NCI-MSHA Records & Requirements Audit

Title Page

Site conducted
Date Completed
Lead Auditor
Audit Participants
Event Number

Part 40 - Miner's Representative

30 CFR Reference
Does the site have an elected Miner's Representative
§40.2 - Has the Miner's Representative completed and filed the required documentation with the local MSHA District?
§40.3 - Does the documentation meet the requirements of this section
§40.4 - Is a copy of the documentation posted on the mine's bulletin board?
Comments & Recommendations

Part 41 - Legal Identity

30CFR Reference
§41.10 - Has the site filed a Legal Identity ?
§41.11 - Does the Legal Identity contain the required information of this section?
§41.12 - Has the Legal Identity been updated within 30 calendar days to reflect site changes?
Comments & Recommendations

Part 45 - Independent Contractor Register

30 CFR Reference
Does the site employee Independent Contractors?
Does the site maintain a register of Independent Contractors?
Is the register updated with all current and applicable Independent Contractors?
When was the register most recently updated?
Does the Independent Contractor register contain: Trade name
Does the Independent Contractor register contain: Business address
Does the Independent Contractor register contain: Business telephone number
Does the Independent Contractor register contain: A description of the nature of work to be performed
Does the Independent Contractor register contain: MSHA identification number (if applicable)
Does the Independent Contractor register contain: Address of record for service of citations, orders, and documents
Comments & Recommendations

Part 47 - Hazardous Communication

§47.31 - Does the site have a written HazCom program?
When was the HazCom program most recently updated?

§47.32 - HazCom Program Requirements

Does the written HazCom program include: A labeling system or other forms of warning
Does the written HazCom program include: Methodology for hazard determination
Does the written HazCom program include: The use of Material Safety Data Sheets (MSDS) or Safety Data Sheets (SDS) for each hazardous chemical
Does the written HazCom program include: A means to access site MSDS or SDS for each hazardous chemical
Does the written HazCom program include: Training on the HazCom program requirements and access to chemical safety information
Does the written HazCom program include: A list of all hazardous chemicals known to be at the mine

§47.32 - MSDS/SDS Requirements

Are MSDS/SDS available for all hazardous chemicals onsite
Are MSDS/SDS accessible for all employees, contractors, and site visitors
Comments & Recommendations

Part 48 - Training

§48.3/23 - Training Plans

Does the site have an MSHA approved training plan(s)?
Does the site have more than one approved training plan (Part A and Part B)
What is the approval date of the current Part A - Underground plan
What is the approval date of the current Part B - Surface plan
What is the approval date of the current plan
Was the training plan filed and approved by the District Manager in which the mine is located
Does the currently approved plan correctly list the person and position of the individual designated responsible for health/safety/training at the site?
Is the list of MSHA approved instructors updated and accurate
Is the list of Trask Training activities representative of the tasks/work being performed at the site?

§48.9/29 - Training Records

Are training records properly completed on MSHA form 5000-23
Are training forms 5000-23 accurately filled out and completed according the the training type provided
Are training records retained for a minimum of 2 years for current employees

General

Are training records well organized
Are training records easily accessible
Does the site have a system (database, matrix, LMS, etc.) to accurately track miner task training and competencies
Comments & Recomendations

Part 49 - Mine Rescue

Is this an Underground operation?

§49.2 - Availability Of Mine Rescue Teams

Does the site have compliant Mine Rescue coverage through in-house teams, a rescue collective, or an agreement for external emergency services
At a minimum, are two teams consisting of 5 members each fully trained and available to respond if necessary
Are the responding team's (internal or external) rescue station and equipment located within a two hour ground travel time of the site
Has ground transportation been arranged to support the Mine Rescue response to the site
Has the local District Manager been sent a statement of compliance regarding the operation's Mine Rescue arrangements
Is a copy of the compliance statement posted at the site for miner's to review

§49.5 - Mine Rescue Stations

Has the site designated the location of the mine rescue station covering the mine
Does the station provide a proper storage environment for the storage of equipment
Is stored mine rescue equipment ready for immediate use

§49.6 - Equipment & Maintenance Requirements

General Equpment

Does the station have a portable supply of oxygen and carbon dioxide absorbent chemicals to provide a minimum of six hours of use for each Mine Rescue team
Does the station have at least one extra fully charged oxygen bottle for every six SCBA's
Does the station have a functioning oxygen pump or cascading system for recharging SCBA bottles
Does the station have a minimum of twelve functioning permissible cap lamps and chargers
Does the station have a minimum of two gas testers with appropriate sensors for each type of gas encountered
Does the station have a portable communications system with a minimum 1,000 foot cable/wire

SCBA's

Does the station house a minimum of twelve SCBA's
Does the station have sufficient spare parts for repairing equipment to ensure operational readiness
Are team members trained in the use and care of breathing apparatuses
Are SCBA's inspected at intervals of 30 days or less
Are inspections certified by the technician including their signature and date the SCBA was serviced
Are actions to repair SCBA defects recorded
Are records of SCBA repairs maintained for a minimum of one year

§49.7 - Team Member Physicals

Are all active team members have valid physical fitness exemptions
Are all active team member physicals completed on MSHA form 5000-3
Are physical examination records kept on file at the mine rescue station for a minimum of one year

§49.8 - Training Of Mine Rescue Teams

Have all active team members completed a minimum 20 induction course on the use, care, and maintained of the utilized SCBA's
Have all active team members received at least 40 hours of refresher training within the past twelve months
Is training provided 4 hours monthly or 8 hours bi-monthly
Have all active team members completed at least two underground training sessions in the past twelve months
Have all active team members completed at least six training sessions while wearing/using the SCBA's within the past twelve months
Have all active team members completed mine map and ventilation training within the past twelve months
Have all training sessions been conducted by MSHA certified instructors
Have all training sessions been sufficiently documented to show the training type, subject, duration, and the trainer who provided the instruction

§49.9 - Mine Emergency Notification Plan

Does the site have a mine rescue notification plan
Does the plan outline the procedures to follow for notifying mine rescue teams when an emergency occurs
Is a copy of the mine rescue notification plan posted on the bulletin board
Comments & Recommendations

Part 50 - Accident, Injury, and Employment Records

Has the site experienced any MSHA reportable accidents or injuries within the past 5 years?

§50.11 - Accident Investigation Reports

Has the site prepared an Accident Investigation Report for each occupational injury and immediately reportable event?
Do the prepared Accident Investigation Reports contain the nine (9) required sections and corresponding information?
Are Accident Investigation reports being retained for a minimum of 5 years?

§50.20 - Accident, Injury, and Illness Reports

Has the site submitted MSHA form 7000-1 for all reportable accidents injuries, and illnesses?
Were all MSHA 7000-1 documents submitted within 10 working days of the accident or injury date?
Are MSHA 7000-1 documents being retained for a minimum of 5 years?

§50.30 - Quarterly Employment Reports

Is the site completing MSHA form 7000-2 for employment statistics?
Have all from 7000-2 documents been summited within 15 days after the completion of the calendar quarter
Is the site retaining documents and/or calculations to demonstrate how 7000-2 reports are generated
Comments & Recommendations

Part 56/57 - Subpart B Ground Control

Does the site use rock bolts for ground support
What types of rock bolts are being used?
Has the site obtained the manufacturer's certification for all rock bolt types used (ASTM F432-95)
Are mechanically anchored bolts used
What types of mechanically anchored bolts are used
Is the site recording bolt torque values for the first, every tenth, and last bolt installed on each shift?
Are bolts torqued to 50% of the yield point of the bolt or anchorage capacity of the rock
Are torque value records available for review
Are grouted bolts used
Can the grouted bolts be tested by applying torque
What types of grouted bolts are being used
Is the first fixture installed in each new work place tested and recorded
Are grouted bolts tested to withstand 150 foot-pounds of torque
Does the site have a way to document corrective actions should grouted bolt torque tests determine bolt failure
Are other methods used to determine bolt adequacy
What testing methods are used
When was the last test completed
Are friction bolts used
What types of friction bolts are being used
Does the site use a methodology to determine the adequacy of friction bolts
What methodology does the site use to determine the frequency and location of bolt tests
When was the last test conducted
Are experienced persons designated by the operator examining and testing ground conditions
Are underground haulage/travelways examined weekly
Are surface highways and banks adjoining travelways examined weekly
Does the site document these weekly inspections
How are these inspections documented

Part 56/57 - Subpart C Fire Prevention and Control

§56/57.4201 - Firefighting Equipment Inspections

Monthly visual inspections of fire extinguishers are completed?
Visual examinations are appropriately certified and dated
- Compliant
- Non-Compliant
- NA
Annual mechanical inspections of fire extinguishers are completed?
Annual inspections are appropriately certified and dated
Fire suppression systems are inspected per the manufacturer's specifications
What is the manufacturer's specified inspection interval
Fire suppression systems inspections are appropriately certified and dated
Does the site have a system of pipes, valves, outlets, hydrants, hoses, or other components as part of its firefighting system?
Are components of the firefighting system visually inspected every three months
Are components use-tested every 12 months
Are firefighting system inspections appropriately certified and dated?

§56/57.4330 - Surface Firefighting and Evacuation

Has the site established appropriate emergency, firefighting, and evacuation procedures for its surface areas
Does the site maintain a fire alarm system and procedure
Are surface firefighting and evacuation procedures documented

§56/57.4331 - Surface Firefighting Drills

Are employees at the site assigned firefighting responsibilities?
Are firefighting drills for assigned employees held at least once every six months
Are drills documented

§56/57.4361 - Underground Evacuation Drills

Is this an underground operation
Are evacuation drills conducted at least once every six months
Are drills conducted for all working shifts
Are drills appropriately documented and certified

Part 56/57 - Subpart D Air Quality

§56/57.5002 - Exposure Monitoring

Is the site conducting air quality monitoring for dust, gas, mist, and fumes miners encounter in the workplace?
What possible contaminates does the site actively monitor
Is sampling performed frequently enough to determine the adequacy of control measures
Are exposure monitoring records well organized and available for review

§56/57.5005 - Exposure Controls

Respiratory Protection Standard Z88.2-1969
Does the site have an established respiratory protection program?
Are all provided respirators NIOSH approved (42CFR Part 84)
Does the site have a written respiratory protection program
Does the program meet the minimum requirements of ANSI Z88.2-1969

§56/57.5037 - Radon Exposure Monitoring

Is this an underground mine?
Has the site conducted sampling to determine if radon daughters are present in exhaust air?
When was this sampling last completed
What was the Radon WL
Was the Radon WL less than 0.1 WL
Was the Radon WL less than 0.3WL
Is the site completing Radon sampling at least every 3 months
Is the site completing Radon sampling weekly?

§57.5040 - Radon Exposure Records

Has the site found Radon exposure levels above 0.3 WL in active working areas
Has the site completed exposure records for all employees working in areas with Radon exposure above 0.3WL
Are records document on MSHA form 4000-9 "Record Of Individual Exposure To Radon Daughters"
Has the site submitted MSHA form 4000-9 by February 15th of each calendar year

§57.5065 - Diesel Fuel Purchase Records

Is this an underground mine
Has the site retained purchase records for diesel fuel
Do the purchase records show a sulfur content equal to or less than 0.05% (500ppm)
Are records retained for at least one year from the date of purchase

§57.5066 - DPM Maintenance Standard

Is this an underground mine
Does the site retain a log of equipment taken out of service or requiring maintenance related to Diesel Particulate Matter emmissions
Does the log include: date equipment was tagged, the date of examination, name of the examiner, and actions taken as a result of the examination
Has the site retained the information in the log for a minimum of one year after the equipment was examined
Does the site have a list of authorized personnel who are qualified to maintain diesel equipment and their emissions components
Are appropriate credentials or evidence of competence available for review

§57.5071 - DPM Exposure Monitoring

Is this an underground mine
Is the site conducting DPM sampling as necessary to determine the effectiveness of control
Has the site posted notice of corrective actions for DPM over exposures on the bulletin board
Has the site posted DPM sampling records on the bulletin board
Are sample results posted within 15 days of receiving the results
Are samples left posted for a minimum of 30 days
Has the site retained DPM sampling results for a minimum of 5 years from the date of sampling

Part 56/57 - Subpart E Explosives & 27CFR 555.101

§56/57.6300 - Control Of Blasting Operations

Does the site have documented task training or a state issued licensure to authorize employees to perform blasting work

§56/57.6306 - Loading, Blasting, And Security

Does the site have a procedure for controlling the blast site during loading and firing
Does the site have a procedure for clearing and securing the blast area before initiation
Does the site have a procedure for performing a post blast inspection and clearing the affected area
Does the site have documentation (task training) for employees who are responsible for conducting a post blast examination

§56/57.6310 - Misfires

Does the site have a procedure for evaluating and securing suspected blasting misfires
Does the site have a procedure for eliminating an identified blasting misfire

§56/57.6502 - Safety Fuse

Is safety fuse used for blasting initiation
Is the burn rate of the fuse tested and posted for each new spool of fuse

27CFR 555.101

Does the site have a valid and current permit to use explosives
What is the current license number
When does the current license expire
Who is listed as the Responsible Person on the site explosives license

Part 57 - Subpart G Ventilation

Is this an underground mine

§57.8520 - Ventilation Plan

Does the site have a written ventilation plan containing the required information
Mine Name (per Part 41 Legal ID)
Mine maps of appropriate scale with all required information
Fan data and specifications for all mane and booster fans
Diagrams showing how ventilation is accomplished in each typical type of workplace
A table of internal combustion engines with applicable information
Is the written ventilation plan updated at least annually
Date the current plan was issued

§57.8525 - Main Fan Maintenance Logs

Does the site perform routine maintenance on the main ventilation fan(s)
Does the site have a written maintenance schedule
Are maintenance records retained and available for review

Part 56/57 - Subpart J Travelways & Escapeways

Is this an Underground Mine

§57.11051 - Escape Routes

Does the site conduct regular inspections of underground escape routes
Are inspections documented

§57.11053 - Escape And Evacuation Plans

Does the site have a documented escape and evacuation plan containing the required information
Maps or diagrams displaying required information
Procedures on how miners are notified during an emergency
Evacuation instructions for each working area of the mine
Firefighting plans/procedures
Surface procedures for notification of authorities and the preparation of rescue equipment
The location and availability of rescue personnel, rescue equipment, emergency power, etc.
Assigned responsibilities of all key mine personal during an emergency
Is the plan posted at areas of congregation and at shaft stations
Is the plan updated with the most recent personnel, site, and evacuation information
Date of most recent plan revision

§57.11058 - Check In / Check Out System

Has the site established a system to check-in and check-out underground personnel
Does the site have a procedure to verify employee headcounts during evacuation, including miners who seek refuge

Part 56/57 - Subpart K Electricity

§56/57.12028-Testing Grounding Systems

Does the site have a procedure for testing continuity and resistance of grounding systems
Procedure for testing after installation
Procedure for testing after repairs are made
Procedure after system modifications
Procedure for annual testing
Does the site have a procedure for identifying portable tools and cords that have been tested annually
Does the site have a record of all testing performed under this standard
Record of the equipment tested
Record of the type of test (installation, repair, modification, or annually)
Record of the resistance measured
Record of the date of the test
Record of the person who conducted the test

Part 56/57 - Subpart L Compressed Air

§56/57.13015-Inspection Of Compressed Air Receivers

Does the site have compressed air receiver tanks or pressure vessels
Does the site have an updated list of all compressed air receivers and pressure vessels that are required to be inspected
Does the site have records of inspection for all compressed air receivers and pressure vessels
All all inspection records valid and completed before the expiration of the previous inspection record (if applicable)

§56/57.13017-Compressor Discharge Pipes

Does the site have air compressors that may create carbon build up in the discharge pipes
Is the discharge piping cleaned periodically per the manufacturer's recommendations or at least every two years
Are cleaning records documented and available for review

§56/57.13030-Fired Pressure Vessels (Boilers)

Does the site have fired pressure vessels (boilers)
Does the site have an updated list of all boilers that are required to be inspected
Does the site have records of inspection for all boilers
All all inspection records valid and completed before the expiration of the previous inspection record (if applicable)

Part 56/57-Subpart M Machinery & Equipment

§56/57.14100-Safety Defects, Examination, Correction, and Records

Does the site have a system for employees to perform pre-shift inspections of mobile equipment
Does the site have a system for removing defective equipment from service
Does the site have a system to record equipment defects until the defects are corrected

Part 56/57-Subpart Q Safety Programs

§56/57.18002-Workplace Examinations

Has the site trained and designated competent persons to examine working places before work begins
Does the site have a system to promptly notify miners in the affected area of adverse conditions identified during examination
Does the site have a record of examination that contains the minimum required information (name, date, location, and adverse conditions found)
Does the site have a system in place to include or supplement the examination record to include the date of corrective action for identified adverse conditions
Are examination records maintained for a minimum of 1 year from the date of the examination

§56/57.18009-Designation Of Person in Charge

Has the site designated a person in charge on each shift to be responsible in the event of an emergency

§56/57.18010-First Aid

Is an individual capable of providing First Aid available on each working shift
Does the site make First Aid training available to all interested miners

§56/57.18012-Emergency Telephone Numbers

Does the site have a list of emergency contact numbers
Is the list posted at appropriate locations (telephones, break rooms, etc.)
Is the list updated to reflect current site staffing, emergency personnel, and outside response services

§56/57.18014-Emergency Medical Assistance & Transportation

Has the site made advanced arrangements for receiving medical assistance and the transportation of injured miners

§56/57.18020-Working Alone

Does the site have a policy or procedure in place to ensure miners are not working alone without communication

Pat 56/57-Subpart R Personnel Hoisting

Does this mine use hoists for the transportation of personnel, supplies, or equipment?

§56/57.19001- Rated Capacities

Does all hoisting equipment have a documented rated capacity?
Are rated capacities consistent with the loads handled?

§56/57.19022-Rope Measurements

Is the diameter of newly installed rope (post initial stretch) being measured?
Are measurements taken in every third interval of active rope length and averaged?
Are records of measurements certified by the person(s) completing the measurements?
Are the records retained until the rope is retired from service?

§56/57.19120-Procedures For Inspection, Testing, And Maintenance

Has a procedure for the inspection, testing, and maintenance of hoisting equipment been developed?
Is the adopted procedure being followed?
Does the procedure capture the necessary inspections and tests required to adequality maintain and ensure the safe functionality of the hoisting equpment?
What deficiencies were observed?

§56/57.19121-Recordkeeping

Are records of all inspections, tests, and maintenance kept and available for review?
Are records certified by the person(s) performing the inspections, tests, and maintenance? (Name, Signature, Date)
Are records retained for a minimum of one calendar year?

Part 56/57-Subpart S Miscellaneous

§56/57.20001-Intoxicating Beverages & Narcotics

Does the site have a policy or program in place to prohibit the use of alcohol and drugs onsite
Does the site have a program or policy in place to randomly test employees for alcohol and drug use

§56/57.20009-Tests For Explosive Dusts

Does the site have any work produced or liberated dusts that are potentially explosive
Have the dusts been tested for explosibility
Date of the last test
Did the tests identify a potential explosive hazard
Have controls been put in place to mitigate potential hazards

Part 62-Hearing Conservation

§62.110(a)-Noise Exposure Assessment

Has the site established a system to evaluate each miner's noise expsoure
Is the miner's dose exposure made without adjustment for hearing protection

§62.110(d)-Miner Notification

Does the site have a process of notifying the miner if their noise exposure exceeds the action level or PEL
Does the notification include the required information (exposure determination and corrective actions)
Are notifications provided within 15 days of the exposure determination
Does the site retain copies of the miner's notification for the duration of the miner's exposure at or above the action level

§62.130-Permissible Exposure Level

Are miners exposure to sound levels above the PEL enrolled in a Hearing Conservation Program
Does the site use administrative controls to reduce miner's exposure to noise
Are the identified administrative controls posted on the site's bulletin board
Have the affected miners been provided copies of the administrative controls

§62.150-Hearing Conservation Program

Does the site have a written Hearing Conservation Program (HCP)
Does the HCP include the required sections
System for monitoring miner's noise exposure
The provision, training, and use of hearing protectors
Audiometric testing
Training
Documentation and recordkeeping

§62.170-Audiometric Testing

Does the site have a system in place to provide audiometric testing to miners enrolled in the HCP
Are baseline audiograms completed within 6 months of HCP enrollment (or 12 months if mobile testing services are used)
Are subsequent audiometric tests completed within 12 months of the baseline or the previous test

§62.174-Standard Threshold Shift Corrective Measures

Has the site recorded any Standard Threshold Shifts (STS)
Has the miner been retrained
Has the miner been provided an opportunity to select different hearing protection
Has the site reviewed and documented the effectiveness of engineering and administrative controls that may contribute to the STS
Have all requirements been completed within 30 days of notification of the STS

§62.175-Notification Of Results & Reporting

Has the site provided within 10 days notification of results regarding a follow up evaluation
Does the notification include the required information (results and interpretation and reasons for further texting if applicable)
Has the site reported to MSHA any incurred reportable hearing loss as required by Part 50

§62.180-Training

Has the site provided HCP training to enrolled miners
Was training provided within 30 days of enrollment
Does the site provide re-training to miners at least every 12 months after the completion of their initial training
Are training records documented to demonstrate compliance with this section

General Observations

Are MSHA records and documents well organized
General Comments
Are MSHA records and documents easily accessible
General Comments
Does site staff know where to access MSHA documents and records
General Comments
Other Comments & Observations