MSHA Inspection Checklist for Employers: How to Prepare
Build a Safety and Health Program
The Mine Health and Safety Administration (MSHA) requires mine operators to maintain a workplace that meets federal safety and health standards. A comprehensive safety and health program helps mine operators meet current standards by identifying hazards, enforcing rules, and reducing workplace injuries.
Develop Site-Specific Safety Policies
Every mining operation is different. Because of this, safety policies should reflect the specific hazards and working conditions at each site. Written policies should be clear, accurate, and fully aligned with MSHA regulations. Employers need to regularly update their policies based on new safety requirements, inspection findings, and operational changes.
Make Safety Policies a Part of Daily Practice
Written policies alone do not create a safe workplace without consistent enforcement. Safety procedures should be integrated into daily operations so that employees follow them automatically, rather than treating them as optional guidelines. Supervisors play a key role in reinforcing expectations and addressing violations as they arise. Employers should:
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Train all employees on safety rules and emergency procedures.
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Provide supervisors with compliance checklists to track enforcement.
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Hold regular safety meetings to reinforce policies and address concerns.
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Use documented corrective actions to address violations when they occur
Establish a Formal Reporting System
Employees need to have a reliable way to report hazards without fear of retaliation. If safety concerns go unaddressed, minor issues can turn into violations or workplace injuries. A clear and accessible reporting process helps mine operators identify risks early and track recurring problems. A reporting system should include:
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Anonymous reporting options to encourage open communication.
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A structured process for investigating complaints and documenting resolutions.
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A method for tracking recurring hazards to prevent repeated violations
Form a Safety Committee
A safety committee can help identify hazards, track compliance, and strengthen workplace protections. A safety committee is most effective if it includes both management and employees to provide insight from all levels of the operation. Key responsibilities should include:
Inspection: Inspecting worksites for safety risks and recommending corrective actions.
Review: Reviewing past citations to prevent repeated violations.
Evaluation: Evaluating training programs to address gaps in knowledge or procedures
Conduct Regular Workplace Audits
Workplace audits help mine operators correct safety issues before an MSHA inspection by allowing employers to identify risks, address violations, and document compliance efforts.
Review Past MSHA Inspections
Past MSHA inspection reports highlight areas where compliance has fallen short. Analyzing these reports helps employers identify patterns in violations, understand how inspectors assess risks, and take corrective actions before the next inspection. Addressing recurring issues can prevent heightened penalties and reinforce workplace safety efforts.
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Examine the last two years of MSHA inspection reports to identify trends.
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Track frequent violations and make necessary adjustments.
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Confirm that past citations have been fully corrected.
Perform Internal Safety Audits
Regular audits allow mine operators to identify hazards and correct issues before an MSHA inspection. A structured audit process helps confirm that safety policies are followed in practice, rather than just existing on paper. Internal audits also provide documentation that can demonstrate compliance efforts if MSHA raises concerns.
Inspect Equipment, Work Areas, and Procedures
Verify that all equipment, workspaces, and operational procedures align with MSHA safety standards. Identifying potential hazards early helps prevent violations and improves workplace safety.
Compare Audit Findings Against MSHA Regulations
Review audit results alongside MSHA requirements to detect any compliance gaps. Addressing discrepancies before an inspection reduces the likelihood of citations.
Keep Records of Identified Hazards and Corrections
Maintain detailed documentation of any hazards discovered during audits, along with the corrective actions taken.
Conduct Audits Under Legal Counsel’s Direction
Attorney-client privilege protects certain communications between a company and its legal counsel and prevents them from being disclosed in legal proceedings. When audits are conducted under the direction of an attorney, the findings can remain confidential and allow mine operators to assess compliance without creating records that could be used against them in future MSHA inspections.
Follow Through on Corrective Actions
Finding safety hazards during an internal audit is only useful if employers take steps to correct them before MSHA shows up. MSHA inspections tend to focus on whether previously noted issues have been addressed, so mine operators need a process for tracking issues and confirming they have been resolved. Employers should:
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Assign specific personnel to address each identified issue.
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Set deadlines for corrections and confirm completion.
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Maintain detailed records of all corrective steps as evidence of compliance
Establish an Inspection Response Team
A MSHA inspection can happen without notice, so mine operators need to have a team prepared to manage the process. A designated response team can help track requests, document findings, and handle interactions with inspectors.
Assign Key Personnel
Each inspection team member should have a specific role to keep the process organized. Without clear assignments, inspections can become disorganized. An inspection team can help mine operators manage inspections efficiently and avoid unnecessary complications. For example:
Team Leader: Serves as the primary contact for MSHA.
Mine Operator Representative: Escorts the inspector at all times.
Document Control Manager: Manages records requested by MSHA and keeps copies.
Photographer: Takes side-by-side photos of anything MSHA documents.
Sampling Coordinator: Collects independent samples when MSHA tests air, water, or noise levels.
Union Liaison (if applicable): Coordinates with the union during inspections
Maintain Immediate Access to Key Materials
A properly organized inspection team has to have quick access to all necessary materials. Delays in providing records or tracking MSHA’s actions can create confusion and complicate the process. Employers should keep the following materials on hand:
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A contact list for internal reporting.
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Logs to track documents shared with MSHA.
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Labels for confidential records to protect trade secrets.
Have a Notification Plan
A notification plan keeps key personnel informed as soon as an inspector arrives. Without a clear response process, inspections can become chaotic and increase the chances of compliance missteps. A structured plan should outline:
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Who will greet and accompany the inspector.
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Where records and safety materials are stored for quick access.
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How to coordinate employee interviews and handle inspection requests.
Define Walkaround Inspection Protocols
During an MSHA inspection, the inspector will conduct a walkaround to examine equipment, facilities, and working conditions. Mine operators would be wise to implement a clear plan for escorting the inspector, tracking observations, and addressing any issues that arise. Without proper oversight, inspectors may draw inaccurate conclusions or overlook key details.
Plan Walkaround Routes
Establishing designated routes for inspections helps direct the flow of the process, while maintaining safety and efficiency. The inspection team should:
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Identify safe and efficient paths through the facility.
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Make note of areas that are closed, restricted, or not in use.
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Arrange transportation if needed to move through large sites.
Escort the Inspector at All Times
Mine operators have the right to accompany inspectors throughout the facility. It is important to accompany inspectors in order to prevent misunderstandings, provide immediate explanations for site conditions, and allow operators to take parallel notes and photographs. During the inspection, the designated escort should:
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Stay with the inspector at all times to track their observations.
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Take side-by-side photos of anything MSHA documents.
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Ask about the purpose of each photograph or note the inspector takes.
Follow Best Practices During the Walkaround
A well-organized walkaround allows mine operators to monitor the process and respond appropriately to inspector concerns. The inspection team should do the following:
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Keep detailed notes of the inspector’s comments and actions.
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Require the inspector to follow all site safety rules, including PPE requirements.
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Avoid demonstrating equipment operation unless it is already in use.
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Address any minor issues immediately, without admitting violations
Train Employees on Their Rights
During a MSHA inspection, employees may be asked to answer questions or participate in interviews. Without preparation, workers may feel pressured to provide information they do not fully understand or recall accurately. Employers should educate employees on their rights and provide guidance on how to handle interview requests.
Inform Employees That Interviews Are Voluntary
MSHA inspectors may request interviews with employees, but participation is not required. Workers should not feel obligated to answer questions if they are uncomfortable or unsure about the information being requested. They also have certain rights that protect them during the interview process, including who may be present and how the interview is conducted. Employees should understand that:
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They have the right to decline an interview—MSHA cannot require them to answer questions.
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They can choose to have a representative present, such as a coworker, attorney, or union representative.
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They do not have to agree to audio or video recording and can refuse if asked.
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They can stop the interview at any time or take a break if needed.
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They have the right to review and request a copy of any written statements before signing them.
Explain What Employees Can Expect During Interviews
Employees who agree to an interview need to know what to expect before speaking with an inspector. Inspectors may ask about training, safety policies, or working conditions, and employees should be prepared to answer clearly and accurately. Providing information outside of firsthand knowledge can create misunderstandings or unintended compliance risks. Workers should:
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Answer only what they know firsthand and avoid speculation.
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Request clarification if a question is unclear.
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Avoid guessing or providing opinions on compliance matters
Prepare Management for Their Role
Statements made by management representatives hold more weight during an MSHA inspection. Inspectors may interpret these statements as official company positions, which means supervisors need to approach interviews carefully. Those in leadership roles should:
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Recognize that their statements can be used as evidence.
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Avoid making admissions about potential violations.
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Refrain from providing more information than what is directly asked.
Control Document Production
MSHA inspectors commonly request records related to training, safety policies, and past inspections. Employers should have an organized process for managing document production to meet MSHA requirements while avoiding unnecessary disclosures.
Track All Documents Provided to MSHA
Every record given to MSHA should be logged to prevent confusion and maintain an accurate record of what has been disclosed. A document tracking system helps prevent duplicate requests and keeps the focus on providing only the required materials. Employers should:
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Maintain a log of all records provided, including the date and reason for disclosure.
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Keep copies of all documents shared with inspectors.
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Require written requests for any records beyond standard compliance documents.
Label and Protect Confidential Information
Certain records may contain trade secrets or sensitive business information that should not be publicly disclosed. Employers have the right to mark these materials as confidential to protect proprietary details from unnecessary exposure. Here are some best practices:
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Clearly labeling trade secrets and proprietary business information.
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Using cover sheets that cite applicable confidentiality protections.
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Redacting medical or personally identifiable information, unless MSHA presents a valid request under the appropriate legal authority.
Only Provide What Is Required
During an inspection, inspectors may ask for a broad range of documents, but mine operators are only required to provide records that fall within MSHA’s authority. Voluntarily offering additional records can introduce new areas of scrutiny.
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Provide only the documents specifically requested by MSHA.
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Avoid offering extra materials that were not explicitly required.
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Verify that records are complete and accurate before submission.
Prepare for the Close-Out Conference
At the end of an MSHA inspection, the inspector will hold a closing conference to discuss findings, review any citations issued, and explain potential next steps. The closing conference gives mine operators an opportunity to ask questions, clarify any misunderstandings, and address concerns before the inspection officially concludes.
Review MSHA’s Findings Without Making Admissions
Mine operators should carefully listen to the inspector’s conclusions and take notes without agreeing to or disputing violations on the spot. Any statements made during the closing conference can be documented in MSHA’s records. Employers should:
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Take detailed notes on the inspector’s findings and reasoning.
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Avoid making admissions about potential violations.
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Ask for clarification on citations, penalties, and abatement requirements
Clarify Errors Before Citations Become Final
If an inspector makes incorrect assumptions or misinterprets workplace conditions, the closing conference is the best time to address those errors. Employers should:
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Provide additional context or supporting documentation to correct misunderstandings.
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Request that inaccurate findings be reconsidered before citations are finalized.
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Note any disagreements for potential follow-up or legal review.
Consider Formally Contesting Citations
Mine operators have the right to challenge citations they believe are unwarranted or improperly classified. Deciding whether to contest a citation warrants involving legal counsel and a review of potential consequences. Employers should:
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Evaluate whether the citation is factually or legally justified.
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Consider the impact of the citation on future inspections and penalties.
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Determine whether contesting the violation is the best course of action.
MSHA Inspection Preparation Checklist
A well-planned approach to MSHA inspections helps mine operators stay organized, reduce risks, and address potential issues before they lead to citations. An inspection preparation checklist provides key steps to prepare for an inspection and manage the process effectively.
Here is a template you can use:
Pre-Inspection Preparation
Build a Safety and Health Program
✅ Develop site-specific safety policies that align with MSHA standards.
✅ Implement a system for reporting hazards and injuries.
✅ Establish a safety committee to review procedures and oversee compliance.
Conduct Regular Workplace Audits
✅ Perform scheduled safety inspections and document findings.
✅ Review past MSHA citations and confirm corrective actions.
✅ Conduct audits under legal counsel’s direction to maintain privilege.
✅ Keep detailed records of all findings and corrective actions.
Review Past MSHA Inspections
✅ Examine the last two years of inspection reports for patterns or repeated violations.
✅ Track common compliance issues and adjust policies or training as needed.
✅ Ensure all previously cited hazards have been fully addressed.
Inspection Response Team
Assign Key Personnel
✅ Designate a team leader to coordinate the inspection process.
✅ Assign a mine operator representative to escort the inspector at all times.
✅ Appoint a document control manager to manage records and track MSHA’s requests.
✅ Ensure a photographer is available to take side-by-side photos of anything MSHA documents.
✅ Identify a sampling coordinator to collect independent air, water, or noise samples when MSHA takes its own measurements.
✅ If applicable, designate a union liaison to coordinate communication with union representatives.
Maintain Immediate Access to Key Materials
✅ Create an inspection response binder with:
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A contact list for internal reporting.
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Logs to track documents shared with MSHA.
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Labels for confidential records to protect trade secrets.
✅ Store all required safety and training records in an accessible location.
Have a Notification Plan
✅ Outline who will greet and accompany the inspector.
✅ Ensure key personnel are notified immediately when an inspector arrives.
✅ Know where all required records and safety materials are stored for quick access.
Managing the Inspection Process
Define Walkaround Inspection Protocols
✅ Establish designated inspection routes for efficiency and safety.
✅ Ensure the inspector follows all site safety rules, including PPE requirements.
✅ Escort the inspector at all times and track what they review and document.
✅ Take side-by-side photographs of anything MSHA documents.
Follow Best Practices During the Walkaround
✅ Keep detailed notes on the inspector’s actions and comments.
✅ Avoid demonstrating equipment operation unless it is already in use.
✅ Address minor issues immediately without admitting violations.
Train Employees on Their Rights
✅ Inform workers that MSHA interviews are voluntary.
✅ Employees can decline recorded interviews or signing statements.
✅ Train management on how their statements may be used as evidence.
Managing MSHA Document Requests
Control Document Production
✅ Track every document shared with MSHA in a document log.
✅ Clearly label confidential materials to protect trade secrets.
✅ Verify that records fall within MSHA’s authority before submission.
Only Provide What Is Required
✅ Provide only the records specifically requested by MSHA.
✅ Avoid offering extra materials that were not explicitly required.
✅ Ensure all records are complete and accurate before submission.
Closing Conference and Post-Inspection Steps
Prepare for the Close-Out Conference
✅ Take detailed notes on the inspector’s findings and reasoning.
✅ Do not agree to or dispute violations on the spot—record everything first.
✅ Ask for clarification on citations, penalties, and abatement requirements.
Clarify Errors Before Citations Become Final
✅ Provide additional context or documentation to correct misunderstandings.
✅ Request that incorrect findings be reconsidered before citations are finalized.
✅ Note any disagreements for potential follow-up or legal review.
Consider Formally Contesting Citations
✅ Evaluate whether the citation is factually or legally justified.
✅ Consider the impact of the citation on future inspections and penalties.
✅ Determine whether contesting the violation is the best course of action.
If mine operators follow this checklist closely, they can approach MSHA inspections with confidence, reduce compliance risks, and create a safer work environment.
For expert guidance on MSHA compliance, inspections, and mine safety regulations, Conn Maciel Carey LLP’s MSHA Mine Safety & Health Practice Group provides strategic legal support to mine operators nationwide. Call (202) 715-6244 or send us an email to learn more.
This article is for informational purposes only and does not constitute legal advice. While we strive to ensure accuracy, laws and regulations may change, and unintended errors may occur. This content may not address every aspect of the relevant legal requirements. For guidance on your specific situation, consult your attorney.