Case Document 54-2 Filed 10/07/11 Page 1 of 35 IN THE UNITED STATES DISTRICT COURT FOR THE DISTRICT OF COLUMBIA PERFORMANCE COAL COMPANY, et al., Plaintiffs, Civ. Act. No: 10?1698 (RJL) v. UNITED STATES DEPARTMENT OF LABOR, at (IL, Defendants. DECLARATION OF JOSEPH C. MACKOWIAK 1, Joseph Mackowiak, declare as follows: 1. I have been employed by the US. Department of Labor Mine Safety and Health Administration since September, 2000. Over the course of my career, I have worked as Surface Mine Inspector, Underground Coal Mine Inspector, District Staff Assistant, Ventilation Supervisor, and Assistant District Manager. 2. During the period ranging from June 2008 to June 2011, I was employed as Ventilation Group Supervisor for the District 4 Of?ce. I assumed this position after William Lowell ?Bill? Ross retired from this position in June 2008. On June 5, 2011, I was promoted to the position of Assistant District Manager for the District 4 of?ce. In my current position as Assistant District Manager of the Technical Division, I am responsible for coordinating accident investigations, supervising technical groups Case Document54-2 Filed 10/07/11 Page 2 of 35 charged with Coal Mine Safety and Health, District 4 plan reviews and activities related to roof control, ventilation, dams and impoundments, electrical inspection, and health related matters. 3. The purpose of this declaration is to provide the Court with a response to false allegations made by the declarant, William Lowell ?Bill? Ross, regarding my alleged removal and destruction of ?trash bags filled with documents? from the District 4 office, located in Mount Hope, West Virginia. Ross Decl. 17. Additionally, this declaration is being made in response to allegations set forth by Phillip Ellis that I threw ?away a number of important government documents in a suspicious manner.? Ellis Decl. 4. The statements contained in this declaration are based upon my personal knowledge, upon information provided to me in my of?cial capacity, and upon conclusions and determinations reached and made in accordance therewith. On April 5, 2010, an explosion occurred at the Performance Coal Company?s Upper Big Branch Mine-South (UBB), located in Montcoal, West Virginia. Twenty?nine miners were killed and two others were injured as a result of the explosion. The owner of UBB is Massey Energy Company (Massey). 5. Performance Coal UBB is located within District 4 Office?s boundaries, which is located at 100 Bluestone Road, Mount Hope, WV. The District 4 Of?ce maintains documents related to all submissions by mine operators of ventilation, methane and dust control plans, and mine maps as required by 30 C.F.R. 75. A part of my duties involve ensuring that documents stored in the District 4 Ventilation Department Office comply with Consolidated Records Disposition Schedule (Records Schedule), Case Document 54-2 Filed 10/07/11 Page 3 of 35 which was issued to all MSHA employees on November 22, 1999. All documents related to Upper Big Branch mine and all rnines Within the geographic region of District 4 are retained in accordance with the agency?s Records Schedule. See Attached Records Schedule. 6. All technical records related to all submissions of ventilation, methane, dust control and mine maps, as required by 30 C.F.R. 75, fall under Record Schedule. 7. In accordance with Records Schedule SF 115, all ?reports submitted periodically by mine operators explaining, for example, proposed systems for mine ventilation, gas disposal, and roof supports? must be destroyed 3 years after being snperseded by subsequent plans. 8. In accordance With Records Schedule SF 115, Item 11, respirable dust data cards that accompany each respirable dust sampling container must be retained in the of?ce for one year and thereafter transferred to the Federal Records Center. After ?ve years, the paper copy of the data card is destroyed. In accordance with Record Schedule ?prints (maps) showing, for example, working and elevations of mines, access route, and ventilation systems in mines and industrial installations must be destroyed when superseded by a subsequent plan or map.? 10. In accordance with Records Schedule SF 115, general correspondence of ?eld Of?ces, which includes ?letters, memoranda, and related documents created or received during the performance of of?ce functions? must be retained in the District 4 office for a period of 3 years. After the period, the Case Document 54-2 Filed 10/07/11 Page 4 of 35 records can be destroyed unless the material is speci?cally covered by another records series. 11. In response to allegations made by William Lowell ?Bill Ross? and Phillip Ellis in their declarations that were ?led with the Court as a part of this litigation with regard to the destruction of documents, I declare that I have never destroyed nor transported documents from the District 4 of?ce in trash bags for disposal related to the Performance Coal UBB mine. Additionally, all ?les left by William Lowell ?Bill? Ross upon his retirement in June 2008, remain in the same ?le cabinets in the District 4 of?ce where they were located upon his departure, even those that could otherwise have been properly disposed of pursuant to Records Schedule. In order to ensure that the ?le remained in the location where they were found after Mr. Ross? departure, I personally wrote on the cover of the records the date and time I became aware of their existence. The records have been maintained in this condition since their discovery. 12. Copies of any and all documents located in District 4 related to the 2003 and 2004 methane outbursts at the UBB mine were provided to MSHA FOIA staff for review in response to the multiple FOIA requests for these documents. Case Document 54-2 Filed 10/07/11 Page 5 of 35 Pursuant to 28 U.S.C. 1746, I declare under penalty of perjury that the foregoing is true and correct. . Executed this i I, day of September, 2011 Ma. JOSE 131 c. MACKOWIAK 33' District Manager, Technical Division . Mine Safety and Health Administration U.S. Department of Labor District 4, Mt. Hepe, West Virginia Case Document 54-2 Filed 10/07/11 Page 6 of 35 ISSUE DATE: November 22, 1999 ADMINISTRATIVE INFORMATION BULLETIN NO. A99w39 FROM: GEORGE M. FESAK Director of Program Evaluation and Information Resources SUBJECT: MSHA Consolidated Records Disposition Schedule Information The attached MSHA Consolidated Records Disposition Schedule is an informal consolidation of four approved Disposition Schedules (SF 115s). It has been prepared as a convenience for Agency employees. The four formal approved Schedules are still valid, and nothing in them has been changed in this informal consolidated document. At the end of the Schedule is an index, sorted by program area. The consolidated MSHA Schedule, which covers records unique to MSHA, should be used in conjunction with the General Records Schedule, which covers records that are common to most agencies. We hepe you find the Consolidated Schedule helpful and easy to use. The General Records Schedule is available via the Internet at this address: Background Many items on the approved schedules have been superseded by later schedules. However, the older schedules have not been annotated. This has often resulted in confusion for employees who retire records. The Consolidated Schedule has been created to eliminate that problem. Issuing Office and Contact Person Program Evaluation and Information Resources George M. Fesak, 703 235~8378 Distribution Administrative Officers Attachment Case Document 54-2 Filed 10/07/11 Page 7 of 35 MSHA CONSOLIDATED RECORDS DISPOSITION SCHEDULE PAGE 2 The Coal and Metal/Nonmetal Mine Safety and Health Administrations are tasked with directing special investigations that pertain to alleged violations of health and safety standards and discrimination complaints against individuals who report alleged This series consists of investigation case files that pertain to individuals alleged to have committed willful violations or have information information of alleged discrimination against persons having filed or made a complaint of an alleged danger, safety, or DISPOSITION: Retain for 1 year after case Retire to FRC thereafter. This file is SF 115 Number Responsible Description and Item Number Program Area Approved Disposition Nln433m94m2 Coal and SPECIAL INVESTIGATIONS. Item No. 1 Metal/ Nonmetal violations. about willful violations, and/or health violation. is closed. Destroy when 15 years old. Metal/ IMPOUNDMENT SITE DATASET. Item I Nonmetal part of the Metal/Nonmetal Impoundment Tracking System (MITS). MITS is an electronic system for storage and retrieval of impoundment site information. The system provides automated access to information regarding current metal and nonmetal impoundment sites, and provides a historical record of activity for each site. MITS is designed for use by MSHA, Denver Safety and Health Technology Center, Mine Waste Construction Division, as authorized by Mine Safety and Health Act Public Law 91nl73. The Impoundment Site Dataset contains the key _data required to track various impoundment projects. Information in this dataset includes physical impoundment site information such as mine ID, name, capacity, location, function, and type of impoundment. ARRANGEMENT: Data pertaining to each impoundment site is in sequence by impoundment mine ID and site number. PERMANENT. Cut off every 3 years and transfer copy to the National Archives. MSHA CONSOLIDATED RECORDS DISPOSITION SCHEDULE 115 Number Item Number Nlm433w94~1 2 Item NO. N1~433?94~l Item NO. 3 Responsible Program Area Metal/ Nonmetal Metal/ Nonmetal Case Document 54-2 Filed 10/07/11 Page 8 of 35 PAGE 3 Description and Approved Disposition ACTIVITY DATASET. This file is part of the Metal/Nonmetal Impoundment Tracking System (MITS). MITS is an electronic system for storage and retrieval of impoundment site information. The system provides automated access to information regarding current metal and nonmetal impoundment sites, and provides a historical record of activity for each site. MITS is designed for use by MSHA, Denver Safety and Health Technology Center, Mine Waste and Construction Division, as authorized by Mine Safety and Health Act Public Law 91m173. The Activity Dataset contains activity information concerning the site and/or plans, reviews or other narrative data concerning the site. Up to 400 characters of narrative data may be sorted by mine ID, site number, activity date and activity code. ARRANGEMENT STATEMENT: Data pertaining to each impoundment site is in sequence by impoundment Mine ID and Site number, activity date and activity code. PERMANENT. Cut off every 3 years and transfer copy to the National Archives. IMPOUNDMENT TRACKING SYSTEM (MITS) DOCUMENTATION. System specifications, file specifications, codebooks, record layouts, example of final reports, and user hand? book (regardless of medium) relating to the files. ARRANGEMENT STATEMENT. No special arrangement. PERMANENT. Transfer copy of documentation with datasets. Transfer updates and changes every 3 years with any subsequent transfer of the datasets. Case Document 54-2 Filed 10/07/11 Page 9 of 35 PAGE 4 MSHA CONSOLIDATED RECORDS DISPOSITION SCHEDULE SF 115 Number Responsible Description and Item Number Program Area Approved Disposition Coal and MSHA ACCIDENT REPORT FILES. (Arranged Item No. 1 Metal/ chronologically by ID number in company Nonmetal files and by date order in subject files.) Inspectors narrative report of accidents cause by, for example, explosions, ignitions, or fires. Contains the original signed formal reports, correspondence, and related materials. MSHA determines the need for some of these investigations of accidents from information in the Mine Operators Accident, Injury, and Illness Reports. DISPOSITION: Close file after investi~ gation is completed. Break closed file annually. Transfer closed files to FARO 3 years after break. Destroy files 10 years after closing. Case Document 54-2 Filed 10/07/11 MSHA CONSOLIDATED RECORDS DISPOSITION SCHEDULE Page 10 of 35 PAGE 5 FATAL ACCIDENT INVESTIGATION AND FINAL (Arranged by date of SF 115 Number Responsible Description and Item Number Program Area Approved Disposition Coal and Item.No. 2 Metal/ REPORT FILES Nonmetal accident). Files contain reports and background information relating to investigation of fatal mine accidents, including statements of accident causes, correspondence, and descriptions of remedial actions and MSHA involvement. MSHA districts investigate incidents resulting in single coal mine fatalities; MSHA headquarters investigates multiple fatality coal mine accidents. All metal and nonmetal mine deaths are investigated by the districts. The MSHA unit responsible for investigating an accident maintains the primary body of records relating to the investigation. 2.a. Single fatality coal mine accident files. Records pertaining to investigations conducted by district offices. 2.b. Multiple fatality coal mine accident files. Records associated with investigat~ ions conducted by MSHA headquarters. 2.c. Fatal metal and nonmetal mine accident files. Records produced by investigations conducted by MSHA regional offices. 2.d. Fatal accident final reports. Central headquarters file of reports generated from all fatal accident investigations. PERMANENT. Close file after investigation is completed. Break closed files annually. Transfer closed files to PARC 3 years after break. Offer to National Archives in 10 year blocks when the most recent case is 10 years old. Case Document 54-2 Filed 10/07/11 Page 11 of 35 MSHA CONSOLIDATED RECORDS DISPOSITION SCHEDULE PAGE 6 INDUSTRIAL INSTALLATIONS (Arranged alphabetically by mine or company name). Original maps of permanently closed or abandoned mines are submitted from the district offices to the Bureau of Mines Repository), Pittsburgh, PA, on a loan for microfilming and the maps are then returned to the respective district offices. Micro? film is retained by the Bureau of Mines. Transfer to FARC in annual blocks 5 years after mine is closed. Offer to NARA 15 years after mine is closed in 10 year blocks when the most recent map is SPECIAL STUDIES SURVEY REPORT FILES (Arranged alphabetically by mine/number). SF 115 Number Responsible Description and Item Number Program Area Approved Disposition NCl?433?85-l Coal and FINAL MAPS AND PLANS OF MINES AND Item No. 3 Metal/ Nonmetal Field Operation Center (Mine Map PERMANENT. 10 years old. NCl?433?85~l Coal and Item No. 4 Metal/ Nonmetal Special studies requested of a mine operator, health and safety inspector, or another agency on some specific problem within a mine, or relating to mine operations. Files contain final reports, field notes, correspondence, draft reports, and related material. PERMANENT. Transfer completed reports and documentation to FARC when 1 year old. Offer to NARA when 15 years old. Case Document 54-2 Filed 10/07/11 Page 12 of 35 MSHA CONSOLIDATED RECORDS DISPOSITION SCHEDULE PAGE 7 SF 115 Number Responsible Description and Item Number Program Area Approved,Disposition NCl?433?85?l EPD EDUCATIONAL AND TRAINING PRODUCT MASTER Item No. 6 FILES. The National Mine Health and Safety Academy, as authorized by Sec. 502 of the Federal Mine Safety and Health Act of l977, is responsible for the training of mine safety and health inspectors, mine technical-support staff, and other govern? ment and industry personnel. The Academy uses the instructional aids described below to carry out its responsibilities. 6.A. Motion Pictures and Video Recordings (arranged by format and alphabetically thereunder by title). 1. Motion picture films: a sound projection print of each film, plus the original negative or color original, separate optical sound track, intermediate master positive or duplicative negative, and optical sound track, if available. Video copies may be substituted if an original film is unavailable. 2. Video recordings: the earliest generation available for each original video production, plus an additional copy. PERMANENT. Offer to NARA when 10 years old or when no longer needed for administrative use, whichever is sooner. 6.B. Photographic Material (arranged by format and thereunder by sequence within individual products). 1. Photographs: the original negative and a captioned print for each black and white photograph, and the original color transparency or color negative, a captioned print, and an inter? negative (if one exists) for each color photograph. PERMANENT. Offer to NARA when 5 years old or when no longer needed for adminis~ trative use, whichever is sooner. Case Document 54-2 Filed 10/07/11 Page 13 of 35 MSHA CONSOLIDATED RECORDS DISPOSITION SCHEDULE PAGE 8 SF 115 Number Responsible Item Number Program Area Description and Approved Disposition NCl~433~85~l Item No. 7 Slide?Tape Shows (arranged by product title). 1. Slides: the earliest generation available for all slides in each product, plus an additional copy. 2. Audio recordings: the earliest generation available for each magnetic audio tape recording, plus an additional copy. PERMANENT. Offer to NARA when 5 years old or when no longer needed for administrative use, whichever is sooner. 6.D. Publications (arranged by product category and alphabetically thereunder by title). 1. Record set of publications. One copy of each publication. PERMANENT. Break file annually. Offer to NARA in 10 year blocks when the most recent record is 10 years old 1986?1995 to be offered in 2006). EMPLOYEE CONDUCT INVESTIGATIONS. Contains information on any MSHA employee against whom an allegation of misconduct, illegal act, or conflict of interest has been made. The elements include the name, organization, allegation, and the other pertinent information relating to the individual involved. It also contains the investigative report associated with the case. A. Completed investigations are disposed of after 20 years. B. Cases not subject to full investiga- tions are disposed of after 10 years. Case Document 54-2 Filed 10/07/11 Page 14 of 35 MSHA CONSOLIDATED RECORDS DISPOSITION SCHEDULE PAGE 9 SF 115 Number Responsible Description and Item Number Program Area Approved Disposition Coal REFUSE PILES AND IMPOUNDMENTS. Official Item No. 8 file copies of inspection records, corre? spondence, and approved plans. The plans are often valid for extensive time periods. Correspondence and inspection history must be retained for use as testimony in the event of an impoundment or refuse pile failure. A. Approved plans: Cut off when superseded or obsolete. Transfer to FARC 3 years after cut-off. Destroy 9 years after cutwoff. B. Correspondence to be retained until sites are abandoned. C. Approved site inspection files: Close when inspection completed. Transfer files to FARC 3 years after closing. Destroy files 9 years after closing. Case Document 54-2 Filed 10/07/11 . Page 15 of 35 MSHA CONSOLIDATED RECORDS DISPOSITION SCHEDULE PAGE 10 SF 115 Number Responsible Description and Item Number Program Area Approved Disposition Coal and MINE OPERATOR ACCIDENT, INJURY, Item NO. 9 Metal/ ILLNESS, EMPLOYMENT, AND PRODUCTION Nonmetal REPORT (Public Use Report Forms 7000-1 and 7000?2). Reports from mining industry operations submitted to the Health and Safety Analysis Center regarding accidents, injuries, illnesses, employment, and coal production occurring at their operations. Data include operator identification number, operation name, operating company, personal information of those injured or ill, and detail concerning the accident, including: injury or illness; number of employees; hours worked; and short tons of coal produced. A. Source documents: Destroy when 6 years old. B. Master Index File (MIF) Data Tapes: PERMANENT. Transfer copy of most recent update to NARA immediately. Transfer copy of updated database to NARA annually. Magnetic tape transferred to NARA should be written in EBCDIC at 6,250 bpi. C. Accident/Employment, Accident/Injury, and Narrative Data Tapes: PERMANENT. Transfer to NARA immediately a copy of each annual closedwout data tape now available. Transfer copies of subsem quent annual final closed-out data tapes to NARA as they become available. Magnetic tape transferred to NARA should be written in EBCDIC at 6,250 bpi. D. All other data tape copies: Destroy when no longer required for administrative use. MSHA CONSOLIDATED RECORDS DISPOSITION SCHEDULE SF 115 Number Item Number NCl?433w8swl 10 Item No. NClw433~85ml Item NO. 11 Responsible Program Area Metal/ Nonmetal Coal Case Document 54-2 Filed 10/07/11 Page 16 of 35 PAGE 11 Description and Approved Disposition MINE HEALTH AND SAFETY MANAGEMENT INFORMATION SYSTEM. This system provides a computerized management information system to assist in monitoring and evaluating Metal/Nonmetal mine activities including: annual manpower and activity plans; mine and mill locations; metal and nonmetal mine inspection personnel time and activity; inspections; citations and orders against operations; and comprehensive health surveys of individual operations. A. Active Database: Retain data from most recent 24 months. Transfer data from previous months to Historical Database (Item 10.B. below). B. Historical Database: PERMANENT. Transfer copy to NARA on magnetic tape immediately. Transfer copy of updated database to NARA on magnetic tape annually. C. All Other database copies: Destroy when no longer needed for administrative use. OPERATOR RESPIRABLE DUST SAMPLING PROGRAM. Operators of coal mines are required to transmit samples to MSHA. A certified person shall complete the dust data card that is provided to accompany each container. The cards contain information such as mine identification number and sampling times. DISPOSITION: Card is retained for 1 year and then transferred to the FARO. Destroy paper copy when 5 years old. Case Document 54-2 Filed 10/07/11 Page 17 of 35 MSHA CONSOLIDATED RECORDS DISPOSITION SCHEDULE PAGE 12 SF 115 Number Responsible Description and Item Number Program Area Approved Disposition All Program GENERAL CORRESPONDENCE FILES (arranged by a Item No. 1 Areas subject?numeric filing system). Files con- tain correspondence, letters and memoranda, directives, reports, and related documents created or received during the performance of office functions, except material specifically filed on other series. A. General Correspondence of MSHA. These records are generated primarily from the Washington Office. 1. Correspondence concerning policy? making, executive direction, staff assistance, program management, and relationships with the Department of Labor, other higher authority, other bureaus, industry, and the public. PERMANENT. Break file annually. Transfer to FARC when 3 years old. Offer to NARA in 10 year blocks when most recent records in block are 10 years old 1973~82 to be offered in 1992). 2. Correspondence concerning repetitive, individual, routine transactions and matters, housekeeping, and other purely facilitative functions. DISPOSITION: Break file annually. Destroy when 3 years old. b. General correspondence of Field Offices. DISPOSITION: Break file annually. Destroy when 3 years old. Case Document 54-2 Filed 10/07/11 Page 18 of 35 MSHA CONSOLIDATED RECORDS DISPOSITION SCHEDULE PAGE 13 SF 115 Number Responsible Description and Item Number Program Area Approved Disposition NC1~433w81~l OIPA PUBLICITY AND INFORMATION RECORDS. Item No. 2 A. Press Release File (arranged chronologically). PERMANENT. Break file annually. Transfer to FARO when 3 years old. Offer to NARA in 10 year blocks when most recent records in block are 10 years old l973~82 to be offered in 1992). B. Publications File (arranged alpha? betically). Files include posters, charts, rules and regulations, booklets, volumes, annual reports, special reports and studies, bulletins, circulars, monographs and similar materials with their appropriate indices, unless otherwise specified in this schedule. 1. Record copy. PERMANENT. Break file annually.- Transfer to FARO when 3 years old. Offer to NARA in 10 year blocks when most recent records in block are 10 years old l973~82 to be offered in 1992). 2. All other copies. Destroy when no longer needed for reference. C. Speech File (arranged chronologically). Record copies of speeches given by the Assistant Secretary or other officials on subjects dealing with MSHA programs. PERMANENT. Break file annually. Transfer to FARC when 3 years old. Offer to NARA in lOwyear blocks when most recent records in block are 10 years old 1973?82 to be offered in 1992). Case Document 54-2 Filed 10/07/11 Page 19 of 35 MSHA CONSOLIDATED RECORDS DISPOSITION SCHEDULE SF 115 Number Item Number Responsible Program Area 2.D. PAGE 14 Description and Approved Disposition Motion Pictures, Audio Recordings, and Video Recordings (arranged by film title). MSHA audiovisual material concerning mine safety and other programs . l. MSHA?sponsored motion picture films em the original negative or color original plus separate optical sound track, an intermediate master positive or duplicate negative plus optical sound track, and a Sound projection print of each film. 2. MSHAwacquired motion picture films projection prints, if available, otherwise one projection print of each acquired film. 3. Audio recordings the master tape, matrix or stamper, and one disc pressing of each .conventional mass?produced multiple copy disc recording and the original tape for each magnetic audio tape recording. 4. Video recordings the original or the earliest generation of each recording of a kinescope of the recording. PERMANENT. Offer to NARA after 5 years or when no longer needed for administrative use. Case Document 54-2 Filed 10/07/11 Page 20 of 35 MSHA CONSOLIDATED RECORDS DISPOSITION SCHEDULE PAGE 15 SF 115 Number Responsible Description and Item Number Program Area Approved Disposition 2.E. Finding Aids and Production Documentation for items identified in (D) and (arranged by film title). Existing finding aids such as data sheets, shot lists, catalogs, indexes, and other textual documentation necessary for the proper identifi- cation, retrieval, and use of the audiovisual records as well as film and video production files containing contracts, scripts, scene breakdowns, storyboards, narratives, correspondence, and other documents relating to the production. PERMANENT. Offer to NARA along with the audiovisual productions to which they relate. F. Photograph Files (arranged by negative number). Files compiled by MSHA pertaining to various program activities of MSHA. They contain negatives and prints, arranged in numbered jackets, with relevant indices and captions. l. The original negative and a captioned print for each black and white photograph and the original color transparency or color negative, a captioned print, and an internegative (if one exists) for each color photograph. PERMANENT. Break file every 5 years. Offer to NARA 5 years later or when no longer needed for administrative use, whichever is sooner. 2. Additional duplicate prints of items identified in F.1. DISPOSITION: Destroy when no longer needed for administrative use. Case Document 54-2 Filed 10/07/11 Page 21 of 35 MSHA CONSOLIDATED RECORDS DISPOSITION SCHEDULE SF 115 Number Responsible Item Number Program Area PAGE 16 Description and Approved Disposition G. Film Loan Requests. Requests for the loan of films are received by letter or by lean request form. They are arranged by the name of the film and kept until film is returned by the borrower. returned. Destroy when film is Film Borrower Cards. Edge-punched flexowriter cards punched with the borrowers name and address. Indicates information such as name of film borrowed, date sent out, and date returned. DISPOSITION: Destroy when film is returned; Requests for Publications. Generally, the requests for MSHA publications are in letter form. Domestic requests are returned with publications or with a letter explaining why the publication is not available. Foreign requests . are retained in a backwup file for the publications lost in shipment. 1. Domestic requests. DISPOSITION: Return to originating individual. 2. Foreign requests. DISPOSITION: Destroy 1 year after request is satisfied. Case Document 54-2 Filed 10/07/11 Page 22 of 35 MSHA CONSOLIDATED RECORDS DISPOSITION SCHEDULE PAGE 17 The Law requires that MSHA inepect all mines and other areas relating to the mining and mineral The reports of these inspections are made available for public review. These reports include citations, orders, recommendations of and other related material describing conditions in the mine and indicating whether there has or has not been compliance with health and safety Some of these reports also include form letters written to the mining company informing them of the number of and modifications resulting from the inspection and also the accident frequency rate of that mine compared to the accident frequency rate SF 115 Number Responsible Description and Item Number Program Area Approved Disposition NC1~433~81wl Coal and MINE INSPECTION REPORTS. Item No. 6 Metal/ Nonmetal industry. withdrawal orders, remedial action, legislation. citations, terminations, of the entire industry. Coal A. Annual Representative Sampling of Coal Mine Safety and Health Inspection?Type Reports. Each district and subdistrict office is to break files annually. A typical (original) inspection report from each of the categories listed below should be selected. The sample is to be placed in a folder labeled with the identification number, name of the mine, company name, location, date of the report, inspectors name, and the number of employees. 1. Underground Mines Employing a. - 99 employees b. 100 149 employees c. 150+ employees 2. Surface Mines Employing a. 99 employees b. 100 149 employees c. 150+ employees PERMANENT. Transfer to Records Management Branch for review when reports are 3 years old. Headquarters will transfer reports to FARC. Offer to NARA in 10~year blocks when most recent records in block are 10 years old 1973w82 to be offered in 1992). Case Document 54-2 Filed 10/07/11 MSHA CONSOLIDATED RECORDS DISPOSITION SCHEDULE Page 23 of 35 PAGE 18 SF 115 Number ReSponsible Description and Item Number Program Area Approved Disposition Metal/ B. Annual Representative Sampling of Nonmetal Metal/Nonmetal Health and Safety Inspection~ Type Reports. Each district and subdistrict office is to break files annually. A typical (original) inepection report from each of the categories listed below should be selected. The sample is to be placed in a folder labeled with the identification number, name of the mine, company name, location, date of the report, inspectors name, and the number of employees. 1. Underground Mines Employing a. 19 employees b. 20 - 99 employees c. 100+ employees 2. Open Pit Employing a. 0 19 employees b. 20 99 employees c. 100+ employees 3. Crushed Stone Employing a. 0 19 employees b. 20 99 employees 0. 100+ employees 4. Sand and Gravel Employing a. 0 - 19 employees b. 20 99 employees c. 100+ employees 5. Mills Employing a. 0 19 employees b. 20 99 employees c. 100+ employees PERMANENT. Transfer to Records Management Branch when reports are 3 years old. Headquarters will transfer reports to FARO. Offer to NARA in lowyear blocks when most recent records in block are 10 years old 1973?82 to be offered in 1992). Coal and C. Remaining Coal and Metal/Nonmetal Mine Metal/ Inspection Reports. Nonmetal DISPOSITION: Transfer to FARO when 3 years old. Destroy when 10 years old. Case Document 54-2 Filed 10/07/11 Page 24 of 35 MSHA CONSOLIDATED RECORDS DISPOSITION SCHEDULE PAGE 19 SF 115 Number Responsible Description and Item Number Program Area Approved Disposition NClw433m81wl OSRV STANDARDS AND REGULATIONS. Files on Item No. 10 mandatory health and safety standards and regulations for mines; for each standard or group of standards. The appropriate subject files follow: A. NONPERMANENT RECORDS. 1. Background Information. Includes concept paper and comments received prior to rulemaking. 2. Advance Notice of proposed Rule~ making (ANPRM). Includes pre? proposal drafts and comments received pursuant to ANPRM., 3. Advisory Committee. Consists of all material related to establishment and work of . Advisory Committee. 4. Regulatory Analysis. Consists of draft and final, if needed. 5. Environmental Impact Analysis. Consists of draft and final, if needed. 6. Notice of Proposed Rulemaking (NPRM). Includes all comments received. 7. Litigation. Includes all material related to litigation of subject standard or regulation through final rule. DISPOSITION: Transfer to PARC when 3 years old. Destroy when 10 years old. B. PERMANENT RECORDS. 1. Public Hearings. Includes requests, notices of hearings, transcripts, and written statements. 2. Final Rule. Includes corrections and interpretations. PERMANENT. Transfer to FARO when 3 years old. Offer to NARA when 10 years old. MSHA CONSOLIDATED RECORDS DISPOSITION SCHEDOLE SF 115 Number Item Number Responsible Program Area Case Document 54-2 Filed 10/07/11 Page 25 of 35 PAGE 20 Description and Approved Disposition NC1*433w81el Item No. NCl-433?81-l Item No. 12 15 Technical Support -well as related mining equipment. ASSESSMENT CASE FILES. (Files are arranged by a case number that is assigned by the office assessing penalties for violations of the Coal Mine Health and Safety Act of 1969 and the Mine Safety and Health Act of 1977.) Contains notices, mine operators protests, petitions for adjudication, correspondence, and related material. The assessment case files also contain copies of notices of violations issued on mine operations, abatements, and termination notices. The original records (notices, abatements, and similar documents) are retained by the issuing office. This material is needed as background, and should be treated as part of the case file with respect to transfer and retention. DISPOSITION: closed. closed. Transfer to FARC when case is Destroy 10 years after the case is APPROVAL AND CERTIFICATION. MSHA runs tests on all electrical and diesel equipment used in mining operations, as When tests are completed, a letter of approval is sent to the manufacturer along with an approval number which is attached to the equipment. Files contain test results, reports, letters of approval, drawings and blueprints of equipment, and related material. DISPOSITION: A. Paper records: Transfer to PARC when no longer needed for administrative purposes. Destroy when 50 years old. B. Microfilm: Transfer to FARC when no longer needed for administrative use. Destroy when 50 years old. Case Document 54-2 Filed 10/07/11 Page 26 of 35 MSHA CONSOLIDATED RECORDS DISPOSITION SCHEDULE SF 115 Number Item Number NCl?433?81~l Item No. 16 Responsible Program Area Technical Support NOlw433~81~l Item No. 17 Technical Support Item NO. 18 Technical Support NCl?433?81?l Item NO. 19 Assessments NOl~433~81~l Item No. 21 PAGE 21 Description and Approved Disposition PERMISSIBLE AND NONPERMISSIBLE EXPLOSIVE REPORTS FILE. This file contains reports of tests made on explosives submitted to MSHA for approval. DISPOSITION: Break file annually. Transfer to FARO when 10 years old. Destroy when 20 years old. EXPLOSIVE METHOD LISTING FILE. This is a record of methods used in testing explosives used in mines. DISPOSITION: Transfer to FARO when no longer needed for administrative use. Destroy 10 years thereafter. EXPLOSIVE TEST FILES. These files are made up of keysort and regular index cards and contain data on explosives that were submitted to MSHA for testing and approval.. The information includes test results performed on coal dust, gas, fires, blasting, and other effects of the explosion. DISPOSITION: 10 years old. Transfer to FARO when Destroy when 20 years old. LEGAL IBENTITY REPORT (MSHA Form 2000*7). These are required for each mine as a result of the Federal Mine Safety and Health Act of 1977. They are to be kept as long as the mine is in operation. Transfer to FARO after mine Destroy 10 years thereafter. DISPOSITION: is closed. MAINTENANCE RECORD FILE (MSHA Form 1000-239). MSHA maintains a record of all equipment failure and repair. This record includes repair time and cost, as-well as parts cost. DISPOSITION: Break file annually. Transfer to FARO when 2 years old. Destroy when 5 years old. Case Document 54-2 Filed 10/07/11 Page 27 of 35 MSHA CONSOLIDATED RECORDS DISPOSITION SCHEDULE SF 115 Number Responsible Item Number Program Area SAGE 22 Description and Approved Disposition NCl-433?81?l 22 Item NO. NC1w433w81?l Item NO. 23 Coal Coal VARIANCE FILES. Files on petitions for modification of applications of mandatory safety and health standards for mines. Filed by docket number. Each file consists of petition, correspondence, Federal Regulation Notice, and decision. DISPOSITION: Transfer to FARO 1 year after variance is no longer in effect. Destroy 10 years after variance is no longer in effect. COAL MINE SAFETY AND HEALTH MANAGEMENT INFORMATION SYSTEM. Contains records on all coal mine safety and health personnel and key officials at surface and under? ground coal installations. The records consist of: annual manpower and activity plans; (2) operational characteristics of surface and underground coal operations; (3) identification of key officials at individual mines; (4) functional time utilization information for all coal Mine safety and Health personnel; (5) location categorization of all time utilized by inspection personnel for on~ site visits to individual mines; (6) violation information on individual mines; and (7) information on plans and other documents submitted by coal mine operators. Source documents consist of ledger sheets and inspection reports. DISPOSITION: A. Ledger Sheets: Destroy when no longer needed. B. Inspection Reports: Transfer to FARO when 3 years old. Destroy when 10 years old. MSHA CONSOLIDATED RECORDS DISPOSITION SCHEDULE Case Document 54-2 Filed 10/07/11 Page 28 of 35 PAGE 23 MINE ATMOSPHERE SAMPLE RECORD (MSHA Form 2000~43). Analytical results of gas samples collected in coal, metal, and nonmetal mines. Original copies of mine - atmOSphere record cards,-submitted by inspection personnel throughout Coal Mine Safety and Health and Metal and Nonmetal Mine Safety and Health for gas samples collected during routine and special investigations. Information used by district and subdistrict offices to ensure safe and healthy working environments, DISPOSITION: Break file annually. Transfer to PARC when 3 years old. SF 115 Number Responsible Description and Item Number frogram Area Approved Disposition Coal and Item No. 24 Metal/ Nonmetal status of mine fires, etc. Destroy when 10 years old. NCl?433?81?l Coal Item NO. 25 DUST SAMPLING LAB REPORT (MSHA Form 2000~156). Analytical results of coal mine dust samples for incombustible contents. Original copies of dust sampling report cards, submitted by inspection personnel throughout MSHA, for dust samples collected during routine and special investigations. Information used by district and sub? district offices to determine compliance/ noncompliance with Federal standards, range or extent of ignition or explosion. DISPOSITION: Break file annually. TranSfer to FARO when 3 years old. Destroy when 10 years old. Case Document 54-2 Filed 10/07/11 Page 29 of 35 MSHA CONSOLIDATED RECORDS DISPOSITION SCHEDULE PAGE 24 SF 115 Number Responsible Description and Item Number Program Area Approved Disposition NCl?433?81?l All Program MANUSCRIPT FILE. Nearly all of the Item No. 26 Areas operating organizations of MSHA prepare or process manuscripts or publications and reports, although the procedures might vary. Manuscript files will generally include: MSHA (the Magazine of Mining Health and Safety), informational reports, instruction guides, safety reviews, annual reports, safety manuals, health and safety reports, and open file reports. Some manuscripts are returned to the author or to the initiating office, others are retained for later use according to the procedure of the initiating organization. In either case, they are valuable only as a source for verifying or checking the accuracy of the associated publications. DISPOSITION: A. Published Manuscripts. Destroy 2 years after date of publication. B. Unpublished Manuscripts. Destroy 5 years after completion. Case Document 54-2 Filed 10/07/11 MSHA CONSOLIDATED RECORDS DISPOSITION SCHEDULE Page 30 of 35 PAGE 25 COAL AND MINE INSPECTION Summary of and SF 115 Number Responsible Description and Item Number Program Area Approved Disposition Coal and Item NO. 29 Metal/ ACTIVITY REPORTS. Nonmetal annual breakdown of inspections, violations, notices issued, and other orders of withdrawal. A. MIS Ledger Sheets. These sheets contain documentation of inspection activities and violations. This information is used to prepare summary activity reports to congress. Coal Mine, Metal and Nonmetal Respirable Dust Program (MSHA Form 2000?83). Contains data on individual coal and metal/nonmetal miners for whom dust samples have been submitted by mine operators for analysis. the data include mine identification, mine section, name of individual sampled, social security number, date of sample, and concentration of respirable dust contained in the personal sample. Coal Mine, Metal and Nonmetal Noise Level Program (MSHA Form 2000~103). Contains data on individual miners for whom noise level samples have been submitted by mine operators for analysis. The data include mine identification, mine section, name of individual sampled, social security number, date of sample, and noise level data. DISPOSITION: l. Ledger sheets. Considered nonrecord material and are destroyed when no longer needed. Data cards. Break file annually and transfer to FARC. Destroy when 5 years old. Machine Readable Tapes. Erase when microfilm is verified true. Microfilm. Destroy when 10 years old. Case Document 54-2 Filed 10/07/11 Page 31 of 35 MSHA CONSOLIDATED RECORDS DISPOSITION SCHEDULE PAGE 26 SF 115 Number Responsible Description and Item Number Program Area Approved Disposition NCl-433-81-l VENTILATION, METHANE DISPOSAL, AND ROOF Item No. 30 PLANS. Reports submitted periodically by mine operators explaining, for example, proposed systems for mine ventilation, gas disposal, and roof supports. DISPOSITION: Destroy 3 years after being superseded by subsequent plans. NCl~433~81~l Coal ADP RESPIRABLE DUST TELETYPE MESSAGES. Item No. 31 Teletype messages containing data and information concerning Mandatory Health Standards Underground Coal Mines published in the Federal Register, Vol. 35, No. 65, April 3, 1970. These messages include notices of compliance, non? .compliance, and void samples; employee sample abatements and extensions; employee transfers; and status checks. DISPOSITION: Destroy when 5 years old. NCl?433-81-l COMPANY TRAINING FILES. Contain such Item No. 32 information as training plans, requests for training, individual training records, and correspondence. Arranged primarily by com? pany name and secondarily by name of mine. DISPOSITION: Break file annually. Destroy when 3 years old. NCl~433~81?l INDIVIDUAL TRAINING RECORDS (MSHA Form Item No. 33 5000~23). Lists trainees who have successfully completed an MSHA health and safety course. Records are used to provide a basis for issuing a certificate to each trainee and establishing employee qualifications. They are also used as supporting evidence in miners claims to Social Security for black lung disease. Some records are microfilmed in accordance with FPMR lOl-ll.5. Others are maintained on machine-readable tapes. DISPOSITION: A. Microfilm copy: Destroy when 50 years old. B. Paper copy: Destroy when microfilm copy or tape is verified true. Case Document 54-2 Filed 10/07/11 Page 32 of 35 MSHA CONSOLIDATED RECORDS DISPOSITION SCHEDULE SF 115 Number Responsible Item Number Item NO. 34 EPD Item No. 35 NClw433~81?1 Item No. 36 All Program Areas Item No. 38 Program Area PAGE 27 Description and Approved Disposition EDUCATION AND TRAINING ACTIVITIES REPORT. These records contain personnel activity records including work hours, allocated according to types of assignments, and leave time. The records are used to: (1) determine the workload and work scheduling, (2) assist in budgeting and staffing of education, and (3) to assess training needs of MSHA personnel. DISPOSITION: Break file annually. when 3 years old. Destroy HOLMES SAFETY ASSOCIATION, COUNCIL AND CHAPTER CHARTER APPLICATIONS. Applications for membership to the Holmes Safety Association are received from management of the mineral extractive industries. Charters are issued to company mines, and the mining operations are included in the distribution of safety topic material. DISPOSITION: Destroy when 15 years old. EMPLOYEE IDENTIFICATION CARDS. Contain information on individuals who require identification for the purpose of carrying out activities of MSHA. Records contain the individuars name and, in some cases, education, work experience, and training. DISPOSITION: Records are maintained until notice of change of employment or employment is terminated. ACCIDENT AND INJURY RECORDS. Records contain investigative information pertaining to any accident or injury incurred by an employee of MSHA. DISPOSITION: Cut off files annually. Destroy 5 years after the year of the file. Case Document 54-2 Filed 10/07/11 Page 33 of 35 MSHA CONSOLIDATED RECORDS DISPOSITION SCHEDULE SF 115 Number Responsible Item Number Program Area PAGE 28 Description and Disposition Item No. 39 Item No. 40 Item No. 41 All Program Areas Coal and Item No. 42 Metal/ Nonmetal SECURITY CLEARANCE RECORDS. Files contain nonrecord material, such as initial request for full field background investigation and final approval form from the Security Office, Department of Labor, granting the clearance. DISPOSITION: Keep files as long as individual is employed by thereafter, records are to be destroyed. EMPLOYEE LOCATOR SYSTEM. This system is composed of current employees of MSHA and contains name, title, office address, organization symbol, and business telephone number. Records are maintained until notice of change of employment or employment is terminated. DISPOSITION: Destroy when no longer needed. SUPERVISORS RECORD OF EMPLOYEE. Contains records on current MSHA employees and persons employed within the past year. Records consist of: (1) emergency address information; (2) record of personnel action; (3) record of employee/supervisor discussions; and (4) supervisory copies of officially recommended actions, such as: personnel actions, awards, disciplinary actions, and training requests. DISPOSITION: Destroy 1 year after termination or transfer of employee. BAEHHOUSE WAIVERS. Inspection personnel refer to these periodically. They are maintained in the field office and are the official file copy. They are not microfilmed. DISPOSITION: A. Surface Mines: Renewed annually. Destroy previous bathhouse waiver. B. Underground Mines: Retain until revoked. MSHA CONSOLIDATED RECORDS DISPOSITION SCHEDULE SF 115 Number Item Number Item No. 43 NC1w433~81~l Item No. Item No. 44 13 Responsible Program Area All Program Areas Case Document 54-2 Filed 10/07/11 Page 34 of 35 PAGE 29 Description and Approved Disposition DENVER PAYROLL SYSTEM RECORDS. A computer output microfilm system of payroll records including Time and Attendance Report (Equivalent to Application for Leave (supports entries to Report); MSHA Form 1000?23, Overtime Request and Authorization, and other memoranda serving the same purpose (supports entries to Report). The records are to be microfilmed in accordance with FPMR 101?11.5 and to include all the above records for pay year 1975 through September 1977 and to continue each biwweekly pay period thereafter. DISPOSITION: A. Microfilm copy. Destroy after GAO audit or when 3 years old, whichever is sooner. B. Paper copy. Destroy when microfilm copy is verified true. C. All other copies. Destroy 6 months after the end of the pay period. TIME AND ATTENDANCE RECORDS (Form DI 1?5 or equivalent). Supplemental time and attendance records, such as sign in/sign out sheets and work reports, used for time accounting under flexitime systems. DISPOSITION: Destroy after GAO audit or when 3 years old, whichever is sooner. CURRENT MAPS AND PLANS OF MINES AND INDUSTRIAL INSTALLATIONS. Prints (maps) showing, for example, working and elevations of mines, access routes, and ventilation systems in mines and industrial installations. DISPOSITION: Destroy when superseded by a subsequent plan or map. Case Document 54-2 Filed 10/07/11 Page 35 of 35 MSHA CONSOLIDATED RECORDS DISPOSITION SCHEDULE PAGE 30 SF 115 Number Responsible Description and Item Number Program Area Approved Disposition PEIR REGISTRY OF MINE NUMBERS (arranged by mine Item No. 24 identification number/mine name). MESA assigns identification numbers to mines. Mine numbers are then put on microfilm. l. 'Destroy paper copy when superseded by the microfilm copy. 2. PERMANENT. Offer microfilm copy to NARA when no longer needed for current business.