Fees for Testing, Evaluation, and Approval of Mining Products, 46345-46353 [05-15494]
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Federal Register / Vol. 70, No. 152 / Tuesday, August 9, 2005 / Proposed Rules
DEPARTMENT OF LABOR
Mine Safety and Health Administration
30 CFR Parts 5, 15, 18, 19, 20, 22, 23,
27, 28, 33, 35, and 36
RIN 1219–AB38
Fees for Testing, Evaluation, and
Approval of Mining Products
Mine Safety and Health
Administration (MSHA), Labor.
ACTION: Proposed rule.
AGENCY:
our Web site at https://www.msha.gov.
The public docket may be viewed at our
Office of Standards, Regulations, and
Variances, 1100 Wilson Blvd., Room
2350, Arlington, Virginia.
FOR FURTHER INFORMATION CONTACT:
Rebecca J. Smith, Acting Director, Office
of Standards, Regulations, and
Variances at 202–693–9440 (voice),
202–693–9441 (fax), or
smith.rebecca@dol.gov (e-mail).
SUPPLEMENTARY INFORMATION:
SUMMARY:
I. Direct Final Rule and Concurrent,
Identical Proposed Rule
Comments must be received by
October 11, 2005.
ADDRESSES: Comments must include
Regulation Identifier Number (RIN)
1219–AB38 and may be submitted by
any of the following methods:
• Federal eRulemaking Portal: https://
www.regulations.gov. Follow the
instructions for submitting comments.
• E-mail to comments@zzmsha.gov.
Please include RIN 1219–AB38 in the
subject line of the message.
If you are unable to submit comments
by e-mail or through the Federal
eRulemaking portal, please identify
your comments by RIN 1219–AB38 and
submit them by any of the following
methods:
• Facsimile: (202) 693–9441.
• Regular Mail or Hand Delivery:
MSHA, Office of Standards,
Regulations, and Variances, 1100
Wilson Blvd., Room 2313, Arlington,
Virginia 22201–3939.
Access to Docket: We post all
comments received without change,
including any personal information
provided, at https://www.msha.gov at the
‘‘Rules & Regs’’ link. Additionally, we
post this document, our Program Policy
Manual, and all Program Information
Bulletins, Standard Administrative
Procedures, and Program Policy Letters
discussed in the SUPPLEMENTARY
INFORMATION section of this preamble on
We have determined that the subject
of this rulemaking is suitable for a direct
final rule. Since the rule requirements
are not controversial and primarily
concern agency procedures, no
significant adverse comments are
anticipated. Therefore, concurrent with
this proposed rule, a separate, identical
direct final rule is published in today’s
issue of the Federal Register. The
duplicate direct final rule will speed
notice and comment rulemaking in the
event we receive no significant adverse
comments to this proposed rule. All
interested parties should comment at
this time because we will not initiate an
additional comment period. If no
significant adverse comments to this
proposed rule are received on or before
October 11, 2005, the direct final rule
will become effective November 7, 2005,
without further notice.
If significant adverse comments are
received, we will publish a timely
notice in the Federal Register
withdrawing the direct final rule, and
will then proceed with the rulemaking
by addressing the comments and
developing a final rule from this
proposed rule. For purposes of
withdrawing the direct final rule, a
significant adverse comment is one that
explains (1) why the direct final rule is
inappropriate, including challenges to
the rule’s underlying premise or
approach; or (2) why the direct final
rule will be ineffective or unacceptable
without a change. In determining
whether a significant adverse comment
necessitates withdrawal of the
accompanying direct final rule, we will
consider whether the comment raises an
issue serious enough to warrant a
substantive response through the notice
and comment process. A comment
recommending an addition to the rule
will not be considered significant and
adverse unless the comment explains
how this rule would be ineffective
without the addition.
We are proposing to amend
our regulations to reflect established
policy and procedures for administering
fees for testing, evaluation, and approval
of equipment and materials
manufactured for use in the mining
industry. This proposed rule would
eliminate the application fee, allow
applicants to pre-authorize expenditures
for processing applications, allow
outside organizations conducting part
15 testing (explosives and sheathed
explosive units) on our behalf to set fees
for this testing, incorporate changes
concerning our programs and
organization, and make non-substantive
conforming changes to related
regulations.
DATES:
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II. Background
A. Rulemaking History
The Federal Mine Safety and Health
Act of 1977 (the Mine Act) (Pub. L. 91–
173, as amended by Pub. L. 95–164)
gives the Mine Safety and Health
Administration responsibility for
prescribing the technical design,
construction, and evaluation criteria for
certain products used in underground
mines and for testing and approving
these products so that the products will
not cause a mine fire explosion or a
mine fire. Most of the Mine Act’s
regulations for testing and approving
these products relate to ‘‘permissible’’
equipment. The Mine Act’s
implementing regulations at Title 30 of
the Code of Federal Regulations (30
CFR), parts 6 through 36 contain
procedures by which applicants may
apply for and have equipment approved
as ‘‘permissible,’’ as defined in section
318 of the Mine Act, 30 U.S.C. 878, for
use in mines.
On May 8, 1987, we published a final
rule (52 FR 17506) adding 30 CFR part
5 (Fees for testing, evaluation, and
approval of mining products). This rule
created a uniform method for
calculating fees and established specific
procedures for administering the fee
program. Since our initial
implementation of part 5, changes to
agency policies and procedures have
significantly increased the efficiency of
the approval process and the
administration of the fee program. In
particular, we have eliminated the
application fee, allowed applicants to
pre-authorize expenditures, and
restructured existing programs for
expediting requests for changes to
previously approved mining products.
This proposed rule would update part 5
to reflect these initiatives.
Additionally, this proposed rule
would remove a number of references to
the Department of the Interior’s former
Bureau of Mines, which was dissolved
in 1996 (Pub. L. 104–99). Prior to that
time, the Bureau of Mines conducted
part 15 testing on our behalf. NIOSH has
assisted us with part 15 testing;
however, NIOSH no longer has the
resources to conduct these tests. This
proposed rule would allow us to use
other organizations to conduct part 15
testing.
B. Scope of Approval Activities
The mining products that we approve
range from small electronic devices to
large complex mining systems. Our
Approval and Certification Center
(Center) evaluates and tests these
mining products and issues, among
other things, ‘‘approvals,’’
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‘‘certifications,’’ ‘‘acceptances,’’
‘‘extensions,’’ and ‘‘field modifications.’’
Under the narrow definition of
‘‘approval,’’ approvals are issued to a
completely assembled machine or
system or to an explosive. Under this
definition, approval of a mining product
constitutes a license authorizing the
approval-holder to build and distribute
the product for use in underground
mines, and to advertise the product as
‘‘MSHA-approved.’’ The approvalholder accepts the responsibility for
constructing or formulating the product
in exact accordance with all drawings
and specifications that accompany the
approval.
A ‘‘certification’’ is issued to a
component or sub-system of a
completely assembled machine or
system. An ‘‘acceptance’’ is issued for
materials and certain other products. An
‘‘extension’’ of an approval or
certification allows the applicant to
make design modifications to the
product. A ‘‘field modification’’ allows
the owner of an MSHA approved piece
of equipment to make specific changes
to approved electrical equipment.
A ‘‘certification’’ is issued to a
component or sub-system of a
completely assembled machine or
system. An ‘‘acceptance’’ is issued for
materials and certain other products. An
‘‘extension’’ of an approval or
certification allows the applicant to
make design modifications to the
product. A ‘‘field modification’’ allows
the owner of an MSHA approved piece
of equipment to make specific changes
to approved electrical equipment.
Additionally, we administer a number
of voluntary programs which are
covered by this regulation to evaluate
products to determine conformance to
safety requirements of 30 CFR parts 56,
57, 75, and 77, or to determine the
product’s suitability for specific mining
applications. For example, we use these
voluntary programs to evaluate ground
wire monitors, lighting systems, sealants
and stopping systems, conveyor belt
lagging material, belt wipers, and
hydraulic hose and fire suppression
agents and systems.
Except where stated otherwise, we
use the term ‘‘approval’’ in this
preamble and regulation in a broad
sense to represent our formal
recognition of products that are
approved, certified, or otherwise
formally accepted for use in mining
operations.
Our regulations also allow other
parties to perform product testing under
certain circumstances. Part 6 of 30 CFR
allows independent laboratories to test
and evaluate certain mining products. It
also permits MSHA to approve
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equipment designed to non-MSHA
product safety standards once we have
determined that the standard(s) can
provide at least the same degree of
protection or can be modified to provide
at least the same degree of protection as
30 CFR requirements. Part 7 allows the
applicant or a third party to test certain
products for which the testing
requirements are objective in nature and
can be routinely conducted by
personnel knowledgeable in the
particular product line or category. We
retain the responsibility for evaluating
the test results and issuing the approval
for all products tested and evaluated
under parts 6 and 7.
C. The Approval Process
The approval process begins with the
filing of an application. Parts 6 through
36 provide instructions for preparing
and filing applications, which can vary
with the type of mining product and
type of approval requested. We
administratively review each new
application, and upon determination
that the application is in order, prepare
a fee estimate, if one is required. Our
technical experts then thoroughly
investigate, test, and evaluate the
product.
Following successful completion of
the evaluation and testing, we provide
the applicant with a written notice that
the product meets all the applicable
requirements.
III. Section-by-Section Analysis
A. Section 5.10
Purpose and Scope
Existing section 5.10 sets out the
purpose and scope of part 5. Revised
section 5.10 remains substantially
unchanged from the existing regulation.
The term ‘‘testing, evaluation and
approval’’ in existing paragraph 5.10(a)
would be changed to ‘‘services provided
under this subchapter.’’ This change
would more clearly convey that part 5
applies to all services which the Center
provides and for which a fee is charged.
These services include ‘‘approvals’’ as
defined in both the narrow and broad
sense as explained earlier in Part II B,
‘‘Scope of Approval Activities.’’ The
term ‘‘Except as provided in section
5.30(a)’’ would be added to the
beginning of 5.10(b) to clarify that
outside organizations conducting part
15 testing on our behalf may set the fees
for this testing. These outside
organizations will likely be government
agencies or non-government
organizations with laboratory facilities
capable of performing part 15 tests.
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B. Section 5.20
Effective Date
Existing section 5.20 established the
effective date of the 1987 rule. Such a
notice is not needed at this time because
the Federal Register document
containing the final rule would provide
the effective date for the rule. For this
reason, this proposed rule would delete
existing § 5.20, which established the
effective date of the 1987 rule.
C. Section 5.30
Fee Calculation
Existing paragraph 5.30(a) imposes a
non-refundable application fee. This fee
was intended to recover costs for initial
review and administrative processing of
the application in the event the
applicant cancelled the action prior to
commencement of the technical
evaluation. Upon completion of the
evaluation and testing, this payment
was credited against the total charges
billed to the applicant.
Paying and processing this fee placed
an additional administrative burden on
the applicants and on us, and delayed
the approval process. The applicant
incurred the burden of remitting two
payments during the application
process, and we expended resources to
process both payments. The technical
evaluation could not begin until our
finance office confirmed that the
payment for the application fee had
been posted. After reviewing this
activity, we issued Program Policy
Letter (PPL) No. 96–II–1, ‘‘Waiver of the
$100 Application Fee for Testing,
Evaluation, and Approval of Mining
Products,’’ effective January 1, 1996.
This policy is now incorporated into our
Program Policy Manual. In proposed
paragraph 5.30(a), the requirement for
an application fee would be removed to
reflect our elimination of this fee.
Proposed paragraph 5.30(a) would
also incorporate and revise provisions
from existing paragraphs 5.30(b) and (e).
The provision from revised paragraph
5.30(b), which lists criteria for
determining hourly fees, would contain
three revisions. First, the term ‘‘testing,
evaluation and approval’’ would be in
existing paragraph 5.30(b) is changed to
‘‘services provided under this
subchapter’’ and moved to revised
paragraph 5.30(b). Second, the existing
language concerning direct and indirect
costs that is repeated from Section
5.10(b)(1) would be omitted to eliminate
redundancy. Third, since these criteria
for determining hourly fees also apply
to any flat rate fees that we would
establish, the term ‘‘hourly fees’’ would
be changed to ‘‘fees.’’ As noted earlier,
when the existing rule was
promulgated, we charged flat rate fees
for certain services for which
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turnaround time was predictable and
stable. The shift to the current system of
hourly fees was driven partially by
concerns about the equitable
distribution of costs among applicants.
As mentioned above, the provision in
existing paragraph 5.30(e), concerning
fees for tests conducted for MSHA by
the former Bureau of Mines under part
15 (Requirements for approval of
explosives and sheathed explosive
units) would be incorporated into
revised paragraph 5.30(a) and
substantially revised. The existing
paragraph provides that ‘‘Tests
conducted by the Bureau of Mines for
MSHA under part 15 are flat rate items.’’
When the existing rule was
promulgated, the former Bureau of
Mines conducted these tests on our
behalf. After the Bureau was dissolved,
its facility for conducting explosives
testing was transferred first to the
Department of Energy and subsequently
to NIOSH as a purely research function
(30 U.S.C. 1 note).
In January 1996 we received one
application for the full range of part 15
tests. Since then we have received six
part 15 applications, all for minor tests.
During this time we relied on NIOSH to
conduct part 15 tests; however, NIOSH
did not have the facilities for
conducting part 15 chemical analysis
tests, and contracted another
organization to conduct these tests. That
organization subsequently ceased doing
chemical analysis tests. NIOSH recently
informed us that they no longer have the
resources to perform all the part 15
tests. Since we do not have the facilities
to conduct these tests, we must contract
with other organizations to do any
future part 5 testing. Revised paragraph
5.30(a) would allow organizations
conducting part 15 testing on our behalf
to set the fees for these tests. Since we
cannot predict what fees the outside
organizations will charge for any of
these tests, the regularly published fee
schedule, required under paragraph
5.50, would no longer specify the fees
for part 15 testing.
Proposed paragraph 5.30(a) would
remove the term ‘‘Bureau of Mines’’ as
well as the requirement to charge flat
rate fees for part 15 testing. The
proposed paragraph would provide that
‘‘part 15 fees for services provided to
MSHA by other organizations may be
set by those organizations.’’ That is, the
proposed rule language would allow us
to pass on the cost of services provided
to MSHA by other organizations so that
these costs could be billed to the
applicant.
Existing paragraph 5.30(b), as
explained above, would also be moved
to revised paragraph 5.30(a). Revised
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paragraph 5.30(b) would contain the
provision from existing paragraph
5.30(c) concerning our maximum fee
estimate.
Under existing paragraph 5.30(c), we
prepare an estimate of the maximum
fees that would be incurred during
evaluation of the product. The preamble
to the existing rule, at 52 FR 17509,
indicates our intent to provide this
estimate to the applicant before
beginning the technical evaluation ‘‘to
provide the applicant the opportunity to
discuss the estimate or withdraw the
application.’’ Existing paragraph 5.30(c)
further provides that if unforeseen
circumstances are discovered during the
evaluation that would result in the
actual fees exceeding this estimate, the
applicant has the choice of canceling
the action and paying for all work done
up to the time of the cancellation, or
approving our estimated maximum
amount. If the estimate exceeds the
actual fees, the applicant is charged the
lesser amount. An exception to this
provision exists for applications that
were submitted under our two former
flat rate fee programs. These services
were charged a predetermined amount
and therefore no estimate was provided.
These two programs are outlined in
detail below in the discussion of
existing paragraph 5.30(d).
In 1991, we revised our Program
Policy Manual to allow applicants
seeking approval of longwall equipment
the option of pre-authorizing fees for
testing and evaluation. The preauthorization statement, submitted as
part of the application, allowed the
technical evaluation to begin
immediately. At the request of
applicants seeking testing and
evaluation of other products, we
expanded the policy to allow a preauthorization option for all products
submitted for approval. We published
this policy in Program Policy Letter No.
92–II–3, ‘‘30 CFR Part 5 Fee PreAuthorization,’’ effective June 1, 1992.
Under this policy, which is currently
incorporated into our Program Policy
Manual, applicants, other than those
seeking modifications under our
program for expedited modifications,
may elect to pre-authorize an
expenditure for fees by submitting a preauthorization statement with the
application. The applicant must either
specify a maximum authorized
expenditure for fees, or authorize an
expenditure with no maximum amount.
The latter option authorizes us to
perform all testing and evaluation
services that we deem necessary.
Under existing policy, we determine
whether or not to prepare a maximum
fee estimate and when to begin the
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technical evaluation using the following
guidelines:
No pre-authorization statement: We
prepare a maximum fee estimate which
the applicant must authorize before the
technical evaluation begins.
Pre-authorized maximum
expenditure: The applicant provides us
with a maximum pre-authorized
amount. We prepare a maximum fee
estimate and at the same time forward
the application for the technical
evaluation. If no other applications are
waiting in the queue, the technical
evaluation may begin immediately.
Where our estimate exceeds the preauthorized amount, the applicant has
the choice of canceling the action and
paying for all work done up to the time
of the cancellation, or approving our
estimated maximum amount.
Pre-authorized expenditure with no
stated maximum: The applicant preauthorizes an expenditure with no
stated maximum amount. We forward
the application immediately for the
technical evaluation, and the applicant
receives no estimated maximum fee
estimate.
The revised paragraph would modify
provisions in existing paragraph 5.30(c)
to provide exceptions for pre-authorized
fees and flat rate programs. Paragraph
5.30(b)(1) would be added to reflect our
policy of allowing applicants the option
of pre-authorizing fees.
Paragraph 5.30(b)(2) would be added
to reflect our policy of requiring a
specific pre-authorized expenditure for
applications submitted under the
Revised Application Modification
Program (RAMP). This program is
discussed in the narrative for § 5.30(d).
Finally, the existing rule uses the term
‘‘estimated maximum fee (cap).’’ For a
number of reasons, including
continuity, we no longer use the term
‘‘cap’’ to refer to this amount. The
proposed rule would replace this term
wherever it appears in the rule with the
term ‘‘maximum fee estimate.’’
The provisions of existing paragraph
5.30(c) address:
(1) Our determination of a maximum
fee estimate prior to the start of
technical evaluation;
(2) Unforeseen circumstances during
the technical evaluation which could
result in the actual cost exceeding the
maximum fee estimate; and
(3) The situation where the maximum
fee estimate exceeds the actual cost.
The first provision would be moved to
paragraph 5.30(b), and is discussed
above. The second provision would
remain in paragraph 5.30(c), and third
provisions would be moved to
paragraph 5.30(d).
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The second provision, involving
unforeseen circumstances during the
technical evaluation that could result in
the actual cost exceeding the maximum
fee estimate, requires us to provide the
applicant with a revised maximum fee
estimate for completing the evaluation.
The applicant may then either cancel
the evaluation or authorize the revised
fee estimate. Under our policy, if the
applicant chooses to cancel the
evaluation, fees will be charged for work
performed up to the cancellation. If the
applicant authorizes the new maximum
fee estimate, we will continue testing
and evaluating the product.
Proposed paragraph 5.30(c) would
leave this provision substantially
unchanged, but the concept would
applied to any expenditure approved by
the applicant, whether that expenditure
is the estimated maximum fee or the
applicant’s pre-authorized expenditure.
This provision is not applicable where
the pre-authorized expenditure has no
stated maximum. Additionally, the term
‘‘cap’’ would be changed to ‘‘maximum
fee estimate.’’
Existing paragraph 5.30(d) addresses
the former Stamped Notification
Acceptance Program (SNAP) and
Stamped Revision Acceptance (SRA)
program. These programs were
developed to expedite the acceptance of
certain minor changes to previously
approved products, and required only a
few documents to be submitted with the
application. SNAP addressed
acceptance of single changes to an
approved product, including changes
that pertained to the technical
requirements of an approved product
without adversely affecting
permissibility. SRA addressed
acceptance of single or multiple changes
to an approved product, provided the
change(s) did not affect the technical
requirements. The Center charged a flat
rate fee for services provided under
these programs.
Over time, using and administering
both of these programs created
inefficiency and unnecessary
duplication. Applicants were often
uncertain which program (e.g., SNAP,
SRA, or an extension of approval) to use
for requesting changes in the design of
approved products. This confusion
often led to administrative errors and
the need to re-submit the application.
Further, since SNAP applied to single
changes to approved products, a
separate application was required for
each specific proposed change. In 1998,
both programs were replaced with the
Revised Approval Modification Program
(RAMP). Under RAMP, requests for
acceptance of minor changes to
approved products are made by
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submitting a letter of application
describing the changes, along with
drawings and specifications that fully
describe each change. Services provided
under RAMP are charged an hourly fee,
and the letter of application must
contain a statement authorizing a
minimum dollar amount set by the
Agency. A discussion of RAMP was
included in the notice of fee
adjustments, published on December 18,
1998 (63 FR 70163), and in Standard
Application Procedure ASAP1005,
‘‘Revised Approval Modification
Program (RAMP) Application
Procedure’’ published on March 28,
2000.
Revised paragraph 5.30(d) would
remove the SNAP and SRA
requirements, and would retain the
provision in existing paragraph 5.30(c)
concerning applications for which the
estimated maximum fee exceeds the
actual hourly fee. The existing provision
requires us to charge the actual fee.
Proposed paragraph 5.30(d) leaves this
provision substantially unchanged;
however, the scope would be expanded
to include instances where the actual
hourly fee exceeds any expenditure
approved by the applicant, whether that
expenditure is the estimated maximum
fee or the applicant’s pre-authorized
expenditure.
Existing paragraph 5.30(e) addresses
fees for testing under part 15. The
proposed rule would move this
provision to paragraph 5.30(a) and
would delete paragraph 5.30(e) entirely.
The proposed revisions to part 15 fees
are discussed in the narrative for
proposed paragraph 5.30(a).
D. 5.40 Fee Administration
Existing paragraph 5.40(a) provides
applicants with detailed instructions for
submitting the application fee. Existing
paragraph (b) concerns the method of
paying for services provided under
SNAP and SRA. Since the application
fee, SNAP, and SRA have been
eliminated, as discussed above, these
paragraphs are removed.
Existing paragraph 5.40(a) provides
applicants with detailed instructions for
submitting the application fee. Existing
paragraph 5.40(b) concerns the method
of paying for services provided under
SNAP and SRA. Since the application
fee, SNAP, and SRA have been
eliminated, as discussed above, these
paragraphs are removed. Existing
paragraph 5.40(c) addresses billing
procedures for services which are billed
at an hourly rate. The existing paragraph
provides that applicants are billed when
processing of the application is
complete; any actual travel expenses are
included in the bill; and the invoice will
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contain specific payment instructions.
Our current regulations in 30 CFR Parts
18 through 36 allow payment for part 5
fees only by check, bank draft, or money
order.
Proposed section 5.40 would apply
the billing procedures in existing
paragraph 5.40(c) to all fees
administered under part 5, and would
inform applicants that invoices will
contain specific payment instructions,
including the address to mail payments
and authorized methods of payment.
Applicants had informally requested
that MSHA allow payment by credit
card as a means of expediting the
payment process and decreasing
administrative costs to applicants.
MSHA determined that this option can
benefit both the applicant and the
government, and recently began
accepting payments by credit card.
Proposed paragraph 5.40 would allow
MSHA the flexibility to accept credit
card payment as an authorized method
of payment. The remaining provisions
of existing paragraph 5.40(c) would be
substantially unchanged.
E. Overview of Conforming Changes
Parts 18, 19, 20, 22, 23, 27, 28, 33, 35,
and 36 contain detailed instructions for
submitting applications for approvals
and certifications. Each part instructs
the applicant to send a check, bank
draft, or money order with the
application. The proposed rule would
remove this instruction, and any other
reference to payments submitted with
applications, to allow these sections to
conform to the proposed part 5
provisions concerning application fees
and payment of fees, and to reflect our
current policy, as stated in the Program
Policy Manual. Additionally, the
proposed rule would update the
Center’s address and would remove
outdated references to the former
Bureau of Mines.
F. Section 15.3 Observers at Tests and
Evaluations
The term ‘‘Bureau of Mines, U.S.
Department of the Interior’’ would be
replaced with the term ‘‘designees of
MSHA.’’ As explained in the discussion
of revised paragraph 5.30(a), the Bureau
of Mines no longer exists.
G. Section 18.6 Applications
In paragraph 18.6(a)(1), the term
‘‘accompanied by a check, bank draft, or
money order, payable to the U.S. Mine
Safety and Health Administration to
cover the fees,’’ would be removed from
the application instructions to reflect
our policy of waiving the application
fee. Additionally, language would be
added to specify that the procedures for
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payment of fees are found in § 5.40 of
the proposed rule.
payment of fees are found in § 5.40 of
the proposed rule.
H. Section 19.3 Applications
In paragraph (a), the term
‘‘accompanied by a check, bank draft, or
money order, payable to U.S. Mine
Safety and Health Administration, to
cover all the necessary fees,’’ would be
removed from the application
instructions to reflect our policy of
waiving the application fee.
Additionally, language would be added
to specify that the procedures for
payment of fees are found in § 5.40 of
the proposed rule.
M. Section 27.9
Tests
I. Section 20.3 Applications
In paragraph (a), the term
‘‘accompanied by a check, bank draft, or
money order, payable to the U.S. Mine
Safety and Health Administration, to
cover all the necessary fees,’’ would be
removed from the application
instructions to reflect our policy of
waiving the application fee.
Additionally, language would be added
to specify that the procedures for
payment of fees are found in § 5.40 of
the proposed rule.
J. Section 22.4 Applications
In paragraph (a), the term
‘‘accompanied by a check, bank draft, or
money order, payable to the U.S. Mine
Safety and Health Administration, to
cover all the necessary fees,’’ would be
removed from the application
instructions to reflect our policy of
waiving the application fee.
Additionally, language would be added
to specify that the procedures for
payment of fees are found in § 5.40 of
the proposed rule.
K. Section 23.3 Applications
In paragraph (a), the term
‘‘accompanied by a check, bank draft, or
money order, payable to the U.S. Mine
Safety and Health Administration, to
cover all the necessary fees,’’ would be
removed from the application
instructions to reflect our policy of
waiving the application fee.
Additionally, language would be added
to specify that the procedures for
payment of fees are found in § 5.40 of
the proposed rule.
L. Section 27.4 Applications
In paragraph (a)(1), the term ‘‘and also
a check, bank draft, or money order
payable to the U.S. Mine Safety and
Health Administration, to cover the
fees’’ would be removed from the
application instructions to reflect our
policy of waiving the application fee.
Additionally, language would be added
to specify that the procedures for
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Date for Conducting
The existing section lists the
‘‘application, payment of necessary fees,
and submission of required material’’ as
criteria for determining the order of
testing when more than one application
is pending. The proposed section would
remove the reference to payment of fees
and would revise the sentence to
conform to similar provisions in
existing § 18.8 (Date for conducting
investigation and tests). The proposed
sentence would read: ‘‘The date of
receipt of an application will determine
the order of precedence for investigation
and testing.’’ The proposed section
would reflect our policy of waiving the
application fee.
N. Section 28.10
Procedures
Application
Existing § 28.10 requires applicants
seeking approval of certain fuses to
submit the fuses to a nationally
recognized independent testing
laboratory for examination, inspection,
and testing prior to submitting an
approval application to the Center.
Paragraph 28.10(c) contains instructions
for submitting these laboratory data and
results to the Center, and includes a
requirement that payment for the
application fee accompany these
documents. Proposed paragraph
28.10(c) would remove the requirement
to send a payment with the laboratory
documents. This proposed change
corresponds to the elimination of the
application fee. Additionally, language
would be added to specify that the
procedures for payment of fees are
found in § 5.40 of the proposed rule.
O. Section 33.3
Consultation
This section contains an outdated
address for the Center and a reference to
the former Bureau of Mines. The
proposed section would update the
Center’s address and would replace the
term ‘‘Bureau’’ with ‘‘MSHA.’’
P. Section 33.6
Frm 00005
Applications
In paragraph (a)(1), the term
‘‘accompanied by a check, bank draft, or
money order, payable to the U.S. Mine
Safety and Health Administration, to
cover the fees;’’ would be removed from
the application instructions to reflect
our policy of waiving the application
fee. Additionally, language would be
added to specify that the procedures for
payment of fees are found in § 5.40 of
the proposed rule.
R. Section 36.6
Applications
In paragraph (a)(1), the term
‘‘accompanied by a check, bank draft, or
money order, payable to the U.S. Mine
Safety and Health Administration, to
cover the fees;’’ would be removed from
the application instructions to reflect
our policy of waiving the application
fee. Additionally, language would be
added to specify that the procedures for
payment of fees are found in § 5.40 of
the proposed rule.
S. Derivation and Distribution Tables
The following derivation table lists
each section number of the final rule
and the section number of the existing
standard from which the section is
derived.
DERIVATION TABLE
Existing
section
Final rule
Removed .................................
Removed .................................
5.30(a) .....................................
5.30(b) .....................................
5.30(c) .....................................
5.30(d) .....................................
Removed .................................
5.40 .........................................
5.20.
5.30(a).
5.30(b).
5.30(c).
5.30(c).
5.30(c).
5.30(e).
5.40(c).
The following distribution table lists
each section number of the existing
standards, and the section number of
the final rule which contains provisions
derived from the corresponding existing
section.
DISTRIBUTION TABLE
Applications
In paragraph 33.6(a)(1), the term
‘‘accompanied by a check, bank draft, or
money order, payable to the U.S. Mine
Safety and Health Administration, to
cover the fees;’’ would be removed from
the application instructions to reflect
our policy of waiving the application
fee. Additionally, language would be
added to specify that the procedures for
payment of fees are found in § 5.40 of
the proposed rule.
PO 00000
Q. Section 35.6
Fmt 4701
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Existing section
5.20(a)
5.30(a)
5.30(b)
5.30(c)
.....................................
.....................................
.....................................
.....................................
5.30(d)
5.30(e)
5.40(a)
5.40(b)
5.40(c)
.....................................
.....................................
.....................................
.....................................
.....................................
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Final rule
Removed.
Removed.
5.30(a).
5.30(b), (c),
and (d).
Removed.
Removed.
Removed.
Removed.
5.40.
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IV. Regulatory Impact Analysis
A. Executive Order 12866
Planning and Review
Regulatory
Compliance Costs
Executive Order 12866, as amended
by Executive Order 13258, requires that
regulatory agencies assess both the costs
and benefits of intended regulations. We
have satisfied the requirement of
Executive Order 12866 for this proposed
rule and determined that the proposed
rule would not have an annual effect of
$100 million or more on the economy.
Therefore, the proposed rule is not an
economically significant regulatory
action pursuant to § 3(f)(1) of Executive
Order 12866.
The proposed rule affects applicants
who request approval for products used
in the mining industry. The proposed
rule would not result in any cost
increases or savings to these applicants.
As noted earlier, existing § 5.30(a)
imposes a non-refundable standard
application fee on each initial
application. Since we eliminated this
application fee in 1996, deleting the
application fee language from existing
§ 5.30(a) would not cause applicants to
incur any costs or cost savings.
Benefits
The proposed rule would change our
existing regulatory language to be
consistent with our current practices
and will continue to allow us to process
applications in a timely and efficient
manner. Thus, new and improved
products that enhance the safety of the
miner will be allowed to enter the mine
as soon as possible.
The application fee discussed above
was intended to offset administrative
review costs in the event that the
applicant cancelled an application prior
to commencement of the technical
evaluation. We eliminated this fee
because it tended to lengthen the
approval and certification process and
placed unnecessary burdens on us and
the applicant. This proposed rule would
eliminate the outdated application fee
language in the existing regulation.
Also as noted earlier, since 1992, we
have allowed the applicant to preauthorize an expenditure for the testing
and evaluation that is associated with
an application. This permits us to begin
immediate evaluation work if no other
applications are awaiting initial actions.
This rulemaking would add regulatory
language that continues to allow
applicants the option to pre-authorize
an expenditure for testing and
evaluation that is associated with an
application.
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Furthermore, no provision in this
rulemaking would diminish the health
or safety of U.S. miners.
B. Regulatory Flexibility Act and Small
Business Regulatory Enforcement
Fairness Act
The Regulatory Flexibility Act (RFA)
requires regulatory agencies to consider
a rule’s economic impact on small
entities. Under the RFA, we must use
the Small Business Administration’s
(SBA’s) criterion for a small entity in
determining a rule’s economic impact
unless, after consultation with the SBA
Office of Advocacy, we established an
alternative definition for a small entity
and publish that definition in the
Federal Register for notice and
comment. This proposed rule would
apply to persons or entities applying for
approval of products used in the mining
industry. These applicants operate in
industries involved in measurement,
analysis, or controlling instruments;
photographic instruments; commercial
and industrial lighting fixtures;
conveyors; or mining equipment. SBA’s
definition of a small business for these
industries is 500 or fewer employees.
Therefore, we examined the impact on
applicants which have 500 or fewer
employees and seek MSHA approval for
mining products.
C. Factual Basis for Certification
Using SBA’s definition of a small
entity, there are no annual cost
increases or savings to applicants
affected by this rulemaking. Therefore,
we concluded that this proposed rule
would not have a significant economic
impact on a substantial number of small
entities.
V. Other Regulatory Matters
A. Unfunded Mandates Reform Act of
1995
This proposed rule does not include
any Federal mandate that may result in
increased expenditures by State, local,
or tribal governments, nor does it
increase private sector expenditures by
more than $100 million annually, nor
does it significantly or uniquely affect
small governments. Accordingly, the
Unfunded Mandates Reform Act of 1995
(2 U.S.C. 1501 et seq.) requires no
further agency action or analysis.
B. Treasury And General Government
Appropriations Act of 1999, Assessment
of Federal Regulations and Policies on
Families
This proposed rule would have no
effect on family well-being or stability,
marital commitment, parental rights or
authority, or income or poverty of
families and children. Accordingly,
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Fmt 4701
Sfmt 4702
Section 654 of the Treasury and General
Government Appropriations Act of 1999
(5 U.S.C. 601 note) requires no further
agency action, analysis, or assessment.
C. Executive Order 12630 Government
Actions and Interference With
Constitutionally Protected Property
Rights
This proposed rule would not
implement a policy with takings
implications. Accordingly, Executive
Order 12630, Governmental Actions and
Interference With Constitutionally
Protected Property Rights, requires no
further agency action or analysis.
D. Executive Order 12988 Civil Justice
Reform
This proposed rule was drafted and
reviewed in accordance with Executive
Order 12988, Civil Justice Reform. The
proposed rule was written to provide a
clear legal standard for affected conduct
and was carefully reviewed to eliminate
drafting errors and ambiguities, so as to
minimize litigation and undue burden
on the Federal court system. We have
determined that this proposed rule
would meet the applicable standards
provided in Section 3 of Executive
Order 12988.
E. Executive Order 13045 Protection of
Children From Environmental Health
Risks and Safety Risks
This proposed rule would have no
adverse impact on children.
Accordingly, Executive Order 13045,
Protection of Children From
Environmental Health Risks and Safety
Risks, as amended by Executive Orders
13229 and 13296, requires no further
agency action or analysis.
F. Executive Order 13132 Federalism
This proposed rule does not have
‘‘federalism implications’’ because it
does not ‘‘have substantial direct effects
on the States, on the relationship
between the national government and
the States, or on the distribution of
power and responsibilities among the
various levels of government.’’
Accordingly, Executive Order 13132,
Federalism, requires no further agency
action or analysis.
G. Executive Order 13175 Consultation
and Coordination With Indian Tribal
Governments
This proposed rule does not have
‘‘tribal implications’’ because it does not
‘‘have substantial direct effects on one
or more Indian tribes, on the
relationship between the Federal
government and Indian tribes, or on the
distribution of power and
responsibilities between the Federal
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government and Indian tribes.’’
Accordingly, Executive Order 13175,
Consultation and Coordination With
Indian Tribal Governments, requires no
further agency action or analysis.
H. Executive Order 13211 Actions
Concerning Regulations That
Significantly Affect Energy Supply,
Distribution, or Use
2. Section 5.10 is amended by revising
paragraph (a) to read as follows:
I. Executive Order 13272 Proper
Consideration of Small Entities in
Agency Rulemaking
We thoroughly reviewed this
proposed rule to assess and take
appropriate account of its potential
impact on small businesses, small
governmental jurisdictions, and small
organizations. We determined and
certified that this proposed rule would
not have a significant economic impact
on a substantial number of small
entities.
Dated: July 29, 2005.
David G. Dye,
Deputy Assistant Secretary of Labor for Mine
Safety and Health.
List of Subjects
30 CFR Part 5
Fees, Mine safety and health.
30 CFR Parts 15 and 18
Fees, Mine safety and health,
Reporting and recordkeeping
requirements.
30 CFR Parts 19, 20, 22, 27, and 28
Fees, Mine safety and health.
30 CFR Parts 23, 33, 35, and 36
Fees, Mine safety and health,
Reporting and recordkeeping
requirements, Research.
Accordingly, Chapter I of Title 30 of
the Code of Federal Regulations is
proposed to be amended as follows:
16:45 Aug 08, 2005
Jkt 205001
1. The authority citation for part 5
continues to read as follows:
Authority: 30 U.S.C. 957.
This proposed rule regulates both the
coal and metal/nonmetal mining
sectors. Because this proposed rule
would result in no yearly net cost to the
coal mining industry, the proposed rule
would neither reduce the supply of coal
nor increase its price. This proposed
rule is not a ‘‘significant energy action’’
because it would not be ‘‘likely to have
a significant adverse effect on the
supply, distribution, or use of energy
(including a shortfall in supply, price
increases, and increased use of foreign
supplies).’’ Accordingly, Executive
Order 13211, Actions Concerning
Regulations That Significantly Affect
Energy Supply, Distribution, or Use,
requires no further agency action or
analysis.
VerDate jul<14>2003
PART 5—FEES FOR TESTING,
EVALUATION, AND APPROVAL OF
MINING PRODUCTS
§ 5.10
Purpose and scope.
(a) This part establishes a system
under which MSHA charges a fee for
services provided under this
subchapter. This part includes the
management and calculation of these
fees.
*
*
*
*
*
§ 5.20
[Removed]
3. Section 5.20 is removed.
4. Section 5.30 is revised to read as
follows:
§ 5.30
Fee calculation.
(a) MSHA bases fees under this
subchapter on the direct and indirect
costs of the services provided, except
that part 15 fees for services provided to
MSHA by other organizations may be
set by those organizations.
(b) Except as provided in paragraphs
(b)(1) and (2) of this section, upon
completion of an initial administrative
review of the application, the Approval
and Certification Center will prepare a
maximum fee estimate for each
application and will begin the technical
evaluation once the applicant authorizes
the fee estimate.
(1) The applicant may pre-authorize
an expenditure for services under this
subchapter, and may further choose to
pre-authorize either a maximum dollar
amount or an expenditure without a
specified maximum amount. All
applications containing a preauthorization statement will
immediately be put in the queue for the
technical evaluation upon completion of
an initial administrative review. MSHA
will concurrently prepare a maximum
fee estimate for applications containing
a statement pre-authorizing a maximum
dollar amount, and will provide the
applicant with this estimate. Where
MSHA’s estimated maximum fee
exceeds the pre-authorized maximum
dollar amount, the applicant has the
choice of cancelling the action and
paying for all work done up to the time
of the cancellation, or authorizing
MSHA’s estimate.
(2) Under the Revised Acceptance
Modification Program (RAMP), MSHA
expedites applications for acceptance of
minor changes to previously approved,
certified, accepted, or evaluated
products. The applicant must pre-
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Sfmt 4702
46351
authorize a fixed dollar amount, set by
MSHA, for processing the application.
(c) If unforeseen circumstances are
discovered during the evaluation, and
MSHA determines that these
circumstances would result in the actual
costs exceeding either the preauthorized expenditure or the
authorized maximum fee estimate, as
appropriate, MSHA will prepare a
revised maximum fee estimate for
completing the evaluation. The
applicant will have the option of either
cancelling the action and paying for
services rendered or authorizing
MSHA’s revised estimate, in which case
MSHA will continue to test and
evaluate the product.
(d) If the actual cost of processing the
application is less than MSHA’s
maximum fee estimate, MSHA will
charge the actual cost.
5. Section 5.40 is revised to read as
follows:
§ 5.40
Fee administration.
Applicants will be billed for all fees,
including actual travel expenses, if any,
when processing of the application is
completed. Invoices will contain
specific payment instructions, including
the address to mail payments and
authorized methods of payment.
PART 15—REQUIREMENTS FOR
APPROVAL OF EXPLOSIVES AND
SHEATHED EXPLOSIVE UNITS
6. The authority citation for part 15
continues to read as follows:
Authority: 30 U.S.C. 957.
7. Section 15.3 is revised to read as
follows:
§ 15.3
Observers at tests and evaluation.
Only personnel of MSHA, designees
of MSHA, representatives of the
applicant, and such other persons as
agreed upon by MSHA and the
applicant shall be present during tests
and evaluations conducted under this
part.
PART 18—ELECTRIC MOTOR-DRIVEN
MINE EQUIPMENT AND
ACCESSORIES
8. The authority citation for part 18
continues to read as follows:
Authority: 30 U.S.C. 957, 961.
9. Section 18.6 (a)(1) is revised to read
as follows:
§ 18.6 Application procedures and
requirements.
(a)(1) Investigation leading to
approval, certification, extension
thereof, or acceptance of hose or
conveyor belt, will be undertaken by
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MSHA only pursuant to a written
application. The application shall be
accompanied by all necessary drawings,
specifications, descriptions, and related
materials, as set out in this part. Fees
calculated in accordance with part 5 of
this title shall be submitted in
accordance with § 5.40.
*
*
*
*
*
PART 22—PORTABLE METHANE
DETECTORS
14. The authority citation for part 22
continues to read as follows:
Authority: 30 U.S.C. 957, 961.
15. In § 22.4 the heading and
paragraph (a) are revised to read as
follows:
PART 19—ELECTRIC CAP LAMPS
§ 22.4 Application procedures and
requirements.
10. The authority citation for part 19
continues to read as follows:
(a) Before MSHA will undertake the
active investigation of leading to
approval of any methane detector, the
applicant shall make application by
letter for an investigation leading to
approval of the detector. This
application shall be sent to: U.S.
Department of Labor, Mine Safety and
Health Administration, Approval and
Certification Center, RR #1, Box 251,
Industrial Park Road, Triadelphia, West
Virginia 26059, together with the
required drawings, one complete
detector, and instructions for its
operation. Fees calculated in accordance
with part 5 of this title shall be
submitted in accordance with § 5.40.
*
*
*
*
*
Authority: 30 U.S.C. 957, 961.
11. In § 19.3 the heading and
paragraph (a) are revised to read as
follows:
§ 19.3 Application procedures and
requirements.
(a) Before MSHA will undertake the
active investigation leading to approval
of any lamp, the applicant shall make
application by letter for an investigation
leading to approval of the lamp. This
application shall be sent to: U.S.
Department of Labor, Mine Safety and
Health Administration, Approval and
Certification Center, RR #1, Box 251,
Industrial Park Road, Triadelphia, West
Virginia 26059, together with the
required drawings, one complete lamp,
and instructions for its operation. Fees
calculated in accordance with part 5 of
this title shall be submitted in
accordance with § 5.40.
*
*
*
*
*
PART 20—ELECTRIC MINE LAMPS
OTHER THAN STANDARD CAP LAMPS
12. The authority citation for part 20
continues to read as follows:
Authority: 30 U.S.C. 957, 961.
13. In § 20.3 the heading and
paragraph (a) are revised to read as
follows:
§ 20.3 Application procedures and
requirements.
(a) Before MSHA will undertake the
active investigation of any lamp, the
applicant shall make application by
letter for an investigation of the lamp.
This application shall be sent to: U.S.
Department of Labor, Mine Safety and
Health Administration, Approval and
Certification Center, RR #1, Box 251,
Industrial Park Road, Triadelphia, West
Virginia 26059, together with the
required drawings, one complete lamp,
and instructions for its operation. Fees
calculated in accordance with part 5 of
this title shall be submitted in
accordance with § 5.40.
*
*
*
*
*
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PART 23—TELEPHONES AND
SIGNALING DEVICES
16. The authority citation for part 23
continues to read as follows:
Authority: 30 U.S.C. 957, 961.
17. In § 23.3 the heading and
paragraph (a) are revised to read as
follows:
§ 23.3 Application procedures and
requirements.
(a) Before MSHA will undertake the
active investigation of leading to
approval of any telephone or signaling
device, the applicant shall make
application by letter for an investigation
leading to approval of the device. This
application shall be sent to: U.S.
Department of Labor, Mine Safety and
Health Administration, Approval and
Certification Center, RR #1, Box 251,
Industrial Park Road, Triadelphia, West
Virginia 26059, together with the
required drawings, one complete
telephone or signaling device, and
instructions for its operation. Fees
calculated in accordance with part 5 of
this title shall be submitted in
accordance with § 5.40.
*
*
*
*
*
PART 27—METHANE-MONITORING
SYSTEMS
18. The authority citation for part 27
continues to read as follows:
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Authority: 30 U.S.C. 957, 961.
Frm 00008
Fmt 4701
Sfmt 4702
19. In § 27.4 the heading and
paragraph (a)(1) are revised to read as
follows:
§ 27.4 Application procedures and
requirements.
(a)(1) No investigation or testing for
certification will be undertaken by
MSHA except pursuant to a written
application, accompanied by all
drawings, specifications, descriptions,
and related materials. The application
and all related matters and
correspondence shall be addressed to:
U.S. Department of Labor, Mine Safety
and Health Administration, Approval
and Certification Center, RR #1, Box
251, Industrial Park Road, Triadelphia,
West Virginia 26059. Fees calculated in
accordance with part 5 of this title shall
be submitted in accordance with § 5.40.
*
*
*
*
*
§ 27.9
[Amended]
20. Section 27.9 is amended by
revising the first sentence to read ‘‘The
date of receipt of an application will
determine the order of precedence for
investigation and testing.’’
PART 28—FUSES FOR USE WITH
DIRECT CURRENT IN PROVIDING
SHORT-CIRCUIT PROTECTION FOR
TRAILING CABLES IN COAL MINES
21. The authority citation for part 28
continues to read as follows:
Authority: 30 U.S.C. 957, 961.
§ 28.10
[Amended]
22. Section 28.10, paragraph (c), is
amended by removing the final sentence
and adding ‘‘Fees calculated in
accordance with part 5 of this title shall
be submitted in accordance with
§ 5.40.’’ in its place.
PART 33—DUST COLLECTORS FOR
USE IN CONNECTION WITH ROCK
DRILLING IN COAL MINES
23. The authority citation for part 33
continues to read as follows:
Authority: 30 U.S.C. 957, 961.
24. Section 33.3 is revised to read as
follows:
§ 33.3
Consultation.
By appointment, applicants or their
representatives may visit the Approval
and Certification Center, Industrial Park
Road, Dallas Pike, Triadelphia, WV
26059, to discuss with MSHA personnel
proposed designs of equipment to be
submitted in accordance with the
regulations of this part. No charge is
made for such consultation and no
written report thereof will be made to
the applicant.
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25. In § 33.6 the heading and
paragraph (a)(1) are revised to read as
follows:
§ 33.6 Application procedures and
requirements.
(a)(1) No investigation or testing for
certification will be undertaken by
MSHA except pursuant to a written
application (except as provided in
paragraph (e) of this section),
accompanied by all prescribed
drawings, specifications, and related
materials. The application and all
related matters and correspondence
shall be addressed to: U.S. Department
of Labor, Mine Safety and Health
Administration, Approval and
Certification Center, RR #1, Box 251,
Industrial Park Road, Triadelphia, West
Virginia 26059. Fees calculated in
accordance with part 5 of this title shall
be submitted in accordance with § 5.40.
*
*
*
*
*
Authority: 30 U.S.C. 957, 961.
Authority: 30 U.S.C. 957, 961.
27. In § 35.6 the heading and
paragraph (a)(1) are revised to read as
follows:
§ 35.6 Application procedures and
requirements.
(a)(1) No investigation or testing will
be undertaken by MSHA except
pursuant to a written application
accompanied by all descriptions,
specifications, test samples, and related
materials. The application and all
related matters and correspondence
shall be addressed to: U.S. Department
of Labor, Mine Safety and Health
Administration, Approval and
Certification Center, RR #1, Box 251,
Industrial Park Road, Triadelphia, West
Virginia 26059. Fees calculated in
accordance with part 5 of this title shall
be submitted in accordance with § 5.40.
*
*
*
*
*
PART 35—FIRE-RESISTANT
HYDRAULIC FLUIDS
PART 36—APPROVAL
REQUIREMENTS FOR PERMISSIBLE
MOBILE DIESEL-POWERED
TRANSPORTATION EQUIPMENT
26. The authority citation for part 35
continues to read as follows:
29. In § 36.6 the heading and
paragraph (a)(1) are revised to read as
follows:
§ 36.6 Application procedures and
requirements.
(a)(1) No investigation or testing will
be undertaken by MSHA except
pursuant to a written application
accompanied by all descriptions,
specifications, test samples, and related
materials. The application and all
related matters and correspondence
shall be addressed to: U.S. Department
of Labor, Mine Safety and Health
Administration, Approval and
Certification Center, RR #1, Box 251,
Industrial Park Road, Triadelphia, West
Virginia 26059. Fees calculated in
accordance with part 5 of this title shall
be submitted in accordance with § 5.40.
*
*
*
*
*
28. The authority citation for part 36
continues to read as follows:
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[FR Doc. 05–15494 Filed 8–8–05; 8:45 am]
BILLING CODE 4510–43–P
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Agencies
[Federal Register Volume 70, Number 152 (Tuesday, August 9, 2005)]
[Proposed Rules]
[Pages 46345-46353]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 05-15494]
Federal Register / Vol. 70, No. 152 / Tuesday, August 9, 2005 /
Proposed Rules
[[Page 46345]]
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DEPARTMENT OF LABOR
Mine Safety and Health Administration
30 CFR Parts 5, 15, 18, 19, 20, 22, 23, 27, 28, 33, 35, and 36
RIN 1219-AB38
Fees for Testing, Evaluation, and Approval of Mining Products
AGENCY: Mine Safety and Health Administration (MSHA), Labor.
ACTION: Proposed rule.
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SUMMARY: We are proposing to amend our regulations to reflect
established policy and procedures for administering fees for testing,
evaluation, and approval of equipment and materials manufactured for
use in the mining industry. This proposed rule would eliminate the
application fee, allow applicants to pre-authorize expenditures for
processing applications, allow outside organizations conducting part 15
testing (explosives and sheathed explosive units) on our behalf to set
fees for this testing, incorporate changes concerning our programs and
organization, and make non-substantive conforming changes to related
regulations.
DATES: Comments must be received by October 11, 2005.
ADDRESSES: Comments must include Regulation Identifier Number (RIN)
1219-AB38 and may be submitted by any of the following methods:
Federal eRulemaking Portal: https://www.regulations.gov.
Follow the instructions for submitting comments.
E-mail to comments@zzmsha.gov. Please include RIN 1219-
AB38 in the subject line of the message.
If you are unable to submit comments by e-mail or through the
Federal eRulemaking portal, please identify your comments by RIN 1219-
AB38 and submit them by any of the following methods:
Facsimile: (202) 693-9441.
Regular Mail or Hand Delivery: MSHA, Office of Standards,
Regulations, and Variances, 1100 Wilson Blvd., Room 2313, Arlington,
Virginia 22201-3939.
Access to Docket: We post all comments received without change,
including any personal information provided, at https://www.msha.gov at
the ``Rules & Regs'' link. Additionally, we post this document, our
Program Policy Manual, and all Program Information Bulletins, Standard
Administrative Procedures, and Program Policy Letters discussed in the
SUPPLEMENTARY INFORMATION section of this preamble on our Web site at
https://www.msha.gov. The public docket may be viewed at our Office of
Standards, Regulations, and Variances, 1100 Wilson Blvd., Room 2350,
Arlington, Virginia.
FOR FURTHER INFORMATION CONTACT: Rebecca J. Smith, Acting Director,
Office of Standards, Regulations, and Variances at 202-693-9440
(voice), 202-693-9441 (fax), or smith.rebecca@dol.gov (e-mail).
SUPPLEMENTARY INFORMATION:
I. Direct Final Rule and Concurrent, Identical Proposed Rule
We have determined that the subject of this rulemaking is suitable
for a direct final rule. Since the rule requirements are not
controversial and primarily concern agency procedures, no significant
adverse comments are anticipated. Therefore, concurrent with this
proposed rule, a separate, identical direct final rule is published in
today's issue of the Federal Register. The duplicate direct final rule
will speed notice and comment rulemaking in the event we receive no
significant adverse comments to this proposed rule. All interested
parties should comment at this time because we will not initiate an
additional comment period. If no significant adverse comments to this
proposed rule are received on or before October 11, 2005, the direct
final rule will become effective November 7, 2005, without further
notice.
If significant adverse comments are received, we will publish a
timely notice in the Federal Register withdrawing the direct final
rule, and will then proceed with the rulemaking by addressing the
comments and developing a final rule from this proposed rule. For
purposes of withdrawing the direct final rule, a significant adverse
comment is one that explains (1) why the direct final rule is
inappropriate, including challenges to the rule's underlying premise or
approach; or (2) why the direct final rule will be ineffective or
unacceptable without a change. In determining whether a significant
adverse comment necessitates withdrawal of the accompanying direct
final rule, we will consider whether the comment raises an issue
serious enough to warrant a substantive response through the notice and
comment process. A comment recommending an addition to the rule will
not be considered significant and adverse unless the comment explains
how this rule would be ineffective without the addition.
II. Background
A. Rulemaking History
The Federal Mine Safety and Health Act of 1977 (the Mine Act) (Pub.
L. 91-173, as amended by Pub. L. 95-164) gives the Mine Safety and
Health Administration responsibility for prescribing the technical
design, construction, and evaluation criteria for certain products used
in underground mines and for testing and approving these products so
that the products will not cause a mine fire explosion or a mine fire.
Most of the Mine Act's regulations for testing and approving these
products relate to ``permissible'' equipment. The Mine Act's
implementing regulations at Title 30 of the Code of Federal Regulations
(30 CFR), parts 6 through 36 contain procedures by which applicants may
apply for and have equipment approved as ``permissible,'' as defined in
section 318 of the Mine Act, 30 U.S.C. 878, for use in mines.
On May 8, 1987, we published a final rule (52 FR 17506) adding 30
CFR part 5 (Fees for testing, evaluation, and approval of mining
products). This rule created a uniform method for calculating fees and
established specific procedures for administering the fee program.
Since our initial implementation of part 5, changes to agency policies
and procedures have significantly increased the efficiency of the
approval process and the administration of the fee program. In
particular, we have eliminated the application fee, allowed applicants
to pre-authorize expenditures, and restructured existing programs for
expediting requests for changes to previously approved mining products.
This proposed rule would update part 5 to reflect these initiatives.
Additionally, this proposed rule would remove a number of
references to the Department of the Interior's former Bureau of Mines,
which was dissolved in 1996 (Pub. L. 104-99). Prior to that time, the
Bureau of Mines conducted part 15 testing on our behalf. NIOSH has
assisted us with part 15 testing; however, NIOSH no longer has the
resources to conduct these tests. This proposed rule would allow us to
use other organizations to conduct part 15 testing.
B. Scope of Approval Activities
The mining products that we approve range from small electronic
devices to large complex mining systems. Our Approval and Certification
Center (Center) evaluates and tests these mining products and issues,
among other things, ``approvals,''
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``certifications,'' ``acceptances,'' ``extensions,'' and ``field
modifications.''
Under the narrow definition of ``approval,'' approvals are issued
to a completely assembled machine or system or to an explosive. Under
this definition, approval of a mining product constitutes a license
authorizing the approval-holder to build and distribute the product for
use in underground mines, and to advertise the product as ``MSHA-
approved.'' The approval-holder accepts the responsibility for
constructing or formulating the product in exact accordance with all
drawings and specifications that accompany the approval.
A ``certification'' is issued to a component or sub-system of a
completely assembled machine or system. An ``acceptance'' is issued for
materials and certain other products. An ``extension'' of an approval
or certification allows the applicant to make design modifications to
the product. A ``field modification'' allows the owner of an MSHA
approved piece of equipment to make specific changes to approved
electrical equipment.
A ``certification'' is issued to a component or sub-system of a
completely assembled machine or system. An ``acceptance'' is issued for
materials and certain other products. An ``extension'' of an approval
or certification allows the applicant to make design modifications to
the product. A ``field modification'' allows the owner of an MSHA
approved piece of equipment to make specific changes to approved
electrical equipment.
Additionally, we administer a number of voluntary programs which
are covered by this regulation to evaluate products to determine
conformance to safety requirements of 30 CFR parts 56, 57, 75, and 77,
or to determine the product's suitability for specific mining
applications. For example, we use these voluntary programs to evaluate
ground wire monitors, lighting systems, sealants and stopping systems,
conveyor belt lagging material, belt wipers, and hydraulic hose and
fire suppression agents and systems.
Except where stated otherwise, we use the term ``approval'' in this
preamble and regulation in a broad sense to represent our formal
recognition of products that are approved, certified, or otherwise
formally accepted for use in mining operations.
Our regulations also allow other parties to perform product testing
under certain circumstances. Part 6 of 30 CFR allows independent
laboratories to test and evaluate certain mining products. It also
permits MSHA to approve equipment designed to non-MSHA product safety
standards once we have determined that the standard(s) can provide at
least the same degree of protection or can be modified to provide at
least the same degree of protection as 30 CFR requirements. Part 7
allows the applicant or a third party to test certain products for
which the testing requirements are objective in nature and can be
routinely conducted by personnel knowledgeable in the particular
product line or category. We retain the responsibility for evaluating
the test results and issuing the approval for all products tested and
evaluated under parts 6 and 7.
C. The Approval Process
The approval process begins with the filing of an application.
Parts 6 through 36 provide instructions for preparing and filing
applications, which can vary with the type of mining product and type
of approval requested. We administratively review each new application,
and upon determination that the application is in order, prepare a fee
estimate, if one is required. Our technical experts then thoroughly
investigate, test, and evaluate the product.
Following successful completion of the evaluation and testing, we
provide the applicant with a written notice that the product meets all
the applicable requirements.
III. Section-by-Section Analysis
A. Section 5.10 Purpose and Scope
Existing section 5.10 sets out the purpose and scope of part 5.
Revised section 5.10 remains substantially unchanged from the existing
regulation. The term ``testing, evaluation and approval'' in existing
paragraph 5.10(a) would be changed to ``services provided under this
subchapter.'' This change would more clearly convey that part 5 applies
to all services which the Center provides and for which a fee is
charged. These services include ``approvals'' as defined in both the
narrow and broad sense as explained earlier in Part II B, ``Scope of
Approval Activities.'' The term ``Except as provided in section
5.30(a)'' would be added to the beginning of 5.10(b) to clarify that
outside organizations conducting part 15 testing on our behalf may set
the fees for this testing. These outside organizations will likely be
government agencies or non-government organizations with laboratory
facilities capable of performing part 15 tests.
B. Section 5.20 Effective Date
Existing section 5.20 established the effective date of the 1987
rule. Such a notice is not needed at this time because the Federal
Register document containing the final rule would provide the effective
date for the rule. For this reason, this proposed rule would delete
existing Sec. 5.20, which established the effective date of the 1987
rule.
C. Section 5.30 Fee Calculation
Existing paragraph 5.30(a) imposes a non-refundable application
fee. This fee was intended to recover costs for initial review and
administrative processing of the application in the event the applicant
cancelled the action prior to commencement of the technical evaluation.
Upon completion of the evaluation and testing, this payment was
credited against the total charges billed to the applicant.
Paying and processing this fee placed an additional administrative
burden on the applicants and on us, and delayed the approval process.
The applicant incurred the burden of remitting two payments during the
application process, and we expended resources to process both
payments. The technical evaluation could not begin until our finance
office confirmed that the payment for the application fee had been
posted. After reviewing this activity, we issued Program Policy Letter
(PPL) No. 96-II-1, ``Waiver of the $100 Application Fee for Testing,
Evaluation, and Approval of Mining Products,'' effective January 1,
1996. This policy is now incorporated into our Program Policy Manual.
In proposed paragraph 5.30(a), the requirement for an application fee
would be removed to reflect our elimination of this fee.
Proposed paragraph 5.30(a) would also incorporate and revise
provisions from existing paragraphs 5.30(b) and (e). The provision from
revised paragraph 5.30(b), which lists criteria for determining hourly
fees, would contain three revisions. First, the term ``testing,
evaluation and approval'' would be in existing paragraph 5.30(b) is
changed to ``services provided under this subchapter'' and moved to
revised paragraph 5.30(b). Second, the existing language concerning
direct and indirect costs that is repeated from Section 5.10(b)(1)
would be omitted to eliminate redundancy. Third, since these criteria
for determining hourly fees also apply to any flat rate fees that we
would establish, the term ``hourly fees'' would be changed to ``fees.''
As noted earlier, when the existing rule was promulgated, we charged
flat rate fees for certain services for which
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turnaround time was predictable and stable. The shift to the current
system of hourly fees was driven partially by concerns about the
equitable distribution of costs among applicants.
As mentioned above, the provision in existing paragraph 5.30(e),
concerning fees for tests conducted for MSHA by the former Bureau of
Mines under part 15 (Requirements for approval of explosives and
sheathed explosive units) would be incorporated into revised paragraph
5.30(a) and substantially revised. The existing paragraph provides that
``Tests conducted by the Bureau of Mines for MSHA under part 15 are
flat rate items.'' When the existing rule was promulgated, the former
Bureau of Mines conducted these tests on our behalf. After the Bureau
was dissolved, its facility for conducting explosives testing was
transferred first to the Department of Energy and subsequently to NIOSH
as a purely research function (30 U.S.C. 1 note).
In January 1996 we received one application for the full range of
part 15 tests. Since then we have received six part 15 applications,
all for minor tests. During this time we relied on NIOSH to conduct
part 15 tests; however, NIOSH did not have the facilities for
conducting part 15 chemical analysis tests, and contracted another
organization to conduct these tests. That organization subsequently
ceased doing chemical analysis tests. NIOSH recently informed us that
they no longer have the resources to perform all the part 15 tests.
Since we do not have the facilities to conduct these tests, we must
contract with other organizations to do any future part 5 testing.
Revised paragraph 5.30(a) would allow organizations conducting part 15
testing on our behalf to set the fees for these tests. Since we cannot
predict what fees the outside organizations will charge for any of
these tests, the regularly published fee schedule, required under
paragraph 5.50, would no longer specify the fees for part 15 testing.
Proposed paragraph 5.30(a) would remove the term ``Bureau of
Mines'' as well as the requirement to charge flat rate fees for part 15
testing. The proposed paragraph would provide that ``part 15 fees for
services provided to MSHA by other organizations may be set by those
organizations.'' That is, the proposed rule language would allow us to
pass on the cost of services provided to MSHA by other organizations so
that these costs could be billed to the applicant.
Existing paragraph 5.30(b), as explained above, would also be moved
to revised paragraph 5.30(a). Revised paragraph 5.30(b) would contain
the provision from existing paragraph 5.30(c) concerning our maximum
fee estimate.
Under existing paragraph 5.30(c), we prepare an estimate of the
maximum fees that would be incurred during evaluation of the product.
The preamble to the existing rule, at 52 FR 17509, indicates our intent
to provide this estimate to the applicant before beginning the
technical evaluation ``to provide the applicant the opportunity to
discuss the estimate or withdraw the application.'' Existing paragraph
5.30(c) further provides that if unforeseen circumstances are
discovered during the evaluation that would result in the actual fees
exceeding this estimate, the applicant has the choice of canceling the
action and paying for all work done up to the time of the cancellation,
or approving our estimated maximum amount. If the estimate exceeds the
actual fees, the applicant is charged the lesser amount. An exception
to this provision exists for applications that were submitted under our
two former flat rate fee programs. These services were charged a
predetermined amount and therefore no estimate was provided. These two
programs are outlined in detail below in the discussion of existing
paragraph 5.30(d).
In 1991, we revised our Program Policy Manual to allow applicants
seeking approval of longwall equipment the option of pre-authorizing
fees for testing and evaluation. The pre-authorization statement,
submitted as part of the application, allowed the technical evaluation
to begin immediately. At the request of applicants seeking testing and
evaluation of other products, we expanded the policy to allow a pre-
authorization option for all products submitted for approval. We
published this policy in Program Policy Letter No. 92-II-3, ``30 CFR
Part 5 Fee Pre-Authorization,'' effective June 1, 1992. Under this
policy, which is currently incorporated into our Program Policy Manual,
applicants, other than those seeking modifications under our program
for expedited modifications, may elect to pre-authorize an expenditure
for fees by submitting a pre-authorization statement with the
application. The applicant must either specify a maximum authorized
expenditure for fees, or authorize an expenditure with no maximum
amount. The latter option authorizes us to perform all testing and
evaluation services that we deem necessary.
Under existing policy, we determine whether or not to prepare a
maximum fee estimate and when to begin the technical evaluation using
the following guidelines:
No pre-authorization statement: We prepare a maximum fee estimate
which the applicant must authorize before the technical evaluation
begins.
Pre-authorized maximum expenditure: The applicant provides us with
a maximum pre-authorized amount. We prepare a maximum fee estimate and
at the same time forward the application for the technical evaluation.
If no other applications are waiting in the queue, the technical
evaluation may begin immediately. Where our estimate exceeds the pre-
authorized amount, the applicant has the choice of canceling the action
and paying for all work done up to the time of the cancellation, or
approving our estimated maximum amount.
Pre-authorized expenditure with no stated maximum: The applicant
pre-authorizes an expenditure with no stated maximum amount. We forward
the application immediately for the technical evaluation, and the
applicant receives no estimated maximum fee estimate.
The revised paragraph would modify provisions in existing paragraph
5.30(c) to provide exceptions for pre-authorized fees and flat rate
programs. Paragraph 5.30(b)(1) would be added to reflect our policy of
allowing applicants the option of pre-authorizing fees.
Paragraph 5.30(b)(2) would be added to reflect our policy of
requiring a specific pre-authorized expenditure for applications
submitted under the Revised Application Modification Program (RAMP).
This program is discussed in the narrative for Sec. 5.30(d).
Finally, the existing rule uses the term ``estimated maximum fee
(cap).'' For a number of reasons, including continuity, we no longer
use the term ``cap'' to refer to this amount. The proposed rule would
replace this term wherever it appears in the rule with the term
``maximum fee estimate.''
The provisions of existing paragraph 5.30(c) address:
(1) Our determination of a maximum fee estimate prior to the start
of technical evaluation;
(2) Unforeseen circumstances during the technical evaluation which
could result in the actual cost exceeding the maximum fee estimate; and
(3) The situation where the maximum fee estimate exceeds the actual
cost.
The first provision would be moved to paragraph 5.30(b), and is
discussed above. The second provision would remain in paragraph
5.30(c), and third provisions would be moved to paragraph 5.30(d).
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The second provision, involving unforeseen circumstances during the
technical evaluation that could result in the actual cost exceeding the
maximum fee estimate, requires us to provide the applicant with a
revised maximum fee estimate for completing the evaluation. The
applicant may then either cancel the evaluation or authorize the
revised fee estimate. Under our policy, if the applicant chooses to
cancel the evaluation, fees will be charged for work performed up to
the cancellation. If the applicant authorizes the new maximum fee
estimate, we will continue testing and evaluating the product.
Proposed paragraph 5.30(c) would leave this provision substantially
unchanged, but the concept would applied to any expenditure approved by
the applicant, whether that expenditure is the estimated maximum fee or
the applicant's pre-authorized expenditure. This provision is not
applicable where the pre-authorized expenditure has no stated maximum.
Additionally, the term ``cap'' would be changed to ``maximum fee
estimate.''
Existing paragraph 5.30(d) addresses the former Stamped
Notification Acceptance Program (SNAP) and Stamped Revision Acceptance
(SRA) program. These programs were developed to expedite the acceptance
of certain minor changes to previously approved products, and required
only a few documents to be submitted with the application. SNAP
addressed acceptance of single changes to an approved product,
including changes that pertained to the technical requirements of an
approved product without adversely affecting permissibility. SRA
addressed acceptance of single or multiple changes to an approved
product, provided the change(s) did not affect the technical
requirements. The Center charged a flat rate fee for services provided
under these programs.
Over time, using and administering both of these programs created
inefficiency and unnecessary duplication. Applicants were often
uncertain which program (e.g., SNAP, SRA, or an extension of approval)
to use for requesting changes in the design of approved products. This
confusion often led to administrative errors and the need to re-submit
the application. Further, since SNAP applied to single changes to
approved products, a separate application was required for each
specific proposed change. In 1998, both programs were replaced with the
Revised Approval Modification Program (RAMP). Under RAMP, requests for
acceptance of minor changes to approved products are made by submitting
a letter of application describing the changes, along with drawings and
specifications that fully describe each change. Services provided under
RAMP are charged an hourly fee, and the letter of application must
contain a statement authorizing a minimum dollar amount set by the
Agency. A discussion of RAMP was included in the notice of fee
adjustments, published on December 18, 1998 (63 FR 70163), and in
Standard Application Procedure ASAP1005, ``Revised Approval
Modification Program (RAMP) Application Procedure'' published on March
28, 2000.
Revised paragraph 5.30(d) would remove the SNAP and SRA
requirements, and would retain the provision in existing paragraph
5.30(c) concerning applications for which the estimated maximum fee
exceeds the actual hourly fee. The existing provision requires us to
charge the actual fee. Proposed paragraph 5.30(d) leaves this provision
substantially unchanged; however, the scope would be expanded to
include instances where the actual hourly fee exceeds any expenditure
approved by the applicant, whether that expenditure is the estimated
maximum fee or the applicant's pre-authorized expenditure.
Existing paragraph 5.30(e) addresses fees for testing under part
15. The proposed rule would move this provision to paragraph 5.30(a)
and would delete paragraph 5.30(e) entirely. The proposed revisions to
part 15 fees are discussed in the narrative for proposed paragraph
5.30(a).
D. 5.40 Fee Administration
Existing paragraph 5.40(a) provides applicants with detailed
instructions for submitting the application fee. Existing paragraph (b)
concerns the method of paying for services provided under SNAP and SRA.
Since the application fee, SNAP, and SRA have been eliminated, as
discussed above, these paragraphs are removed.
Existing paragraph 5.40(a) provides applicants with detailed
instructions for submitting the application fee. Existing paragraph
5.40(b) concerns the method of paying for services provided under SNAP
and SRA. Since the application fee, SNAP, and SRA have been eliminated,
as discussed above, these paragraphs are removed. Existing paragraph
5.40(c) addresses billing procedures for services which are billed at
an hourly rate. The existing paragraph provides that applicants are
billed when processing of the application is complete; any actual
travel expenses are included in the bill; and the invoice will contain
specific payment instructions. Our current regulations in 30 CFR Parts
18 through 36 allow payment for part 5 fees only by check, bank draft,
or money order.
Proposed section 5.40 would apply the billing procedures in
existing paragraph 5.40(c) to all fees administered under part 5, and
would inform applicants that invoices will contain specific payment
instructions, including the address to mail payments and authorized
methods of payment.
Applicants had informally requested that MSHA allow payment by
credit card as a means of expediting the payment process and decreasing
administrative costs to applicants. MSHA determined that this option
can benefit both the applicant and the government, and recently began
accepting payments by credit card. Proposed paragraph 5.40 would allow
MSHA the flexibility to accept credit card payment as an authorized
method of payment. The remaining provisions of existing paragraph
5.40(c) would be substantially unchanged.
E. Overview of Conforming Changes
Parts 18, 19, 20, 22, 23, 27, 28, 33, 35, and 36 contain detailed
instructions for submitting applications for approvals and
certifications. Each part instructs the applicant to send a check, bank
draft, or money order with the application. The proposed rule would
remove this instruction, and any other reference to payments submitted
with applications, to allow these sections to conform to the proposed
part 5 provisions concerning application fees and payment of fees, and
to reflect our current policy, as stated in the Program Policy Manual.
Additionally, the proposed rule would update the Center's address and
would remove outdated references to the former Bureau of Mines.
F. Section 15.3 Observers at Tests and Evaluations
The term ``Bureau of Mines, U.S. Department of the Interior'' would
be replaced with the term ``designees of MSHA.'' As explained in the
discussion of revised paragraph 5.30(a), the Bureau of Mines no longer
exists.
G. Section 18.6 Applications
In paragraph 18.6(a)(1), the term ``accompanied by a check, bank
draft, or money order, payable to the U.S. Mine Safety and Health
Administration to cover the fees,'' would be removed from the
application instructions to reflect our policy of waiving the
application fee. Additionally, language would be added to specify that
the procedures for
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payment of fees are found in Sec. 5.40 of the proposed rule.
H. Section 19.3 Applications
In paragraph (a), the term ``accompanied by a check, bank draft, or
money order, payable to U.S. Mine Safety and Health Administration, to
cover all the necessary fees,'' would be removed from the application
instructions to reflect our policy of waiving the application fee.
Additionally, language would be added to specify that the procedures
for payment of fees are found in Sec. 5.40 of the proposed rule.
I. Section 20.3 Applications
In paragraph (a), the term ``accompanied by a check, bank draft, or
money order, payable to the U.S. Mine Safety and Health Administration,
to cover all the necessary fees,'' would be removed from the
application instructions to reflect our policy of waiving the
application fee. Additionally, language would be added to specify that
the procedures for payment of fees are found in Sec. 5.40 of the
proposed rule.
J. Section 22.4 Applications
In paragraph (a), the term ``accompanied by a check, bank draft, or
money order, payable to the U.S. Mine Safety and Health Administration,
to cover all the necessary fees,'' would be removed from the
application instructions to reflect our policy of waiving the
application fee. Additionally, language would be added to specify that
the procedures for payment of fees are found in Sec. 5.40 of the
proposed rule.
K. Section 23.3 Applications
In paragraph (a), the term ``accompanied by a check, bank draft, or
money order, payable to the U.S. Mine Safety and Health Administration,
to cover all the necessary fees,'' would be removed from the
application instructions to reflect our policy of waiving the
application fee. Additionally, language would be added to specify that
the procedures for payment of fees are found in Sec. 5.40 of the
proposed rule.
L. Section 27.4 Applications
In paragraph (a)(1), the term ``and also a check, bank draft, or
money order payable to the U.S. Mine Safety and Health Administration,
to cover the fees'' would be removed from the application instructions
to reflect our policy of waiving the application fee. Additionally,
language would be added to specify that the procedures for payment of
fees are found in Sec. 5.40 of the proposed rule.
M. Section 27.9 Date for Conducting Tests
The existing section lists the ``application, payment of necessary
fees, and submission of required material'' as criteria for determining
the order of testing when more than one application is pending. The
proposed section would remove the reference to payment of fees and
would revise the sentence to conform to similar provisions in existing
Sec. 18.8 (Date for conducting investigation and tests). The proposed
sentence would read: ``The date of receipt of an application will
determine the order of precedence for investigation and testing.'' The
proposed section would reflect our policy of waiving the application
fee.
N. Section 28.10 Application Procedures
Existing Sec. 28.10 requires applicants seeking approval of
certain fuses to submit the fuses to a nationally recognized
independent testing laboratory for examination, inspection, and testing
prior to submitting an approval application to the Center. Paragraph
28.10(c) contains instructions for submitting these laboratory data and
results to the Center, and includes a requirement that payment for the
application fee accompany these documents. Proposed paragraph 28.10(c)
would remove the requirement to send a payment with the laboratory
documents. This proposed change corresponds to the elimination of the
application fee. Additionally, language would be added to specify that
the procedures for payment of fees are found in Sec. 5.40 of the
proposed rule.
O. Section 33.3 Consultation
This section contains an outdated address for the Center and a
reference to the former Bureau of Mines. The proposed section would
update the Center's address and would replace the term ``Bureau'' with
``MSHA.''
P. Section 33.6 Applications
In paragraph 33.6(a)(1), the term ``accompanied by a check, bank
draft, or money order, payable to the U.S. Mine Safety and Health
Administration, to cover the fees;'' would be removed from the
application instructions to reflect our policy of waiving the
application fee. Additionally, language would be added to specify that
the procedures for payment of fees are found in Sec. 5.40 of the
proposed rule.
Q. Section 35.6 Applications
In paragraph (a)(1), the term ``accompanied by a check, bank draft,
or money order, payable to the U.S. Mine Safety and Health
Administration, to cover the fees;'' would be removed from the
application instructions to reflect our policy of waiving the
application fee. Additionally, language would be added to specify that
the procedures for payment of fees are found in Sec. 5.40 of the
proposed rule.
R. Section 36.6 Applications
In paragraph (a)(1), the term ``accompanied by a check, bank draft,
or money order, payable to the U.S. Mine Safety and Health
Administration, to cover the fees;'' would be removed from the
application instructions to reflect our policy of waiving the
application fee. Additionally, language would be added to specify that
the procedures for payment of fees are found in Sec. 5.40 of the
proposed rule.
S. Derivation and Distribution Tables
The following derivation table lists each section number of the
final rule and the section number of the existing standard from which
the section is derived.
Derivation Table
------------------------------------------------------------------------
Final rule Existing section
------------------------------------------------------------------------
Removed.................................. 5.20.
Removed.................................. 5.30(a).
5.30(a).................................. 5.30(b).
5.30(b).................................. 5.30(c).
5.30(c).................................. 5.30(c).
5.30(d).................................. 5.30(c).
Removed.................................. 5.30(e).
5.40..................................... 5.40(c).
------------------------------------------------------------------------
The following distribution table lists each section number of the
existing standards, and the section number of the final rule which
contains provisions derived from the corresponding existing section.
Distribution Table
------------------------------------------------------------------------
Existing section Final rule
------------------------------------------------------------------------
5.20(a).................................. Removed.
5.30(a).................................. Removed.
5.30(b).................................. 5.30(a).
5.30(c).................................. 5.30(b), (c), and (d).
5.30(d).................................. Removed.
5.30(e).................................. Removed.
5.40(a).................................. Removed.
5.40(b).................................. Removed.
5.40(c).................................. 5.40.
------------------------------------------------------------------------
[[Page 46350]]
IV. Regulatory Impact Analysis
A. Executive Order 12866 Regulatory Planning and Review
Compliance Costs
Executive Order 12866, as amended by Executive Order 13258,
requires that regulatory agencies assess both the costs and benefits of
intended regulations. We have satisfied the requirement of Executive
Order 12866 for this proposed rule and determined that the proposed
rule would not have an annual effect of $100 million or more on the
economy. Therefore, the proposed rule is not an economically
significant regulatory action pursuant to Sec. 3(f)(1) of Executive
Order 12866.
The proposed rule affects applicants who request approval for
products used in the mining industry. The proposed rule would not
result in any cost increases or savings to these applicants.
As noted earlier, existing Sec. 5.30(a) imposes a non-refundable
standard application fee on each initial application. Since we
eliminated this application fee in 1996, deleting the application fee
language from existing Sec. 5.30(a) would not cause applicants to
incur any costs or cost savings.
Benefits
The proposed rule would change our existing regulatory language to
be consistent with our current practices and will continue to allow us
to process applications in a timely and efficient manner. Thus, new and
improved products that enhance the safety of the miner will be allowed
to enter the mine as soon as possible.
The application fee discussed above was intended to offset
administrative review costs in the event that the applicant cancelled
an application prior to commencement of the technical evaluation. We
eliminated this fee because it tended to lengthen the approval and
certification process and placed unnecessary burdens on us and the
applicant. This proposed rule would eliminate the outdated application
fee language in the existing regulation.
Also as noted earlier, since 1992, we have allowed the applicant to
pre-authorize an expenditure for the testing and evaluation that is
associated with an application. This permits us to begin immediate
evaluation work if no other applications are awaiting initial actions.
This rulemaking would add regulatory language that continues to allow
applicants the option to pre-authorize an expenditure for testing and
evaluation that is associated with an application.
Furthermore, no provision in this rulemaking would diminish the
health or safety of U.S. miners.
B. Regulatory Flexibility Act and Small Business Regulatory Enforcement
Fairness Act
The Regulatory Flexibility Act (RFA) requires regulatory agencies
to consider a rule's economic impact on small entities. Under the RFA,
we must use the Small Business Administration's (SBA's) criterion for a
small entity in determining a rule's economic impact unless, after
consultation with the SBA Office of Advocacy, we established an
alternative definition for a small entity and publish that definition
in the Federal Register for notice and comment. This proposed rule
would apply to persons or entities applying for approval of products
used in the mining industry. These applicants operate in industries
involved in measurement, analysis, or controlling instruments;
photographic instruments; commercial and industrial lighting fixtures;
conveyors; or mining equipment. SBA's definition of a small business
for these industries is 500 or fewer employees. Therefore, we examined
the impact on applicants which have 500 or fewer employees and seek
MSHA approval for mining products.
C. Factual Basis for Certification
Using SBA's definition of a small entity, there are no annual cost
increases or savings to applicants affected by this rulemaking.
Therefore, we concluded that this proposed rule would not have a
significant economic impact on a substantial number of small entities.
V. Other Regulatory Matters
A. Unfunded Mandates Reform Act of 1995
This proposed rule does not include any Federal mandate that may
result in increased expenditures by State, local, or tribal
governments, nor does it increase private sector expenditures by more
than $100 million annually, nor does it significantly or uniquely
affect small governments. Accordingly, the Unfunded Mandates Reform Act
of 1995 (2 U.S.C. 1501 et seq.) requires no further agency action or
analysis.
B. Treasury And General Government Appropriations Act of 1999,
Assessment of Federal Regulations and Policies on Families
This proposed rule would have no effect on family well-being or
stability, marital commitment, parental rights or authority, or income
or poverty of families and children. Accordingly, Section 654 of the
Treasury and General Government Appropriations Act of 1999 (5 U.S.C.
601 note) requires no further agency action, analysis, or assessment.
C. Executive Order 12630 Government Actions and Interference With
Constitutionally Protected Property Rights
This proposed rule would not implement a policy with takings
implications. Accordingly, Executive Order 12630, Governmental Actions
and Interference With Constitutionally Protected Property Rights,
requires no further agency action or analysis.
D. Executive Order 12988 Civil Justice Reform
This proposed rule was drafted and reviewed in accordance with
Executive Order 12988, Civil Justice Reform. The proposed rule was
written to provide a clear legal standard for affected conduct and was
carefully reviewed to eliminate drafting errors and ambiguities, so as
to minimize litigation and undue burden on the Federal court system. We
have determined that this proposed rule would meet the applicable
standards provided in Section 3 of Executive Order 12988.
E. Executive Order 13045 Protection of Children From Environmental
Health Risks and Safety Risks
This proposed rule would have no adverse impact on children.
Accordingly, Executive Order 13045, Protection of Children From
Environmental Health Risks and Safety Risks, as amended by Executive
Orders 13229 and 13296, requires no further agency action or analysis.
F. Executive Order 13132 Federalism
This proposed rule does not have ``federalism implications''
because it does not ``have substantial direct effects on the States, on
the relationship between the national government and the States, or on
the distribution of power and responsibilities among the various levels
of government.'' Accordingly, Executive Order 13132, Federalism,
requires no further agency action or analysis.
G. Executive Order 13175 Consultation and Coordination With Indian
Tribal Governments
This proposed rule does not have ``tribal implications'' because it
does not ``have substantial direct effects on one or more Indian
tribes, on the relationship between the Federal government and Indian
tribes, or on the distribution of power and responsibilities between
the Federal
[[Page 46351]]
government and Indian tribes.'' Accordingly, Executive Order 13175,
Consultation and Coordination With Indian Tribal Governments, requires
no further agency action or analysis.
H. Executive Order 13211 Actions Concerning Regulations That
Significantly Affect Energy Supply, Distribution, or Use
This proposed rule regulates both the coal and metal/nonmetal
mining sectors. Because this proposed rule would result in no yearly
net cost to the coal mining industry, the proposed rule would neither
reduce the supply of coal nor increase its price. This proposed rule is
not a ``significant energy action'' because it would not be ``likely to
have a significant adverse effect on the supply, distribution, or use
of energy (including a shortfall in supply, price increases, and
increased use of foreign supplies).'' Accordingly, Executive Order
13211, Actions Concerning Regulations That Significantly Affect Energy
Supply, Distribution, or Use, requires no further agency action or
analysis.
I. Executive Order 13272 Proper Consideration of Small Entities in
Agency Rulemaking
We thoroughly reviewed this proposed rule to assess and take
appropriate account of its potential impact on small businesses, small
governmental jurisdictions, and small organizations. We determined and
certified that this proposed rule would not have a significant economic
impact on a substantial number of small entities.
Dated: July 29, 2005.
David G. Dye,
Deputy Assistant Secretary of Labor for Mine Safety and Health.
List of Subjects
30 CFR Part 5
Fees, Mine safety and health.
30 CFR Parts 15 and 18
Fees, Mine safety and health, Reporting and recordkeeping
requirements.
30 CFR Parts 19, 20, 22, 27, and 28
Fees, Mine safety and health.
30 CFR Parts 23, 33, 35, and 36
Fees, Mine safety and health, Reporting and recordkeeping
requirements, Research.
Accordingly, Chapter I of Title 30 of the Code of Federal
Regulations is proposed to be amended as follows:
PART 5--FEES FOR TESTING, EVALUATION, AND APPROVAL OF MINING
PRODUCTS
1. The authority citation for part 5 continues to read as follows:
Authority: 30 U.S.C. 957.
2. Section 5.10 is amended by revising paragraph (a) to read as
follows:
Sec. 5.10 Purpose and scope.
(a) This part establishes a system under which MSHA charges a fee
for services provided under this subchapter. This part includes the
management and calculation of these fees.
* * * * *
Sec. 5.20 [Removed]
3. Section 5.20 is removed.
4. Section 5.30 is revised to read as follows:
Sec. 5.30 Fee calculation.
(a) MSHA bases fees under this subchapter on the direct and
indirect costs of the services provided, except that part 15 fees for
services provided to MSHA by other organizations may be set by those
organizations.
(b) Except as provided in paragraphs (b)(1) and (2) of this
section, upon completion of an initial administrative review of the
application, the Approval and Certification Center will prepare a
maximum fee estimate for each application and will begin the technical
evaluation once the applicant authorizes the fee estimate.
(1) The applicant may pre-authorize an expenditure for services
under this subchapter, and may further choose to pre-authorize either a
maximum dollar amount or an expenditure without a specified maximum
amount. All applications containing a pre-authorization statement will
immediately be put in the queue for the technical evaluation upon
completion of an initial administrative review. MSHA will concurrently
prepare a maximum fee estimate for applications containing a statement
pre-authorizing a maximum dollar amount, and will provide the applicant
with this estimate. Where MSHA's estimated maximum fee exceeds the pre-
authorized maximum dollar amount, the applicant has the choice of
cancelling the action and paying for all work done up to the time of
the cancellation, or authorizing MSHA's estimate.
(2) Under the Revised Acceptance Modification Program (RAMP), MSHA
expedites applications for acceptance of minor changes to previously
approved, certified, accepted, or evaluated products. The applicant
must pre-authorize a fixed dollar amount, set by MSHA, for processing
the application.
(c) If unforeseen circumstances are discovered during the
evaluation, and MSHA determines that these circumstances would result
in the actual costs exceeding either the pre-authorized expenditure or
the authorized maximum fee estimate, as appropriate, MSHA will prepare
a revised maximum fee estimate for completing the evaluation. The
applicant will have the option of either cancelling the action and
paying for services rendered or authorizing MSHA's revised estimate, in
which case MSHA will continue to test and evaluate the product.
(d) If the actual cost of processing the application is less than
MSHA's maximum fee estimate, MSHA will charge the actual cost.
5. Section 5.40 is revised to read as follows:
Sec. 5.40 Fee administration.
Applicants will be billed for all fees, including actual travel
expenses, if any, when processing of the application is completed.
Invoices will contain specific payment instructions, including the
address to mail payments and authorized methods of payment.
PART 15--REQUIREMENTS FOR APPROVAL OF EXPLOSIVES AND SHEATHED
EXPLOSIVE UNITS
6. The authority citation for part 15 continues to read as follows:
Authority: 30 U.S.C. 957.
7. Section 15.3 is revised to read as follows:
Sec. 15.3 Observers at tests and evaluation.
Only personnel of MSHA, designees of MSHA, representatives of the
applicant, and such other persons as agreed upon by MSHA and the
applicant shall be present during tests and evaluations conducted under
this part.
PART 18--ELECTRIC MOTOR-DRIVEN MINE EQUIPMENT AND ACCESSORIES
8. The authority citation for part 18 continues to read as follows:
Authority: 30 U.S.C. 957, 961.
9. Section 18.6 (a)(1) is revised to read as follows:
Sec. 18.6 Application procedures and requirements.
(a)(1) Investigation leading to approval, certification, extension
thereof, or acceptance of hose or conveyor belt, will be undertaken by
[[Page 46352]]
MSHA only pursuant to a written application. The application shall be
accompanied by all necessary drawings, specifications, descriptions,
and related materials, as set out in this part. Fees calculated in
accordance with part 5 of this title shall be submitted in accordance
with Sec. 5.40.
* * * * *
PART 19--ELECTRIC CAP LAMPS
10. The authority citation for part 19 continues to read as
follows:
Authority: 30 U.S.C. 957, 961.
11. In Sec. 19.3 the heading and paragraph (a) are revised to read
as follows:
Sec. 19.3 Application procedures and requirements.
(a) Before MSHA will undertake the active investigation leading to
approval of any lamp, the applicant shall make application by letter
for an investigation leading to approval of the lamp. This application
shall be sent to: U.S. Department of Labor, Mine Safety and Health
Administration, Approval and Certification Center, RR 1, Box
251, Industrial Park Road, Triadelphia, West Virginia 26059, together
with the required drawings, one complete lamp, and instructions for its
operation. Fees calculated in accordance with part 5 of this title
shall be submitted in accordance with Sec. 5.40.
* * * * *
PART 20--ELECTRIC MINE LAMPS OTHER THAN STANDARD CAP LAMPS
12. The authority citation for part 20 continues to read as
follows:
Authority: 30 U.S.C. 957, 961.
13. In Sec. 20.3 the heading and paragraph (a) are revised to read
as follows:
Sec. 20.3 Application procedures and requirements.
(a) Before MSHA will undertake the active investigation of any
lamp, the applicant shall make application by letter for an
investigation of the lamp. This application shall be sent to: U.S.
Department of Labor, Mine Safety and Health Administration, Approval
and Certification Center, RR 1, Box 251, Industrial Park Road,
Triadelphia, West Virginia 26059, together with the required drawings,
one complete lamp, and instructions for its operation. Fees calculated
in accordance with part 5 of this title shall be submitted in
accordance with Sec. 5.40.
* * * * *
PART 22--PORTABLE METHANE DETECTORS
14. The authority citation for part 22 continues to read as
follows:
Authority: 30 U.S.C. 957, 961.
15. In Sec. 22.4 the heading and paragraph (a) are revised to read
as follows:
Sec. 22.4 Application procedures and requirements.
(a) Before MSHA will undertake the active investigation of leading
to approval of any methane detector, the applicant shall make
application by letter for an investigation leading to approval of the
detector. This application shall be sent to: U.S. Department of Labor,
Mine Safety and Health Administration, Approval and Certification
Center, RR 1, Box 251, Industrial Park Road, Triadelphia, West
Virginia 26059, together with the required drawings, one complete
detector, and instructions for its operation. Fees calculated in
accordance with part 5 of this title shall be submitted in accordance
with Sec. 5.40.
* * * * *
PART 23--TELEPHONES AND SIGNALING DEVICES
16. The authority citation for part 23 continues to read as
follows:
Authority: 30 U.S.C. 957, 961.
17. In Sec. 23.3 the heading and paragraph (a) are revised to read
as follows:
Sec. 23.3 Application procedures and requirements.
(a) Before MSHA will undertake the active investigation of leading
to approval of any telephone or signaling device, the applicant shall
make application by letter for an investigation leading to approval of
the device. This application shall be sent to: U.S. Department of
Labor, Mine Safety and Health Administration, Approval and
Certification Center, RR 1, Box 251, Industrial Park Road,
Triadelphia, West Virginia 26059, together with the required drawings,
one complete telephone or signaling device, and instructions for its
operation. Fees calculated in accordance with part 5 of this title
shall be submitted in accordance with Sec. 5.40.
* * * * *
PART 27--METHANE-MONITORING SYSTEMS
18. The authority citation for part 27 continues to read as
follows:
Authority: 30 U.S.C. 957, 961.
19. In Sec. 27.4 the heading and paragraph (a)(1) are revised to
read as follows:
Sec. 27.4 Application procedures and requirements.
(a)(1) No investigation or testing for certification will be
undertaken by MSHA except pursuant to a written application,
accompanied by all drawings, specifications, descriptions, and related
materials. The application and all related matters and correspondence
shall be addressed to: U.S. Department of Labor, Mine Safety and Health
Administration, Approval and Certification Center, RR 1, Box
251, Industrial Park Road, Triadelphia, West Virginia 26059. Fees
calculated in accordance with part 5 of this title shall be submitted
in accordance with Sec. 5.40.
* * * * *
Sec. 27.9 [Amended]
20. Section 27.9 is amended by revising the first sentence to read
``The date of receipt of an application will determine the order of
precedence for investigation and testing.''
PART 28--FUSES FOR USE WITH DIRECT CURRENT IN PROVIDING SHORT-
CIRCUIT PROTECTION FOR TRAILING CABLES IN COAL MINES
21. The authority citation for part 28 continues to read as
follows:
Authority: 30 U.S.C. 957, 961.
Sec. 28.10 [Amended]
22. Section 28.10, paragraph (c), is amended by removing the final
sentence and adding ``Fees calculated in accordance with part 5 of this
title shall be submitted in accordance with Sec. 5.40.'' in its place.
PART 33--DUST COLLECTORS FOR USE IN CONNECTION WITH ROCK DRILLING
IN COAL MINES
23. The authority citation for part 33 continues to read as
follows:
Authority: 30 U.S.C. 957, 961.
24. Section 33.3 is revised to read as follows:
Sec. 33.3 Consultation.
By appointment, applicants or their representatives may visit the
Approval and Certification Center, Industrial Park Road, Dallas Pike,
Triadelphia, WV 26059, to discuss with MSHA personnel proposed designs
of equipment to be submitted in accordance with the regulations of this
part. No charge is made for such consultation and no written report
thereof will be made to the applicant.
[[Page 46353]]
25. In Sec. 33.6 the heading and paragraph (a)(1) are revised to
read as follows:
Sec. 33.6 Application procedures and requirements.
(a)(1) No investigation or testing for certification will be
undertaken by MSHA except pursuant to a written application (except as
provided in paragraph (e) of this section), accompanied by all
prescribed drawings, specifications, and related materials. The
application and all related matters and correspondence shall be
addressed to: U.S. Department of Labor, Mine Safety and Health
Administration, Approval and Certification Center, RR 1, Box
251, Industrial Park Road, Triadelphia, West Virginia 26059. Fees
calculated in accordance with part 5 of this title shall be submitted
in accordance with Sec. 5.40.
* * * * *
PART 35--FIRE-RESISTANT HYDRAULIC FLUIDS
26. The authority citation for part 35 continues to read as
follows:
Authority: 30 U.S.C. 957, 961.
27. In Sec. 35.6 the heading and paragraph (a)(1) are revised to
read as follows:
Sec. 35.6 Application procedures and requirements.
(a)(1) No investigation or testing will be undertaken by MSHA
except pursuant to a written application accompanied by all
descriptions, specifications, test samples, and related materials. The
application and all related matters and correspondence shall be
addressed to: U.S. Department of Labor, Mine Safety and Health
Administration, Approval and Certification Center, RR 1, Box
251, Industrial Park Road, Triadelphia, West Virginia 26059. Fees
calculated in accordance with part 5 of this title shall be submitted
in accordance with Sec. 5.40.
* * * * *
PART 36--APPROVAL REQUIREMENTS FOR PERMISSIBLE MOBILE DIESEL-
POWERED TRANSPORTATION EQUIPMENT
28. The authority citation for part 36 continues to read as
follows:
Authority: 30 U.S.C. 957, 961.
29. In Sec. 36.6 the heading and paragraph (a)(1) are revised to
read as follows:
Sec. 36.6 Application procedures and requirements.
(a)(1) No investigation or testing will be undertaken by MSHA
except pursuant to a written application accompanied by all
descriptions, specifications, test samples, and related materials. The
application and all related matters and correspondence shall be
addressed to: U.S. Department of Labor, Mine Safety and Health
Administration, Approval and Certification Center, RR 1, Box
251, Industrial Park Road, Triadelphia, West Virginia 26059. Fees
calculated in accordance with part 5 of this title shall be submitted
in accordance with Sec. 5.40.
* * * * *
[FR Doc. 05-15494 Filed 8-8-05; 8:45 am]
BILLING CODE 4510-43-P