exempt from subpart E of this part under the 
conditions described in Table 47.92 as follows:

          Table 47.92--Hazardous Chemicals Exempt from Labeling
------------------------------------------------------------------------
             Exemption                    Conditions for exemption
------------------------------------------------------------------------
Chemical substance, consumer        When kept in its manufacturer's or
 product, hazardous substance, or    supplier's original packaging
 pesticide.                          labeled under other federal
                                     labeling requirements.
Hazardous substance...............  When the subject of remedial or
                                     removal action under the
                                     Comprehensive Environmental
                                     Response, Compensation and
                                     Liability Act (CERCLA) in
                                     accordance with EPA regulations.
Hazardous waste...................  When regulated by EPA under the
                                     Solid Waste Disposal Act as amended
                                     by the Resource Conservation and
                                     Recovery Act.
Raw material being mined or         While on mine property, except when
 processed.                          the container holds a mixture of
                                     the raw material and another
                                     hazardous chemical and the mixture
                                     is found to be hazardous under Sec.
                                       47.21--Identifying hazardous
                                     chemicals.
Wood or wood products, including    Wood or wood products are always
 lumber.                             exempt from labeling.
------------------------------------------------------------------------


[67 FR 42383, June 21, 2002; 67 FR 42366, Sept. 11, 2002; 67 FR 63255, 
Oct. 11, 2002]



PART 48_TRAINING AND RETRAINING OF MINERS--Table of Contents




         Subpart A_Training and Retraining of Underground Miners

Sec.
48.1 Scope.
48.2 Definitions.
48.3 Training plans; time of submission; where filed; information 
          required; time for approval; method for disapproval; 
          commencement of training; approval of instructors.
48.4 Cooperative training program.
48.5 Training of new miners; minimum courses of instruction; hours of 
          instruction.
48.6 Experienced miner training.
48.7 Training of miners assigned to a task in which they have had no 
          previous experience; minimum courses of instruction.
48.8 Annual refresher training of miners; minimum courses of 
          instruction; hours of instruction.
48.9 Records of training.
48.10 Compensation for training.
48.11 Hazard training.
48.12 Appeals procedures.

Subpart B_Training and Retraining of Miners Working at Surface Mines and 
                   Surface Areas of Underground Mines

48.21 Scope.
48.22 Definitions.
48.23 Training plans; time of submission; where filed; information 
          required; time for approval; method for disapproval;

[[Page 227]]

          commencement of training; approval of instructors.
48.24 Cooperative training program.
48.25 Training of new miners; minimum courses of instruction; hours of 
          instruction.
48.26 Experienced miner training.
48.27 Training of miners assigned to a task in which they have had no 
          previous experience; minimum courses of instruction.
48.28 Annual refresher training of miners; minimum courses of 
          instruction; hours of instruction.
48.29 Records of training.
48.30 Compensation for training.
48.31 Hazard training.
48.32 Appeals procedures.

    Authority: 30 U.S.C. 811, 825.

    Source: 43 FR 47459, Oct. 13, 1978, unless otherwise noted.



         Subpart A_Training and Retraining of Underground Miners



Sec. 48.1  Scope.

    The provisions of this subpart A set forth the mandatory 
requirements for submitting and obtaining approval of programs for 
training and retraining miners working in underground mines. 
Requirements regarding compensation for training and retraining are also 
included. The requirements for training and retraining miners working at 
surface mines and surface areas of underground mines are set forth in 
subpart B of this part.



Sec. 48.2  Definitions.

    For the purposes of this subpart A--
    (a)(1) Miner means, for purposes of Sec. Sec. 48.3 through 48.10 of 
this subpart A, any person working in an underground mine and who is 
engaged in the extraction and production process, or engaged in shaft or 
slope construction, or who is regularly exposed to mine hazards, or who 
is a maintenance or service worker employed by the operator or a 
maintenance or service worker contracted by the operator to work at the 
mine for frequent or extended periods. This definition shall include the 
operator if the operator works underground on a continuing, even if 
irregular basis. Short-term, specialized contract workers, such as 
drillers and blasters, who are engaged in the extraction and production 
process or engaged in shaft or slope construction and who have received 
training under Sec. 48.6 (Experienced miner training) of this subpart A 
may, in lieu of subsequent training under that section for each new 
employment, receive training under Sec. 48.11 (Hazard training) of this 
subpart A. This definition does not include:
    (i) Workers under subpart C of this part 48, engaged in the 
construction of major additions to an existing mine which requires the 
mine to cease operations;
    (ii) Any person covered under paragraph (a)(2) of this section.
    (2) Miner means, for purposes of Sec. 48.11 (Hazard training) of 
this subpart A, any person working in an underground mine, including any 
delivery, office, or scientific worker or occasional, short-term 
maintenance or service worker contracted by the operator, and any 
student engaged in academic projects involving his or her extended 
presence at the mine. This definition excludes persons covered under 
paragraph (a)(1) of this section and subpart C of this part.
    (b) Experienced miner means:
    (1) A miner who has completed MSHA-approved new miner training for 
underground miners or training acceptable to MSHA from a State agency 
and who has had at least 12 months of underground mining experience; or
    (2) A supervisor who is certified under an MSHA-approved State 
certification program and who is employed as an underground supervisor 
on October 6, 1998; or
    (3) An experienced underground miner on February 3, 1999.
    (4)(i) A person employed as an underground shaft or slope 
construction worker on June 28, 2006; or
    (ii) A person who has six months of underground shaft or slope 
experience within 24 months before June 28, 2006.
    (c) New miner means a miner who is not an experienced miner.
    (d) Normal working hours means a period of time during which a miner 
is otherwise scheduled to work. This definition does not preclude 
scheduling training classes on the sixth or seventh working day if such 
a work schedule has been established for a sufficient period of time to 
be accepted as the operator's common practice. Miners shall

[[Page 228]]

be paid at a rate of pay which shall correspond to the rate of pay they 
would have received had they been performing their normal work tasks.
    (e) Operator means any owner, lessee, or other person who operates, 
controls or supervises an underground mine; or any independent 
contractor identified as an operator performing services or construction 
at such mine.
    (f) Task means a work assignment that includes duties of a job that 
occur on a regular basis and which requires physical abilities and job 
knowledge.
    (g) Act means the Federal Mine Safety and Health Act of 1977.

[43 FR 47459, Oct. 13, 1978, as amended at 63 FR 53759, Oct. 6, 1998; 70 
FR 77727, Dec. 30, 2005]



Sec. 48.3  Training plans; time of submission; where filed; information 

required; time for approval; method for disapproval; commencement of training; 

approval of instructors.

    (a) Except as provided in paragraph (o) of this section, each 
operator of an underground mine shall have an MSHA-approved plan 
containing programs for training new miners, training 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 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 Sec. 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 Sec. 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 Sec. 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

[[Page 229]]

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.
    (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 Sec. 48.7 (New task training of miners) 
and Sec. 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 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, 1100 Wilson Blvd., Room 2424 (Coal) or Room 2436 (Metal and 
Nonmetal), Arlington, Virginia 22209-3939. 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

[[Page 230]]

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 Sec. 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 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
    (o) Each operator engaged in shaft or slope construction shall have 
an MSHA-approved training plan, as outlined in this section, containing 
programs for training new miners, training experienced miners, training 
miners for new tasks, annual refresher training, and hazard training for 
miners as follows:
    (1) In the case of an operator engaged in shaft or slope 
construction on December 30, 2005, the operator shall submit a plan for 
approval by May 1, 2006, unless extended by MSHA.
    (2) In the case of a new shaft or slope construction operator after 
June 28, 2006, the operator shall have an approved plan prior to 
commencing shaft or slope construction.
    (p) Each underground coal operator, who is required to submit a 
revised program of instruction for 30 CFR 75.1502, shall also submit a 
revised training plan under this part 48.

(Pub. L. No. 96-511, 94 Stat. 2812 (44 U.S.C. 3501 et seq.))

[43 FR 47459, Oct. 13, 1978; 44 FR 1980, Jan. 9, 1979, as amended at 47 
FR 14696, Apr. 6, 1982; 47 FR 23640, May 28, 1982; 47 FR 28095, June 29, 
1982; 60 FR 33722, June 29, 1995; 63 FR 53759, Oct. 6, 1998; 67 FR 
38384, June 4, 2002; 70 FR 77727, Dec. 30, 2005; 71 FR 12268, Mar. 9, 
2006; 71 FR 71451, Dec. 8, 2006]



Sec. 48.4  Cooperative training program.

    (a) An operator of a mine may conduct his own training programs, or 
may participate in training programs conducted by MSHA, or may 
participate in MSHA approved training programs conducted by State or 
other Federal agencies, or associations of mine operators, miners' 
representatives, other mine operators, private associations, or 
educational institutions.
    (b) Each program and course of instruction shall be given by 
instructors who have been approved by MSHA to instruct in the courses 
which are given, and such courses and the training programs shall be 
adapted to the mining operations and practices existing at the mine and 
shall be approved by the District Manager for the area in which the mine 
is located.

[43 FR 47459, Oct. 13, 1978, as amended at 47 FR 23640, May 28, 1982]

[[Page 231]]



Sec. 48.5  Training of new miners; minimum courses of instruction; hours of 

instruction.

    (a) Each new miner shall receive no less than 40 hours of training 
as prescribed in this section before such miner is assigned to work 
duties. Such training shall be conducted in conditions which as closely 
as practicable duplicate actual underground conditions, and 
approximately 8 hours of training shall be given at the minesite.
    (b) The training program for new miners shall include the following 
courses:
    (1) Instruction in the statutory rights of miners and their 
representatives under the Act; authority and responsibility of 
supervisors. The course shall include instruction in the statutory 
rights of miners and their representatives under the Act, including a 
discussion of section 2 of the Act; a review and description of the line 
of authority of supervisors and miners' representatives and the 
responsibilities of such supervisors and miners' representatives; and an 
introduction to the operator's rules and the procedures for reporting 
hazards.
    (2) Self-rescue and respiratory devices. The course shall be given 
before a new miner goes underground and shall include--
    (i) Instruction and demonstration in the use, care, and maintenance 
of self-rescue and respiratory devices used at the mine;
    (ii) Hands-on training in the complete donning of all types of self-
contained self-rescue devices used at the mine, which includes assuming 
a donning position, opening the device, activating the device, inserting 
the mouthpiece, and putting on the nose clip; and
    (iii) Hands-on training in transferring between all applicable self-
rescue devices.
    (3) Entering and leaving the mine; transportation; communications. 
The course shall include instruction on the procedures in effect for 
entering and leaving the mine; the check-in and checkout system in 
effect at the mine; the procedures for riding on and in mine 
conveyances; the controls in effect for the transportation of miners and 
materials; and the use of the mine communication systems, warning 
signals, and directional signs.
    (4) Introduction to the work environment. The course shall include a 
visit and tour of the mine, or portions of the mine which are 
representative of the entire mine. A method of mining utilized at the 
mine shall be observed and explained.
    (5) Mine map; escapeways; emergency evacuation; barricading. The 
program of instruction for mine emergency evacuation and firefighting 
approved by the District Manager under 30 CFR 75.1502 or the escape and 
evacuation plan under 30 CFR 57.11053, as applicable, shall be used for 
this course. The course shall include--
    (i) A review of the mine map; the escapeway system; the escape, 
firefighting, and emergency evacuation plans in effect at the mine; and 
the location of abandoned areas; and
    (ii) An introduction to the methods of barricading and the locations 
of the barricading materials, where applicable.
    (6) Roof or ground control and ventilation plans. The course shall 
include an introduction to and instruction on the roof or ground control 
plan in effect at the mine and procedures for roof and rib or ground 
control; and an introduction to and instruction on the ventilation plan 
in effect at the mine and the procedures for maintaining and controlling 
ventilation.
    (7) Health. The course shall include instruction on the purpose of 
taking dust, noise, and other health measurements, and any health 
control plan in effect at the mine shall be explained. The health 
provisions of the act and warning labels shall also be explained.
    (8) Cleanup; rock dusting. The course shall include instruction on 
the purpose of rock dusting and the cleanup and rock dusting program in 
effect at the mine, where applicable.
    (9) Hazard recognition. The course shall include the recognition and 
avoidance of hazards present in the mine, particularly any hazards 
related to explosives where explosives are used or stored at the mine.
    (10) Electrical hazards. The course shall include recognition and 
avoidance of electrical hazards.
    (11) First aid. The course shall include instruction in first aid 
methods acceptable to MSHA.

[[Page 232]]

    (12) Mine gases. The course shall include instruction in the 
detection and avoidance of hazards associated with mine gases.
    (13) Health and safety aspects of the tasks to which the new miner 
will be assigned. The course shall include instruction in the health and 
safety aspects of the tasks to be assigned, including the safe work 
procedures of such tasks, the mandatory health and safety standards 
pertinent to such tasks, information about the physical and health 
hazards of chemicals in the miner's work area, the protective measures a 
miner can take against these hazards, and the contents of the mine's 
HazCom program.
    (14) Such other courses as may be required by the District Manager 
based on circumstances and conditions at the mine.
    (c) Methods, including oral, written, or practical demonstration, to 
determine successful completion of the training shall be included in the 
training plan. The methods for determining such completion shall be 
administered to the miner before he is assigned work duties.
    (d) A newly employed miner who has less than 12 months of mining 
experience and has received the courses and hours of instruction in 
paragraphs (a) and (b) of this section, within 36 months preceding 
employment at a mine, does not have to repeat this training. Before the 
miner starts work, the operator must provide the miner with the 
experienced miner training in Sec. 48.6(b) of this part and, if 
applicable, the new task training in Sec. 48.7 of this part. The 
operator must also provide the miner with annual refresher training and 
additional new task training, as applicable.

[43 FR 47459, Oct. 13, 1978, as amended at 47 FR 23640, May 28, 1982; 53 
FR 10335, Mar. 30, 1988; 63 FR 53760, Oct. 6, 1998; 67 FR 42388, June 
21, 2002; 71 FR 12268, Mar. 9, 2006; 71 FR 71451, Dec. 8, 2006]



Sec. 48.6  Experienced miner training.

    (a) Except as provided in paragraph (e), this section applies to 
experienced miners who are--
    (1) Newly employed by the operator;
    (2) Transferred to the mine;
    (3) Experienced underground miners transferred from surface to 
underground; or
    (4) Returning to the mine after an absence of more than 12 months.
    (b) Experienced miners must complete the training prescribed in this 
section before beginning work duties. Each experienced miner returning 
to mining following an absence of 5 years or more, must receive at least 
8 hours of training. The training must include the following 
instruction:
    (1) Introduction to work environment. The course shall include a 
visit and tour of the mine. The methods of mining utilized at the mine 
shall be observed and explained.
    (2) Mandatory health and safety standards. The course shall include 
the mandatory health and safety standards pertinent to the tasks to be 
assigned.
    (3) Authority and responsibility of supervisors and miners' 
representatives. The course shall include a review and description of 
the line of authority of supervisors and miners' representatives and the 
responsibilities of such supervisors and miners' representatives; and an 
introduction to the operator's rules and the procedures for reporting 
hazards.
    (4) Entering and leaving the mine; transportation; communications. 
The course shall include instruction in the procedures in effect for 
entering and leaving the mine; the check-in and checkout system in 
effect at the mine; the procedures for riding on and in mine 
conveyances; the controls in effect for the transportation of miners and 
materials; and the use of the mine communication systems, warning 
signals, and directional signs.
    (5) Mine map; escapeways; emergency evacuation; barricading. The 
program of instruction for mine emergency evacuation and firefighting 
approved by the District Manager under 30 CFR 75.1502 or the escape and 
evacuation plan under 30 CFR 57.11053, as applicable, shall be used for 
this course. The course shall include--
    (i) A review of the mine map; the escapeway system; the escape, 
firefighting, and emergency evacuation plans in effect at the mine; and 
the location of abandoned areas; and

[[Page 233]]

    (ii) Methods of barricading and the locations of barricading 
materials, where applicable.
    (6) Roof or ground control and ventilation plans. The course shall 
include an introduction to and instruction on the roof or ground control 
plan in effect at the mine and procedures for roof and rib or ground 
control; and an introduction to and instruction on the ventilation plan 
in effect at the mine and the procedures for maintaining and controlling 
ventilation.
    (7) Hazard recognition. The course must include the recognition and 
avoidance of hazards present in the mine.
    (8) Prevention of accidents. The course must include a review of the 
general causes of accidents applicable to the mine environment, causes 
of specific accidents at the mine, and instruction in accident 
prevention in the work environment.
    (9) Emergency medical procedures. The course must include 
instruction on the mine's emergency medical arrangements and the 
location of the mine's first aid equipment and supplies.
    (10) Health. The course must include instruction on the purpose of 
taking dust, noise, and other health measurements, where
    (11) Health and safety aspects of the tasks to which the experienced 
miner is assigned. The course must include instruction in the health and 
safety aspects of the tasks assigned, including the safe work procedures 
of such tasks, information about the physical and health hazards of 
chemicals in the miner's work area, the protective measures a miner can 
take against these hazards, and the contents of the mine's HazCom 
program. Experienced miners who must complete new task training under 
Sec. 48.7 do not need to take training under this paragraph.
    (12) Self-rescue and respiratory devices. The course shall be given 
before the miner goes underground and shall include--
    (i) Instruction and demonstration in the use, care, and maintenance 
of self-rescue and respiratory devices used at the mine;
    (ii) Hands-on training in the complete donning of all types of self-
contained self-rescue devices used at the mine, which includes assuming 
a donning position, opening the device, activating the device, inserting 
the mouthpiece, and putting on the nose clip; and
    (iii) Hands-on training in transferring between all applicable self-
rescue devices.
    (13) Such other courses as may be required by the District Manager 
based on circumstances and conditions at the mine.
    (c) The operator may include instruction on additional safety and 
health subjects based on circumstances and conditions at the mine.
    (d) The training time spent on individual subjects must vary 
depending upon the training needs of the miners.
    (e) Any miner returning to the same mine, following an absence of 12 
months or less, must receive training on any major changes to the mine 
environment that have occurred during the miner's absence and that could 
adversely affect the miner's health or safety.
    (1) A person designated by the operator who is knowledgeable of 
these changes must conduct the training in this paragraph. An MSHA 
approved instructor is not required to conduct the training outlined in 
this paragraph.
    (2) No record of this training is required.
    (3) The miner must also complete annual refresher training as 
required in Sec. 48.8, if the miner missed taking that training during 
the absence.

[43 FR 47459, Oct. 13, 1978, as amended at 47 FR 23640, May 28, 1982; 53 
FR 10335, Mar. 30, 1988; 53 FR 12415, Apr. 14, 1988; 63 FR 53760, Oct. 
6, 1998; 67 FR 42388, June 21, 2002; 71 FR 12268, Mar. 9, 2006; 71 FR 
71451, Dec. 8, 2006]



Sec. 48.7  Training of miners assigned to a task in which they have had no 

previous experience; minimum courses of instruction.

    (a) Miners assigned to new work tasks as mobile equipment operators, 
drilling machine operators, haulage and conveyor systems operators, roof 
and ground control machine operators, and those in blasting operations 
shall not perform new work tasks in these categories until training 
prescribed in this paragraph and paragraph (b) of this section has been 
completed. This

[[Page 234]]

training shall not be required for miners who have been trained and who 
have demonstrated safe operating procedures for such new work tasks 
within 12 months preceding assignment. This training shall also not be 
required for miners who have performed the new work tasks and who have 
demonstrated safe operating procedures for such new work tasks within 12 
months preceding assignment. The training program shall include the 
following:
    (1) Health and safety aspects and safe operating procedures for work 
tasks, equipment, and machinery. The training shall include instruction 
in the health and safety aspects and the safe operating procedures 
related to the assigned tasks, including information about the physical 
and health hazards of chemicals in the miner's work area, the protective 
measures a miner can take against these hazards, and the contents of the 
mine's HazCom program. The training shall be given in an on-the-job 
environment; and
    (2)(i) Supervised practice during nonproduction. The training shall 
include supervised practice in the assigned tasks, and the performance 
of work duties at times or places where production is not the primary 
objective; on
    (ii) Supervised operation during production. The training shall 
include, while under direct and immediate supervision and production is 
in progress, operation of the machine or equipment and the performance 
of work duties.
    (3) New or modified machines and equipment. Equipment and machine 
operators shall be instructed in safe operating procedures applicable to 
new or modified machines or equipment to be installed or put into 
operation in the mine, which require new or different operating 
procedures.
    (4) Such other courses as may be required by the District Manager 
based on circumstances and conditions at the mine.
    (b) Miners under paragraph (a) of this section shall not operate the 
equipment or machine or engage in blasting operations without direction 
and immediate supervision until such miners have demonstrated safe 
operating procedures for the equipment or machine or blasting operation 
to the operator or the operator's agent.
    (c) Miners assigned a new task not covered in paragraph (a) of this 
section shall be instructed in the safety and health aspects and safe 
work procedures of the task, including information about the physical 
and health hazards of chemicals in the miner's work area, the protective 
measures a miner can take against these hazards, and the contents of the 
mine's HazCom program, prior to performing such task.
    (d) Any person who controls or directs haulage operations at a mine 
shall receive and complete training courses in safe haulage procedures 
related to the haulage system, ventilation system, firefighting 
procedures, and emergency evacuation procedures in effect at the mine 
before assignment to such duties.
    (e) All training and supervised practice and operation required by 
this section shall be given by a qualified trainer, or a supervisor 
experienced in the assigned tasks, or other person experienced in the 
assigned tasks.

[43 FR 47459, Oct. 13, 1978, as amended at 44 FR 1980, Jan. 9, 1979; 47 
FR 23640, May 28, 1982; 67 FR 42388, June 21, 2002]



Sec. 48.8  Annual refresher training of miners; minimum courses of 

instruction; hours of instruction.

    (a) Each miner shall receive a minimum of 8 hours of annual 
refresher training as prescribed in this section.
    (b) The annual refresher training program for all miners shall 
include the following courses of instruction:
    (1) Mandatory health and safety standards. The course shall include 
mandatory health and safety standard requirements which are related to 
the miner's tasks.
    (2) Transportation controls and communication systems. The course 
shall include instruction on the procedures for riding on and in mine 
conveyances; the controls in effect for the transportation of miners and 
materials; and the use of the mine communication systems, warning 
signals, and directional signs.
    (3) Barricading. The course shall include a review of the methods of 
barricading and locations of barricading materials, where applicable.
    (4) Roof or ground control, ventilation, emergency evacuation and 
firefighting

[[Page 235]]

plans. The course shall include a review of roof or ground control plans 
in effect at the mine and the procedures for maintaining and controlling 
ventilation. In addition, for underground coal mines, except for miners 
who receive this training under 30 CFR 75.1504, the course shall include 
a review of the emergency evacuation and firefighting program of 
instruction in effect at the mine.
    (5) First aid. The course shall include a review of first aid 
methods acceptable to MSHA.
    (6) Electrical hazards. The course shall include recognition and 
avoidance of electrical hazards.
    (7) Prevention of accidents. The course shall include a review of 
accidents and causes of accidents, and instruction in accident 
prevention in the work environment.
    (8) Self-rescue and respiratory devices. The course shall include 
instruction and demonstration in the use, care, and maintenance of self-
rescue and respiratory devices used at the mine. In addition, except for 
miners who receive this training under 30 CFR 75.1504, the training for 
self-contained self-rescue (SCSR) devices shall include:
    (i) Hands-on training in the complete donning of all types of self-
contained self-rescue devices used at the mine, which includes assuming 
a donning position, opening the device, activating the device, inserting 
the mouthpiece, and putting on the nose clip; and
    (ii) Hands-on training in transferring between all applicable self-
rescue devices.
    (9) Explosives. The course shall include a review and instruction on 
the hazards related to explosives. The only exception to this course 
component is when there are no explosives used or stored on the mine 
property.
    (10) Mine gases. The course shall include instruction in the 
detection and avoidance of hazards associated with mine gases.
    (11) Health. The course shall include instruction on the purpose of 
taking dust, noise, and other health measurements and any health control 
plan in effect at the mine shall be explained. The health provisions of 
the Act and warning labels shall also be explained.
    (12) Such other courses as may be required by the District Manager 
based on circumstances and conditions at the mine.
    (c) Refresher training may include other health and safety subjects 
that are relevant to mining operations at the mine. Recommended subjects 
include, but are not limited to, information about the physical and 
health hazards of chemicals in the miner's work area, the protective 
measures a miner can take against these hazards, and the contents of the 
mine's HazCom program.
    (d) All persons employed as shaft or slope construction workers on 
June 28, 2006 must receive annual refresher training within 12 months of 
June 2006.
    (e) Where annual refresher training is conducted periodically, such 
sessions shall not be less than 30 minutes of actual instruction time 
and the miners shall be notified that the session is part of annual 
refresher training.

[43 FR 47459, Oct. 13, 1978, as amended at 47 FR 23640, May 28, 1982; 53 
FR 10336, Mar. 30, 1988; 63 FR 53760, Oct. 6, 1998; 67 FR 42389, June 
21, 2002; 67 FR 76665, Dec. 12, 2002; 68 FR 53049, Sept. 9, 2003; 71 FR 
12269, Mar. 9, 2006; 70 FR 77727, Dec. 30, 2005; 71 FR 71451, Dec. 8, 
2006]



Sec. 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

[[Page 236]]

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 33722, June 29, 1995]



Sec. 48.10  Compensation for training.

    (a) Training shall be conducted during normal working hours; miners 
attending such training shall receive the rate of pay as provided in 
Sec. 48.2(d) (Definition of normal working hours) of this subpart A.
    (b) If such training shall be given at a location other than the 
normal place of work, miners shall be compensated for the additional 
cost, such as mileage, meals, and lodging, they may incur in attending 
such training sessions.



Sec. 48.11  Hazard training.

    (a) Operators shall provide to those miners, as defined in Sec. 
48.2(a)(2) (Definition of miner) of this subpart A, a training program 
before such miners commence their work duties. This training program 
shall include the following instruction, which is applicable to the 
duties of such miners:
    (1) Hazard recognition and avoidance;
    (2) Emergency and evacuation procedures;
    (3) Health and safety standards, safety rules, and safe working 
procedures;
    (4) Use of self-rescue and respiratory devices, including:
    (i) Hands-on training in the complete donning of all types of self-
contained self-rescue devices used at the mine, which includes assuming 
a donning position, opening the device, activating the device, inserting 
the mouthpiece, and putting on the nose clip; and
    (ii) Hands-on training in transferring between all applicable self-
rescue devices; and
    (5) Such other instruction as may be required by the District 
Manager based on circumstances and conditions at the mine.
    (b) Miners shall receive the instruction required by this section at 
least once every 12 months.
    (c) The training program required by this section shall be submitted 
with the training plan required by Sec. 48.3(a) (Training plans: 
Submission and approval) of this subpart A and shall include a statement 
on the methods of instruction to be used.
    (d) In accordance with Sec. 48.9 (Records of training) of this 
subpart A, the operator shall maintain and make available for inspection 
certificates that miners have received the hazard training required by 
this section.
    (e) Miners subject to hazard training shall be accompanied at all 
times while underground by an experienced miner, as defined in Sec. 
48.2(b) (Definition of miner) of this subpart A.

[43 FR 47459, Oct. 13, 1978, as amended at 47 FR 23640, May 25, 1982; 53 
FR 10336, Mar. 30, 1988; 71 FR 12269, Mar. 9, 2006; 71 FR 71452, Dec. 8, 
2006]



Sec. 48.12  Appeals procedures.

    The operator, miner, and miners' representative shall have the right 
of appeal from a decision of the District Manager.
    (a) In the event an operator, miner, or miners' representative 
decides to appeal a decision by a District Manager, such an appeal shall 
be submitted, in writing, to the Administrator for Coal Mine Safety and 
Health or Administrator for Metal and Nonmetal Mine Safety and Health, 
as appropriate, MSHA, 1100 Wilson Boulevard, Arlington, VA 22209-3939, 
within 30 days of notification of the District Manager's decision.
    (b) The Administrator may require additional information from the 
operator, the miners, or their representatives, and the District 
Manager, if the Administrator determines such information is necessary.
    (c) The Administrator shall render a decision on the appeal within 
30 days after receipt of the appeal.

[43 FR 47459, Oct. 13, 1978, as amended at 47 FR 23640, May 28, 1982; 71 
FR 16666, Apr. 3, 2006]



Subpart B_Training and Retraining of Miners Working at Surface Mines and 
                   Surface Areas of Underground Mines



Sec. 48.21  Scope.

    The provisions of this subpart B set forth the mandatory 
requirements for

[[Page 237]]

submitting and obtaining approval of programs for training and 
retraining miners working at surface mines and surface areas of 
underground mines. Requirements regarding compensation for training and 
retraining are also included. The requirements for training and 
retraining miners working in underground mines are set forth in subpart 
A of this part. This part does not apply to training and retraining of 
miners at shell dredging, sand, gravel, surface stone, surface clay, 
colloidal phosphate, and surface limestone mines, which are covered 
under 30 CFR Part 46.

[43 FR 47459, Oct. 13, 1978, as amended at 64 FR 53130, Sept. 30, 1999]



Sec. 48.22  Definitions.

    For the purposes of this subpart B--
    (a)(1) Miner means, for purposes of Sec. Sec. 48.23 through 48.30 
of this subpart B, any person working in a surface mine or surface areas 
of an underground mine and who is engaged in the extraction and 
production process, or engaged in shaft or slope construction, or who is 
regularly exposed to mine hazards, or who is a maintenance or service 
worker employed by the operator or a maintenance or service worker 
contracted by the operator to work at the mine for frequent or extended 
periods. This definition shall include the operator if the operator 
works at the mine on a continuing, even if irregular, basis. Short-term, 
specialized contract workers, such as drillers and blasters, who are 
engaged in the extraction and production process or engaged in shaft or 
slope construction and who have received training under Sec. 48.26 
(Experienced miner training) of this subpart B, may in lieu of 
subsequent training under that section for each new employment, receive 
training under Sec. 48.31 (Hazard training) of this subpart B. This 
definition does not include:
    (i) Construction workers under subpart C of this Part 48;
    (ii) Any person covered under paragraph (a)(2) of this section.
    (2) Miner means, for purposes of Sec. 48.31 (Hazard training) of 
this subpart B, any person working in a surface mine, including any 
delivery, office, or scientific worker or occasional, short-term 
maintenance or service worker contracted by the operator, and any 
student engaged in academic projects involving his or her extended 
presence at the mine. This definition excludes persons covered under 
paragraph (a)(1) of this section and subpart C of this part.
    (b) Experienced miner means:
    (1) A miner who has completed MSHA-approved new miner training for 
surface miners or training acceptable to MSHA from a State agency and 
who has had at least 12 months of surface mining experience; or
    (2) A supervisor who is certified under an MSHA-approved State 
certification program and who is employed as a surface supervisor on 
October 6, 1998; or
    (3) An experienced surface miner on February 3, 1999.
    (4)(i) A person employed as a surface shaft or slope construction 
worker on the June 28, 2006; or,
    (ii) A person who has six months of surface shaft or slope 
experience within 24 months before June 28, 2006.
    (c) New miner means a miner who is not an experienced miner.
    (d) Normal working hours means a period of time during which a miner 
is otherwise scheduled to work. This definition does not preclude 
scheduling training classes on the sixth or seventh working day if such 
a work schedule has been established for a sufficient period of time to 
be accepted as the operator's common practice. Miners shall be paid at a 
rate of pay which shall correspond to the rate of pay they would have 
received had they been performing their normal work tasks.
    (e) Operator means any owner, lessee, or other person who operates, 
controls, or supervises a surface mine or surface area of an underground 
mine; or any independent contractor identified as an operator performing 
services or construction at such time.
    (f) Task means a work assignment that includes duties of a job that 
occur on a regular basis and which requires physical abilitities and job 
knowledge.
    (g) Act means the Federal Mine Safety and Health Act of 1977.

[43 FR 47459, Oct. 13, 1978; 44 FR 1980, Jan. 9, 1979, as amended at 63 
FR 53759, 53760, Oct. 6, 1998; 70 FR 77727, Dec. 30, 2005]

[[Page 238]]



Sec. 48.23  Training plans; time of submission; where filed; information 

required; time for approval; method for disapproval; commencement of training; 

approval of instructors.

    (a) Except as provided in paragraph (o) of this section, each 
operator of a surface mine shall have an MSHA-approved plan containing 
programs for training new miners, training 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.
    (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 Sec. 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 Sec. 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 Sec. 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

[[Page 239]]

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 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 Sec. 48.27 (New task training of miners) 
and Sec. 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 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, 1100 Wilson Blvd., Room 2424 (Coal) or Room 2436 (Metal and 
Nonmetal), Arlington, Virginia 22209-3939. 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.

[[Page 240]]

    (k) Except as provided under Sec. 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 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.
    (o) Each operator engaged in shaft or slope construction shall have 
an MSHA-approved training plan, as outlined in this section, containing 
programs for training new miners, training experienced miners, training 
miners for new tasks, annual refresher training, and hazard training for 
miners as follows:
    (1) In the case of an operator engaged in shaft or slope 
construction on December 30, 2005, the operator shall submit a plan for 
approval by May 1, 2006, unless extended by MSHA.
    (2) In the case of a new shaft or slope construction operator after 
June 28, 2006, the operator shall have an approved plan prior to 
commencing shaft or slope construction.

(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 14696, Apr. 6, 1982; 47 
FR 23640, May 28, 1982; 47 FR 28095, June 29, 1982; 60 FR 33723, June 
29, 1995; 63 FR 52759, Oct. 6, 1998; 67 FR 38384, June 4, 2002; 70 FR 
77727, Dec. 30, 2005]



Sec. 48.24  Cooperative training program.

    (a) An operator of a mine may conduct his own training programs, or 
may participate in training programs conducted by MSHA, or may 
participate in MSHA approved training programs conducted by State or 
other Federal agapproval; encies, or associations of mine operators, 
miners' representatives, other mine operators, private associations, or 
educational institutions.
    (b) Each program and course of instruction shall be given by 
instructors who have been approved by MSHA to instruct in the courses 
which are given, and such courses and the training programs shall be 
adapted to the mining operations and practices existing at the mine and 
shall be approved by the District Manager for the area in which the mine 
is located.

[43 FR 47459, Oct. 13, 1978, as amended at 47 FR 23641, May 28, 1982]



Sec. 48.25  Training of new miners; minimum courses of instruction; hours of 

instruction.

    (a) Each new miner shall receive no less than 24 hours of training 
as prescribed in this section. Except as otherwise provided in this 
paragraph, new miners shall receive this training before they are 
assigned to work duties. At the discretion of the District Manager, new 
miners may receive a portion of this training after assignment to work 
duties: Provided, That no less than 8 hours of training shall in all 
cases be given to new miners before they are assigned to work duties. 
The following courses shall be included in the 8 hours of training: 
Introduction to work environment, hazard recognition, and health and 
safety aspects of the tasks to which the new miners will be

[[Page 241]]

assigned. Following the completion of this preassignment training, new 
miners shall then receive the remainder of the required 24 hours of 
training, or up to 16 hours, within 60 days. Operators shall indicate in 
the training plans submitted for approval whether they want to train new 
miners after assignment to duties and for how many hours. In determining 
whether new miners may be given this training after they are assigned 
duties, the District Manager shall consider such factors as the mine 
safety record, rate of employee turnover and mine size. Miners who have 
not received the full 24 hours of new miner training shall be required 
to work under the close supervision of an experienced miner.
    (b) The training program for new miners shall include the following 
courses:
    (1) Instruction in the statutory rights of miners and their 
representatives under the Act; authority and responsibility of 
supervisors. The course shall include instruction in the statutory 
rights of miners and their representatives under the Act, including a 
discussion of section 2 of the Act; a review and description of the line 
of authority of supervisors and miners' representatives and the 
responsibilities of such supervisors and miners' representatives; and an 
introduction to the operator's rules and the procedures for reporting 
hazards.
    (2) Self-rescue and respiratory devices. The course shall include 
instruction and demonstration in the use, care, and maintenance of self-
rescue and respiratory devices, where applicable.
    (3) Transportation controls and communication systems. The course 
shall include instruction on the procedures in effect for riding on and 
in mine conveyances where applicable; the controls for the 
transportation of miners and materials; and the use of mine 
communication systems, warning signals, and directional signs.
    (4) Introduction to work environment. The course shall include a 
visit and tour of the mine, or portions of the mine which are 
representative of the entire mine. The method of mining or operation 
utilized shall be observed and explained.
    (5) Escape and emergency evacuation plans; firewarning and 
firefighting. The course shall include a review of the mine escape 
system, and escape and emergency evacuation plans in effect at the mine; 
and instruction in the firewarning signals and firefighting procedures.
    (6) Ground control; working in areas of highwalls, water hazards, 
pits and spoil banks; illumination and night work. The course shall 
include, where applicable, and introduction to and instruction on the 
highwall and ground control plans in effect at the mine; procedures for 
working safely in areas of highwalls, water hazards, pits and spoil 
banks; the illumination of work areas; and safe work procedures during 
the hours of darkness.
    (7) Health. The course shall include instruction on the purpose of 
taking dust measurements, where applicable, and noise and other health 
measurements, and any health control plan in effect at the mine shall be 
explained. The health provisions of the Act and warning labels shall 
also be explained.
    (8) Hazard recognition. The course shall include the recognition and 
avoidance of hazards present in the mine.
    (9) Electrical hazards. The course shall include recognition and 
avoidance of electrical hazards.
    (10) First aid. The course shall include instruction in first aid 
methods acceptable to MSHA.
    (11) Explosives. The course shall include a review and instruction 
on the hazards related to explosives. The only exception to this course 
component is when no explosives are used or stored on mine property.
    (12) Health and safety aspects of the tasks to which the new miner 
will be assigned. The course shall include instructions in the health 
and safety aspects of the tasks to be assigned, including the safe work 
procedures of such tasks, the mandatory health and safety standards 
pertinent to such tasks, information about the physical and health 
hazards of chemicals in the miner's work area, the protective measures a 
miner can take against these hazards, and the contents of the mine's 
HazCom program.
    (13) Such other courses as may be required by the District Manager 
based

[[Page 242]]

on circumstances and conditions at the mine.
    (c) Methods, including oral, written or practical demonstration, to 
determine successful completion of the training shall be included in the 
training plan. Upon completion of training, the methods for determining 
successful completion shall be administered to the miner. The method for 
determining successful completion of pre-assignment training under 
paragraph (a) of this section shall be administered to the miner before 
he is assigned to work duties.
    (d) A newly employed miner who has less than 12 months of mining 
experience and has received the courses and hours of instruction in 
paragraphs (a) and (b) of this section, within 36 months preceding 
employment at a mine, does not have to repeat this training. Before the 
miner starts work, the operator must provide the miner with the 
experienced miner training in Sec. 48.26(b) of this part and, if 
applicable, the new task training in Sec. 48.27 of this part. The 
operator must also provide the miner with annual refresher training and 
additional new task training, as applicable.

[43 FR 47459, Oct. 13, 1978, as amended at 47 FR 23641, May 28, 1982; 63 
FR 53760, Oct. 6, 1998; 67 FR 42389, June 21, 2002]



Sec. 48.26  Experienced miner training.

    (a) Except as provided in paragraph (e), this section applies to 
experienced miners who are--
    (1) Newly employed by the operator;
    (2) Transferred to the mine;
    (3) Experienced surface miners transferred from underground to 
surface; or
    (4) Returning to the mine after an absence of more than 12 months.
    (b) Experienced miners must complete the training prescribed in this 
section before beginning work duties. Each experienced miner returning 
to mining following an absence of 5 years or more, must receive at least 
8 hours of training. The training must include the following 
instruction:
    (1) Introduction to work environment. The course shall include a 
visit and tour of the mine. The methods of mining or operations utilized 
at the mine shall be observed and explained.
    (2) Mandatory health and safety standards. The course shall include 
the mandatory health and safety standards pertinent to the tasks to be 
assigned.
    (3) Authority and responsibility of supervisors and miners' 
representatives. The course shall include a review and description of 
the line of authority of supervisors and miners' representatives and the 
responsibilities of such supervisors and miners' representatives; and an 
introduction to the operator's rules and the procedures for reporting 
hazards.
    (4) Transportation controls and communication systems. The course 
shall include instruction on the procedures in effect for riding on and 
in mine conveyances; the controls for the transportation of miners and 
materials; and the use of the mine communication systems, warning 
signals, and directional signs.
    (5) Escape and emergency evacuation plans; firewarning and 
firefighting. The course must include a review of the mine escape system 
and the escape and emergency evacuation plans in effect at the mine, and 
instruction in the firewarning signals and firefighting procedures in 
effect at the mine.
    (6) Ground controls; working in areas of highwalls, water hazards, 
pits, and spoil banks; illumination and night work. The course shall 
include, where applicable, an introduction to and instruction on the 
highwall and ground control plans in effect at the mine; procedures for 
working safely in areas of highwalls, water hazards, pits, and spoil 
banks, the illumination of work areas, and safe work procedures for 
miners during hours of darkness.
    (7) Hazard recognition. The course must include the recognition and 
avoidance of hazards present in the mine.
    (8) Prevention of accidents. The course must include a review of the 
general causes of accidents applicable to the mine environment, causes 
of specific accidents at the mine, and instruction in accident 
prevention in the work environment.
    (9) Emergency medical procedures. The course must include 
instruction on the mine's emergency medical arrangements and the 
location of the mine's first aid equipment and supplies.

[[Page 243]]

    (10) Health. The course must include instruction on the purpose of 
taking dust, noise, and other health measurements, where applicable; 
must review the health provisions of the Act; and must explain warning 
labels and any health control plan in effect at the mine.
    (11) Health and safety aspects of the tasks to which the experienced 
miner is assigned. The course must include instruction in the health and 
safety aspects of the tasks assigned, including the safe work procedures 
of such tasks, information about the physical and health hazards of 
chemicals in the miner's work area, the protective measures a miner can 
take against these hazards, and the contents of the mine's HazCom 
program. Experienced miners who must complete new task training under 
Sec. 48.27 do not need to take training under this paragraph.
    (12) Such other courses as may be required by the District Manager 
based on circumstances and conditions at the mine.
    (c) The operator may include instruction in additional safety and 
health subjects based on circumstances and conditions at the mine.
    (d) The training time spent on individual subjects must vary 
depending upon the training needs of the miners.
    (e) Any miner returning to the same mine, following an absence of 12 
months or less, must receive training on any major changes to the mine 
environment that have occurred during the miner's absence and that could 
adversely affect the miner's health or safety.
    (1) A person designated by the operator who is knowledgeable of 
these changes must conduct the training in this paragraph. An MSHA 
approved instructor is not required to conduct the training outlined in 
this paragraph.
    (2) No record of this training is required.
    (3) The miner must complete annual refresher training as required in 
Sec. 48.28, if the miner missed taking that training during the 
absence.

[43 FR 47459, Oct. 13, 1978, as amended at 47 FR 23641, May 28, 1982; 63 
FR 53760, Oct. 6, 1998; 67 FR 42389, June 21, 2002]



Sec. 48.27  Training of miners assigned to a task in which they have had no 

previous experience; minimum courses of instruction.

    (a) Miners assigned to new work tasks as mobile equipment operators, 
drilling machine operators, haulage and conveyor systems operators, 
ground control machine operators, and those in blasting operations shall 
not perform new work tasks in these catergories until training 
prescribed in this paragraph and paragraph (b) of this section has been 
completed. This training shall not be required for miners who have been 
trained and who have demonstrated safe operating procedures for such new 
work tasks within 12 months preceding assignment. This training shall 
also not be required for miners who have performed the new work tasks 
and who have demonstrated safe operating procedures for such new work 
tasks within 12 months preceding assignment. The training program shall 
include the following:
    (1) Health and safety aspects and safe operating procedures for work 
tasks, equipment, and machinery. The training shall include instruction 
in the health and safety aspects and safe operating procedures related 
to the assigned task, including information about the physical and 
health hazards of chemicals in the miner's work area, the protective 
measures a miner can take against these hazards, and the contents of the 
mine's HazCom program. The training shall be given in an on-the-job 
environment; and
    (2)(i) Supervised practice during nonproduction. The training shall 
include supervised practice in the assigned tasks, and the performance 
of work duties at times or places where production is not the primary 
objective; or,
    (ii) Supervised operation during production. The training shall 
include, while under direct and immediate supervision and production is 
in progress, operation of the machine or equipment and the performance 
of work duties.
    (3) New or modified machines and equipment. Equipment and machine 
operators shall be instructed in safe operating procedures applicable to 
new or modified machines or equipment to be installed or put into 
operation in the

[[Page 244]]

mine, which require new or different operating procedures.
    (4) Such other courses as may be required by the District Manager 
based on circumstances and conditions at the mine.
    (b) Miners under paragraph (a) of this section shall not operate the 
equipment or machine or engage in blasting operations without direction 
and immediate supervision until such miners have demonstrated safe 
operating procedures for the equipment or machine or blasting operation 
to the operator or the operator's agent.
    (c) Miners assigned a new task not covered in paragraph (a) of this 
section shall be instructed in the safety and health aspects and safe 
work procedures of the task, including information about the physical 
and health hazards of chemicals in the miner's work area, the protective 
measures a miner can take against these hazards, and the contents of the 
mine's HazCom program, prior to performing such task.
    (d) All training and supervised practice and operation required by 
this section shall be given by a qualified trainer, or a supervisor 
experienced in the assigned tasks, or other person experienced in the 
assigned tasks.

[43 FR 47459, Oct. 13, 1978, as amended at 47 FR 23640, May 28, 1982; 67 
FR 42389, June 21, 2002]



Sec. 48.28  Annual refresher training of miners; minimum courses of 

instruction; hours of instruction.

    (a) Each miner shall receive a mimimum of 8 hours of annual 
refresher training as prescribed in this section.
    (b) The annual refresher training program for all miners shall 
include the following courses of instruction:
    (1) Mandatory health and safety standards. The course shall include 
mandatory health and safety standard requirements which are related to 
the miner's tasks.
    (2) Transportation controls and communication systems. The course 
shall include instruction on the procedures for riding on and in mine 
conveyances; the controls in effect for the transportation of miners and 
materials; and the use of the mine communication systems, warning 
signals, and directional signs.
    (3) Escape and emergency evacuation plans; firewarning and 
firefighting. The course shall include a review of the mine escape 
system; escape and emergency evacuation plans in effect at the mine; and 
instruction in the firewarning signals and firefighting procedures.
    (4) Ground control; working in areas of highwalls, water hazards, 
pits, and spoil banks; illumination and night work. The course shall 
include, where applicable, a review and instruction on the highwall and 
ground control plans in effect at the mine; procedures for working 
safely in areas of highwalls, water hazards, pits, and spoil banks; the 
illumination of work areas; and safe work procedures during hours of 
darkness.
    (5) First aid. The course shall include a review of first aid 
methods acceptable to MSHA.
    (6) Electrical hazards. The course shall include recognition and 
avoidance of electrical hazards.
    (7) Prevention of accidents. the course shall include a review of 
accidents and causes of accidents, and instruction in accident 
prevention in the work environment.
    (8) Health. The course shall include instruction on the purpose of 
taking dust measurements, where applicable, and noise and other health 
measurements, and any health control plan in effect at the mine shall be 
explained. The health provisions of the Act and warning labels shall 
also be explained.
    (9) Explosives. The course shall include a review and instruction on 
the hazards related to explosives. The only exception to this course 
component is when there are no explosives used or stored on the mine 
property.
    (10) Self-rescue and respiratory devices. The course shall include 
instruction and demonstration in the use, care, and maintenance of self-
rescue and respiratory devices, where applicable.
    (11) Such other courses as may be required by the District Manager 
based on circumstances and conditions at the mine.
    (c) Refresher training may include other health and safety subjects 
that are relevant to mining operations at

[[Page 245]]

the mine. Recommended subjects include, but are not limited to, 
information about the physical and health hazards of chemicals in the 
miner's work area, the protective measures a miner can take against 
these hazards, and the contents of the mine's HazCom program.
    (d) All persons employed as shaft or slope construction workers on 
June 28, 2006 must receive annual refresher training within 12 months of 
June 2006.
    (e) Where annual refresher training is conducted periodically, such 
sessions shall not be less than 30 minutes of actual instruction time 
and the miners shall be notified that the session is part of annual 
refresher training.

[43 FR 47459, Oct. 13, 1978, as amended at 47 FR 23641, May 28, 1982; 63 
FR 53761, Oct. 6, 1998; 70 FR 77728, Dec. 30, 2005]



Sec. 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 33723, June 29, 1995]



Sec. 48.30  Compensation for training.

    (a) Training shall be conducted during normal working hours; miners 
attending such training shall receive the rate of pay as provided in 
Sec. 48.22(d) (Definition of normal working hours) of this subpart B.
    (b) If such training shall be given at a location other than the 
normal place of work, miners shall be compensated for the additional 
costs, such a mileage, meals, and lodging, they may incur in attending 
such training sessions.



Sec. 48.31  Hazard training.

    (a) Operators shall provide to those miners, as defined in Sec. 
48.22(a) (2) (Definition of miner) of this subpart B, a training program 
before such miners commence their work duties. This training program 
shall include the following instruction, which is applicable to the 
duties of such miners:
    (1) Hazard recognition and avoidance;
    (2) Emergency and evacuation procedures;
    (3) Health and safety standards, safety rules and safe working 
procedures;
    (4) Self-rescue and respiratory devices; and,
    (5) Such other instruction as may be required by the District 
Manager based on circumstances and conditions at the mine.
    (b) Miners shall receive the instruction required by this section at 
least once every 12 months.
    (c) The training program required by this section shall be submitted 
with the training plan required by Sec. 48.23(a) (Training plans: 
Submission and approval) of this subpart B and shall include a statement 
on the methods of instruction to be used.
    (d) In accordance with Sec. 48.29 (Records of training) of this 
subpart B, the operator shall maintain and make available for 
inspection, certificates that miners have received the instruction 
required by this section.

[43 FR 47459, Oct. 13, 1978, as amended at 47 FR 23641, May 28, 1982]



Sec. 48.32  Appeals procedures.

    The operator, miner, and miners' representative shall have the right 
of appeal from a decision of the District Manager.

[[Page 246]]

    (a) In the event an operator, miner, or miners' representative 
decides to appeal a decision by the District Manager, such an appeal 
shall be submitted, in writing, to the Administrator for Coal Mine 
Safety and Health or Administrator for Metal and Non-metal Safety and 
Health, as appropriate, MSHA, 1100 Wilson Blvd., Room 2424 (Coal) or 
Room 2436 (Metal and Nonmetal), Arlington, Virginia, 22209-3939, within 
30 days of notification of the District Manager's decision.
    (b) The Administrator may require additional information from the 
operator, the miners or their representatives, and the District Manager, 
if the Administrator determines such information is necessary.
    (c) The Administrator shall render a decision on the appeal within 
30 days after receipt of the appeal.

[43 FR 47459, Oct. 13, 1978, as amended at 47 FR 23641, May 28, 1982; 67 
FR 38384, June 4, 2002]



PART 49_MINE RESCUE TEAMS--Table of Contents




Sec.
49.1 Purpose and scope.
49.2 Availability of mine rescue teams.
49.3 Alternative mine rescue capability for small and remote mines.
49.4 Alternative mine rescue capability for special mining conditions.
49.5 Mine rescue station.
49.6 Equipment and maintenance requirements.
49.7 Physical requirements for mine rescue team.
49.8 Training for mine rescue teams.
49.9 Mine emergency notification plan.
49.10 Effective date.

    Authority: 30 U.S.C. 811, 825(e), 957.

    Source: 45 FR 47002, July 11, 1980, unless otherwise noted.



Sec. 49.1  Purpose and scope.

    This part implements the provisions of Section 115(e) of the Federal 
Mine Safety and Health Act of 1977. Every operator of an underground 
mine shall assure the availability of mine rescue capability for 
purposes of emergency rescue and recovery.



Sec. 49.2  Availability of mine rescue teams.

    (a) Except where alternative compliance is permitted for small and 
remote mines (Sec. 49.3) or those mines operating under special mining 
conditions (Sec. 49.4), every operator of an underground mine shall:
    (1) Establish at least two mine rescue teams which are available at 
all times when miners are underground; or
    (2) Enter into an arrangement for mine rescue services which assures 
that at least two mine rescue teams are available at all times when 
miners are underground.
    (b) Each mine rescue team shall consist of five members and one 
alternate, who are fully qualified, trained, and equipped for providing 
emergency mine rescue service.
    (c) To be considered for membership on a mine rescue team, each 
person must have been employed in an underground mine for a minimum of 
one year within the past five years. For the purpose of mine rescue work 
only, miners who are employed on the surface but work regularly 
underground shall meet the experience requirement. The underground 
experience requirement is waived for those miners on a mine rescue team 
on the effective date of this rule.
    (d) Each operator shall arrange, in advance, ground transportation 
for rescue teams and equipment to the mine or mines served.
    (e) Upon the effective date of this part, the required rescue 
capability shall be present at all existing underground mines, upon 
initial excavation of a new underground mine entrance, or the re-opening 
of an existing underground mine.
    (f) Except where alternative compliance is permitted under Sec. 
49.3 or Sec. 49.4, no mine served by a mine rescue team shall be 
located more than two hours ground travel time from the mine rescue 
station with which the rescue team is associated.
    (g) As used in this part, mine rescue teams shall be considered 
available where teams are capable presenting themselves at the mine 
site(s) within a reasonable time after notification of an occurrence 
which might require their services. Rescue team members will be 
considered available even though performing regular work duties or in an 
off-duty capacity. The requirement that mine rescue teams be available

[[Page 247]]

shall not apply when teams are participating in mine rescue contests or 
providing services to another mine.
    (h) Each operator of an underground mine who provides rescue teams 
under this section shall send the District Manager a statement 
describing the mine's method of compliance with this part. The statement 
shall disclose whether the operator has independently provided mine 
rescue teams or entered into an agreement for the services of mine 
rescue teams. The name of the provider and the location of the services 
shall be included in the statement. A copy of the statement shall be 
posted at the mine for the miners' information. Where a miners' 
representative has been designated, the operator shall also provide the 
representative with a copy of the statement.



Sec. 49.3  Alternative mine rescue capability for small and remote mines.

    (a) If an underground mine is small and remote, an operator may 
provide for an alternative mine rescue capability. For the purposes of 
this part only, consideration for small and remote shall be given where 
the total underground employment of the operator's mine and any 
surrounding mine(s) within two hours ground travel time of the 
operator's mine is less than 36.
    (b) An application for alternative mine rescue capability shall be 
submitted to the District Manager for the district in which the mine is 
located for review and approval.
    (c) Each application for an alternative mine rescue capability shall 
contain:
    (1) The number of miners employed underground at the mine on each 
shift;
    (2) The distances from the two nearest mine rescue stations;
    (3) The total underground employment of mines within two hours 
ground travel time of the operator's mine;
    (4) The operator's mine fire, ground, and roof control history;
    (5) The operator's established escape and evacuation plan;
    (6) A statement by the operator evaluating the usefulness of 
additional refuge chambers to supplement those which may exist;
    (7) A statement by the operator as to the number of miners willing 
to serve on a mine rescue team;
    (8) The operator's alternative plan for assuring that a suitable 
mine rescue capability is provided at all times when miners are 
underground; and
    (9) Other relevant information about the operator's mine which may 
be requested by the District Manager.
    (d) A copy of the operator's application shall be posted at the 
mine. Where a miners' representative has been designated, the operator 
shall also provide the representative with a copy of the application.
    (e) In determining whether to approve an application for alternative 
compliance, the District Manager shall consider:
    (1) The individual circumstances of the small and remote mine;
    (2) Comments submitted by, or on behalf of, any affected miner; and
    (3) Whether the alternative mine rescue plan provides a suitable 
rescue capability at the operator's mine.
    (f) Where alternative compliance is approved by MSHA, the operator 
shall adopt the alternative plan and post a copy of the approved plan 
(with appropriate MSHA mine emergency telephone numbers) at the mine for 
the miners' information. Where a miners' representative has been 
designated, the operator shall also provide the representative with a 
copy of the approved plan.
    (g) The operator shall notify the District Manager of any changed 
condition or factor materially affecting information submitted in the 
application for alternative mine rescue capability.
    (h)(1) An approved plan for alternative mine rescue capability shall 
be subject to revocation or modification for cause by MSHA, where it is 
determined that a condition or factor has changed which would materially 
alter the operator's mine rescue capability. If such action is 
contemplated, the operator will be notified, and given an opportunity to 
be heard before the appropriate District Manager.
    (2) If an application for alternative compliance is denied or 
revoked, the District Manager shall provide the reason for such denial 
or revocation in writing to the operator. The operator

[[Page 248]]

may appeal this decision in writing to the Administrator for Coal Mine 
Safety and Health or the Administrator for Metal and Nonmetal Mine 
Safety and Health, as appropriate, 1100 Wilson Blvd., Room 2424 (Coal) 
or Room 2436 (Metal and Nonmetal), Arlington, Virginia 22209-3939.

[45 FR 47002, July 11, 1980, as amended at 67 FR 38385, June 4, 2002]



Sec. 49.4  Alternative mine rescue capability for special mining conditions.

    (a) If an underground mine is operating under special mining 
conditions, the operator may provide an alternative mine rescue 
capability.
    (b) An application for alternative mine rescue capability shall be 
submitted to the District Manager for the district in which the mine is 
located for review and approval.
    (c) To be considered ``operating under special mining conditions,'' 
the operator must show that all of the following conditions are present:
    (1) The mine has multiple adits or entries;
    (2) The mined substance is noncombustible and the mining atmosphere 
nonexplosive;
    (3) There are multiple vehicular openings to all active mine areas, 
sufficient to allow fire and rescue vehicles full access to all parts of 
the mine in which miners work or travel;
    (4) Roadways or other openings are not supported or lined with 
combustible materials;
    (5) The mine shall not have a history of flammable-gas emission or 
accumulation, and the mined substance shall not have a history 
associated with flammable or toxic gas problems; and
    (6) Any reported gas or oil well or exploratory drill hole shall be 
plugged to within 100 feet above and below the horizon of the ore body 
or seam.
    (d) Each application shall contain:
    (1) An explanation of the special mining conditions;
    (2) The number of miners employed underground at the mine on each 
shift;
    (3) The distances from the two nearest mine rescue stations;
    (4) The operator's mine fire history;
    (5) The operator's established escape and evacuation plan;
    (6) The operator's alternative plan for assuring that a suitable 
mine rescue capability is provided at all times when miners are 
underground; and
    (7) Other relevant information about the operator's mine which may 
be requested by the District Manager.
    (e) A copy of the operator's application shall be posted at the 
mine. Where a miners' representative has been designated, the operator 
shall also provide the representative with a copy of the application.
    (f) In determining whether to approve an application for alternative 
compliance, the District Manager shall consider:
    (1) The individual circumstances of the mine operating under special 
mining conditions;
    (2) Comments submitted by, or on behalf of, any affected miner; and
    (3) Whether the alternative mine rescue plan provides a suitable 
rescue capability at the operator's mine.
    (g) Where alternative compliance is approved by MSHA the operator 
shall adopt the alternative plan and post a copy of the approved plan 
(with appropriate MSHA mine emergency telephone numbers) at the mine for 
the miners' information. Where a miners' representative has been 
designated, the operator shall also provide the representative with a 
copy of the alternative plan.
    (h) The operator shall notify the District Manager of any changed 
condition or factor materially affecting information submitted in the 
application for alternative mine rescue capability.
    (i)(1) An approved plan for alternative mine rescue capability shall 
be subject be to revocation or modification by MSHA, where it is 
determined that a condition or factor has changed which would materially 
alter the operator's mine rescue capability. If such action is 
contemplated, the operator will be notified and given an opportunity to 
be heard before the appropriate District Manager.
    (2) If an application for alternative compliance is denied or 
revoked, the District Manager shall provide the reason for such denial 
or revocation in writing to the operator. The operator may appeal this 
decision in writing to the Administrator for Coal Mine Safety

[[Page 249]]

and Health or the Administrator for Metal and Nonmetal Mine Safety and 
Health, as appropriate, 1100 Wilson Blvd., Room 2424 (Coal) or Room 2436 
(Metal and Nonmetal), Arlington, Virginia 22209-3939.

[45 FR 47002, July 11, 1980, as amended at 67 FR 38385, June 4, 2002]



Sec. 49.5  Mine rescue station.

    (a) Except where alternative compliance is permitted, every operator 
of an underground mine shall designate, in advance, the location of the 
mine rescue station serving the mine.
    (b) Mine rescue stations are to provide a centralized storage 
location for rescue equipment. This centralized storage location may be 
either at the mine site, affiliated mines, or a separate mine rescue 
structure.
    (c) Mine rescue stations shall provide a proper storage environment 
to assure equipment readiness for immediate use.
    (d) Authorized representatives of the Secretary shall have the right 
of entry to inspect any designated mine rescue station.



Sec. 49.6  Equipment and maintenance requirements.

    (a) Each mine rescue station shall be provided with at least the 
following equipment:
    (1) Twelve self-contained oxygen breathing apparatus, each with a 
minimum of 2 hours capacity (approved by MSHA and NIOSH under 42 CFR 
part 84, subpart H), and any necessary equipment for testing such 
breathing apparatus;
    (2) A portable supply of liquid air, liquid oxygen, pressurized 
oxygen, oxygen generating or carbon dioxide absorbant chemicals, as 
applicable to the supplied breathing apparatus and sufficient to sustain 
each team for six hours while using the breathing apparatus during 
rescue operations;
    (3) One extra oxygen bottle (fully charged) for every six self-
contained compressed oxygen breathing apparatus;
    (4) One oxygen pump or a cascading system, compatible with the 
supplied breathing apparatus;
    (5) Twelve permissible cap lamps and a charging rack;
    (6) Two gas detectors appropriate for each type of gas which may be 
encountered at the mines served;
    (7) Two oxygen indicators or two flame safety lamps;
    (8) One portable mine rescue communication system (approved under 
part 23 of this title) or a sound-powered communication system. The 
wires or cable to the communication system shall be of sufficient 
tensile strength to be used as a manual communication system. These 
communication systems shall be at least 1,000 feet in length; and
    (9) Necessary spare parts and tools for repairing the breathing 
apparatus and communication system.
    (b) Mine rescue apparatus and equipment shall be maintained in a 
manner that will ensure readiness for immediate use. A person trained in 
the use and care of breathing apparatus shall inspect and test the 
apparatus at intervals not exceeding 30 days and shall certify by 
signature and date that the inspections and tests were done. When the 
inspection indicates that a corrective action is necessary, the 
corrective action shall be made and the person shall record the 
corrective action taken. The certification and the record of corrective 
action shall be maintained at the mine rescue station for a period of 
one year and made available on request to an authorized representative 
of the Secretary.

[45 FR 47002, July 11, 1980, as amended at 56 FR 1478, Jan. 14, 1991; 60 
FR 30400, June 8, 1995]



Sec. 49.7  Physical requirements for mine rescue team.

    (a) Each member of a mine rescue team shall be examined annually by 
a physician who shall certify that each person is physically fit to 
perform mine rescue and recovery work for prolonged periods under 
strenuous conditions. The first such physical examination shall be 
completed within 60 days prior to scheduled initial training. A team 
member requiring corrective eyeglasses will not be disqualified provided 
the eyeglasses can be worn securely within an approved facepiece.
    (b) In determining whether a miner is physically capable of 
performing mine rescue duties, the physician shall take

[[Page 250]]

the following conditions into consideration:
    (1) Seizure disorder;
    (2) Perforated eardrum;
    (3) Hearing loss without a hearing aid greater than 40 decibels at 
400, 1,000 and 2,000 Hz;
    (4) Repeated blood pressure (controlled or uncontrolled by 
medication) reading which exceeds 160 systolic, or 100 diastolic, or 
which is less than 105 systolic, or 60 diastolic;
    (5) Distant visual acuity (without glasses) less than 20/50 Snellen 
scale in one eye, and 20/70 in the other;
    (6) Heart disease;
    (7) Hernia;
    (8) Absence of a limb or hand; or
    (9) Any other condition which the examining physician determines is 
relevant to the question of whether the miner is fit for rescue team 
service;
    (c) The operator shall have MSHA Form 5000-3 certifying medical 
fitness completed and signed by the examining physician for each member 
of a mine rescue team. These forms shall be kept on file at the mine 
rescue station for a period of one year.



Sec. 49.8  Training for mine rescue teams.

    (a) Prior to serving on a mine rescue team each member shall 
complete, at a minimum, an initial 20-hour course of instruction as 
prescribed by MSHA's Office of Educational Policy and Development, in 
the use, care, and maintenance of the type of breathing apparatus which 
will be used by the mine rescue team. The initial training requirement 
is waived for those miners on a mine rescue team on the effective date 
of this rule.
    (b) Upon completion of the initial training, all team members shall 
receive at least 40 hours of refresher training annually. This training 
shall be given at least 4 hours each month, or for a period of 8 hours 
every two months. This training shall include:
    (1) Sessions underground at least once each 6 months;
    (2) The wearing and use of the breathing apparatus by team members 
for a period of at least two hours while under oxygen every two months;
    (3) Where applicable, the use, care, capabilities, and limitations 
of auxiliary mine rescue equipment, or a different breathing apparatus;
    (4) Advanced mine rescue training and procedures; as prescribed by 
MSHA's Office of Educational Policy and Development; and
    (5) Mine map training and ventilation procedures.
    (c) A mine rescue team member will be ineligible to serve on a team 
if more than 8 hours of training is missed during one year, unless 
additional training is received to make up for the time missed.
    (d) The training courses required by this section shall be conducted 
by instructors who have been employed in an underground mine for a 
minimum of one year within the past five years, and who have received 
MSHA approval through:
    (1) Completion of an MSHA or State approved instructor's training 
course and the program of instruction in the subject matter to be 
taught.
    (2) Designation by the District Manager as approved instructors to 
teach specific courses, based on their qualifications and teaching 
experience. Previously approved instructors need not be re-designated to 
teach the approved courses as long as they have taught those courses 
within the 24 months prior to the effective date of this part. Where 
individuals are designated, the District Manager may waive the 
underground experience requirement.
    (e) The District Manager may revoke an instructor's approval for 
good cause. A written statement revoking the approval together with 
reasons for revocation shall be provided the instructor. The affected 
instructor may appeal the decision of the District Manager by writing to 
the Administrator for Coal Safety and Health or Administrator for a 
Metal and Non-Metal Safety and Health, as appropriate, MSHA, 1100 Wilson 
Blvd., Room 2424 (Coal) or Room 2436 (Metal and Nonmetal), Arlington, 
Virginia 22209-3939. The Administrator shall issue a decision on the 
appeal.
    (f) Upon request from the District Manager, the operator shall 
provide information concerning the schedule of upcoming training.

[[Page 251]]

    (g) A record of training of each team member shall be on file at the 
mine rescue station for a period of one year.

[45 FR 47002, July 11, 1980, as amended at 47 FR 23641, May 28, 1982; 47 
FR 28095, June 29, 1982; 67 FR 38385, June 4, 2002]



Sec. 49.9  Mine emergency notification plan.

    (a) Each underground mine shall have a mine rescue notification plan 
outlining the procedures to follow in notifying the mine rescue teams 
when there is an emergency that requires their services.
    (b) A copy of the mine rescue notification plan shall be posted at 
the mine for the miners' information. Where a miners' representative has 
been designated, the operator shall also provide the representative with 
a copy of the plan.



Sec. 49.10  Effective date.

    All provisions and requirements of this part shall become effective 
on July 11, 1981.

[[Page 252]]



SUBCHAPTER I_ACCIDENTS, INJURIES, ILLNESSES, EMPLOYMENT, AND PRODUCTION 
                                IN MINES



PART 50_NOTIFICATION, INVESTIGATION, REPORTS AND RECORDS OF ACCIDENTS, 

INJURIES, ILLNESSES, EMPLOYMENT, AND COAL PRODUCTION IN MINES--Table of 

Contents




                            Subpart A_General

Sec.
50.1 Purpose and scope.
50.2 Definitions.

     Subpart B_Notification, Investigation, Preservation of Evidence

50.10 Immediate notification.
50.11 Investigation.
50.12 Preservation of evidence.

        Subpart C_Reporting of Accidents, Injuries, and Illnesses

50.20 Preparation and submission of MSHA Report Form 7000-1--Mine 
          Accident, Injury, and Illness Report.
50.20-1 General instructions for completing MSHA Form 7000-1.
50.20-2 Criteria--``Transfer to another job''.
50.20-3 Criteria--Differences between medical treatment and first aid.
50.20-4 Criteria--MSHA Form 7000-1, Section A.
50.20-5 Criteria--MSHA Form 7000-1, Section B.
50.20-6 Criteria--MSHA Form 7000-1, Section C.
50.20-7 Criteria--MSHA Form 7000-1, Section D.

        Subpart D_Quarterly Employment and Coal Production Report

50.30 Preparation and submission of MSHA Form 7000-2--Quarterly 
          Employment and Coal Production Report.
50.30-1 General instructions for completing MSHA Form 7000-2.

      Subpart E_Maintenance of Records; Verification of Information

50.40 Maintenance of records.
50.41 Verification of reports.

    Authority: 29 U.S.C. 557(a); 30 U.S.C. 811, 813(j), 951, 957, 961.

    Source: 42 FR 65535, Dec. 30, 1977, unless otherwise noted.



                            Subpart A_General



Sec. 50.1  Purpose and scope.

    This part 50 implements sections 103(e) and 111 of the Federal Coal 
Mine Health and Safety Act of 1969, 30 U.S.C. 801 et seq., and sections 
4 and 13 of the Federal Metal and Nonmetallic Mine Safety Act, 30 U.S.C. 
721 et seq., and applies to operators of coal, metal, and nonmetallic 
mines. It requires operators to immediately notify the Mine Safety and 
Health Administration (MSHA) of accidents, requires operators to 
investigate accidents, and restricts disturbance of accident related 
areas. This part also requires operators to file reports pertaining to 
accidents, occupational injuries and occupational illnesses, as well as 
employment and coal production data, with MSHA, and requires operators 
to maintain copies of reports at relevant mine offices. The purpose of 
this part is to implement MSHA's authority to investigate, and to obtain 
and utilize information pertaining to, accidents, injuries, and 
illnesses occurring or originating in mines. In utilizing information 
received under part 50, MSHA will develop rates of injury occurrence 
(incident rates or IR), on the basis of 200,000 hours of employee 
exposure (equivalent to 100 employees working 2,000 hours per year). The 
incidence rate for a particular injury category will be based on the 
formula:

IR = (number of cases x 200,000) divided by hours of employee exposure.


MSHA will develop data respecting injury severity using days away from 
work or days of restricted work activity and the 200,000 hour base as 
criteria. The severity measure (SM) for a particular injury category 
will be based on the formula:

SM = (sum of days x 200,000) divided by hours of employee exposure.

[42 FR 65535, Dec. 30, 1977; 43 FR 1617, Jan. 11, 1978, as amended at 43 
FR 12318, Mar. 24, 1978; 71 FR 16666, Apr. 3, 2006]

[[Page 253]]



Sec. 50.2  Definitions.

    As used in this part:
    (a) Mine means: (1) An area of land from which minerals are 
extracted in nonliquid form or, if in liquid form, are extracted with 
workers underground (2) private ways and roads appurtenant to such area, 
and (3) lands, excavations, underground passageways, shafts, slopes, 
tunnels and workings, structures, facilities, equipment, machines, 
tools, or other property including impoundments, retention dams, and 
tailings ponds, on the surface or underground, used in, or to be used 
in, or resulting from, the work of extracting such minerals from their 
natural deposits in nonliquid form, or if in liquid form, with workers 
underground, or used in, or to be used in, the milling of such minerals, 
or the work of preparing coal or other minerals, and includes custom 
coal preparation facilities.
    (b) Work of preparing the coal means the breaking, crushing, sizing, 
cleaning, washing, drying, mixing, storing, and loading of bituminous 
coal, lignite, or anthracite, and such other work of preparing such coal 
as is usually done by the operator of the coal mine.
    (c) Operator means
    (1) Any owner, lessee, or other person who operates, controls, or 
supervises a coal mine; or,
    (2) The person, partnership, association, or corporation, or 
subsidiary of a corporation operating a metal or nonmetal mine, and 
owning the right to do so, and includes any agent thereof charged with 
responsibility for the operation of such mine.
    (d) Miner means any individual working in a mine.
    (e) Occupational injury means any injury to a miner which occurs at 
a mine for which medical treatment is administered, or which results in 
death or loss of consciousness, inability to perform all job duties on 
any day after an injury, temporary assignment to other duties, or 
transfer to another job.
    (f) Occupational illness means an illness or disease of a miner 
which may have resulted from work at a mine or for which an award of 
compensation is made.
    (g) First aid means one-time treatment, and any follow-up visit for 
observational purposes, of a minor injury.
    (h) Accident means: (1) A death of an individual at a mine;
    (2) An injury to an individual at a mine which has a reasonable 
potential to cause death;
    (3) An entrapment of an individual for more than 30 minutes or which 
has a reasonable potential to cause death;
    (4) An unplanned inundation of a mine by a liquid or gas;
    (5) An unplanned ignition or explosion of gas or dust;
    (6) In underground mines, an unplanned fire not extinguished within 
10 minutes of discovery; in surface mines and surface areas of 
underground mines, an unplanned fire not extinguished within 30 minutes 
of discovery;
    (7) An unplanned ignition or explosion of a blasting agent or an 
explosive;
    (8) An unplanned roof fall at or above the anchorage zone in active 
workings where roof bolts are in use; or, an unplanned roof or rib fall 
in active workings that impairs ventilation or impedes passage;
    (9) A coal or rock outburst that causes withdrawal of miners or 
which disrupts regular mining activity for more than one hour;
    (10) An unstable condition at an impoundment, refuse pile, or culm 
bank which requires emergency action in order to prevent failure, or 
which causes individuals to evacuate an area; or, failure of an 
impoundment, refuse pile, or culm bank;
    (11) Damage to hoisting equipment in a shaft or slope which 
endangers an individual or which interferes with use of the equipment 
for more than thirty minutes; and
    (12) An event at a mine which causes death or bodily injury to an 
individual not at the mine at the time the event occurs.

[42 FR 65535, Dec. 30, 1977; 43 FR 1617, Jan. 11, 1978, as amended at 43 
FR 12318, Mar. 24, 1978; 69 FR 26499, May 13, 2004; 71 FR 71452, Dec. 8, 
2006]



     Subpart B_Notification, Investigation, Preservation of Evidence



Sec. 50.10  Immediate notification.

    The operator shall immediately contact MSHA at once without delay 
and

[[Page 254]]

within 15 minutes at the toll-free number, 1-800-746-1553, once the 
operator knows or should know that an accident has occurred.

[71 FR 71452, Dec. 8, 2006]



Sec. 50.11  Investigation.

    (a) After notification of an accident by an operator, the MSHA 
District Manager will promptly decide whether to conduct an accident 
investigation and will promptly inform the operator of his decision. If 
MSHA decides to investigate an accident, it will initiate the 
investigation within 24 hours of notification.
    (b) Each operator of a mine shall investigate each accident and each 
occupational injury at the mine. Each operator of a mine shall develop a 
report of each investigation. No operator may use Form 7000-1 as a 
report, except that an operator of a mine at which fewer than twenty 
miners are employed may, with respect to that mine, use Form 7000-1 as 
an investigation report respecting an occupational injury not related to 
an accident. No operator may use an investigation or an investigation 
report conducted or prepared by MSHA to comply with this paragraph. An 
operator shall submit a copy of any investigation report to MSHA at its 
request. Each report prepared by the operator shall include,
    (1) The date and hour of occurrence;
    (2) The date the investigation began;
    (3) The names of individuals participating in the investigation;
    (4) A description of the site;
    (5) An explanation of the accident or injury, including a 
description of any equipment involved and relevant events before and 
after the occurrence, and any explanation of the cause of any injury, 
the cause of any accident or cause of any other event which caused an 
injury;
    (6) The name, occupation, and experience of any miner involved;
    (7) A sketch, where pertinent, including dimensions depicting the 
occurrence;
    (8) A description of steps taken to prevent a similar occurrence in 
the future; and
    (9) Identification of any report submitted under Sec. 50.20 of this 
part.

[42 FR 65535, Dec. 30, 1977, as amended at 69 FR 26499, May 13, 2004]



Sec. 50.12  Preservation of evidence.

    Unless granted permission by a MSHA District Manager Manager, no 
operator may alter an accident site or an accident related area until 
completion of all investigations pertaining to the accident except to 
the extent necessary to rescue or recover an individual, prevent or 
eliminate an imminent danger, or prevent destruction of mining 
equipment.

[42 FR 65535, Dec. 30, 1977; 43 FR 1617, Jan. 11, 1978, as amended at 69 
FR 26499, May 13, 2004]



        Subpart C_Reporting of Accidents, Injuries, and Illnesses



Sec. 50.20  Preparation and submission of MSHA Report Form 7000-1--Mine 

Accident, Injury, and Illness Report.

    (a) Each operator shall maintain at the mine office a supply of MSHA 
Mine Accident, Injury, and Illness Report Form 7000-1. These may be 
obtained from the MSHA District Office. Each operator shall report each 
accident, occupational injury, or occupational illness at the mine. The 
principal officer in charge of health and safety at the mine or the 
supervisor of the mine area in which an accident or occupational injury 
occurs, or an occupational illness may have originated, shall complete 
or review the form in accordance with the instructions and criteria in 
Sec. Sec. 50.20-1 through 50.20-7. If an occupational illness is 
diagnosed as being one of those listed in Sec. 50.20-6(b)(7), the 
operator must report it under this part. The operator shall mail 
completed forms to MSHA within ten working days after an accident or 
occupational injury occurs or an occupational illness is diagnosed. When 
an accident specified in Sec. 50.10 occurs, which does not involve an 
occupational injury, sections A, B, and items 5 through 12 of section C 
of Form 7000-1 shall be completed and mailed to MSHA in accordance with 
the instructions in Sec. 50.20-1 and criteria contained in Sec. Sec.  
50.20-4 through 50.20-6.

[[Page 255]]

    (b) Each operator shall report each occupational injury or 
occupational illness on one set of forms. If more than one miner is 
injured in the same accident or is affected simultaneously with the same 
occupational illness, an operator shall complete a separate set of forms 
for each miner affected. To the extent that the form is not self-
explanatory, an operator shall complete the form in accordance with the 
instructions in Sec. 50.20-1 and criteria contained in Sec. Sec.  
50.20-2 through 50.20-7.

(Secs. 103 (a) and (h), and 508, Pub. L. 91-173, as amended by Pub. L. 
95-164, 91 Stat. 1297, 1299, 83 Stat. 803 (30 U.S.C. 801, 813, 957))

[42 FR 65535, Dec. 30, 1977, as amended at 44 FR 52828, Sept. 11, 1979; 
60 FR 35695, July 11, 1995; 69 FR 26499, May 13, 2004]



Sec. 50.20-1  General instructions for completing MSHA Form 7000-1.

    Each Form 7000-1 consists of four sheets, an original and three 
copies. The original form shall be mailed to:MSHA Office of Injury and 
Employment Information, P.O. Box 25367, Denver Federal Center, Denver, 
Colo. 80225, within ten working days after an accident, occupational 
injury or occupational illness. At the same time, the first copy shall 
be mailed to the appropriate local MSHA district office. If the first 
copy does not contain a completed Section D--Return to Duty 
Information--the second copy shall be retained by the operator until the 
miner returns to work or a final disposition is made respecting the 
miner. When the miner returns to work or a final disposition is made, 
the operator shall, within five days, complete Section D and mail the 
second copy to the MSHA Office of Injury and Employment Information at 
the above address. A third copy, containing all the information in the 
first and second copies shall be retained at the mine office closest to 
the mine for a period of five years. You may also submit reports by 
facsimile, 888-231-5515. To file electronically, follow the instructions 
on MSHA Internet site, http://www.msha.gov. For assistance in electronic 
filing, contact the MSHA help desk at 877-778-6055.

[42 FR 65535, Dec. 30, 1977; 43 FR 1617, Jan. 11, 1978; 60 FR 35695, 
July 11, 1995, as amended at 69 FR 26499, May 13, 2004; 71 FR 16666, 
Apr. 3, 2006]



Sec. 50.20-2  Criteria--``Transfer to another job.''

    ``Transfer to another job'' means transfers, either temporary, or 
permanent, which are occasioned by a work-related injury or illness. 
Permanent or temporary transfers to remove miners from further exposure 
to health hazards are considered preventative in nature and are not 
required to be reported. Controlling the amount of exposure to radiation 
during some period of time is one example. Transfer of a coal miner to a 
less dusty area of a mine when the miner elects to exercise rights under 
Section 203(b) of the Federal Coal Mine Health and Safety Act of 1969 is 
another example.



Sec. 50.20-3  Criteria--Differences between medical treatment and first aid.

    (a) Medical treatment includes, but is not limited to, the suturing 
of any wound, treatment of fractures, application of a cast or other 
professional means of immobilizing an injured part of the body, 
treatment of infection arising out of an injury, treatment of bruise by 
the drainage of blood, surgical removal of dead or damaged skin 
(debridement), amputation or permanent loss of use of any part of the 
body, treatment of second and third degree burns. Procedures which are 
diagnostic in nature are not considered by themselves to constitute 
medical treatments. Visits to a physician, physical examinations, X-ray 
examinations, and hospitalization for observations, where no evidence of 
injury or illness is found and no medical treatment given, do not in 
themselves constitute medical treatment. Procedures which are preventive 
in nature also are not considered by themselves to constitute medical 
treatment. Tetanus and flu shots are considered preventative in nature. 
First aid includes any one-time treatment, and follow-up visit for the 
purpose of observation, of minor injuries such as, cuts, scratches, 
first degree burns and splinters. Ointments, salves, antiseptics, and 
dressings to minor injuries are considered to be first aid.
    (1) Abrasion. (i) First aid treatment is limited to cleaning a 
wound, soaking, applying antiseptic and nonprescription medication and 
bandages on the

[[Page 256]]

first visit and follow-up visits limited to observation including 
changing dressing and bandages. Additional cleaning and application of 
antiseptic constitutes first aid where it is required by work duties 
that soil the bandage.
    (ii) Medical treatment includes examination for removal of imbedded 
foreign material, multiple soakings, whirlpool treatment, treatment of 
infection, or other professional treatments and any treatment involving 
more than a minor spot-type injury. Treatment of abrasions occurring to 
greater than full skin depth is considered medical treatment.
    (2) Bruises. (i) First aid treatment is limited to a single soaking 
or application of cold compresses, and follow-up visits if they are 
limited only to observation.
    (ii) Medical treatment includes multiple soakings, draining of 
collected blood, or other treatment beyond observation.
    (3) Burns, Thermal and Chemical (resulting in destruction of tissue 
by direct contact). (i) First aid treatment is limited to cleaning or 
flushing the surface, soaking, applying cold compresses, antiseptics or 
nonprescription medications, and bandaging on the first visit, and 
follow-up visits restricted to observation, changing bandages, or 
additional cleaning. Most first degree burns are amenable to first aid 
treatment.
    (ii) Medical treatment includes a series of treatments including 
soaks, whirlpool, skin grafts, and surgical debridement (cutting away 
dead skin). Most second and third degree burns require medical 
treatment.
    (4) Cuts and Lacerations. (i) First aid treatment is the same as for 
abrasions except the application of butterfly closures for cosmetic 
purposes only can be considered first aid.
    (ii) Medical treatment includes the application of butterfly 
closures for non-cosmetic purposes, sutures, (stitches), surgical 
debridement, treatment of infection, or other professional treatment.
    (5) Eye Injuries. (i) First aid treatment is limited to irrigation, 
removal of foreign material not imbedded in eye, and application of 
nonprescription medications. A precautionary visit (special examination) 
to a physician is considered as first aid if treatment is limited to 
above items, and follow-up visits if they are limited to observation 
only.
    (ii) Medical treatment cases involve removal of imbedded foreign 
objects, use of prescription medications, or other professional 
treatment.
    (6) Inhalation of Toxic or Corrosive Gases. (i) First aid treatment 
is limited to removal of the miner to fresh air or the one-time 
administration of oxygen for several minutes.
    (ii) Medical treatment consists of any professional treatment beyond 
that mentioned under first aid and all cases involving loss of 
consciousness.
    (7) Foreign Objects. (i) First aid treatment is limited to cleaning 
the wound, removal of any foreign object by tweezers or other simple 
techniques, application of antiseptics and nonprescription medications, 
and bandaging on the first visit. Follow-up visits are limited to 
observation including changing of bandages. Additional cleaning and 
applications of antiseptic constitute first aid where it is required by 
work duties that soil the bandage.
    (ii) Medical treatment consists of removal of any foreign object by 
physician due to depth of imbedment, size or shape of object, or 
location of wound. Treatment for infection, treatment of a reaction to 
tetanus booster, or other professional treatment, is considered medical 
treatment.
    (8) Sprains and Strains. (i) First aid treatment is limited to 
soaking, application of cold compresses, and use of elastic bandages on 
the first visit. Follow-up visits for observation, including reapplying 
bandage, are first aid.
    (ii) Medical treatment includes a series of hot and cold soaks, use 
of whirlpools, diathermy treatment, or other professional treatment.

[42 FR 65535, Dec. 30, 1977; 43 FR 12318, Mar. 24, 1978]



Sec. 50.20-4  Criteria--MSHA Form 7000-1, Section A.

    (a) MSHA I.D. number. Enter the seven digit number assigned to the 
mine operation by MSHA. If the number is unknown, the nearest MSHA 
District Office should be contacted.

[[Page 257]]

    (b) Mine name. Enter the exact name of the operation to which the 
MSHA I.D. number was assigned.
    (c) Company name. Enter the name of the mining company submitting 
this report or, if not a company, the operator's name.

[42 FR 65535, Dec. 30, 1977, as amended at 69 FR 26499, May 13, 2004]



Sec. 50.20-5  Criteria--MSHA Form 7000-1, Section B.

    (a) This section shall be completed for all accidents immediately 
reported to MSHA as defined in Sec. 50.10. Circle the code from the 
following list which best defines the accident:

Code 01--A death of an individual at a mine;
Code 02--An injury to an individual at a mine which has a reasonable 
potential to cause death;
Code 03--An entrapment of an individual for more than 30 minutes;
Code 04--An unplanned mine inundation by a liquid or gas;
Code 05--An unplanned ignition or explosion of dust or gas;
Code 06--An unplanned mine fire not extinguished within 30 minutes of 
discovery;
Code 07--An unplanned ignition of a blasting agent or an explosive;
Code 08--An unplanned roof fall at or above the anchorage zone in active 
workings where roof bolts are in use; or a roof or rib fall on active 
workings that impairs ventilation or impedes passage;
Code 09--A coal or rock outburst that causes withdrawal of miners or 
which disrupts regular mining activity for more than one hour;
Code 10--An unstable condition at an impoundment, refuse pile, or culm 
bank which requires emergency action in order to prevent failure, or 
which causes individuals to evacuate an area; or, failure of an 
impoundment, refuse pile, or culm bank;
Code 11--Damage to hoisting equipment in a shaft or slope which 
endangers an individual or which interferes with use of the equipment 
for more than thirty minutes; and
Code 12--An event at a mine which causes death or bodily injury to an 
individual not at the mine at the time the event occurs.



Sec. 50.20-6  Criteria--MSHA Form 7000-1, Section C.

    (a) Complete items 5 through 12 for each accident, occupational 
injury, or occupational illness.
    (1) Item 5. Location and mining method. Circle the appropriate 
location code that was nearest to the location of the accident injury or 
illness. If the accident injury or illness occurred at the surface, 
circle only the surface location code in column (a). If the accident 
injury or illness occurred underground, circle only the underground 
location code in column (b). Where applicable, circle the underground 
mining method code in column (c). Applicable codes for columns (a), (b), 
and (c) are as follows:
    (i) Column (a)--Surface location codes. If the accident injury or 
illness occurred at the surface of a mine, circle one of the following 
codes which best describes where the accident injury or illness occurred 
and ignore columns (b) and (c):

Code 02--Surface shop, yard, etc., at an underground mine;
Code 30--Mill operation, preparation plant, or breaker, including 
associated shops and yards;
Code 03--Surface strip or open pit mine, including shop and yard;
Code 04--Surface auger coal operation on a coal mine, including shop and 
yard;
Code 05--Surface culm bank or refuse pile at a coal mine, including shop 
and yard;
Code 06--Dredge mining, including shop and yard;
Code 12--Other surface mining;
Code 17--Independent shops;
Code 99--Office facilities.

    (ii) Column (b)--Underground location codes. If the accident injury 
or illness occurred underground, circle the one code which best 
describes where the accident injury or illness occurred:

Code 01--Vertical shaft;
Code 02--Slope/Inclined shaft;
Code 03--Face;
Code 04--Intersection;
Code 05--Underground Shop/Office;
Code 06--Other.

    (iii) Column (c)--Underground mining method. If the underground 
accident injury or illness occurred on a working section or working 
place, enter the code for the mining method at that working section or 
working place:

Code 01--Longwall;
Code 02--Shortwall;
Code 03--Conventional/stoping;
Code 05--Continuous Miners;
Code 06--Hand Loading;
Code 07--Caving;
Code 08--Other.


[[Page 258]]


    (2) Item 6. Date of accident injury or illness. Enter the date the 
accident injury or illness occurred.
    (3) Item 9. Describe fully the conditions contributing to the 
accident injury or illness and quantify the damage or impairment. 
Describe what happened and the reasons therefor, identify the factors 
which led or contributed to the accident, injury or illness and identify 
any damage or impairment to the mining operation. The narrative shall 
clearly specify the actual cause or causes of the accident injury or 
illness and shall include the following:
    (i) Whether the accident injury or illness involved any aspect of 
compliance with rules and regulations;
    (ii) Whether the accident injury or illness involved mine equipment 
or the mining system;
    (iii) Whether the accident injury or illness involved job skills and 
miner proficiency, training and attitude; and
    (iv) Whether the accident injury or illness involved protective 
items relating to clothing, or protective devices on equipment.
    (4) Item 10. If equipment was involved in the accident, injury or 
illness specify type (loader, shuttle car, dozer, etc.), name of 
manufacturer, and equipment model number.
    (5) Item 11. Name of witness to accident injury or illness. If any 
miner witnessed the accident injury or illness, enter the name.
    (b) Complete items 13-27 for each occupational injury, or 
occupational illness.
    (1) Item 13. Name of injured/ill miner. Enter the miner's name 
(first, middle initial, and last).
    (2) Item 17. Regular job title. Enter the miner's regular job title. 
For example: ``shuttle car operator''.
    (3) Item 19. Check if this injury/illness resulted in permanent 
total or partial disability.
    (i) ``Permanent total disability.'' The classification for any 
injury or illness other than death which permanently and totally 
incapacitates an employee from following any gainful occupation or which 
results in the loss, or the complete loss of use, of any of the 
following in one accident injury or illness:
    (A) Both eyes;
    (B) One eye and one hand, or arm, or leg, or foot;
    (C) Any two of the following not on the same limb: hand, arm, foot, 
or leg.
    (ii) ``Permanent partial disability.'' The classification for any 
injury or illness other than death or permanent total disability which 
results in the loss, or complete loss of use, of any member or part of a 
member of the body, or any permanent impairment of functions of the body 
or part thereof, regardless of any preexisting disability of the 
affected member or impaired body function.
    (4) Item 20. What directly inflicted injury or illness. Name the 
object or substance which directly affected the miner. For example: the 
machine or thing struck against or which struck the miner; the vapor or 
poison inhaled or swallowed; the chemical or non-ionizing radiation 
which irritated the skin; or in cases of strains or hernias, the thing 
lifted or pulled.
    (5) Item 21. Nature of injury or illness. For injuries, use commonly 
used medical terms to answer this question such as puncture wound, third 
degree burn, fracture, dislocation, amputation. For multiple injuries, 
enter the injury which was the most serious. For illness, name the 
illness, such as pneumoconiosis, silicosis. Avoid general terms such as 
``hurt'', ``sore'', ``sick''.
    (6) Item 22. Part of body injured or affected. Name the part of the 
body with the most serious injury. For example, if an injured employee 
has a bruised finger and a broken ankle, write ``ankle''. If amputation, 
enter part of the body lost.
    (7) Item 23. Occupational Illness. Circle the code from the list 
below which most accurately describes the illness. These are typical 
examples and are not to be considered the complete listing of the types 
of illnesses and disorders that should be included under each category. 
In cases where the time of onset of illness is in doubt, the day of 
diagnosis of illness will be considered as the first day of illness.
    (i) Code 21--Occupational Skin Diseases or Disorders. Examples: 
Contact dermatitis, eczema, or rash caused by primary irritants and 
sensitizers or

[[Page 259]]

poisonous plants; oil acne; chrome ulcers; chemical burns or 
inflammations.
    (ii) Code 22--Dust Diseases of the Lungs (Pneumoconioses). Examples: 
Silicosis, asbestosis, coal worker's pneumoconiosis, and other 
pneumoconioses.
    (iii) Code 23--Respiratory Conditions due to Toxic Agents. Examples: 
Pneumonitis, pharyngitis, rhinitis, or acute congestion due to 
chemicals, dusts, gases, or fumes.
    (iv) Code 24--Poisoning (Systemic Effects of Toxic Materials). 
Examples: Poisoning by lead, mercury, cadmium, arsenic, or other metals, 
poisoning by carbon monoxide, hydrogen sulfide or other gases; poisoning 
by benzol, carbon tetrachloride, or other organic solvents; poisoning by 
insecticide sprays such as parathion, lead arsenate; poisoning by other 
chemicals such as formaldehyde, plastics and resins.
    (v) Code 25--Disorders Due to Physical Agents (Other than Toxic 
Materials). Examples: Heatstroke, sunstroke, heat exhaustion and other 
effects of environmental heat; freezing, frostbite and effects of 
exposure to low temperatures; caisson disease; effects of ionizing 
radiation (radon daughters, non-medical, non-therapeutic X-rays, 
radium); effects of nonionizing radiation (welding flash, ultra-violet 
rays, micro-waves, sunburn).
    (vi) Code 26--Disorders Associated with Repeated Trauma. Examples: 
Noise-induced hearing loss; synovitis, tenosynovitis, and bursitis; 
Raynaud's phenomena; and other conditions due to repeated motion, 
vibration or pressure.
    (vii) Code 29--All Other Occupational Illnesses. Examples: 
Infectious hepatitis, malignant and benign tumors, any form of cancer, 
kidney diseases, food poisoning, histoplasmosis.
    (8) Item 24. Miner's work activity when injury or illness occurred. 
Describe exactly the activity of the injured miner when the occupational 
injury or occupational illness occurred. For example: ``Setting 
temporary support prior to drilling holes for roof bolts.''

(Secs. 103 (a) and (h), and 508, Pub. L. 91-173, as amended by Pub. L. 
95-164, 91 Stat. 1297, 1299, 83 Stat. 803 (30 U. S. C. 801, 813, 957))

[42 FR 65535, Dec. 30, 1977; 43 FR 1617, Jan. 11, 1978, as amended at 44 
FR 52828, Sept. 11, 1979; 69 FR 26499, May 13, 2004]



Sec. 50.20-7  Criteria--MSHA Form 7000-1, Section D.

    This section requires information concerning the miner's return to 
duty.
    (a) Item 28. Permanently transferred or terminated. Check this block 
if the miner's employment was terminated or if the miner was permanently 
transferred to another regular job as a direct result of the 
occupational injury or occupational illness.
    (b) Item 29. Show the date that the injured person returned to his 
regular job at full capacity (not to restricted work activity) or was 
transferred or terminated.
    (c) Item 30. Number of days away from work. Enter the number of 
work-days, consecutive or not, on which the miner would have worked but 
could not because of occupational injury or occupational illness. The 
number of days away from work shall not include the day of injury or 
onset of illness or any days on which the miner would not have worked 
even though able to work. If an employee loses a day from work solely 
because of the unavailability of professional medical personnel for 
initial observation or treatment and not as a direct consequence of the 
injury or illness, the day should not be counted as a day away from 
work.
    (d) Item 31. Number of days of restricted work activity. Enter the 
number of workdays, consecutive or not, on which because of occupational 
injury or occupational illness:
    (1) The miner was assigned to another job on a temporary basis;
    (2) The miner worked at a permanent job less than full time; or
    (3) The miner worked at a permanently assigned job but could not 
perform all duties normally connected with it. The number of days of 
restricted work activity shall not include the day of injury or onset of 
illness, or any days the miner did not work even though able to work.

[[Page 260]]


If an injured or ill employee receives scheduled follow-up medical 
treatment or observation which results in the loss of a full workday 
solely because of the unavailability of professional medical personnel, 
it will not be counted as a day of restricted work activity. Days of 
restricted work activity end as the result of any of the following:
    (i) The miner returns to his regularly scheduled job and performs 
all of its duties for a full day or shift;
    (ii) The miner is permanently transferred to another permanent job 
(which shall be reported under Item 28, Permanently Transferred or 
Terminated). If this happens, even though the miner could not perform 
this original job any longer, the Days of Restricted Work Activity will 
stop; or
    (iii) The miner is terminated or leaves the mine. (Termination shall 
also be reported under Item 28, Permanently Transferred or Terminated).



        Subpart D_Quarterly Employment and Coal Production Report



Sec. 50.30  Preparation and submission of MSHA Form 7000-2--Quarterly 

Employment and Coal Production Report.

    (a) Each operator of a mine in which an individual worked during any 
day of a calendar quarter shall complete a MSHA Form 7000-2 in 
accordance with the instructions and criteria in Sec. 50.30-1 and 
submit the original to the MSHA Office of Injury and Employment 
Information, P.O. Box 25367, Denver Federal Center, Denver, Colo. 80225, 
within 15 days after the end of each calendar quarter. These forms may 
be obtained from the MSHA District Office. Each operator shall retain an 
operator's copy at the mine office nearest the mine for 5 years after 
the submission date. You may also submit reports by facsimile, 888-231-
5515. To file electronically, follow the instructions on MSHA Internet 
site, http://www.msha.gov. For assistance in electronic filing, contact 
the MSHA help desk at 877-778-6055.
    (b) Each operator of a coal mine in which an individual worked 
during any day of a calendar quarter shall report coal production on 
Form 7000-2.

[42 FR 65535, Dec. 30, 1977, as amended at 60 FR 35695, July 11, 1995; 
69 FR 26499, May 13, 2004]



Sec. 50.30-1  General instructions for completing MSHA Form 7000-2.

    (a) MSHA I.D. Number is the 7-digit number assigned to the mine 
operation by MSHA. Any questions regarding the appropriate I.D. number 
to use should be directed to your local MSHA District Office.
    (b) Calendar Quarter: First quarter is January, February, and March. 
Second quarter is April, May, and June. Third quarter is July, August, 
and September. Fourth quarter is October, November, and December.
    (c) County is the name of the county, borough, or independent city 
in which the operation is located.
    (d) Operation Name is the specific name of the mine or plant to 
which the MSHA I.D. number was assigned and for which the quarterly 
employment report is being submitted.
    (e) Company Name is the name of the operating company that this 
report pertains to.
    (f) Mailing Address is the address of the mine office where the 
quarterly employment report is to be retained. This should be as near 
the operation as possible.
    (g) Employment, Employee Hours, and Coal Production--(1) Operation 
Sub-Unit: (i) Underground Mine: Report data for your underground workers 
on the first line. If you have personnel working at the surface of your 
underground mine, report data for those persons on the second line;
    (ii) Surface Mine (Including Shops and Yards): Report on the 
appropriate line, employment and coal production for the mining 
operation. For surface mining sub-units 03, 04, 05 and 06, include all 
work associated with shops and yards;
    (iii) Mill Operations, Preparation Plants, Breakers: Report data on 
all persons employed at your milling (crushing, sizing, grinding, 
concentrating, etc.) operation, preparation plant, or breaker, including 
those working in associated shops and yards. (Do not include personnel 
reported in

[[Page 261]]

shops and yards associated with other sub-units.);
    (iv) Office: Include in this category employees who work principally 
at the mine or preparation facility office.
    (2) Average number of persons working during quarter: Show the 
average number of employees on the payroll during all active periods in 
the quarter. Include all classes of employees (supervisory, 
professional, technical proprietors, owners, operators, partners, and 
service personnel) on your payroll, full or part-time, Report Each 
Employee Under One Activity Only. For example: If one or more persons 
work both in the mine and the mill, report these employees under the 
activity where they spend most of their time. If necessary, estimate for 
the major activity. The average number may be computed by adding 
together the number of employees working during each pay period and then 
dividing by the number of pay periods. Do not include pay periods where 
no one worked. For example, during the quarter you had 5 pay periods 
where employees worked. The number of employees in each pay period was 
10, 12, 13, 14 and 15 respectively. To compute the average, add the 
number of employees working each pay period (10+12+13+14+15=64). Then 
divide by the number of pay periods (64 divided by 5=12.8). Rounding 
this to the nearest whole number, we get 13 as the average number of 
persons working.
    (3) Total employee-hours worked during the quarter: Show the total 
hours worked by all employees during the quarter covered. Include all 
time where the employee was actually on duty, but exclude vacation, 
holiday, sick leave, and all other off-duty time, even though paid for. 
Make certain that each overtime hour is reported as one hour, and not as 
the overtime pay multiple for an hour of work. The hours reported should 
be obtained from payroll or other time records. If actual hours are not 
available, they may be estimated on the basis of scheduled hours. Make 
certain not to include hours paid but not worked.
    (4) Production of clean coal (short tons): This section is to be 
compiled only by operators of underground or surface mines, but not by 
operators of central or independent coal preparation plants or operators 
of metal or nonmetal mines. Enter the total production of clean coal 
from the mine. This must include coal shipped from the mine and coal 
used for fuel at the mine, but exclude refuse and coal produced at 
another mine and purchased for use at the mine.
    (h) Other Reportable Data. Indicate the number of reportable 
injuries or illnesses occurring at your operation during the quarter 
covered by this report. Show the name, title, and telephone number of 
the person to be contacted regarding this report, and show the date that 
this report was completed.

[42 FR 65535, Dec. 30, 1977, as amended at 69 FR 26500, May 13, 2004]



      Subpart E_Maintenance of Records; Verification of Information



Sec. 50.40  Maintenance of records.

    (a) Each operator of a mine shall maintain a copy of each 
investigation report required to be prepared under Sec. 50.11 at the 
mine office closest to the mine for five years after the concurrence.
    (b) Each operator shall maintain a copy of each report submitted 
under Sec. 50.20 or Sec.  50.30 at the mine office closest to the mine 
for five years after submission. Upon request by the Mine Safety and 
Health Administration, an operator shall make a copy of any report 
submitted under Sec. 50.20 or Sec.  50.30 available to MSHA for 
inspection or copying.

[42 FR 65535, Dec. 30, 1977, as amended at 43 FR 12318, Mar. 24, 1978]



Sec. 50.41  Verification of reports.

    Upon request by MSHA, an operator shall allow MSHA to inspect and 
copy information related to an accident, injury or illnesses which MSHA 
considers relevant and necessary to verify a report of investigation 
required by Sec. 50.11 of this part or relevant and necessary to a 
determination of compliance with the reporting requirements of this 
part.

[[Page 262]]



                         SUBCHAPTER J [RESERVED]

[[Page 263]]



         SUBCHAPTER K_METAL AND NONMETAL MINE SAFETY AND HEALTH



PART 56_SAFETY AND HEALTH STANDARDS_SURFACE METAL AND NONMETAL MINES--Table of 

Contents




                            Subpart A_General

Sec.
56.1 Purpose and scope.
56.2 Definitions.

                               Procedures

56.1000 Notification of commencement of operations and closing of mines.

                        Subpart B_Ground Control

56.3000 Definitions.

                             Mining Methods

56.3130 Wall, bank, and slope stability.
56.3131 Pit or quarry wall perimeter.

                           Scaling and Support

56.3200 Correction of hazardous conditions.
56.3201 Location for performing scaling.
56.3202 Scaling tools.
56.3203 Rock fixtures.

                               Precautions

56.3400 Secondary breakage.
56.3401 Examination of ground conditions.
56.3430 Activity between machinery or equipment and the highwall or 
          bank.

                  Subpart C_Fire Prevention and Control

56.4000 Definitions.
56.4011 Abandoned electric circuits.

                  Prohibitions/Precautions/Housekeeping

56.4100 Smoking and use of open flames.
56.4101 Warning signs.
56.4102 Spillage and leakage.
56.4103 Fueling internal combustion engines.
56.4104 Combustible waste.
56.4130 Electric substations and liquid storage facilities.

                         Firefighting Equipment

56.4200 General requirements.
56.4201 Inspection.
56.4202 Fire hydrants.
56.4203 Extinguisher recharging or replacement.
56.4230 Self-propelled equipment.

                  Firefighting Procedures/Alarms/Drills

56.4330 Firefighting, evacuation, and rescue procedures.
56.4331 Firefighting drills.

               Flammable and Combustible Liquids and Gases

56.4400 Use restrictions.
56.4401 Storage tank foundations.
56.4402 Safety can use.
56.4430 Storage facilities.

                  Installation/Construction/Maintenance

56.4500 Heat sources.
56.4501 Fuel lines.
56.4502 Battery-charging stations.
56.4503 Conveyor belt slippage.
56.4530 Exits.
56.4531 Flammable or combustible liquid storage buildings or rooms.

                    Welding/Cutting/Compressed Gases

56.4600 Extinguishing equipment.
56.4601 Oxygen cylinder storage.
56.4602 Gauges and regulators.
56.4603 Closure of valves.
56.4604 Preparation of pipelines or containers.

Appendix I to Subpart C--National Consensus Standards

                Subpart D_Air Quality and Physical Agents

                               Air Quality

56.5001 Exposure limits for airborne contaminants.
56.5002 Exposure monitoring.
56.5005 Control of exposure to airborne contaminants.
56.5006 Restricted use of chemicals.

                          Subpart E_Explosives

56.6000 Definitions.

                                 Storage

56.6100 Separation of stored explosive material.
56.6101 Areas around explosive material storage facilities.
56.6102 Explosive material storage practices.
56.6130 Explosive material storage facilities.
56.6131 Location of explosive material storage facilities.
56.6132 Magazine requirements.
56.6133 Powder chests.

                             Transportation

56.6200 Delivery to storage or blast site areas.

[[Page 264]]

56.6201 Separation of transported explosive material.
56.6202 Vehicles.
56.6203 Locomotives.
56.6204 Hoists.
56.6205 Conveying explosives by hand.

                                   Use

56.6300 Control of blasting operations.
56.6301 Blasthole obstruction check.
56.6302 Separation of explosive material.
56.6303 Initiation preparation.
56.6304 Primer protection.
56.6305 Unused explosive material.
56.6306 Loading, blasting, and security.
56.6307 Drill stem loading.
56.6308 Initiation systems.
56.6309 Fuel oil requirements for ANFO.
56.6310 Misfire waiting period.
56.6311 Handling of misfires.
56.6312 Secondary blasting.

                            Electric Blasting

56.6400 Compatibility of electric detonators.
56.6401 Shunting.
56.6402 Deenergized circuits near detonators.
56.6403 Branch circuits.
56.6404 Separation of blasting circuits from power source.
56.6405 Firing devices.
56.6406 Duration of current flow.
56.6407 Circuit testing.

                          Nonelectric Blasting

56.6500 Damaged initiating material.
56.6501 Nonelectric initiation systems.
56.6502 Safety fuse.

                         Extraneous Electricity

56.6600 Loading practices.
56.6601 Grounding.
56.6602 Static electricity dissipation during loading.
56.6603 Air gap.
56.6604 Precautions during storms.
56.6605 Isolation of blasting circuits.

                             Equipment/Tools

56.6700 Nonsparking tools.
56.6701 Tamping and loading pole requirements.

                               Maintenance

56.6800 Storage facilities.
56.6801 Vehicle repair.
56.6802 Bulk delivery vehicles.
56.6803 Blasting lines.

                          General Requirements

56.6900 Damaged or deteriorated explosive material.
56.6901 Black powder.
56.6902 Excessive temperatures.
56.6903 Burning explosive material.
56.6904 Smoking and open flames.
57.6905 Protection of explosive material.

               Subpart F_Drilling and Rotary Jet Piercing

                                Drilling

56.7002 Equipment defects.
56.7003 Drill area inspection.
56.7004 Drill mast.
56.7005 Augers and drill stems.
56.7008 Moving the drill.
56.7009 Drill helpers.
56.7010 Power failures.
56.7011 Straightening crossed cables.
56.7012 Tending drills in operation.
56.7013 Covering or guarding drill holes.
56.7018 Hand clearance.
56.7050 Tool and drill steel racks.
56.7051 Loose objects on the mast or drill platform.
56.7052 Drilling positions.
56.7053 Moving hand-held drills.
56.7055 Intersecting holes.
56.7056 Collaring in bootlegs.

                           Rotary Jet Piercing

56.7801 Jet drills.
56.7802 Oxygen hose lines.
56.7803 Lighting the burner.
56.7804 Refueling.
56.7805 Smoking and open flames.
56.7806 Oxygen intake coupling.
56.7807 Flushing the combustion chamber.

Subpart G [Reserved]

                 Subpart H_Loading, Hauling, and Dumping

                             Traffic Safety

56.9100 Traffic control.
56.9101 Operating speeds and control of equipment.
56.9102 Movement of independently operating rail equipment.
56.9103 Clearance on adjacent tracks.
56.9104 Railroad crossings.

                 Transportation of Persons and Materials

56.9200 Transporting persons.
56.9201 Loading, hauling, and unloading of equipment or supplies.
56.9202 Loading and hauling large rocks.

Safety Devices, Provisions, and Procedures for Roadways, Railroads, and 
                        Loading and Dumping Sites

56.9300 Berms or guardrails.
56.9301 Dump site restraints.
56.9302 Protection against moving or runaway railroad equipment.
56.9303 Construction of ramps and dumping facilities.
56.9304 Unstable ground.
56.9305 Truck spotters.

[[Page 265]]

56.9306 Warning devices for restricted clearances.
56.9307 Design, installation, and maintenance of railroads.
56.9308 Switch throws.
56.9309 Chute design.
56.9310 Chute hazards.
56.9311 Anchoring stationary sizing devices.
56.9312 Working around drawholes.
56.9313 Roadway maintenance.
56.9314 Trimming stockpile and muckpile faces.
56.9315 Dust control.
56.9316 Notifying the equipment operator.
56.9317 Suspended loads.
56.9318 Getting on or off moving equipment.
56.9319 Going over, under, or between railcars.
56.9330 Clearance for surface equipment.

                        Subpart I_Aerial Tramways

56.10001 Filling buckets.
56.10002 Inspection and maintenance.
56.10003 Correction of defects.
56.10004 Brakes.
56.10005 Track cable connections.
56.10006 Tower guards.
56.10007 Falling object protection.
56.10008 Riding tramways.
56.10009 Riding loaded buckets.
56.10010 Starting precautions.

                          Subpart J_Travelways

56.11001 Safe access.
56.11002 Handrails and toeboards.
56.11003 Construction and maintenance of ladders.
56.11004 Portable rigid ladders.
56.11005 Fixed ladder anchorage and toe clearance.
56.11006 Fixed ladder landings.
56.11007 Wooden components of ladders.
56.11008 Restricted clearance.
56.11009 Walkways along conveyors.
56.11010 Stairstep clearance.
56.11011 Use of ladders.
56.11012 Protection for openings around travelways.
56.11013 Conveyor crossovers.
56.11014 Crossing moving conveyors.
56.11016 Snow and ice on walkways and travelways.
56.11017 Inclined fixed ladders.
56.11025 Railed landings, backguards, and other protection for fixed 
          ladders.
56.11026 Protection for inclined fixed ladders.
56.11027 Scaffolds and working platforms.

                          Subpart K_Electricity

56.12001 Circuit overload protection.
56.12002 Controls and switches.
56.12003 Trailing cable overload protection.
56.12004 Electrical conductors.
56.12005 Protection of power conductors from mobile equipment.
56.12006 Distribution boxes.
56.12007 Junction box connection procedures.
56.12008 Insulation and fittings for power wires and cables.
56.12010 Isolation or insulation of communication conductors.
56.12011 High-potential electrical conductors.
56.12012 Bare signal wires.
56.12013 Splices and repair