Non-Prosecution-Agreement-UBB

R. Booth Goodwin II, United States Attorney Southern District of West Virginia IMMEDIATE RELEASE CONTACT: Melvin Smith December 6, 2011 Melvin.Smith@usdoj.gov UNITED STATES OFFICE ANNOUNCES $209 MILLION AGREEMENT IN UPPER BIG BRANCH MINE EXPLOSION Largest-Ever Criminal Resolution In (1 Mining Investigation SHARLESTON, US. Attorney R. Booth Goodwin 11, joined by of?cials from the Federal Bureau of Investigation 1nd the Department of Labor?s Of?ce of Inspector General, today announced a non-prosecution agreement under which \lpha Natural Resources Inc. (Alpha) will make payments and safety investments totaling $209 million in connection with he criminal investigation of events surrounding the April 5, 2010 explosion at the Upper Big Branch mine (UBB). That :xplosion claimed the lives of 29 coal miners and injured two others. At the time of the explosion, the mine was owned by Vlassey Energy Company (Massey), whose operations came under Alpha?s control in a June 1, 2011 merger. Fhe agreement announced today is the largest?ever resolution in a criminal investigation of a mine disaster. It addresses only he corporate criminal liability of the former Massey, not potential criminal charges for any individual. The criminal nvestigation of individuals associated with Massey remains ongoing. Alpha has cooperated with the federal criminal nvestigation since the merger, in addition to implementing a number of safety improvements. Jnder the resolution announced today, Alpha will invest at least $80 million in groundbreaking mine safety enhancements at its underground mines, including those formerly owned by Massey. Alpha also will place $48 million in a mine health ind safety research trust, to be used to fund academic and non?pro?t research that will advance the state of the art in mine :afety. In addition, the company will make restitution of a total of $46.5 million million each) to the families of the 29 niners who were lost at UBB and to the two individuals who were injured. Moreover, Alpha will pay in full all penalties )wed to the Mine Safety. and Health Administration (MSHA), including all penalties that arise from the UBB accident nvestigation, for a total of up to $34.8 million. fhe remedial safety incasures included in the agreement include the following: 0 Alpha will install digital monitoring systems in all its underground mines to continuously monitor compliance with ventilation requirements and make sure mines are free of potentially explosive methane gas. 0 In another measure designed to prevent future mine explosions, Alpha will implement a plan to ensure that each of its underground mines has the personnel and resources necessary to meet all legal requirements concerning incombustible material and accumulations of coal dust and loose coal. 0 Alpha will purchase state?of-the?art equipment to monitor its mines for explosive concentrations of coal dust and use that equipment in all its underground mines. 0 Alpha will purchase next-generation rock dusting equipment (pending MSHA approval), further enhancing its ability to combat explosion hazards. 0 Alpha will install cutting?edge oxygen cascading systems to help miners make their way to safety if a serious accident should occur in an Alpha mine. 0 Alpha also will build a state?of?the-art training facility and implement a full training curriculum. The facility will be used to train Alpha miners and also will be available to other mining companies. "The tragedy at Upper Big Branch will never be forgotten, and the families affected by it will never be made completely Whole again. Today?s agreement represents the largest~ever resolution in a criminal investigation of a mine disaster and will ensure appropriate steps are taken to improve mine safety now and will fund research to enhance mine safety in the future,? Attorney General Holder said. ?While we continue to investigate individuals associated with this tragedy, this historic agreement one of the largest payments ever for workplace safety crimes of any type - will help to create safer work :nvironments for miners in West Virginia and across the country.? ?Collectively, these requirements will set a new standard for what can and should be done to protect miners,? Goodwin said. ?My hope is Alpha?s adoption of the measures contained in this resolution will give the rest of the industry a strong push to follow suit.? ?The research and development component of this agreement holds the promise of breakthroughs that will transform mine safety in the coming decades,? Goodwin continued. ?The fund announced today will jump?start innovation and put brilliant minds to work on the risks that coal miners face. We look forward to a future in which coal mining is as safe as any other accupation.? US. Attorney Booth Goodwin said, ?There should never be another UBB, and this announcement is aimed squarely at that goal. For far too long, we?ve accepted the idea that catastrophic accidents are an inherent risk of being a coal miner. It?s long aast time we put that to rest. We believe that this agreement does that.? AGREEMENT 1. This Non-Prosecution Agreement (the ?Agreement?), dated December 6, 2011, is entered into by the United States Attorney?s Of?ce for the Southern District of West Virginia (the the United States Department of Justice Alpha Natural Resources, Inc. (?Alpha?), and Alpha Appalachia Holdings, Inc., formerly known as Massey Energy Company (hereinafter ?Massey?). This Agreement arises from the ongoing criminal investigation conducted by the Of?ce of the explosion at Performance Coal Company?s Upper Big Branch Mine on April 5, 2010, and the conduct of employees of Performance Coal Company and its parent, Massey, and its af?liates regarding violations of the Mine Act, misleading Statements regarding health and safety issues, conduct that impeded the work of the United States Department of Labor including the Mine Safety and Health Administration and related issues. 2. This Agreement is binding on Alpha and Massey, and is binding on the Of?ce, DOJ, and the United States Attomey?s Of?ces for each of the other ninety?three judicial diStricts (collectively, the ?Government?). This Agreement does not provide any protection against criminal prosecution of or the initiation of civil proceedings against any individuals, including any individual that was, prior to June 1, 2011, an of?cer, employee, director, shareholder, agent or consultant of Massey or its affiliates. 3. The Government enters into this Agreement based, in part, on the following factors: Alpha?s acquisition of Massey on June 1, 2011, over one year after the explosion at Alpha?s investigation and extensive cooperation with the Government since June 1, 2011, including but not limited to Alpha?s voluntary and timely reporting of relevant information; Alpha?s extensive remedial efforts as detailed below; Alpha?s agreement to make a substantial ?nancial investment in additional remedial measures; Alpha?s agreement to pay funds into a trust that will be established to fund projects designed to improve mine health and safety in order to redress the harm that is a subject of the Government?s investigation as described herein; Alpha?s resolution of the MSHA civil proceedings described in paragraph 7 of this Agreement and in Appendix A and Appendix and Alpha?s agreement to provide restitution to each of the families of the fallen miners and two individuals affected by the UBB explosion. Since acquiring Massey on June 1, 201 Alpha has made extensive remedial efforts to improve health and safety at legacy Massey operatiOns. Those efforts include: a) Alpha has implemented its'behavionbase'd safety culture and acc0mpanying training program known as ?Running Right? at all legacy Massey operations. Alpha has'conducted 239 Running Right training sessions for 7,434 legacy Massey employees, constituting 63,189 training man hours, since June 1, 2011. The principles of Running Right also include ethical and compliance features that are incorporated in leadership training. Alpha has conducted 25 leadership training sessions for 450 supervisors, constituting 3,825 training man hours, since June 1,2011. b) d) g) h) 5. Alpha has conducted safety skills training for its certi?ed examiners, including supervisors of legacy Massey operations. Since June 1, 2011, over 1,000 certi?ed examiners have been trained. Alpha has conducted compliance training, including, but not limited to, training concerning respirable dust standards, 30 C.F.R. Part 50 accident reporting, hazard reporting, and rock dust surveying and accumulated coal dust reporting and cleanup. Since June 1, 2011, over 1,000 certi?ed examiners, including supervisors at legacy Massey operations, have been trained. Alpha has begun conducting emergency response training, including command center training for mine foremen, superintendents, safety staff, and management at all of its business units, Alpha has reviewed the mineplans for all legacy Massey operations. Alpha?s technical services support team has modeled and surveyed key legacy Massey mines to improve safety and operational design on an as-needed basis. Alpha has conducted ventilation surveying and modeling at fourteen legacy Massey mines that have been identi?ed as priority sites. Alpha has purchased?thirteen coal dust explosibility meters to conduct real?time rock dust testing at each of its business units with underground mines. Alpha has participated in the development of next-generation foam?based rock dusting equipment, including extensive testing, at its mine sites. Alpha has substantially integrated Massey?s Mine Emergency Plan into Alpha?s MEP. Alpha will, for not less than two years following the date of the execution of this Agreement, implement a number of remedial safety measures, as set forth below, with respect to any entities and operations, including legacy MaSsey operations, that it continues, directly or indirectly, to own and control. Alpha will invest at-least $80,000,000 in safety remedial measures, including the measures set?forth below, during the two years following the date of the execution of this Agreement. a) b) Alpha will install sensors to monitor air?ow quantity, air?ow direction, and methane levels in the intake and return air courses fer every working section in its underground mines. Alpha will implement a plan within 90 days from the execution of this Agreement to ensure that each of its underground mines has the personnel and resources necessary to meet all legal requirements relating toincombustible material and to prevent accumulations of coal dust and loose coal. Alpha will conduct mine site training for coal dust accumulation, cleanup, and reporting requirements for all underground workers in an annual safety training session dedicated to those topics. Alpha will construct and launch a new state?of-the-art safety training facility in the Julian, West Virginia area. This facility will include a mine lab of approximately 96,000 square feet in which simulated mine situations and conditions will be presented to certified supervisors and examiners to solve and correct; simulators for training on underground and surface equipment; facilities and equipment for electrical and maintenance skills training; and facilities and equipment for supervisory leadership skills training. Alpha will employ a full- time staff suf?cient to operate the training facility and will develop curricula in at least the following areas: technical skills, operator skills, supervisory skills, various certi?cations, safety compliance, and professional skills. Once constructed, the facility Will be used by Alpha, and will be available to other mining firms interested in improving safety at their own operations. The training facility will be operational no later than the second quarter of 2013. d) Alpha will purchase an additional twenty coal dust explosibility meters to conduct real?time sampling at multiple locations at each underground mine. Alpha will conduct sampling using the meters at least quarterly at each of its underground operations. Prior to the adoption of the meters, Alpha will conduct rock dust band sampling at least quarterly at each of its underground operations. e) Alpha will continue to participate in the research and development of next- generation foam?based rock dusting equipment. Upon approval of use of the equipment, Alpha will implement the use of the equipment at all of the underground mines where use of that equipment is feasible. f) Alpha will purchase, install, and test thirty advanced oxygen cascading systems for mine escape to supplement the Self-Contained Self?Rescuers that are the current industry standard. Alpha will conduct testing of these systems at three test sites. Following this testing, Alpha will prioritize installation of oxygen cascading systems at Alpha?s high-seam mines. g) Alpha will conduct safety compliance visits at each of its underground mines at least once every six months. During each Visit, a safety compliance team will inspect, at minimum, the condition of each working section, the level of incombustible material in selected intake and return entries, compliance with mine plans, and the accuracy of examination books. After each safety compliance visit, the head of the safety compliance team will prepare and certify a report of all violations and hazardous conditions identi?ed during the visit. The report will be provided to the mine?s superintendent (or acting superintendent) within one week after the visit. Within one week after receiving the report, the mine?s Superintendent (or acting superintendent) will prepare and certify a report of actions taken to correct the violations and hazardous conditions identi?ed during the Visit. If the correction cannot be completed within the week, a plan with timeline for correction will be included. The reports of the safety compliance team and the mine superintendent (or acting superintendent) will be included in the periodic reports provided to the Office. h) Alpha?s technical services support team will continue modeling and surveying legacy Massey mines to improve safety and operational design on an as-needed basis. Alpha will revise and resubmit any mine plans that it determines are inadequate to ensure health and safety. i) Alpha will provide regular Running Right training for supervisors; regular Running Right training for all other mine site employees; at least 8 hours of annual safety skills training for its certi?ed examiners; at least 8 hours of annual skilled observations training for mine site personnel; at least 6 hours of annual compliance training, including, but not limited to, training concerning respirable dust standards, 30 C.F.R. Part 50 accident reporting, and hazard reporting for its certi?ed examiners; and will conduct emergency response training, including command center training and Mock Emergency Response Drills at its . business units, with all underground business units receiving at least one command center training exercise in the two?year period and at least one MERD conducted in each region during the two-year period. j) Alpha will provide certain engineering and safety staff with annual technical services training on mine plan development and updates. k) Alpha will proVide managers with training on countersigning examination books and the prohibition on advance notice of mine inspections. l) Alpha will continue to integrate Massey?s MEP into Alpha?s MEP. Alpha will also expand its catastrophic risk analysis and mitigation planning at former Massey operations. m) Alpha will continue to implementia series of ethics and compliance enhancements across the company. in) If any of the remedial measures described in subparagraphs to above become infeasible or impractical, Alpha will propose alternative measures of comparable value and/or ef?cacy to the Of?ce for apprOVal, which will not be unreasonably withheld. . 6. Alpha agrees to establish a trust within 120 days from the date of the execution of this Agreement to fund projects designed to improve mine health, and safety. During the two- year period commencing on the date of this Agreement, Alpha will pay a total of $48,000,000 into the trust, and those monies will be used solely to fund research and development projects by quali?ed academic institutions, not?for?pro?t entities, or individuals associated with either of those types of entities designed to improve mine health and safety, in order to redress the harm that is a subject of the Government?s investigation as described herein. The trust will be administered by three highly quali?ed individuals with academic and/or professional backgrounds in mine health and safety. Alpha will submit the names of potential trust administrators to the Of?ce for approval. 7. Alpha agrees to resolve certain MSHA proceedings and investigations as set forth in the agreement between MSHA and Alpha attached as Appendix A as follows: a) Alpha agrees to withdraw, or cause its af?liates to withdraw, its contest of the citations and/or orders in the civil proceedings, and (ii) the proposed assessments in the civil proceedings, all as described in Appendix B. Upon approval of the withdrawal of each such contest by the applicable Administrative Law Judge, Alpha will agree to pay for each citation, order, and proposed assessment as described in Appendix B, a total of up to $20,230,000. b) Alpha agrees that it will not contest any citation or order issued to legacy Massey . companies, as speci?ed in footnote 2 of Appendix A, as a result of conditions which existed or conduct which occurred prior to or on June 1, 2011, that has not been assessed as of December 6, 2011. Alpha will agree to pay for each citation or order that has been issued to such legacy Massey companies, as a result of conditions which existed or conduct which occurred prior to or on June 1, 201 l, but not yet assessed as of December 6, 2011, a total of $1,250,000, within 30 days of the execution of this Agreement. c) Alpha agrees that it will not contest, or will cause its af?liates not to contest, any citation or order issued by MSHA on December 6, 2011, in connection with the investigation of the UBB eXplosion, and which are not referenced in Appendix B, and will pay in full proposed penalties of $10,828,191 for all such citations within 30 days of the execution of this Agreement. (1) Alpha will agree, to pay up to a total of $2,500,000 to resolve all MSHA citations and orders that have become ?nal orders of the Federal Mine Safety and Health Review Commission, that have been issued to legacy Massey companies, as speci?ed in footnote 2 of Appendix A, as a result of conditions which existed or conduct which occurred prior to or on June 1, 2011, within 30 days of the - execution of this Agreement. 8. As restitution for the victims injured in the explosion, Alpha agrees to pay, or to cause Massey or its af?liates to pay, at least $1,500,000 to each of the families of the fallen miners and to two individuals affected by the UBB explosion. The total restitution payment shall be $46,500,000,of which $16,500,000 was previously or anticipated to be paid as part of settlements with the families of eleven of the fallen miners in the actions in Appendix and . $30,000,000 will be paid to the families of the fallen miners and two individuals affected by the UBB explosion in the actions in Appendix who have not resolved their claims, consisting of I payment to each of $500,000 to be paid within 15 days of the execution of this Agreement, and (ii) $1,000,000 which will be payable at the time (of the resolution of pending civil claims through settlement, judgment, or otherwise, and as part of such civil resolution to the extent the civil resolution results in a monetary recovery. Alpha will make the payment described in subparagraph above into a fund established to pay those families of the fallen miners and the individuals. 9. Until the date upon which all investigations and prosecutions conducted by the Government against any individuals that arise out of the conduct described in this Agreement are concluded, Alpha and Massey shall: cooperate fully with the Of?ce, DOJ, the Federal Bureau of Investigation, DOL, including MSHA and the DOL Of?ce of Inspector General, and any other law enforcement agency designated by the Of?ce and use their best efforts to secure the attendance and truthful statements or testimony of any of?cer, agent, or employee of Massey or Alpha at any meeting or interview or before the grand jury or at any judicial proceeding related to the conduct described in this Agreement; bring to the attention of the Of?ce and DOJ all criminal conduct by employees of Massey that is related to the conduct described in this Agreement and comes to the attention of Massey, Alpha, or their senior management; and provide the Government, upon request, all non?privileged information, documents, records, or other tangible evidence about which the Government or any designated law enforcement agency inquires in connection with any investigation or matter related to the cenduct described in this Agreement. Nothing in this Agreement shall be construed as a waiver by Alpha or Massey of the attorney?client privilege, the attorney work?product doctrine, or any other applicable privilege or protection with respect to documents or records requested by the GoVernment. 10. For a two-year period commencing on the date of the execution of this Agreement, Alpha will report its compliance with this Agreement to the Of?ce at no less than six-month intervals. Each report to the Of?ce will detail Alpha?s compliance with this Agreement, will provide a current list of ?nancial expenditures made in connection with this Agreement, and will provide any other non-privileged information requested by the Of?ce. Alpha will certify in its reports that it is in compliance with its 30 CPR. Part 48 requirements. Alpha will also provide any other non-privileged information or records with respect to compliance with this Agreement requested by the Of?ce at other times. 11. In consideration for Alpha?s and Massey?s entering into this Agreement and their commitment to perform the duties and obligations set forth herein, the Government agrees not to criminally prosecute or bring any civil action against Massey, any predecessor or successor of Massey, its current parent, or any of its current or previous direct or indirect af?liates, related to: any conductlattributable to Massey or its af?liates set forth in the Superseding Indictment ?led in United States v. Hughie Elbert Stover, 5:11 Cr.? 00038 (SD. W. Va), and in United States v. Thomas Harrah, 5:11 Cr. Va); any conduct attributable to Massey or its af?liates that is subject to the settlement of the MSHA civil proceedings described herein and in Appendix A and Appendix any conduct undertaken by employees of Massey or its af?liates attributable to Massey or its af?liates on or before the date of the execution of this Agreement to the extent known or disclosed to the Government as of the date of this Agreement, or that was a subject of investigation by the Government that led to this Agreement; and any conduct undertaken by employees of Massey or its af?liates on or before the date of this Agreement that Alpha discovers during its continuing investigation and is disclosed to the Government, provided that such conduct is similar in nature and order of magnitude (as determined by the Government in its reasonable discretion) to the conduct disclosed to the Government as of the date of this Agreement. 12. The parties agree that if, in the two-year period commencing on the date of the execution of this Agreement, the Government determines that Alpha or Massey has: given false or misleading testimony or information in connection with this Agreement, the disclosures that led to this Agreement, or the performance of this Agreement; or otherwise materially violated any provision of this Agreement, Massey shall thereafter be subject to prosecution for any violation of which the Government has knowledge, including perjury and obstruction of justice. Any such prosecution that is not time-barred by the applicable statute of limitations on the date of the execution of this Agreement may be commenced against Massey. In addition, Massey agrees to toll, and to exclude from any calculation of time, the running of the statute of - limitations for any conduct that is the subject of this Agreement for a two?year period commencing on the date of the execution of this Agreement. By this Agreement, Alpha and Massey expressly intend to and hereby do waive any right to make a claim with respect to any such prosecution premised upon the statute of limitations, as well as any other claim with respect to such prosecution premised on pre-indictment delay. 13. The parties agree that if, in the two-year period commencing on the date of the execution of this Agreement, the Government determines that Alpha or Massey has: given false or misleading testimOny or information in connection with this Agreement, the disclosures that led to this Agreement, or the performance of this Agreement; or otherwise violated any provision of this Agreement, the Government shall provide written notice to Alpha of that determination and provide Alpha, with a 30?day period following such notice within which Alpha may make a presentation to the Government to demonstrate that no violation occurred, or, to the extent applicable, that any violation should not result in the exercise of certain remedies. Thereafter, the Government shall provide written notice to Alpha of its ?nal determination regarding whether Massey has: given false or misleading testimony or information in connection with this Agreement, the disclosures that led to this Agreement, or the performance of this Agreement; or otherwise violated any provision'of this Agreement. The parties agree that the Govemment?s ?nal determination will not be subject to review in any judicial proceeding. 14. The parties agree that if, in the two-year period following the date of the execution of this Agreement, the Government determines that Alpha or Massey has: given false or misleading, testimony or information in connection With this Agreement, the disclosures that led to this Agreement, or the performance of this Agreement; or otherwise violated any provision of this Agreement, then: all statements made by Massey to, the Government or other designated law enforcement agents and any testimony given by Massey before a grand jury or other tribunal, whether prior or subsequent to the execution of this Agreement, and any leads from such statements or testimony, shall be admissible in evidence in any criminal proceeding brought against Massey; and (ii) Massey and Alpha shall assert no claim under the United States Constitution, any statute, Rule 410 of the Federal Rules of EVidence, or any other federal rule that such statements or any leads therefrom should be suppressed or otherwise excluded from evidence. By signing this Agreement, Massey and Alpha knowingly and voluntarily waive all rights in the foregoing respects. 15. Nothing in this Agreement and no action taken by Alpha, any of its affiliates, or any individual pursuant to this Agreement will be deemed to constitute any admission by Alpha, any of its af?liates, or any individual of civil liability under any local, state or federal statute or- any principle of common law. 16. The parties agree that exclusive jurisdiction and venue for any dispute arising under this Agreement is in the United States District Court for the Southern District of West Virginia. a 17. The parties agree that this Agreement may be disclosed to the public. 18. From the date of the execution of this Agreement forward, this Agreement supersedes all prior, if any, understandings, agreements, promises, and/or conditions between the partieshereto. No? additional understandings, agreements, promises, or conditions have been entered into other than those set forth in this Agreement and none will be entered into unless in writing and signed by all parties. 19. The undersigned representative of Alpha and Alpha Appalachia'Holdings, Ino. 'warrants and represents to the Government that he possesses the authority to enter into this Agreement. . ON BEHALF OF THE GOVERNMENT: . a ?u . I "\t?ll A. i HISSAM "1 Assistant United States Attorney ON BEHALF OF ALPHA NATURAL RESOURCES, INC.: Executive Vice President, Gene a1 Counsel and Secretary A ON BEHALF OF ALPHA APPALACHIA HOLDINGS, INC, formerly known as Massey Energy Go: Counsel and Secretary . APPROVED: i Appendix A December 6, 201 Booth Geodwin, Esquire United States Attorney . Southern District of West Virginia Robert C. Federal Courthouse 300 Virginia Street, Suite 4000 . Charleston, West Virginia 25301 Re: I Investigation intoApril 5, 2010 accidentat the Upper Big Branch Mine and other matters related to legacy Massey companies .- Dear Mr. Goodwin: The Mine Safety and Health Administration and Alpha Natural Resources, Inc. (?Alpha?) write to memorialize an agreement they have reached with respect to certain issues involving direct and indirect subsidiaries as of May 31, 2011 of Massey Energy Company, 1 Inc. legacy Massey companies?). We are aware that you have been investigating the April 5, 2010 accident at Performance Coal Company?s Upper Big Branch Mine - South We are also aware that you have been investigating other matters involving other legacy Massey companies. As you know,'the legacy Massey companies were acquired by Alpha on June .1, 2011. We. ask that this letter be made an Appendix to the Non-Prosecution Agreement, dated . December 6, 2011, entered into by the United States Attorney?s Of?ce for the Southern District of West Virginia, the United States Department of Justice, Alpha and Alpha Appalachia '1 Holdings, Inc.1 (?Agreement?), executed today. . MSHA recognizes that Alpha has committed in the. Agreementthat all citations and orders that will be issued on December 6, 2011 as a result of investigation'into the . VUBB accident will not be contested and will be paid in full. Alpha has also agreed to withdraw "its contest and'pay in full all citations and orders issued to legacy Massey companies on or before. June 1, 2011 as well as those issued after June 2011 as a result of conditions which existed orconduct which occurred prior to or on June 1, 2011 up to the amounts set forthiny paragraph? of the Agreement. MSHA agreesthat it will not oppose the request. by Alpha before 1 i the Federal Mine Safety and Health Review Commissionto withdraw its contest of the proposed civil penalties and willo?le the necessary pleadings in support of the request; MSHA will not consider Alpha?s payment of these citations and orders referenced, as well as those identified in Appendix to theAgreement, an?admission of a violation by any legacy Massey company, A l'Alpha, any, of their af?liates, or any individual of any laws, including local, state. or federal statutes or any principle Of common law, except for purposes of the Mine Act, and also 1 consistent with the terms set forth hereinrelating to Section 110(0) cases. The Secretary further agrees that Alpha?s payment of the citationsand orders as speci?ed in the Agreement was notand may not be considered an adjudication on the merits of any p. 1 Alpha Appalachia Holdings, Inc. was formerly known as Massey Energy Company, Inc. Alpha has become the ultimate parentof all legacy Massey companies. . "citation or order referred to- herein .or in Appendix to the Agreement. -In any proceeding involving Alpha or any legacy Massey company and the Secretary, the parties may reference this letter agreement for the purpose of enforcing the terms and provisions set forth herein. in any other proceeding, however, it is the parties? intent that this correspondence may not be referenced or introduced as evidence. MSHA and Alpha recognize that MSHA has conducted Or is conductinginvestigations pursuant to Section of the Federal Mine Safety and Health Act of 1977 (?Mine Act?) which may ultimately lead to civil actions against individuals. If any citation and/or order A identi?ed in Appendix to the Agreement forms the basis of a charge against an individual pursuant to Section 110(0) of the Mine Act, Alpha?s payment of these citations and/or orders will not prejudice the rights that any individual may have had but for the payment of the civil penalty as set forth in the Agreement. Nor will the payment by Alpha of the underlying dockets be construed in any such Section 110(0) case as an admission by any legacy Massey company, Alpha-its af?liates, or any individual of any aspect of these citations and orders including, without limitation, the fact of any: violation, the gravity of any alleged violation and/or that any individual acted with any negligence whatsoever in allowing an alleged condition or practice to exist. In any such proceeding pursuant to Section 110(c) of the Mine Act, MSHA and Alpha agree that the parties to any such proceeding will bear the same burdenof proof on all elements- of any charge or defense, if any, which would have existed in the absence of the paymentof the underlying dockets. MSHA agrees that the Department of Justice will have sole authority to initiate any action under Section 110 of the Mine Act against any individual as a result of the investigation into the April 5, 20l 0 accident at UBB. MSHA and Alpha recognize that any action pending before a Commission Administrative Law Judge Wherein either party??lia"s??ledr a Motion to Approve a. Settlement prior to December 6, 2011 owill not be affected by this letter agreement. Alpha will, in conjunction with MSHA, develop and implement a corrective action plan to improve the health and safety conditions at the following mines: Aracoma Coal Company?s Alma Mine No. 1 (Mine ID 46?08801); Spartan Mining Company?s Road Fork #51 Mine (Mine ID 4601544); IndependenceCoal Company?s Allegiance Mine (Mine ID 46?08735); .Marfork Coal Company?s Horse Creek Eagle Mine (Mine'ID 46-09091); and Mammoth Coal COmpany?s - No. 2 Gas Mine (Mine ID 4609108). will monitor?and evaluate" the corrective action 3 plans and progress at these mines in the six months following the implementation of these plans. In consideration of Alpha?s implementation of the corrective action plans, will not ?r i. . conduct audits of accident, injury and illness reporting data for the purposes of- determining - "whether a mine should be placed on a potential pattern of violations for the periOd prior to June ?30, 2011. A . . Sinoorely, M. Patricia Smith Solicitor of Labor Josop" A. Main? . . Assig?mt Secretary of Labor for Mine Safety and Health 'i Alp}: . atuml Resources, ?1 . On Behalf Of Certain- Diroot on {root Subsidiaries, as. o'f?Moy 31, 201.1 of Massey Energy Company, {no.2 ?2.Alcx Energy, Inow?A'lliancc Coal Corporation, .AmCOma Coal Company. Inc., Massey Coal Company, 1nc., B?gndmill'Coal Corp, Bandytown Coal Company, Big Bear Mining Company, Belfry Coat Corporation, Ben Creek Coal Company, Big Laure! Mining Corporation, Black King Mine Development. Btan Mountain Resources, LLC, Bluff Spur Coal? Company, Boone Compahy, Boll Mountain Mining Commotion, Cave Spur Coal, LLC, Cle?orl?ork Coal CompanyClovor?ck Coal Company, LLC, ~Fuels Company, Cumberland Equipment Commotion, Cumberland Resources Corporation, Delba?on Mining Company. Dehue Coal Company, Do?rch?oster Enterprises, 1119., . Duchess Coal Company, Eagle Energy, Inc;, Elk Run Coal Campany, inc, Endurw?wc Mining, Bx?eter Coal Corporation, Fogiesong Energy 1 Company, Freedom Energy Miuing Company, Company, Grow VaueyCoai Company, Grcyeagie Coax Mountain Mining Corporation, Harlan, Rectanwtion Services. LLC, Hazy Ridgg Coal Company, High Sprint Coal Highland Mining Company, Hopkins .Crock'Coaly?ompany, independence Coat Gompmx?y, loo, Jacks, Branch: Coal Company, Jobouer? Goa} Company, I Resourcosi, Knox Creole C0311Corp._., LogaoCdtintyMiiho Company, Long ForkCoal .LMar'tio County Coat Com,- ?Masscy' Energy Company, Brandi]. coal Conipany, Mammoth: (390:1! M?arfork:CoaliComgany, Massoy Coax: r?Servi'ces, 1116,, Meadow Branch Mining Corporatim, Milt :anc?tomn corporation, Maintain 3Man?agomooigflno, Now Ridge Mining compauiy? d/b?l? Goalg'ood onergy Niohoi'a's. Eigeng Company, Nine?- Mine 1 ?SpurfLEC, North Fork com corporation, (Dimar'MitiiQ?g Mining,Corporation. {Piamiiort Mining, Poe-{toss {Bag}: Coat Camp?uy. Perfomtan'ce Con! (Sammy, .Pc?twcm Hing Cfeck? Processing Corporation, Pitg?rim Mining Company, P'oweu -Rivc:?i?isaourc?s Gomoratiom WW ?Meomain (Zan moan; ,Coai' comm; ?Sc: Processing; commyyinc? Road Fork Development Comp?o?y, Ro?i?souyP?itl?ips Coat company, monogaooat:Ioompany, Roda RoSoo'rccs, Energy Company; Rum Crook: Com smog. Russo? god; Cos! :Cotporation, Sidney Coal' Company. 1110.; vd'lbla: Kockhouso Energy Mining, Sidney Coal d/bla' MS Energy, Sidney Coal Company, "Inc; a/?wa .P?r'oocss E?b?g?-Sid??y Coal Gummy, I'h?c; Company, Inc;- Misfit-Clean Energy Mining, Sidnoy?Coal Company, "Erica (Vb/amount Sim-Hog Energy ?Mirting, Sio?uey Goa! Company. Mining Company, .Sitmhouse. Mining, LLC, Stirrat Coal Compmiy, Stone Miniixg Camp?any, Support Mining Company dlola-Inxnan Energy, Sycamore Fuels, 1nd, Talon Load?out Company, Coal Company, Tozm?cssee Energy Corpora?ou, Consot-idatcd Coa! Company, Thunder Mining, Company, Town Creek Coat Company, Trace chexxoo?gl Lom?p??'yIWF? {gm g, oTn' puny,- West Kentucky Energy Company, WhiteBuck Coal Company, Williams Mountain Coal ?,C01?pany,win?iffredo Coal Corporation, Wyomac Coal Company, Mass Transport, loo, Trace Transport, Inc. 81k. Run Linc Crow, Green Valicy Trucking, New Ridge: Mining. Reclamation, New River Energy Corporation, Roadfork ,Dcvewprnem-Maysvillo 8: ?Blaok?River, Sidney Line Boring Crew, zmd?Sparta?n Miriing. dlb/a Trace 'Transpor;,lno. Appendix 1. The Secretary and Alpha agree that Appendix is true and accurate based upon the information available to them at this time. The parties recognize however, that additional citations and/or orders which are intended to be subject to this letter agreement may not be speci?cally identi?ed in Appendix B. The Secretary and Alpha therefore agree that, in addition . to the speci?c citations, orders, dockets and proceedings referenced in Appendix B, Alpha has also agreed to withdraw its contest and pay in full any other citation and/or order issued to any legacy Massey company on or before June 1, 2011 as well as those issued after June 1, 2011. as a result of conditions which existed or conduct which occurred prior to or on June 1, 2011, up to the amounts set forth in paragraph 7 of the Agreement. MSHA agrees that it will not oppose the request by Alpha before the Federal Mine Safety and Health Review Commission to withdraw its contest of the proposed civil penalties and will ?le the necessary pleadings in support of the request. Citations and/or" orders currently on appeal to the Federal Mine Safety and Health Review Commission are excluded from the citations and orders identi?ed in paragraph 1. 1 of50 Assessment Number 219525 225845 263725 232160 288387 222778 '219525 200286 211470 Power Mountain Coal Company Docket Number WEVA 2010-1116 WEVA 2010?1427 WEVA 2011?2366 WEVA 2011-3 WEVA 2011-581 WEVA 2010?1212 WEVA 2010?1117 WEVA 2010?205 WEVA 2010-6-99 20f50 Performance Coal Company Assessment Number Docket Number 222782 WEVA 2010-1213 225849 WEVA 20101559 228978 WEVA 20101704 232161 WEVA 2010-2002 200292 WEVA 2010-208 235257 WEVA 2011-270 238391 WEVA 2011-583 241271 WEVA 2011-807 243930 WEVA 2011-944 WEVA 2011-945 246767 WEVA 2011-1286 VWEVA 2011-1287 WEVA 2011-1933 255115 WEVA 2011-1934 WEVA 2011-1935 WEVA 2011-1440 249348 WEVA 2011-1441 258116 WEVA 2011-2117 WEVA 2011-2116 251930 WEVA 2011-1591 WEVA 2011-1592 WEVA 2011-2336 263729 WEVA 2011-2337 WEVA 2011?2338 266784 WEVA 20112504 176935 WEVA 2009-970 182194 WEVA 2009-1375 191172 WEVA 2009-1839 203237 WEVA 2010318 200291 WEVA 2010-206 194059 WEVA 2009-1928 197138 WEVA 2010?64 179487 1 WEVA 20091130 179487 WEVA 20091129 206150 . WEVA 2010-535 211471 WEVA 2010-728 194059 WEVA 2009-1929 191172 WEVA 20091840 214081 WEVA 2010?869 197138 WEVA 2010?65 203237 WEVA 2010319 200291 WEVA 2010-626 211471 WEVA 2010-729 30f50 Performance Coal Company 216722 WEVA 2010?978 216722 WEVA 2010~979 40f50 Panther Mining, LLC Assessment Number Docket No. (all KENT) 125068 2008-539 142801 2008-726 162228 2008-1619 165063 2009-123 165076 2009125 176383 2009-738 178868 2009-819 187490 2009-1229 193334 2009-1470 193341 20091471 196952 2009-1573 202558 2010-273 205336 2010404 207932 2010-503 210864 2010-736 213430 7 2010-866 216023 2011-974 218877 2010-1076 225231 2010-1341 234536 2011-93 237667 2011268 240628 2011388 240628 2011?387 246082 2011-657 246082 2011-656 248823 2011-771 251303 2011913 251303 2011-912 254458 2011-1192 257990 2011-1249 260065 20111307 260065 2011-1306 149804/02 2008-1074 50f50 Osaka Mining Corporation Assessment Number Docket Number 237817 VA 2011-105 60f50. Assessment Number 169258 206142 222771 Omar Mining Company Docket Number WEVA 2009-395 WEVA 2010-454 WEVA 2010-1210 ?7 0f50 Nor?1Fo?<CoalCorpora?on Assessment Number Docket Number (all KENT) 135368 KENT 2008-461 149540 149543 KENT 2008-1036 152844 KENT 2008-1193 159102 KENT 2008-1475 162028 KENT 2008-1607 162031 KENT 2008~1606 164790 KENT 2009-129 164790 KENT 2009130 167744 KENT 2009253 167750 KENT 2009-257 167750 KENT 2009-258 170635 KENT 2009-431 170641 KENT 2009-437 178633 KENT 2009-816 178641 KENT 2009-817 184392 KENT 2009-1085 193081 KENT 2009-1444 195990 KENT 2009-1555 200402 KENT 2010-156 203351 KENT 2010-284 203351 KENT 2010-285 203358 KENT 2010-290 206229 KENT 2010-453 206236 KENT 2010447 208614 KENT 2010-564 208621 KENT 2010-561 211339 KENT 2010-750 213818 KENT 2010854 214172 KENT 2010-899 214178 KENT 2010900 216811 KENT 2010-2011 216816 KENT 2010-1001 219618 KENT 2010-1099 222904 . KENT 2010-1249 225231 - KENT 2011-1102 225932 6 KENT 2010-1369 225932 - KENT 2010-1370 225936 KENT 2010-1354 229082 KENT 20101495 229086 KENT 2010-1504 232259 KENT 2010-1667 232263 KENT 20101668 232263 KENT 2010-1669 80f50 North Fork Coal Corporation 235350 KENT 2011-106 235350 KENT 2011?105 235355 KENT 2011-107 238480 KENT 2011?3 14 241380 KENT 2011?427 241380 KENT 2011-426 244003 KENT 2011?527 244007 KENT 2011-529 246839 KENT 2011-677 249427 KENT 2011-802 249427 KENT 2011?803 249431 KENT 2011?794 252005 KENT 2011?994 252005 KENT 2011?995 252009 KENT 2011?943 255235 KENT 2011?1090 258177 KENT 2011-1250 258177 KENT 2011-1251 90f50 Alex Energy, Inc. Assessment Number Docket Number 152719 2008-1431 155443 2008-1617 158437 2008-1773 158437 . 2008-1774 158443 2008-1776 161483 2009-99 169989 2009589 170008 2009662 173005 2009?785 173010 2009780 175570 2009-936 186534 2009-1644 189662 2009-1763 197132 2010-98 203244 2010-321 208510 2011-570 208511 2011-566 211478 2010-685 211958 2010-770 214077 2010831 214085 2010-824 214086 2010-825 216728 2010981 219522 2010-1114 219524 2010-1115 219527 20101118 222779 2010-1288 232159 2011-2 236388 2011-582 241268 2011806 244335 2011-1038 246766 2011-1300 249353 2011-1442 251934 2011-1659 251936 2011-1585 . 255113 2011?1932 258112 20112077 263724 2011-2365 222777 2010-1211 n/ a - 2011-2518 10 of 50 Aracoma Coal Company Assessment Number Docket Number (all WEVA) 197728 WEVA 2010-120 189657 WEVA 2010267 215529 WEVA 2010915 221291 WEVA 2010?1162 200786 WEVA 2010-203 197715 WEVA 2010110 194063 WEVA 2009-1920 192458 WEVA 2009-1913 233894 WEVA 2011-238 173009 WEVA 2009-726 207475 WEVA 2010538 221291 WEVA 2010-1162 227522 WEVA 2010-1595 233894 WEVA 2011-239 221291 WEVA 2010-1-163 239976 WEVA 2011-766 224669 WEVA 20101345 212821 WEVA 2010-796 242742 WEVA 2011-915 215529 WEVA 2010916 245451 WEVA 2011-1161 233894 WEVA 2011-239 248283 WEVA 2011?1422 250778 WEVA 2011-1491 248283 WEVA 2011-1421 210321 WEVA 2010-671 197716 WEVA 2010-112 197715 WEVA 2010-111 256836 WEVA 2011-2024 253621 WEVA 2011-1733 265534 WEVA 2011-2435 265534 WEVA 20112437 194072 WEVA 2009-1921 245460 WEVA 20114163 230747 WEVA 2010-1978 248295 WEVA 2011-1423 256852 WEVA 2011-1970 253640 WEVA 2011-1729 262348 WEVA 2011-2321 227532 WEVA 2010-1596 221292 WEVA 2010-1164 239977 WEVA 2011-767 212822 WEVA 2010787 242743 WEVA 2011-912 11 0f50 233895 245452 224670 221292 250779 253622 262327 227515 194064 Aracoma Coal Company WEVA 2011~240 WEVA 2011-1162 WEVA 2010-1346 WEVA 2010?1165 WEVA 2011?1492 2011~1734 WEVA 2011*2319 WEVA 2010~1594 WEVA 20091923 12 of 50 Bandmil! Coal Corporation Assessment Number Docket Number (all WEVA) 156464 2008?1647 162361 2009-123 173936 2009-832 187602 2009?1661 190620 2009?1808 229254 20101707 241524 2011?810 246964 20114288 249539 2011?1488 252155 2011-1594 252155 2011-1593 255391 2011-1940 258311 2011-2064 13 of 50 Big Laurel Mining Corporation Assessment Number Docket Number (all VA) 183498 2009?276 203484 2010-119 206370 2010174 206370 2010-175 171910 2009-146 n/a 2010-292 n/ a 2010?604 n/a 2010-118 14 0f 50 Assessment Number 205125 207728 231114 234258 243046 245831 254028 272713 Cave Spur Coal, LLC Docket Number (all KENT) 2010-401 2010?494 2010*1606 2011:91 2011485 2011?65 2011-1057 2011?1461 15 ofso Cloverlick Coal Company, LLC Assessment Number Docket Number (all KENT) 126999 2008-256 167609 2009-244 168694 2009-323 191251 2009-1360 200168 2010-154 200183 2010-155 3 205996 2011-425 211339 . 2010-738 213957 2010-890 216571 20101008 222619 2010-1247 I 222619 2010-1248 224224 2011-796 225706 2010-1367 225722 2010-1368 228823 20101494 232005 20101660 235146 . - 2011-103 235163 2011-104 238243 2011307 238243 2011-308 238258 2011310 241116 . 2011-423 241130 2011-424 241130 2011-425 243806 2011525 243818 20'11-526 246637 2011-675 246652 2011-676 249240 2011-798 2251793 2011-941 251810 2011-955 254950 2011-1100 254965 9 1 2011-1101 257918 . 2-11-1247 257990 2011?1248 16 0f50 Delbarton Mining Co. Assessment Number Docket Number 163288 WEVA 2009?162 214476 WEVA 2010-857 217191 WEVA 2010?1008 17 of 50 Dorchester Enterprises, Inc. Assessment Number Docket Number 206618 7 VA 2010-172 208946 VA 2010-221 18 0f 50 Elk Run Coal Company, Inc. Assessment Number Docket Number (all WEVA) 132024 2008-382 136700 2008-555 140647 2008-711 145433 2008-1543 147762 2008-1101 154424 2008-1545 160619 20081843 167308 167318 1673180 175298 184001 2009-1138R 192712 2009-1919 192715 2009-1903 197422 2010-46 197423 201047 197425 201048 197426 201049 197434 - 201051 197437 2010-53 200536 2010172 200537 2010-167 200540 - 2010-168 200551 2010-186 200554 2010-169 200800 2010-222 203515 2010-324 206389 2 2010-477 206486 2010449 208737 2010-560 208740 2010-573 211670 0 2010730 211673 2010769 211675 2010-732 211677 2010-733 214274 2010-839 214275 2010-849 214276 2010-40 214283 2010-850 214708 2010-914 216949 2010-963 216950 2010964 216957 2010-1236 216965 2010-970 19 0150 Elk Run Coal Company, Inc. 216966 20101025 219734 20101119 219739 2010-1121 219740 . 2010-1122 219750 20101123 220182 2010-1158 223061 2010-1289 223065 20101281 223066 2010-1217 223077 2010-1220 223079 . 20101237 226082 2011-1428 226085 2010-1434 226086 2010-1436 226092 20101563 226095 2010-1429 226097 2010-1439 229261 2010-1708 229266 2010-1709 232404 2011?7 232407 20118 232410 2011-9 232411 2011-17 232411 2011-18 232412 2011-19 232422 2011-10 232426 3011-21 235499 1 2011366 235503 2011-380 235504 . 2011381 235505 . 2011-382 235520 2011-383 235525 - 2011-394 236067 2011-390 238601 2011-604 238606 2011-641 238608 2011606 238609 . 2011-607 238610 . 1 2011586 238630 2011-608 238636 2011-611 238636 2011-612 241528 2011?831 241530 2011-812 241530 2011-813 241532 2011814 241532 2011-815 20 0f 50 241543 241549 244108 244111 244113 244114 244121 244124 244284 246518 246966 246969 246972 246974 246986 246987 246987 246990 249545 249547 1 249548 249560 249562 249967 252158 252159 252162 252163 252165 252167 252179 252179 252182 255387 255390 255393 255394 255406 255940 258312 258315 258318 258329 263971 266999 267015 2216953 Elk Run Coal Company, Inc. 21 0f 50 2011818 2011-820 2011-947 2011-948 2011-949 2011-1016 2011-950 2011951 2010-851 2011-1285 2011-1306 2011-1277 2011-1301 2011-1307 2011-1264 3011-1302 2011-1303 2011-1304 2011-1428 2011-1489 2011-1494 2011-1495 20111496 2011-1497 2011-1604 2011-1605 2011?1999 2011-1606 2011-1602 2011-1607 2011-1611 2011?1610 2011-1612 2011-1887 2011-1939 2011-1860 2011-1888 2011-1889 2011-1998 2011-2079, 2011-2074 2011-2081 2011-2082 2011-1603 2011-2507 2011-2510 2010-966 Elk Run Coal Company, Inc. 2009~1139 2010?1428 2011-1859 2011-2080 2011~2434 22 0f 50 Endurance Mining Assessment Number Docket Number #000194476 WEVA 2009-1938 #000197713 WEVA 2010?108 I #000194484 WEVA 2009?1914 #000174820 WEVA 2009-854 #000174820 WEVA 2009?853 #000166212 WEVA 2009?332 #000157507 WEVA 2009-267 23 0f 50 Freedom Energy Mining Company Assessment Number Docket Number #000264091 KENT 2011~1487 #000164464 KENT 2009~188 #000164464 KENT 2009-186 #000235038 KENT 2011-198 #000247061 KENT 201l~784 #000247798 KENT 2011-790 #000238139 KENT 2011-302 #000238719 KENT 2011-366 24 0f 50 Highland Mining Company Assessment Number Docket Number #000167069 WEVA 2009689 #000164121 WEVA 2009?688 #000174179 WEVA 2008-728-R #000183770 WEVA 2009?1497 #000145240 WEVA 2009?110 #000169988 WEVA 2009~1037 #000241267 WEVA 2011?805 #000246765 WEVA 2011-1263 #000263722 WEVA 2011?2354 41000206146 WEVA 2010?496 25 of 50 Assessment Number 000214277 000244115 000241533 000229268 000226087 000216958 000223070 000232413 000246976 000238614 000235506 00249549 000246976 000226087?01 000249549 000252169 000252169 000235526 000232430 000241551 000238637 000235526 000232430 000249564 000245991 000249564 000255411 000255411 000235493 000223063 000219736 000216952 000214271 000226081 000244110 000241527 000238604 000235498 000229260 000246968 000187605 000249543 000255389 000252161 Independence Company, Inc. Docket Number WEVA 2010-842 WEVA 2011-1017 WEVA 2011-832 WEVA 2010-1687 WEVA 2010-1438 WEVA 2010-969 WEVA 2010-1218 WEVA 2011-20 WEVA 2011-1309 WEVA 2011-642 WEVA 2011-369 WEVA 2011-1430 WEVA 2011-1308 WEVA 2010-1437 WEVA 2011-1429 WEVA 2011-2000 WEVA 2011-2001 WEVA 2011-374 WEVA 2011-23 WEVA 2011-835 WEVA 2011-613 WEVA 2011-375 WEVA 2011-22 WEVA 201?1-1435 WEVA 2011-1265 WEVA 2011-1434 WEVA 2011-1941 WEVA 2011-1942 WEVA 2011-391 2010?1235 WEVA 2010-1120 WEVA 2010-965 WEVA 2010-837 WEVA 2010-1561 WEVA 2011-1015 WEVA 2011-811 WEVA 2011-605 WEVA 2011-393 WEVA 2010-1685 WEVA 2011-1267 WEVA 2009-1648 WEVA 20114432 WEVA 2011-1937 WEVA 2011-1983 26 0f 50 000258314 000255389 000252161 000258314 '000263967 000263967 000244106 000241523 000223057 000219731 000263961 #000238600 #000193496 #000235498 #000187610 #000206393 #000187610 #000211678 #000219731 #000223080 independence Coal Company, Inc. WEVA 2011-2119 WEVA 2011-1938 WEVA 2011?1984 WEVA 2011-2118 WEVA 2011-2372 WEVA 2011-2373 WEVA 2011-946 WEVA 2011-809 WEVA 2010-1216 WEVA 2010-1129 WEVA 2011-2371 WEVA 2011-1038 weva 2009-1889 WEVA 2011-392 WEVA 2009-1657 WEVA 2010-456 WEVA 2009-1658 WEVA 2010-693 WEVA 2010~1128 WEVA 2010~1221 27 0f 50 Assessment Number Docket Number Knox Creek Coal Corp. 000238578 VA 2011-141 000232379 VA 2011-2 000226048 VA 2010547 000025140 VA 2011-391 000254464 VA 2011-455 000219725 VA 2010420 000208723 VA 2010215 000179669 VA 2009354 000235474 VA 2011-83 000235474 VA 2011-82 000174585 VA 2009-169 - 000156442 VA 2008400 000238585 VA 2011-142 000153302 VA 2008-360 000197406 VA 2010-16 000223042 VA 2010-445 000171905 VA 2009-128 000208717 VA 2010213 000244094 VA 2011-239 000244094 VA 2011-238 000241504 VA 2011-193 000246478 VA 2011280 000229230 VA 2010-599 000232384-01 VA 2011-3 000232384?02 VA 2011-4 000246950 VA 2011-310 000246950 VA 2011-311 000248937 VA 2011353 000248936 VA 2011-351 000248937 VA 2011-352 000251424 VA 2011-392 000241504 VA 2011-194 000219719 VA 2010418 000226054 VA 2010-548 000226804 VA 2010-549 000216933 VA 2010-355 000208717 VA 2010-212 000203482 VA 2010121 000266236 VA 2010721 000200517 VA 2010-56 28 of 50 Logan County Mine Services, Inc. Assessment Number Docket Number #000259574 WEVA 2011-2126 29 0f 50 Assessment Number 132553 196936 213950 219362 222608 222608 222608 225698 225698 232994 247476 I 246628 249214 249214 251783 211329 Docket Number KENT 2008633 KENT 2010-30 KENT 2010?880 KENT 2010-1162 KENT 20101236 KENT 2010-1235 KENT 201041234 KENT 2010-1409 KENT 2010?1410 KENT 2011-4 KENT 2011-799 KENT 2011?766 KENT 2011-839 KENT 2011?838 KENT 2011?937 KENT 2010?740 Long Fork Coal Company 300f50 Marfork Coal Company Assessment Docket NO Number 153620 WEVA 2008-1371 181456 WEVA 2009-1318 181458 WEVA 2009-1308 181458 WEVA 2009-1308 211879 WEVA 2010-736 211881 WEVA 2010-737 211882 WEVA 2010-738 211885 WEVA 2010-739 211885 WEVA 2010-741 211892 WEVA 2010-743 214482 WEVA 2010-870 214483 WEVA 2010-871 214486 WEVA 2010-942 214492 WEVA 2010-905 214494 WEVA 2011-875 214502 WEVA 2010-876 217196 WEVA 2010-1009 217198 WEVA 2010-1020 217206 WEVA 2010-1021 217213 WEVA 2010-1012 219984 WEVA 2010-1149 219986 WEVA 2010-1139 219999 WEVA 2010-1151 223340 WEVA 2010-1347 223345 WEVA 2010-1298 223352 WEVA 2010-1299 229605 WEVA 2010-1910 232709 WEVA 2011-11 232714 WEVA 2011-237 232719 WEVA 2011-24 235740 9 WEVA 2011-376 235749 WEVA 2011-377 235751 EVA 2011-385 238881 WEVA 2011-590 238887 WEVA 2011-591 238889 WEVA 2011-592 238893 WEVA 2011-593 243607 7 WEVA 2011-919 243616 WEVA 2011-913 245607 WEVA 2011-918 246454 WEVA 2011-1107 246462 WEVA 2010-1262 246464 WEVA 2011-1284 249161 WEVA 2011-1426 249161 WEVA 2011-1425 31 0f 50 .Marfork Coal Company 249169 WEVA 2011-1427 249171 WEVA 20114431 250379 WEVA 2011-1498 251683 WEVA 2011?1608 251685 WEVA 20114582 251685 WEVA 2011-1583 251687 WEVA 2011?1609 251694 WEVA 2011-1584 254785 WEVA 2011-1857 254791 WEVA 2011-1858 254795 WEVA 2011?1861 254797 WEVA 2011~1862 257860 WEVA 20112025 257870 WEVA 2011-2026 260447 WEVA 2011-2192 260449 WEVA 2011~2201 263475 WEVA 2011-2322 263479 WEVA 2011?2323 266553 WEVA 2011?2500 266556 WEVA 2011?2517 2233338 WEVA 2010-1339 32 of 50 Martin County Coal Corp. Assessment Number? Docket Number (All KENT) 192581 2009-1495 192587 2009-1496 197251 2010-54 197269 201060 200405 2010201 200416 2010-170 203369 2010311 203371 2010-317 206221 2010-425 206231 2010426 206247 2010427 208606 2010529 208617 2010-533 208632 2010530 211562 2010733 211576 2010-734 211576 2010-734 214187 2010-906 214188 2010907 214188 2010-907 216582 2010-1012 219386 20101164 222622 2010-1256 225717 20101549 225718 20101411 226333 20101257 228825 20101560 228833 2010-1562 228833 2010-1561 228834 2010-1563 228838 2010-1564 232007 2011-576, 232014 20115 234262 2011-125 234262 2011-136 237411 2011-300 237424 2011-301 2 240394 2011460 243049 . 2011577 243060 - 2011-578 247068 2011874 247068 2011-786 247080 2011-787 249616 2011-872 33 of 50 Martin County Coal Corp. 249629 2011-873 252279 2011-960 252290 2011962 n/a 2010?308 34 0f 50 Assessment No. 217048 229393 232542 238732 238751 247083 255543 261698 264116 264117 New Ridge Mining Company dba Coalgood Energy Co. Docket No. (all 2010-1043 2010?1565 2011?10 2011?390 2011392 2011?789 2011?1214 2011~1395 2011-1485 2011-1486 35 of 50 Progress Coal Company Assessment Number Docket Number 216726 . WEVA 2010-980 208517 WEVA 2010-565 211473 WEVA 2010-684 235259 WEVA 2011?241 238393 WEVA 2011-584 219531 WEVA 2010~1161 189653 WEVA 2009~1780 228982 WEVA 20101705 232163 WEVA 2010-1912 203241 WEVA 2010320 36 of 50 Rawl Sales Processing Company, Inc. Assessment Number Docket Number 244329 WEVA 2011-1037 37 of 50 Road Fork Development Company, Inc. Assessment Number Docket Number (all KENT) 132554 2008-512 187729 2009-1280 190743 2009-1446 197519 2010-66 198490 2010-132 198499 2010-131 200650 2010-195 212519 2010-843 215189 2010-963 217972 2010-1137 230258 2010-1576 233501 2011-131 233502 2011-133 239526 2011-453 245104 2011-695 247949 2011-834 250435 2011-882 253181 . 2011-1135 256467 2011-1215 2540436 2011?883 38 0f 50 Rum Creek Coal Sales Assessment Number Docket Number 156464 20084647 187602 20094661 39 0f 50 Assessment Number 119562 119562 135356 146626 149793 153412 156578 162460 162469 164464 164464' 170558 170921 170921 171209 174033 178871 180991 181571 181775 184639 V19O487 190498 190725 193345 193345 197235 197238 197249 197259 197268 197268 197518 197524 197524 200391 200415 200633 203339 203352 206230 208604 208615 211543 211743 211749 Docket Number KENT201033 KENT 2010-48 KENT 2010?49 KENT 2010?55 KENT 2010-59 KENT201068 KENT201064 KENT 2010-67 KENT2010198 KENT 2010?191 KENT 2010-313 KENT 2010-314 KENT 2010?448 KENT 2010?551 KENT 2010?554 KENT 2010-741 KENT 2010-775 KENT 2010?777 Sidney Coat Company 40 0f 50 214159 214173 214344 214344 216799 216812 217045 219601 219603 219604 219626 219828 219836 222892 222905 222919 223172 225923 225924 225933 225945 226168 228890 229077 229083 229091 229091 229384 232247 232249 232249 232256 232260 232260 235245 235344 235360 235590 238477 238477 238481 238481 238730 241374 241664 244004 244004 KENT2010881 KENT 2010-915 KENT 2010?882 KENT20104005 KENT20104335 KENT20104337 KENT20104405 KENT20104408 KENT201179 KENT201178 KENT201114 KENT201115 KENT201L191 KENT2011360 KENT2011503 Sidney Coal Company 41 of 50 244190 246830 246840 246846 246849 247065 249428 249438 249610 252015 252015 252267 254935 254935 254936 254953 254958 254958 255524 255524 257957 257957 257969 258416 261838 261840 261856 261857 261857 264096 265114 265126 267842 267851 KENT2011756 KENT2011841 KENT 2011~842 KENT20114175 KENT20111176 KENT20111136 KENT20111138 KENT20111139 KENT20111231 KENT20111275 KENT20111425 KENT20111426 KENT20111407 KENT20111408 KENT20111409 KENT 2011-1488 KENT20111596 KENT20111594 KENT201245 Sidney Coal Company 42 of 50 Spartan Mining Company Assessment Number Docket Number 166000 WEVA 2009-340 166020 WEVA 2009-324 172182 WEVA 2009-691 172208 WEVA 2009-677 172208 WEVA 2009-678 177353 WEVA 2009-987 191606 WEVA 2009-1874 194486 WEVA 20091942 202432 WEVA 2010-687 206635 f? WEVA 2010-890 206649 WEVA 2010-462 206649 WEVA 2008-461 209139 WEVA 2010-627 209139 WEVA 2010-627 211883 WEVA 2010705 214473 WEVA 2010873 214488 WEVA 2010-858 214488 WEVA 2010-859 214489 WEVA 2010?860 214489 WEVA 2010-861 217186 WEVA 2010-1033 217186 WEVA 2010-1032 217202 WEVA 20101034 217203 WEVA 2010-1010 219977 WEVA 2010-1148 219990 20101140 219991 WEVA 2010-1141 220002 WEVA 20101143 220175 WEVA 2010-1157 223330 WEVA 2010-1290 223330 223342 WEVA 20101296 223342 WEVA 20101297 223356 WEVA 20101225 223709 WEVA 2010-1344 226310 WEVA 2010-1440 226310 WEVA 2010-1441 226324 WEVA 20101443 226324 WEVA 20101442 226325 WEVA 2010-1431 229250 WEVA 2010-1683 229250 WEVA 2010-1684 229269 WEVA 20101710 229271 WEVA 20101688 229271 WEVA 2010-1689 232415 WEVA 2011-29 43 0f 50 Spartan Mining Company 235487 WEVA 2011?378 235487 WEVA 2011-379 235510 WEVA 2011-370 235523 WEVA 2011-243 238615 WEVA 2011-588 238617 WEVA 2011-643 241519 WEVA 2011-830 241534 WEVA 2011-816 241534 WEVA 2011817 241536 WEVA 2011-833 241536 WEVA 2011-834 241547 WEVA 2011819 246205 WEVA 2011-1275 246205 WEVA 2011-1274 246205 WEVA 2011-1276 246215 WEVA 2011-1169 246216 WEVA 2011-1164 246216 WEVA 20111165 246229 WEVA 2010-1171 247739 WEVA 2011-1310 248955 WEVA 2011-1473 248961 WEVA 2011-1474 248962 WEVA 2011-1487 248974 4 WEVA 2011-1475 248974 WEVA 2011-1476 250763 WEVA 2011-1507 250763 WEVA 2011-1508 250775 WEVA 2011-1490 250780 WEVA 2011-1577 250780 WEVA 2011-1575 250780 WEVA 2011-1576 250794 WEVA 2011-1493 253607 WEVA 2011-1731 253623 WEVA 2011-1856 256609 WEVA 2011-2059 256610 WEVA 2011-2060 256825 WEVA 2011-2061 256837 WEVA 20112029 256837 WEVA 20112030 256850 WEVA 2011-2031 259550 WEVA 2011-2168 259550 WEVA 2011-2169 . 262324 WEVA 2011-23 18 262324 WEVA 2011-2317 262328 WEVA 2011-2351 262328 WEVA 2011-2350 262344 WEVA 2011-2320 44 of 50 Spartan Mining Company 0 265524 WEVA 2011?2447 265524 WEVA 2011~2466 265536 WEVA 2011?2449 265550 WEVA 2011-2470 268202 WEVA 2012?32 268216 WEVA 2012-67 45 of 50 Assessment Number 131248-2 138414 170631 176129 176148 187187 202282 205124 218646 224991 231113 236479 243041 248628 251087 215811 254022 257214 259814 262708 152849 176148 184401 187211 7190245 207734 213215 205433 205433 243055 245840 '248642, 252099 251099 254038 3254038 257225 ?259853 262724 Docket Number KENT2008217 KENT 2008?612 KENT 2009-453 KENT2009733 KENT 2010-235 KENT2010399 KENT 2010-1075 KENT20104327 KENT20101605 KENT2011484 KENT2011769 KENT20111308 KENT 2009-1087 KENT20091238 KENT2010502 KENT2010864 KENT2010403 KENT20101329 KENT2011493 KENT2011678 KENT20111059 KENT20111246 Stillhouse Mining, LLC 46 of 50 Stirrat Coal Company Assessment Number Docket Number #000241816 WEVA 2011821 #000223331 WEVA 2010?1222 #000235733 WEVA 2011-384 47 of 50 Assessment Number #000197724 #000203775 #000184969 #000208980 #000206660 #000238894 #000226333 #000214503 #000217216 #000220001 #000223355 #000226333 #000229611 #000235752 #000241833 #000241833 #000244347 #000232720 #000238894 #000247230 #000249753 #000249753 #000247230 #000252447 #000264298 #000264298 #000264298 #000267240 #000241833 #000197724 #000229611 .#000220001 #000190895 #000226333 Support Mining dba lnman Energy Docket Number WEVA. 2010-73 WEVA 2010-377 WEVA 2009?1456 WEVA 2010?589 WEVA 2010?465 WEVA 2011-614 WEVA 2010?1426 WEVA 2010?864 WEVA 2010-1015 WEVA 2010?1145 WEVA 2010?1292 WEVA 2010?1426 WEVA 2010?1712 WEVA 2011-395 WEVA 2011-822 WEVA 2011-824 WEVA 2011-1040 WEVA 2011?25 WEVA 2011-615 WEVA 2011?1273 WEVA 2011-1443 WEVA 2011?1444 WEVA 2011-1272 WEVA 2011?2004 WEVA 2011-2378 WEVA 2011-2376 WEVA 2011?2377 WEVA 2012?11 WEVA 2011~823 WEVA 2010-72 WEVA 2010?1711 WEVA 2010-1144 WEVA 2009-1811 WEVA 2010-1425 48 of 50? Assessment Number Docket Number #000226320 #000232707 #000235739 #000244335 #000244335 #000229599 #000223339 #000217197 #000241824 #000214498 #000238882 #000247219 #000249740 #000249740 #000247219 #000252436 #000255708 ,#000252436 #000264287 #000264287 #000179201 #000241834 #000232721 #000249754 #000247226 #000223349 #000238890 #000247226 #000241829 #000249750 #000249750 #000235748 #000255714 #000255714 WEVA 2010-1720 WEVA 2011-35 WEVA 2011-387 WEVA 2011?1039 WEVA 2011-1038 WEVA 2010-1691 WEVA 2010-1340 20104019 WEVA 2011-836 WEVA 2010?863 WEVA 2011-573 WEVA 2011?1269 WEVA 2011-1470 WEVA 2011-1469 WEVA 2011-1268 WEVA 2011-2002 WEVA 2011-1995 WEVA 2011-2003 WEVA 2011-2343 WEVA 2011-2342 WEVA 2009-1165 WEVA 2011-838 WEVA 2011?36 WEVA 2011-1484 WEVA 2011-1270 WEVA 2010-1343 WEVA 2011-574 WEVA 2011-1271 WEVA 2011?837 WEVA 2011-1472 WEVA 2011-1471 WEVA 2011-389 WEVA 2011-1997 White Buck Coal Company 50 0f 50