1219-0001 Supporting Statement 2022

Certificate of Electrical Training and Applications for Mine Safety and Health Administration Approved Tests and State Tests Administered as Part of a Mine Safety and Health Admin. Approved Program

OMB Control Number: 1219-0001

OMB Expiration Date: 1/31/2022

Supporting Statement for

Paperwork Reduction Act Submission

Information Collection Title: Certificate of Electrical Training and Applications for MSHA Approved Tests and State Tests Administered as Part of an MSHA-approved State Program

OMB No.: 1219-0001

Authority: 30 CFR 75.153 and 30 CFR 77.103

Form(s): MSHA Form 5000-1, Certificate of Electrical Training

A. Justification

1. Explain the circumstances that make the collection of information necessary. Identify any legal or administrative requirements that necessitate the collection. Attach a copy of the appropriate section of each statute and regulation mandating or authorizing the collection of information.

Section 103(h) of the Federal Mine Safety and Health Act of 1977 (Mine Act), 30 U.S.C. 813(h), authorizes the Mine Safety and Health Administration (MSHA) to collect information necessary to carry out its duty in protecting the safety and health of miners. Further, section 101(a) of the Mine Act, 30 U.S.C. 811(a), authorizes the Secretary of Labor (Secretary) to develop, promulgate, and revise as may be appropriate, improved mandatory health or safety standards for the protection of life and prevention of injuries in coal and metal and nonmetal mines.

Section 103(a)(2) of the Mine Act requires authorized representatives of the Secretary or the Secretary of Health and Human Services to make frequent inspections and investigations in coal or other mines each year for the purpose of gathering information with respect to mandatory health or safety standards.

Section 305(g) of the Mine Act requires that all electric equipment must be frequently examined, tested, and properly maintained by a qualified person to ensure safe operating conditions.

30 CFR 75.153(a) and 77.103(a) require that a program be provided for the qualification of certain experienced personnel as mine electricians. A qualified person is defined as a person qualified to perform electrical work other than work on energized surface high-voltage lines if:

1) The person has been qualified as a coal mine electrician by a State that has a coal mine electrical qualification program approved by MSHA; or

2) The person has at least 1 year of experience performing electrical work underground in a coal mine, in the surface work area of an underground coal mine, in a surface coal mine, in a non-coal mine, in the mine equipment manufacturing industry, or in any other industry using or manufacturing similar equipment, and has satisfactorily completed a coal mine electrical training program approved by MSHA or has attained a satisfactory grade on a series of five written tests approved by MSHA.

MSHA Form 5000-1, Certificate of Electrical Training, is used by instructors to report to MSHA those miners who have satisfactorily completed a coal mine electrical training program. MSHA Form 5000-1 is used to verify compliance with 30 CFR 75.153(g) and 77.103(g). Based on the information submitted on Form 5000-1, MSHA issues certification cards that identify individuals as qualified to perform certain tasks at the mine. Although the standards do not specify use of the Form 5000-1, MSHA believes the form is the most efficient means for reporting on individuals who have completed the required training.

The Agency is adding a request for approval of applicants meeting requirements under 30 CFR 75.153(a)(1) and (a)(3) and 77.103(a)(1) and (a)(3) in this submission. The Agency is also requesting approval for applications for MSHA-approved tests and for State tests that are administered as part of an MSHA-approved State program.

MSHA-Approved State Programs

MSHA currently has agreements with nine States (Alabama, Colorado, Illinois, Kentucky, Ohio, Tennessee, Utah, Virginia, and West Virginia) to qualify persons as coal mine electricians. Under these agreements, the State has the authority to implement and administer the electrical qualification program under 30 CFR 75.153(a) and 77.103(a). MSHA issues electrical qualification cards to new applicants based on evidence of 1 year experience in performing electrical work and the successful completion of the required examinations administered by these States.

2. Indicate how, by whom, and for what purpose the information is to be used. Except for a new collection, indicate the actual use the agency has made of the information received from the current collection.

MSHA Form 5000-1 is used by instructors and by States that have a coal mine electrical qualification program approved by MSHA to report to MSHA those miners who have satisfactorily completed a coal mine electrical training program.

MSHA Form 5000-1 is used for four MSHA-approved training courses:

• Electrical Qualification Initial Training, (Underground);

• Electrical Qualification Retraining, (Underground);

• Electrical Qualification Initial Training, (Surface); and

• Electrical Qualification Retraining, (Surface).

MSHA also requires an applicant who takes the initial electrical qualification training to submit evidence of at least 1 year of experience in performing electrical work, including, but not limited to, dates of work, work performed, types of equipment used, and names of supervisors.

Based on the information submitted on Form 5000-1 and the evidence of experience provided by the new applicant, MSHA will issue a qualification card that identifies an individual as qualified to perform certain electrical work at the mine. In order to retain an MSHA qualification, an individual qualified in accordance with 30 CFR 75.153 and 77.103 is required to satisfactorily complete a coal mine electrical retraining program approved by MSHA.

MSHA inspectors may ask to see the cards to determine compliance with regulations during routine inspections. Mine operators use the cards to determine a person's qualifications to perform certain tasks and when hiring new personnel. MSHA uses the information to determine mine operators' compliance with approved training plans, to monitor safety-training programs, and to report to Congress. Upon request, MSHA also furnishes the information to mine operators and to representatives of miners and to certify annually that the retraining was completed.

3. Describe whether, and to what extent, the collection of information involves the use of automated, electronic, mechanical, or other technological collection techniques or other forms of information technology, e.g., permitting electronic submission of responses, and the basis for the decision for adopting this means of collection. Also describe any consideration of using information technology to reduce burden.

In accordance with the Government Paperwork Elimination Act, MSHA Form 5000-1 is available on MSHA’s website for electronic submission. The public may view the electronic form at https://www.msha.gov/support-resources/forms-online-filing/2015/04/15/certificate-electricalnoise-training. Approximately 79 percent of the forms are submitted electronically.

4. Describe efforts to identify duplication. Show specifically why any similar information already available cannot be used or modified for use for the purposes described in Item 2 above.

MSHA’s mandatory safety standards for underground and surface coal mines require qualifying mine electricians based on the satisfactory completion of a MSHA-approved training program. There are no similar or duplicate records that could be used.

5. If the collection of information impacts small businesses or other small entities, describe any methods used to minimize burden.

This information collection does not have a significant impact on small businesses or other small entities.

6. Describe the consequence to Federal program or policy activities if the collection is not conducted or is conducted less frequently, as well as any technical or legal obstacles to reducing burden.

MSHA Form 5000-1 is used to identify those miners who have completed the training requirements and to generate a certificate of qualification/certification. The instructor and the States that have a coal mine electrical qualification program approved by MSHA submit the forms at the completion of each training course. Less frequent information collection would be a violation of the Mine Act and of Federal regulations requiring that persons be qualified and certified to perform important safety and health functions at mines.

7. Explain any special circumstances that would cause an information collection to be conducted in a manner:

• Requiring respondents to report information to the agency more often than quarterly;

• Requiring respondents to prepare a written response to a collection of information in fewer than 30 days after receipt of it;

• Requiring respondents to submit more than an original and two copies of any document;

• Requiring respondents to retain records, other than health, medical, government contract, grant-in-aid, or tax records for more than three years;

• In connection with a statistical survey, that is not designed to produce valid and reliable results that can be generalized to the universe of study;

• Requiring the use of a statistical data classification that has not been reviewed and approved by OMB;

• That includes a pledge of confidentiality that is not supported by authority established in statute or regulation, that is not supported by disclosure and data security policies that are consistent with the pledge, or which unnecessarily impedes sharing of data with other agencies for compatible confidential use; or

• Requiring respondents to submit proprietary trade secret, or other confidential information unless the agency can demonstrate that it has instituted procedures to protect the information's confidentiality to the extent permitted by law.

This collection of information is consistent with the guidelines in 5 CFR 1320.5.

8. If applicable, provide a copy and identify the data and page number of publication in the Federal Register of the agency's notice, required by 5 CFR 1320.8(d), soliciting comments on the information collection prior to submission to OMB. Summarize public comments received in response to that notice and describe actions taken by the agency in response to these comments. Specifically address comments received on cost and hour burden.

Describe efforts to consult with persons outside the agency to obtain their views on the availability of data, frequency of collection, the clarity of instructions and recordkeeping, disclosure, or reporting format (if any), and on the data elements to be recorded, disclosed, or reported.

Consultation with representatives of those from whom information is to be obtained or those who must compile records should occur at least once every 3 years, even if the collection of information activity is the same as in prior periods. There may be circumstances that may preclude consultation in a specific situation. These circumstances should be explained.

In accordance with 5 CFR 1320.8(d), MSHA will publish the proposed information collection requirements in the Federal Register, notifying the public that these information collection requirements are being reviewed in accordance with the Paperwork Reduction Act of 1995, and giving interested persons 60 days to submit comments. MSHA published a 60-day Federal Register notice on August 19, 2022 (87 FR 51151). MSHA received no public comments.

9. Explain any decision to provide any payment or gift to respondents, other than remuneration of contractors or grantees.

MSHA does not provide payments or gifts to respondents.

10. Describe any assurance of confidentiality provided to respondents and the basis for the assurance in statute, regulation, or agency policy.

This information is in a Privacy Act Systems of Records Notice, (April 8, 2002, 67 FR 16816), DOL/MSHA-15, Health and Safety Training and Examination Records, which governs disclosure of the information. Computer safeguards are consistent with the National Bureau of Standards Booklet, "Computer Security Guidelines for Implementing the Privacy Act of 1974,” and procedures developed by MSHA under GSA Circular E-34.

11. Provide additional justification for any questions of a sensitive nature, such as sexual behavior and attitudes, religious beliefs, and other matters that are commonly considered private. This justification should include the reasons why the agency considers the questions necessary, the specific uses to be made of the information, the explanation to be given to persons form whom the information is requested, and any steps to be taken to obtain their consent.

There are no questions of a sensitive nature.

12. Provide estimates of the hour burden of the collection of information. The statement should:

• Indicate the number of respondents, frequency of response, annual hour burden, and an explanation of how the burden was estimated. Unless directed to do so, agencies should not conduct special surveys to obtain information on which to base hour burden estimates. Consultation with a sample (fewer than 10) of potential respondents is desirable. If the hour burden on respondents is expected to vary widely because of differences in activity, size, or complexity, show the range of estimated hour burden, and explain the reasons for the variance. Generally, estimates should not include burden hours for customary and usual business practices.

• If this request for approval covers more than one form, provide separate hour burden estimates for each form and aggregate the hour burdens.

• Provide estimates of annualized cost to respondents for the hour burdens for collections of information, identifying and using appropriate wage rate categories. The cost of contracting out or paying outside parties for information collection activities should not be included here. Instead, this cost should be included under Item 13.

MSHA Form 5000-1

In fiscal year 2021, MSHA received 1,574 submissions of MSHA Form 5000-1 containing entries for 9,433 miners. MSHA anticipates that the Agency will receive approximately the same number of forms for the fiscal year 2022. These forms include new applicants who have completed the initial training and individuals who have completed the electrical retraining class to maintain MSHA electrical qualification. The form does not report test results. Instructors send these forms to MSHA. States which have a coal mine electrical qualification program approved by MSHA administer the examinations and send the forms to MSHA.

MSHA is basing the estimates on the number of forms and the number of miners instead of the number of qualifications issued because participating miners may have both underground and surface qualifications and the training covers both surface and underground. The number of courses is based on reports from the MSHA Qualification and Certification system that provide information on electrical courses.

Approximately 30 percent of courses (473) are taught by instructors working directly for the mining companies and approximately 32 percent of courses (503) are taught by instructors working as contractors for the mining companies. MSHA estimates that the remaining 38 percent of courses (598) are conducted by State grantees with a MSHA-approved electrical training program. There are 236 respondents that submit the MSHA Form 5000-1. MSHA estimates that the respondents are distributed proportionally to the number of courses: 62 percent (146 respondents) submitted the form by instructors working directly for or contracted by the mining companies), and 38 percent (90 respondents) submitted by State grantees.

MSHA used data from the May 2021 Occupational Employment and Wage Statistics (OEWS) published by the Bureau of Labor Statistics (BLS) for hourly wage rates¹ and adjusted the rates for benefits² and wage inflation³. MSHA estimates that the forms are completed by an underground or surface coal mine instructor, a first-Line Supervisor, earning a wage of $72.76 per hour.⁴ MSHA assumes a similar wage rate for contractors and State grantees. MSHA estimates that, on average, it takes 25 minutes to complete the MSHA Form 5000-1. Below, MSHA shows the cost estimate to complete the forms.

Table 12-1

Total number of MSHA Form 5000-1	Percent Taught by	Total Number of Courses	Time per Course (Minutes)	Total Burden Hours	Wage Rate	Total Burden Cost
Business or other for-profit
Mine Instructors Form 5000-1	30%	473	25	197.08	$72.76	$14,338.95
Contract Instructors Form 5000-1	32%	503	25	209.58	$72.76	$15,248.40
Subtotal	62%	976	25	406.67	$72.76	$29,587.34
State Grantees Form 5000-1	38%	598	25	249.17	$72.76	$18,128.31
Total	100%	1,574		655.67		$47,715.66

Evidence of Eligibility

To be eligible to take the State or MSHA-approved electrical qualification exam, new applicants must submit evidence of at least 1 year of experience in performing electrical work in a coal mine or acceptable related industry experience to MSHA or to the State with a MSHA-approved qualification program.

MSHA estimates that there are 58 new applicants/respondents each year. In addition, MSHA estimates that, on average, it takes an underground or surface coal miner, earning a composite wage of $42.94 per hour⁵, 2 hours to compile and send the information to MSHA or to a State with a MSHA-approved qualification program. Table 12-2 shows the annual expected costs of completing new applications.

Table 12-2

	No. of New Applications	Time to complete Application (minutes)	Total Hourly Burden	Wage Rate	Total Hourly Burden Cost
New Applicants	58	120	116.00	$42.94	$4,981.49

Total hour burden of the collection of information is summarized below.

Estimated Annual Burden Hours and Cost
(a) Type of Respondent	(b) Standard/ Data Collection Activity/ Form	(c) No. of Respond-ents	(d) No. of responses per Respond-ent	(e) Total No. of Responses	(f) Avg. Burden per Response (in hours)	(g) Total Annual Burden (in hours/ rounded to whole numbers) (e x f)	(i)* Total Annual Respondent Cost
Business or other for-profit	MSHA Form 5000-1	146	6.68	976	0.42	406.67	$ 29,587.34
State, Local or Tribal Government (State grantees)	MSHA Form 5000-1	90	6.64	598	0.42	249.00	$ 18,128.31
Subtotal	MSHA Form 5000-1	236		1,574		655.67	$ 47,715.66
Individuals or households	Evidence of Eligibility	58	1	58	2.00	116.00	$ 4,981.49
Total		294		1,632		772	$52,697

^*(i) = (g) x wage rate

13. Provide an estimate of the total annual cost burden to respondents or recordkeepers resulting from the collection of information. (Do not include the cost of any hour burden already reflected on the burden worksheet).

• The cost estimate should be split into two components: (a) a total capital and start-up cost component (annualized over its expected useful life); and (b) a total operation and maintenance and purchase of services component. The estimates should take into account costs associated with generating, maintaining, and disclosing or providing the information. Include descriptions of methods used to estimate major cost factors including system and technology acquisition, expected useful life of capital equipment, the discount rate(s), and the time period over which costs will be incurred. Capital and start-up costs include, among other items, preparations for collecting information such as purchasing computers and software; monitoring, sampling, drilling, and testing equipment; and record storage facilities.

• If cost estimates are expected to vary widely, agencies should present ranges of cost burdens and explain the reasons for the variance. The cost of purchasing or contracting out information collection services should be a part of this cost burden estimate. In developing cost burden estimates, agencies may consult with a sample of respondents (fewer than 10), utilize the 60-day pre-OMB submission public comment process and use existing economic or regulatory impact analysis associated with the rulemaking containing the information collection, as appropriate.

• Generally, estimates should not include purchases of equipment or services, or portions thereof, made: (1) prior to October 1, 1995, (2) to achieve regulatory compliance with requirements not associated with the information collection, (3) for reasons other than to provide information or keep records for the government, or (4) as part of customary and usual business or private practices.

Cost Burden for Mailing Form 5000-1

MSHA expects to receive 81 percent of the 1,574 MSHA Form 5000-1s electronically. The remaining 19 percent or 299 forms (instructor, contractor, and State grantee forms) will be received by mail. MSHA estimates that the cost of mailing each form to MSHA is $1.00. Annual postage costs are estimated below.

Table 13-1

Form 5000-1s	Mail Percentage	Forms Mailed	Mail Cost/ Appl.	Burden Cost
1,574	19%	299	$1.00	$299

14. Provide estimates of annualized cost to the Federal government. Also, provide a description of the method used to estimate cost, which should include quantification of hours, operational expenses (such as equipment, overhead, printing, and support staff), and any other expense that would not have been incurred without this collection of information. Agencies also may aggregate cost estimates from Items 12, 13, and 14 in a single table.

The annual costs to the Federal government include the postage to mail a card to each qualified person (9,433) and hours spent by federal staff to operate and maintain MSHA’s Standard Information System (MSIS) to process the forms.

MSHA estimated that the mailing cost of a card is $1.16. Mailing costs are shown in Table 14-1:

Table 14-1

	Total Number of Cards	Cost to Mail Card	Total Cost to the Federal Government
Federal Government Burden to mail certification card	9,433	$1.16	$10,942

The cost for the grantees to file forms has not been estimated because it is a small portion of the overall cost.

MSHA estimates that one employee in its Lakewood, Colorado office will allocate 35 percent of their time to maintain MSHA’s MSIS each year. MSHA estimates the average annual salary of a MSHA clerical person (GS‑7) to be $68,969.⁶ Table 14-2 shows the estimated MSHA costs are:

Table 14-2

Burden to Government to maintain MSIS	Salary of Person Maintaining System	Percent of the time (annual) to maintain system	Total Burden Cost
GS-7 Secretary/Clerical	$68,969	35%	$24,139

Therefore, the total cost to the Federal government is $10,942 + $24,139 = $35,081

15. Explain the reasons for any program changes or adjustments reported on the burden worksheet.

Table 15.1 Shows the Summary of changes in costs.

	Previous	Current	Difference
Respondents	266	294	28
Burden Hours	849	772	-77
Responses	2,025	1,632	-393
Burden Cost	413	299	-$114

Respondents: The number of respondents increased from 266 to 294 due to an increase in the number of submissions from business or other for-profit instructors.

Responses: The number of MSHA Form 5000-1 submissions decreased from 2,025 to 1,632, because the average number of submissions per respondent decreased from 9.5 submissions to 6.7 submissions.

Burden Hours: There is a decrease in burden hours from 849 to 772. The decrease in burden hours is directly attributable to the decreased number of submissions by respondents, despite an increase in the average burden of evidence of eligibility.

Cost to Respondents: A decrease in the number of forms submitted by respondents by mail has resulted in a decrease in the annual cost burden described in Item 13 from $413 to $299.

16. For collections of information whose results will be published, outline plans for tabulation, and publication. Address any complex analytical techniques that will be used. Provide the time schedule for the entire project, including beginning and ending dates of the collection of information, completion of report, publication dates, and other actions.

MSHA does not intend to publish the results of this information collection.

17. If seeking approval to not display the expiration date for OMB approval of the information collection, explain the reasons that display would be inappropriate.

MSHA is not seeking approval to not display the expiration date for OMB approval of this information collection.

18. Explain each exception to the topics of the certification statement identified in "Certification for Paperwork Reduction Act Submissions."

There are no certification exceptions identified with this information collection.

B.  COLLECTIONS OF INFORMATION EMPLOYING STATISTICAL METHODS

There is no statistical methodology involved in this collection.

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

2 The benefit multiplier comes from BLS Employer Costs for Employee Compensation accessed by menu at http://data.bls.gov/cgi-bin/srgate or directly with http://download.bls.gov/pub/time.series/cm/cm.data.0.Current. Insert the data series CMU2030000405000D and CMU2030000405000P, Private Industry Total benefits for Construction, extraction, farming, fishing, and forestry occupations, which is divided by 100 to convert to a decimal value. MSHA used the latest 4-quarter moving average 2021Qtr1 - 2021Qtr4 to determine that 32.8 percent of total loaded wages are benefits. MSHA computes the benefit multiplier with a number of detailed calculations, but it may be approximated with the formula and values 1 + (benefit percentage/(1-benefit percentage)) = 1+(.328/(1-.328)) =1.487.

3 Wage inflation is the change in Series ID: CIS2020000405000I; Seasonally adjusted; Series Title: Wages and salaries for Private industry workers in Construction, extraction, farming, fishing, and forestry occupations, Index. (https://data.bls.gov/cgi-bin/srgate; 2021Qtr4/2021Q2=147.3/144.3=1.021).

4 For the coal mining Supervisor hourly wage rate, MSHA used the employment weighted average of mean hourly wage for First-Line Supervisors occupation from the BLS May 2021 OEWS data, using Standard Occupational Classification (SOC) major group code 47, 49, 51, 53 in North American Industry Classification System (NAICS) code 212100, Coal Mining. The weighted average rate was adjusted for benefits and inflation to obtain a fully loaded rate of $72.76 ($47.92 x 1.487 benefit adjustment x 1.021 inflation adjustment). All subsequent uses of $72.76 represent the coal mining Supervisor hourly wage rate.

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

5 For the coal miner hourly wage rate, MSHA used the employment weighted average of mean hourly wage from the BLS May 2021 OEWS data, using SOC major group code 47, 49, 51 in NAICS codes 212100, Coal Mining. The weighted average rate was adjusted for benefits and inflation to obtain a fully loaded rate of $42.94 ($28.29 x 1.487 benefit adjustment x 1.021 inflation adjustment). All subsequent uses of $42.94 represent coal miner hourly wage rate.

6 The Federal employee hourly wage rate comes from the Office of Personnel Management (OPM) September 2021 FedScope data cube, http://www.fedscope.opm.gov/. Average salary was obtained for the appropriate grade and occupation for DOL-MSHA employees. Average annual salary for a secretary/clerical person based in Colorado was obtained from the FedScope with the following qualifiers: agency = DLMS, occupation = 0318 secretary/clerical, GSEG=GS7. In order to include the cost of benefits, the annual average salary was multiplied by a federal benefits scaler of 1.440 computed from MSHA’s 2023 budget submission ($47,895 X 1.440 benefit adjustment = $68,968). The final hourly wage rate of a GS-7 was derived by dividing the adjusted annual average salary by 2,087 hours (hourly rate = $68,968 ÷ 2,087 hours = $33.05).

12