skip navigational links United States Department of Labor
May 9, 2009        
DOL Home > OALJ Home > Miscellaneous Collection
DOL Home USDOL/OALJ Reporter

RAG Emerald Resources LP & MSHA v. UMWA, 2001-MSA-1 (ALJ Apr. 10, 2001)


U.S. Department of LaborOffice of Administrative Law Judges
Seven Parkway Center - Room 290
Pittsburgh, PA 15220

(412) 644-5754
(412) 644-5005 (FAX)

DOL Seal

CASE NO. 2001-MSA-1

OALJ NO. M-1999-101-C

In the Matter of

RAG EMERALD RESOURCES LP,
       Petitioner

    and.

MINE SAFETY & HEALTH ADMINISTRATION,
       Party-in-Interest

    v.

UNITED MINE WORKERS OF AMERICA,
       Party Opposing Petition

RULING AND ORDER
DENYING MOTION FOR RECONSIDERATION
AND
GRANTING MOTION IN LIMINE IN PART

Procedural Background

   A hearing in the above-styled case is scheduled on April 17, 2001, in Pittsburgh, Pennsylvania. On March 22, 2001, I issued a Ruling and Order finding the United Mine Workers' of America ("UMWA") appeal of the 1995 Proposed Decision and Order ("PDO") of the Mine Safety and Health Administration's ("MSHA") approval of RAG Emerald Resources, LP ("Emerald"), request for modification of a mandatory coal mining safety standard constituted a "partial" appeal, under 30 C.F.R. § 44.14(c), versus an overall or "global" appeal.


[Page 2]

   On March 28, 2001, the UMWA sought reconsideration of the Ruling. Emerald responded to the Motion, on March 31, 2001. Emerald submitted an additional Motion in Limine, at that time. In a Preliminary Order on Stipulations and Limitations on Evidence, dated February 6 , 2001, I had previously expressed my "inclination" to limit the introduction of evidence. This earlier order, establishing a prerequisite of relevancy for the admission of evidence, was discussed extensively at the initial hearing, on February 13, 2001.

   On April 5, 2001, the UMWA submitted a facsimile opposing Emerald's Motion in Limine. The MSHA filed a response to Emerald's most recent motions on April 9, 2001. On April 9, 2001, the UMWA filed a Request to Enforce the 1995 Proposed Decision and Order seeking clarification of my March 22, 2001 Ruling and Order. Understandably, the remaining parties have not yet responded to the UMWA's most recent motion.

   However, on April 10, 2001, the MSHA submitted a request for clarification of my March 22, 2001 Ruling and Order. MSHA points out the 2000 PDO is not self-executing and cannot become effective until certain terms and conditions are implemented, specifically items 36 (training) and 38 (inspection). Until Emerald notifies MSHA the mine is in full compliance with these conditions, MSHA has no choice but to enforce the 1995 PDO. Further, MSHA states, since the March 22, 2001 Ruling and Order cannot go into effect until the 30th day after service on the parties (30 C.F.R. § 44.32(a)), the 2000 PDO cannot go into effect before April 23, 2001. MSHA therefore ask the March 22, 2001 Ruling and Order be amended to clarify that it will not go into effect until April 23, 2001 and after Emerald has notified MSHA, in writing, the mine is in full compliance with the conditions set forth above.

Parties' Arguments

UMWA

   The UMWA argues that: (a) it explicitly followed the "inherently confusing" regulations; (b) did not intend its hearing request to be a "partial" appeal; (c) no party had identified it as such until the preliminary hearing in this matter; (d) a partial appeal may not be "forced" upon it; and MSHA's interpretation is entitled to deference, under Chevron U.S.A., Inc. v. Natural Resources Defense Council, Inc., 467 U.S. 837 (1984). The Union is not in a position to say only six issues are to be resolved and its settlement negotiations should not be used against it. The safety and health of the workforce compel enforcement of the 1995 PDO until the instant challenge is resolved.

   Earlier, in an undated Reply to Brief of Administrator, received March 16, 2001, the UMWA submitted additional information setting forth its position about how it believes the 2000 PDO will affect health and safety conditions at the Emerald No. 1 Mine. While certain of the information submitted relates to issues it had previously raised, some matters, i.e., electrical and hydraulic, are new.


[Page 3]

   Primarily, the UMWA argues the new 2000 PDO eliminates various mandatory negotiated health and safety conditions currently in effect at the mine, as a matter of "administrative convenience" and Emerald "intends to apply the September 5, 2000, PDO in a manner that will alter its current mining projections and create additional hazards" (Reply to Brief of Administrator, p. 4). The UMWA argues at length about the potential adverse safety impact, i.e., electrical, methane gas, respirable coal dust, ventilation, methane monitoring, rock dust, escapeways, and hydraulic, of a potential increase in the size of Emerald's longwall panels from 1,000 by 14,000 feet to 2,000 by 20,000 feet.

   The UMWA complains that raising such issues in this forum is the only way the UMWA's concerns will be seriously considered because while the plan approval process permits UMWA comments, there is no agency obligation to consider or explain its treatment of the miners' concerns and no judicial review is permitted. It suggests an intention to offer evidence concerning the Williams Station and Wilberg Mines rapid plan approval process, ensuing hazards and investigations, to illustrate the deficiencies and unreliability of the plan approval process.

   In response to Emerald's Motion in Limine, the UMWA argues the former has been "acutely aware" of the Union's issues to date and had heard the undersigned's determination that the health and safety of the miners were relevant. The inclusion of evidence concerning mining disasters is needed to re-enforce the UMWA's concerns regarding its lack of input into MSHA's plan approval process. The UMWA needs to address hazards, i.e., methane gas liberation, respirable dust, float dust, etc., which will be created during the mining process Emerald intends to implement.

   In its April 9, 2001 Request to Enforce the 1995 Proposed Decision and Order, the UMWA complains that despite my March 22, 2001, Ruling and Order finding the 2000 PDO in effect at Emerald's mine, the MSHA District 2 personnel agreed with Emerald personnel that it was operating under the 1995 PDO. The UMWA argues Emerald's position is inconsistent with its stance in the present litigation. It states, ". . . RAG and MSHA's actions clearly demonstrate their lack of desire or ability to adequately protect miners without binding measures in place." The UMWA concludes requesting an Order instructing the MSHA and Emerald of their responsibilities "so as to prevent further manipulation of the system."

Emerald

   Emerald argues the UMWA Motion should be denied as it has provided no legal basis for reconsideration. The UMWA's failure to characterize its appeal does not determine its nature. The regulation is clear, not confusing and intended to limit the hearing to specific disputed issues. The UMWA only disputes thirty-five of the forty-one conditions in the 2000 PDO and that Emerald has been operating under a modification (the 1995 PDO) of the mandatory standard of 30 C.F.R. § 75.1002 since 1990 without objection. The MSHA's position in this matter "does not appear to rise to the level of an interpretation' of the


[Page 4]

regulation since it is the application of specific facts to the law." Even if it were an "interpretation", it is not entitled to deference because it is unreasonable. MSHA's interpretation would render the partial appeal regulation "practically meaningless". The administrative law judge's resolution of the matter meets the two-step Chevron formula. Emerald enumerates the conditions of the 2000 PDO which the UMWA challenges:

1. The inclusion of language in Item 15 of the 2000 PDO referring to a separate 101(c) petition (Request 3a);
2. The failure to include in Item 16 of the 2000 PDO a definition of "minor" cable repairs (Request 3b);
3. The wording of Item 38 of the 2000 PDO which describes how MSHA is to be notified when the equipment is put in service (Request 3c);
4. The language of Item 39 of the 2000 PDO because it does not provide for an additional methane sensor at mid-face (Request 3i); and,
5. The language of Item 41 of the 2000 PDO with respect to training (Request 3j).

   It observes items 1-3 are minor and do not represent any significant expansion of the UMWA's appeal. Emerald then lists certain provisions the UMWA states it would like to see included in the 2000 PDO:

1. A maximum width and length for face of a longwall panel (Request 3d);
2. A requirement for two separate intake entries on the headgate side during longwall retreat mining (Request 3c);1
3. Language concerning installation supplemental support (Request 3f);
4. Language concerning rock dusting (Request 3g); and,
5. A requirement concerning respirable dust sampling (Request 3h).

Emerald points out that items 3 and 5 are essentially recitations of existing mandatory safety standards.

   Emerald moves to exclude UMWA evidence concerning the Williams Station and Wilberg Mines, should it be offered. While admitting review of alternate mining methods which deviate from mandatory coal mining safety standards permits inquiry into "potential safety losses", Emerald argues such evidence is irrelevant if the issues involved in the alleged potential safety losses are addressed by other mandatory standards. "The existence of any condition cannot represent a potential safety loss if it is addressed by a mandatory standard." (Motion in Limine, p. 3). The majority of the five unresolved issues, identified by the UMWA in its Motion to Withdraw Request for Hearing, appear to be related to an "extended width longwall face" are addressed by other mandatory safety standards and thus are irrelevant here.

   Emerald argues the UMWA's basic premise that it presently intends to increase its longwall panels from 1,000 by 14,000 feet to 2,000 by 20,000 feet is flawed in that current plans are evaluating the size of 1,250 foot panels.


[Page 5]

   Emerald states the UMWA's concern over methane level monitoring ignores the fact that both ventilation and methane monitoring standards exist. For example: 30 C.F.R. § 75.323 requires electrical equipment, except methane monitoring systems, to be shut down if the methane level reaches 1% until the methane is reduced; 30 C.F.R. § 75.342 requires use of methane monitors on face equipment; 30 C.F.R. § 75.334 requires use of a bleeder ventilation system to control the air passing through an area like a longwall glob "to continuously dilute and move methane-air mixtures and other gases, dusts and fumes from the worked-out area away from the active workings"; 30 C.F.R. § 75.362(d) requires examinations for methane on a longwall face at the beginning of the shift, before the start up of equipment and every 20 minutes; 30 C.F.R. § 75.370 requires an operator to have an approved ventilation plan designed "to control methane and respirable dust" which must be reviewed every six months, under 30 C.F.R. § 75.370(g), to "assure that it is suitable to the current conditions of the mine."

   Emerald points out respirable coal dust must be addressed in the required ventilation plan, as well as meet the standards of 30 C.F.R. §§ 70.100 and 75.370. The UMWA ignores the mandatory standards covering float dust, rock dusting, and float dust limits in return airways set forth in 30 C.F.R. §§ 75.400, 75.402 and 75.403.

   Emerald notes that the UMWA has raised "escapeway" issues, but the provisions it wishes to have restored to the 2000 PDO concern "intake airways". Escapeways are addressed by mandatory safety standards. 30 C.F.R. §§ 75.380, 75.384. The tailgate must be maintained as a travelway even if it is not an escapeway. See 30 C.F.R. § 75.384. Ventilation is addressed by a series of standards, under 30 C.F.R. § 75.370.

   Emerald argues the UMWA's generalized evidence concerning undefined and speculative electrical and hydraulic issues should be excluded because not raised in its hearing request or pre-hearing report and they are framed as a series of questions. The UMWA has not connected its proposed evidence to the protection afforded by the standard and thus is irrelevant.

   Emerald argues any evidence concerning accidents at other mines, i.e., Wilberg Mine, Pyros' William Station Mine, and Southmountain Mine, should be excluded as irrelevant and "outdated" because older mandatory safety standards were then in effect. Emerald states those accidents have nothing to do with high voltage longwall equipment and its introduction would cause lengthy (and unnecessary) relitigation of those matters.


[Page 6]

MSHA

   The MSHA opposes Emerald's Motion in Limine as it attempts to exclude most, if not all of the UMWA's evidence and argues it should be treated as a motion for summary decision, under 30 C.F.R. § 44.40.

The Law

Partial versus Global Appeal

   30 C.F.R. § 44.1(b) provides:

The rules shall be liberally construed to carry out the purpose of the Act by assuring adequate protection of the miners and to secure a just and prompt determination of all proceedings consistent with adequate consideration of the issues involved.

   30 C.F.R. § 44.14, Request for Hearing, states:

    A request for hearing filed in accordance with § 44.13 of this part must be filed within 30 days after service of the proposed decision and shall include:

    (a) A concise summary of position on the issues of fact or law desired to be raised by the party requesting the hearing, including specific objections to the proposed decision. A party other than the petitioner who has requested a hearing shall also comment upon all issues of fact or law presented in the petition, and

    (b) An indication of a desired hearing site.

    (c) Partial Appeal. (1) If the Administrator has issued a proposed decision and order granting the requested modification, a request for hearing on the proposed decision and order may be made by any party based upon objection to one or more of the terms and conditions of the Administrator's proposed decision and order. If such a request for hearing is made, the request should specify which of the terms and conditions should be the subject of the hearing.

    (2) During the pendency of the partial appeal, the proposed decision and order of the Administrator will become final on the 30th day after service thereof, unless a request for hearing on the proposed decision and order is filed in accordance with paragraph (a) of this section by any other party. The decision and order will remain in effect as proposed by the Administrator


[Page 7]

until the terms and conditions for which the hearing was requested are modified, affirmed or set aside by a final order of the presiding administrative law judge or the Assistant Secretary. The presiding administrative law judge shall take such action upon a determination of whether

(i) The terms and conditions for which the hearing was requested are necessary to ensure that the alternative method of achieving the result of the standard will at all times guarantee to the miners at the mine at least the same measure of protection afforded to the miners at the mine by such standard: or

(ii) In the case of a petition involving a finding by the Administrator of a diminution of safety to the miners caused by application of the standard at the mine, whether the terms and conditions for which the hearing was requested are necessary to provide equivalent protection to the miners at the mine from the hazard against which the standard is directed.

   The standard for hearings was promulgated in 1990 and there is apparently no case law dealing with it.2 See, 55 Fed. Reg. 53441 (December 28, 1990). The first proposed revision to the rules did not include provisions for partial appeals. See, 54 Fed. Reg. 19492 (May 5, 1989). Moreover, the preamble to the final rules which included the provision for a partial appeal provides little information beyond which is contained in the rule itself. See, 55 Fed. Reg. 53430, 53433 (December 28, 1990).

   "An administrative agency's interpretation of its own regulations is controlling unless it is plainly erroneous or inconsistent with the regulation.'" 1A Sutherland, Statutory Construction, § 31.06, at 545 (5th Ed. 1991) and cases cited therein. The words of a regulation are to be given their plain meaning. Solano Garbage Co. v. Cheney, 779 F.Supp. 477 (E.D. CA 1991). "An administrative interpretation developed during, or shortly before the litigation in question is entitled to less weight than that of a long-standing administrative interpretation of administrative rules." 1A Sutherland, Statutory Construction, § 31.06, at 545 (5th Ed. 1991) and cases cited therein.

Limitations on Evidence

   30 C.F.R § 44.11(b) has, since at least July 1, 1994, provided that a petition for modification "shall not include a request for modification of more than one mandatory safety standard." Since 1994, 30 C.F.R. § 44.4(c) has likewise stated, "The (granted) modification, together with any conditions, shall have the same effect as a mandatory safety standard."


[Page 8]

   The two-part standard of review of the petition for modification and ensuing Proposed Decision and Order ("PDO") is straight forward. That is (1) whether, the conditions of the modification of 30 C.F.R. § 75.1002, set forth in the proposed decision & order ("PDO") of the MSHA, will at all times guarantee no less than the same measure of protection afforded the miners at such mine by mandatory safety standard 30 C.F.R. § 75.1002? (This is 30 U.S.C. § 811(c) and 30 C.F.R. §§ 44.4(a)(1) & 44.14(c)(2)(i)) and (2) taking into account both the advantages and disadvantages of the alternative method set forth in the PDO, including effects unrelated to the goals of the original standard, if the approved modification will achieve a net gain or at least equivalence in overall mine safety? (UMWA v. MSHA, 928 F.2d 1200 (D.C. 1991)). These issues define the scope of the evidence which may properly be admitted.

   ". . . [T]he administrative law judge shall exclude evidence which is irrelevant, immaterial or unduly repetitious." 30 C.F.R. § 44.30(c)(1); see, International Union UMWA v. Federal Mine Safety and Health Administration, 931 F.2d 908, 913 (D.C. Cir. 1991).

Enforcement of Mandatory Safety Standards

   A miner or representative of miners who has reasonable grounds to believe a violation of the Act or a mandatory safety or health standard, or an imminent danger exists may, under section 103(g) of the Act, may notify the Secretary of the same, in writing, and have the right to a prompt special inspection. 30 C.F.R. §§ 43.2, 43.5. The miner or representative must be advised of the results of the inspection. When the Secretary does not issue a citation, the complainant has an informal review right at the District manager's level. 30 C.F.R. § 43.7(a)-(d). Further, Subchapter P, 30 C.F.R. part 100, contains provisions for imposition of civil penalties for violations of the Act.

Discussion of Facts and Law

Partial versus Global Appeal

   The fact the UMWA did not state it was seeking a "partial" appeal, as argued by Emerald, is not determinative. One must examine the written hearing request itself, rather than the elusive intent of the party, to ascertain whether the appeal is a "global" versus "partial" appeal. The UMWA asked for a hearing on the issue of whether the alternative method proposed by Emerald and as amended by the recommendations of the MSHA will achieve the same measure of protection afforded by 30 C.F.R. § 75.1002. It then listed its specific challenges.

   While the regulatory language here is not a model of clarity, its appears to have a logical purpose given the effects on a PDO. That is, if a "global" appeal, the new PDO does not take effect. 30 C.F.R. § 44.13(b). In this case, then the 1995 PDO


[Page 9]

standard, a "mandatory safety standard", would remain in effect. 30 C.F.R. § 44.4(c). If a "partial" appeal, the new PDO takes effect until acted upon by an administrative law judge or the Assistant Secretary. Presumably, this scheme anticipates the Administrator knows her job, has thoroughly evaluated the safety impact of the modification on miners, and has determined the requested modification is appropriate. Thus, the proposed modifications have been through the MSHA's "safety filter."

   Where less than all, i.e., one or more terms and conditions, of the changes or a only a "part" of the changes are challenged presumably the red safety flag is not raised as high as when the entire modification or "all" of the modification is challenged. Fine-tuning may be required in partial appeal cases versus potentially discarding an entire proposal in global appeals. Moreover, when only six of forty-one provisions, as here, are challenged it makes little practical sense to burden the parties, particularly the respondent or petitioner here, with the requirement of litigating seven times as many issues and potentially and unnecessarily protracting the proceedings. A challenging party's intent cannot have the effect of determining which safety standard remains in effect upon a appeal. This is the function of the regulation.

   The Administrator would have me adopt its position that § 44.14(c) was solely intended to allow a mine operator granted a modification to appeal to obtain relief from mandatory safety standards while it challenges conditions imposed by the Administrator. The Administrator cites no authority or basis for this position which is contrary to the wording of the section itself. Section 44.14(c) states a request for hearing "may be made by any party based upon objections to one or more of the terms and conditions. . .". (Emphasis added). Deference is not due to an agency interpretation which strains the plain and natural meaning of words or implies language that does not exist in the regulation. O'Brockton v. Eastern Associated Coal Co., 1994 WL 186057 (DOL 1994) citing Director, OWCP, v. Barnes and Tucker Co. [Molnar], 969 F.2d 1524, 1527 (3d Cir. 1992). Moreover, courts have questioned such interpretations first made in litigation and not previously asserted. See, e.g., Good Samaritan Hospital v. Shalala, 113 S.Ct. 2151, 2161 (1993). The Administrator has not alluded to anything which suggests this interpretation had ever been articulated or was a long standing one. I thus do not give deference to the Administrator's interpretation which is contrary to the plain language of the regulation.

   If, in this matter, I were to interpret the UMWA's written hearing request differently, that is, that it was a "global" appeal, the regulatory provision concerning "partial" appeals would be rendered largely meaningless. I find given its hearing request, the UMWA's request amounts to a "partial" appeal.

   Given that the UMWA's request amounts to a "partial" appeal, I find the 2000 PDO, although not "final" under 30 C.F.R. § 44.14(c)(2), is the one currently in effect. It will remain so until the terms and conditions which are the subject of the contest are modified, affirmed or set aside in a final order by the undersigned or the Assistant Secretary.


[Page 10]

Limitations on Evidence

   The perplexing procedural complexity of this appeal has been created by a lack of strict adherence to the mandate of 30 C.F.R § 44.11(b) which has, since at least July 1, 1994, provided that a petition for modification "shall not include a request for modification of more than one mandatory safety standard." It appears in an effort to cooperatively settle the dispute over Emerald's 1995 effort to obtain a modification allowing it to deviate from the mandatory high voltage safety standard of 30 C.F.R. § 75.1002, it may have requested and the MSHA did approve conditions in the MSHA 1995 PDO, M-95-37-C, which pertain to several non-electrical mandatory safety standards.3 When issued in 1995, the MSHA PDO was to have become the mandatory safety standard for Emerald's mine. 30 C.F.R. § 44.4(c) has, since 1994, stated, "[T]he (granted) modification, together with any conditions, shall have the same effect as a mandatory safety standard."

   The 1995 PDO included the following non-high voltage electrical safety standards terms and conditions: (a) (Item 37) the maximum width and length of longwall panels, i.e., 1050 by 14,000 feet; (b) (Item 38) ventilation of the tailgate with intake air and maintenance of a travelway in the tailgate side of the longwall; (Item 39) two separate intake entries on the headgate side during longwall retreat mining and designation of the primary escapeway entry as a fire-hazard free entry with a lifeline and evacuation materials; (Item 40) conditions for supplemental roof support throughout the tailgate and tailgate entry; (Item 41) rock dusting; (Item 42) respirable dust sampling; and, (Item 43) methane gas monitoring and sensor maintenance; (Item 44) self-contained rescuers. Each of these topics was and is now itself covered by a mandatory safety standard set forth in Part 75.

   While the MSHA 1995 PDO should have thus become the mandatory safety standard applicable to Emerald's mine and was treated as such, the question arises whether the MSHA exceeded its authority by granting it in toto when it addressed more than one mandatory standard. Although one may surmise a limitation on the number of topics a PDO may address was intended, unlike the restriction on petitions for modification, the regulatory section dealing with PDOs, 30 C.F.R. § 44.13, contains no similar limitation on the number of mandatory safety standards which may be addressed in one PDO. The regulation does permit "special terms and conditions to assure adequate protection to miners." 30 C.F.R. § 44.4(c). However, if the MSHA included the substance of another (non-high voltage electrical) mandatory safety provision as a "term and/or condition" of a PDO, such term likely would have no additional effect above what is already required by the regulations establishing the mandatory safety standard and thus be essentially meaningless as part of the PDO.


[Page 11]

   Subsequently, in 1999, Emerald may have compounded the error by petitioning to modify the mandatory high-voltage safety standard of 30 C.F.R. 75.1002 rather than the 1995 PDO, which should have been the applicable safety standard in effect at the mine, under 30 C.F.R. § 44.4(c).4 Likewise, the MSHA's approved 2000 PDO concerned solely the regulatory high-voltage safety standard and not the supposed new standard established by the 1995 PDO.

   Whether or not any part of or all of these previous actions were legally valid may be practically moot as of the date the 2000 PDO was issued and subsequently "partially" appealed.5 The parties all agree that issuance of the 2000 PDO revoked the 1995 PDO, whether implicitly, practically or by operation of law. I agree the 1995 PDO is no longer in effect and need not be revoked in a separate proceeding. Since this is a "partial" appeal, the 2000 PDO, although not "final" under 30 C.F.R. § 44.14(c)(2), will remain in effect until the terms and conditions which are the subject of the contest are modified, affirmed or set aside in a final order by the undersigned or the Assistant Secretary. Should the 2000 PDO be upheld, the 1995 PDO, addressing the same topic at the same mine, would be superceded by operation of law without need for a separate revocation proceeding. The regulation states "[T]he modification, together with any conditions, shall have the same effect as a mandatory safety standard." 30 C.F.R. § 44.4(c). Thus, any new approved standard becomes the one in effect.

   The two-part standard of review of the petition for modification and ensuing Proposed Decision and Order ("PDO") is straight forward. Under the standard, the two major issues to be decided are:

I. WHETHER, THE CONDITIONS OF THE MODIFICATION OF 30 C.F.R. § 75.1002, DEALING WITH "TROLLY WIRES AND TROLLEY FEEDER WIRES", SET FORTH IN THE PROPOSED DECISION & ORDER ("PDO") OF THE MSA DATED 9/5/00, WILL AT ALL TIMES GUARANTEE NO LESS THAN THE SAME MEASURE OF PROTECTION AFFORDED THE MINERS AT SUCH MINE BY MANDATORY SAFETY STANDARD 30 C.F.R. § 75.1002? (This is 30 U.S.C. § 811(c) and 30 C.F.R. §§ 44.4(a)(1) & 44.14(c)(2)(i)).

II. TAKING INTO ACCOUNT BOTH THE ADVANTAGES AND DISADVANTAGES OF THE ALTERNATIVE METHOD SET FORTH IN THE PDO, INCLUDING EFFECTS UNRELATED TO THE GOALS OF THE ORIGINAL STANDARD, IF THE APPROVED MODIFICATION WILL ACHIEVE A NET GAIN OR AT LEAST EQUIVALENCE IN OVERALL MINE SAFETY? (UMWA v. MSHA, 928 F.2d 1200 (D.C. 1991)).

   The starting point of our inquiry is not the 1995 PDO with all of its conditions, but rather the present (2000) PDO. Mining safety standards are interrelated, thus modification of one standard can not be evaluated individually. See, International Union, UMWA v. MSHA, 920 F.2d 960 (D.C. Cir. 1990). However, this proceeding is not primarily about the safety issues related to roof support (longwall size) and ventilation control plans or possibilities concerning plans to increase the length of longwall mining panels.


[Page 12]

   The UMWA speculation over the potential adverse safety impact, i.e., electrical, methane gas, respirable coal dust, ventilation, methane monitoring, rock dust, escapeways, hydraulic, of a potential increase in the size of Emerald's longwall panels does not provide a basis for the admission of evidence concerning the impact of the 2000 PDO. Its complaints that raising such issues in this forum is the only way the UMWA's concerns will be seriously considered because while the plan approval process permits UMWA comments, there is no agency obligation to consider or explain its treatment of the miners' concerns and no judicial review is permitted likewise does not provide a basis for the admission of evidence concerning the impact of the 2000 PDO. Evidence concerning the Williams Station and Wilberg Mines rapid plan approval process, ensuing hazards and investigations, to illustrate the deficiencies and unreliability of the plan approval process, has little if any apparent relevance to this proceeding.

   Recognizing that effects unrelated to the goals of the original standard are relevant, unless the UMWA can show how the modification, permitted by the 2000 PDO, from 30 C.F.R. § 75.1002, a high-voltage electrical standard, may have a potential effect on issues related to escapeways, rock dusting, methane gas monitoring, respirable coal dust, training, roof support, etc., absent speculation concerning Emerald's future plans, I reiterate I am not inclined to admit evidence related to procedures and rules specifically addressed by other mandatory safety regulations. The UMWA's comments, in its Reply to Brief of Administrator, March 16, 2001, do not alone establish the requisite connection.

   Said in other words, the UMWA, prior to presenting its evidence, must show how it is relevant to the two issues before me, i.e.: (1) the 2000 PDO will at all times guarantee no less than the same measure of protection afforded the miners at such mine by mandatory safety standard 30 C.F.R. § 75.1002 and (2) taking into account both the advantages and disadvantages of the alternative method set forth in the 2000 PDO, including effects unrelated to the goals of the original standard, if the approved modification will achieve a net gain or at least equivalence in overall mine safety.

   Finally, if I were to treat Emerald's Motion in Limine as a motion for summary decision, under 30 C.F.R. § 44.40, I would deny it because no party has shown there are no genuine issues of fact remaining for the hearing.

Enforcement of Mandatory Standards

   I presently address the UMWA's April 9, 2001 Request to Enforce the 1995 Proposed Decision and Order seeking clarification of my March 22, 2001 Ruling and Order because the hearing will resume next week. The UMWA has not presented sufficient facts to show compliance with the procedural requirements of 30 C.F.R. §§ 43.2, 43.5. Moreover, the "right to review" procedures, under subpart 43, do not authorize my review of the agency's decision not to issue citations for alleged violations.


[Page 13]

   The thirty-day requirement cited by MSHA, 30 C.F.R. § 44.32(a), pertains to the effective date of the final decision "on the merits" by the administrative law judge. Since a final decision has not yet been issued on the merits of the appeal, this provision is not applicable to the present matter. According to the Administrator's own regulatory scheme, under 30 C.F.R. subpart B, and contrary to MSHA's argument that the 2000 PDO may not be "self-executing", during the pendency of this appeal, it became "effective", but not "final", under 30 C.F.R. § 44.14(c)(2), and according to the regulation will remain so until affirmed, changed or set aside by the administrative law judge or the Assistant Secretary. Thus, the 1995 PDO is not presently in effect. The distinction between a PDO being "effective" versus "final" is reinforced by a reading of the regulatory provisions, under 30 C.F.R. § 44.16(k), dealing with applications for temporary relief to give effect to PDOs, 30 C.F.R. § 44.50, which provides the new PDO is "operative" pending resolution of the partial appeal. "Only a decision by the Assistant Secretary shall be deemed final agency action for purposes of judicial review." 30 C.F.R. § 44.51(not addressing enforcement). Unfortunately, MSHA points to no regulatory authority and I find none requiring an operator to notify the latter of compliance, in writing, before a new PDO becomes effective.

Conclusions6

   The regulations are to be carried out to give effect to the purpose of the Act by assuring adequate protection of miners and to secure just and prompt determination of all proceedings consistent with adequate consideration of the issues involved. The UMWA's hearing request is a "partial" appeal. In order to establish the admissibility of its proposed evidence, recognizing that effects unrelated to the goals of the original standard are relevant, the UMWA must first show a connection between it and the impact of the modification of the high-voltage safety standard. Evidence based on speculation concerning what Emerald might do in the future, i.e., create larger longwall panels, will not be admitted. I am without authority to review the MSHA's enforcement actions. The 2000 PDO is "in effect" during this appeal, but is not "final."


[Page 14]

ORDER7

   WHEREFORE, IT IS ORDERED THAT:

1. The UMWA's Motion for Reconsideration is DENIED;

2. The parties be prepared to address evidentiary limitations. Parties must be prepared with offers of proof concerning the potential effects of this modification on the other mandatory safety standards addressed. The challenger, the UMWA, will have the burden on this evidentiary matter;

3. Emerald's Motion in Limine is GRANTED, IN PART;

4. Evidence concerning the Williams Station and Wilberg Mines has not been shown to be relevant and absent such showing is inadmissable;

5. The UMWA's series of questions pertaining to hydraulic and electrical matters is problematic. If it wishes to present evidence concerning such issues, it must establish the requisite relationship between such evidence and the potential safety impact of the 2000 PDO terms and conditions. Evidence based purely upon speculation will not be admitted;

6. No response to the UMWA's Request to Enforce the 1995 Proposed Decision and Order or MSHA's Request for Clarification is required;

7. No further pre-hearing motions or reconsideration requests will be considered absent a written declaration from the submitting party that it has discussed the matter with the remaining parties and been unable to resolve the matter in question. In addition to such written declaration, the party submitting a motion shall explicitly state the positions of the remaining parties on the matter in question and whether said parties oppose said motion. In order to be considered, any response to a motion filed by facsimile shall be filed within 24 hours of the time the facsimile of the original motion was received by the non-submitting party; and,

8. MSHA's Request for Clarification is DENIED.

       RICHARD A. MORGAN
       Administrative Law Judge

RAM:dmr

CONSENT FINDINGS

   UNDER 30 C.F.R. § 44.27, AT ANY TIME AFTER A REQUEST FOR HEARING IS FILED A REASONABLE OPPORTUNITY MAY BE AFFORDED THE PARTIES TO PERMIT NEGOTIATION OF AN AGREEMENT CONTAINING CONSENT FINDINGS AND AN ORDER DISPOSING OF THE WHOLE OR ANY PART OF THE PROCEEDINGS.

[ENDNOTES]

1 Emerald observes the UMWA repeatedly refers to two "escapeways" being required in the headgate by the 1995 PDO. Emerald states this is incorrect, as the 1995 PDO calls for two entries with "intake air" in them. I note Item 39 of the 1995 PDO does, however, require designation of the primary escapeway entry as a fire-hazard-free entry.

2 I observe the partial appeal subsection, 30 C.F.R. § 44.14(c), does not appear to contemplate the appeal of terms and conditions omitted from the Administrator's PDO. Thus, the query "does an appeal of terms not included in the new PDO necessarily become a general or global' appeal?" Such a result would appear nonsensical.

3 If Emerald had not asked to include the modifications which pertain to non-high voltage electrical standards, I do not believe it would have been proper for the MSHA to include them as "terms and conditions" to the extent they were already subjects of other mandatory safety standards. Such existing mandatory safety standards need not be reiterated as "terms and conditions" in a PDO. If they are, I believe they would be invalid as a term of the PDO, but rather enforceable only under their regulatory form.. The condition in the 1995 PDO establishing the explicit length and width of longwall panels does not appear to be encompassed in any mandatory safety regulation. See 30 C.F.R. § 75.203(a) addressing "excessive widths". Subpart C, 30 C.F.R. § 200 et seq., sets forth comprehensive requirements for roof support and requires an approved roof control plan. Therefore, if Emerald has such an approved roof control plan encompassing longwall panels of the width and length set forth in the 1995 PDO, it would appear the size limitation in the 1995 PDO would have little, if any, legal effect.

4 30 C.F.R. § 44.11(a)(3) requires the petitioner to identify the safety standard to which the petition is directed. However, if the terms of the 1995 PDO addressing non-high voltage electrical mandatory safety standards were essentially void, Emerald need not have sought modification of such non-high voltage electrical standards in its petition to modify the requirements of 30 C.F.R. § 75.1002.

5 If the present appeal was considered a "global" appeal, the 1995 PDO would remain in effect. However, then I would have to determine whether the terms and conditions covered by mandatory safety standards other than 30 C.F.R. § 75.1002, were legally valid in that it appears a PDO may not address modification of more than one mandatory standard. I believe such terms and conditions in the PDO itself would be void.

6 It is again recommended the UMWA involve legal counsel in this proceeding. Secondly, because of the increasing frequency in documents submitted by the UMWA to this tribunal, I caution that ad hominem statements should be avoided and carry no weight whatsoever in my considerations.

7 As an aside, I observe there has been a great deal of confusion concerning which mandatory safety standard applies to Emerald's mine. I can only recommend this be considered in any potential enforcement actions.



Phone Numbers