1	U.S. Department of Labor Mine Safety and Health Administration Office of Assessments
2	Topics of Discussion Organizational Structure & Functions Penalty Assessment Criteria Types of Assessments Pre-Assessment Opportunities Collection of Civil Penalties Post-Assessment Opportunities Delinquent Debt Small Business Regulatory Enforcement Fairness Act of 1996 Helpful Suggestions Contact Information
3	Organizational Structure
4	Office of the Director Functions Administering the assessments program pertaining to the assessment and collection of civil penalties under the Mine Act Administering the special investigations program pertaining to discrimination complaints filed under Section 105(c) of the Mine Act; and knowing or willful violations under Section 110(c) of the Mine Act Back to Organizational Chart
5	Civil Penalties & Assessment Center Functions Oversees the program and management functions of the Civil Penalty Compliance Office and the Wilkes-Barre Assessments Center
6	Civil Penalty Compliance Office Functions Track status of civil penalty cases & maintain financial & case records Prepare cases for litigation Process payments Collect delinquent penalties
7	Wilkes-Barre Assessment Center Functions Process violations into regular- & single-penalty proposed assessments Approve Legal Identity Report submittals (MSHA 2000-7 Form Instructions) Conduct research & analysis on mine ownership
8	Policy, Systems & Special Assessments Office Functions Respond to Freedom of Information Act requests & provide violation history reports Process recalls & re-assessments involving civil penalties Administer assessment program information & administrative/management activities
9	Policy, Systems & Special Assessments Office Functions continued Specially assess violations Maintain assessment database management system Update policy & procedures under 30 CFR 100 - Criteria and Procedures for Proposed Assessment of Civil Penalties Conduct data analyses
10	Technical Compliance and Investigations Functions Oversees the program and management functions of the Technical Compliance and Investigations Office.
11	Technical Compliance & Investigations Office Functions Oversee the investigation process for: Complaints of miner discrimination knowing or willful criminal violations Denial of entry & injunctive cases Review judicial decisions
12	Penalty Assessment Criteria Size of business History of operations Degree of negligence Degree of gravity Demonstrated good faith
13	Size of Business Tonnage produced for production coal operators Employee hours worked for metal & nonmetal production operators & independent contractors
14	History of Violations Number of violations per inspection day for production operators Average violations per year for independent contractors
15	Excessive History of Violations Applicable to operators having greater than 2.1 violations per inspection day & independent contractors having greater than 50 violations per year Not applicable to mines with 10 or fewer violations Only applicable to 104(a) non-S&S timely-abated citations
16	Degree of Negligence Inspector’s evaluation of measures taken by the operator to protect or correct conditions or practices which caused or allowed the violation to exist
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18	Demonstrated Good Faith
19	Types of Assessments Single Regular Special
20	Single-Penalty Assessment Section 104(a) non-S&S citations Violations corrected within time set by inspector No excessive history of violations
21	Regular Assessment Orders, 104(d), 104(a) S&S, & 104(a) non-S&S citations not qualifying for single penalty Possible adjustments to penalty amount include 30% reduction if violation is abated within time set by inspector; or additional 10 penalty points if violation is not abated within time set by inspector
22	Special Assessment Fatalities & serious injuries Unwarrantable failure to comply with a mandatory health & safety standard Operating in defiance of a closure order Denial of right of entry by an authorized representative
23	Special Assessment continued Individuals liable under Section 110(c) of the Mine Act Imminent danger Acts of discrimination under Section 105(c) of the Mine Act Extraordinarily high negligence, gravity or other unique aggravating circumstances *
24	Special Assessment Guidelines A point system, MSHA Guidelines for Special Assessment Penalties, is an additional tool used by the Agency to compute special assessment penalties
25	Special Assessor’s Review Criteria Citations & orders Special assessment review request Inspector’s notes Safety & health conference notes Report of investigation Sketches & photographs Relevant portions of mine plans
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27	2006 Assessed Violations by Average Amount Regular Assessment $406 Average special assessments: Non-accident-related $2,650 Accident-related $23,205 Director/Officer/Agent $814 Miner smoking $244
28	Pre-Assessment Opportunities Accompany an authorized representative during an inspection Attend the inspection close-out conference Request a safety & health conference File notice of contest/application for review
29	Inspection Close-Out Conference Discuss the conditions observed during the inspection Notify the operator of their right to request a safety & health conference
30	Safety & Health Conference The request must be made through the district manager The request must be made within 10 days of the notification of rights to a safety & health conference
31	Notice of Contest/ Application for Review The operator may file in writing to the Federal Mine Safety & Health Review Commission (FMSHRC) within 30 days upon receipt of the issuance of the citation or order Filing does not affect the enforcement process
32	Collection of Civil Penalties A notice of proposed assessment is sent by certified mail to the operator, as set forth in 30 CFR 100.7, in which they have 30 days to either pay or contest the penalty
33	Post-Assessment Opportunities Financial review of operator’s ability to continue in business Civil penalty contest Appeal of Administrative Law Judge (ALJ) decision Further appeal options
34	Financial Review It is initially presumed that the assessment will have no effect on the operator To apply for relief, the operator must submit a written request to the district manager within 30 days of receipt of the proposed assessment. As set forth in 30 CFR 100.3(h), the operator must: Provide financial statements for the most recent 2-year period Show how payment of the penalty will adversely affect their ability to continue in business
35	Civil Penalty Contest The operator must file a contest in writing to MSHA’s Civil Penalty Compliance Office within 30 days upon receipt of the proposed assessment, as set forth in 30 CFR 100.7 The penalty amount is decided by an Administrative Law Judge (ALJ) in a legal proceeding
36	Appeal of ALJ Decision The operator or MSHA must appeal to the Federal Mine Safety & Health Review Commission (FMSHRC) within 30 days of the ALJ decision The case is decided by the FMSHRC in a legal proceeding
37	Further Appeal Options U.S. Court of Appeals U.S. Supreme Court
38	Delinquent Debt Delinquent debt is collected by MSHA, Department of Treasury, & Department of Justice representatives
39	Small Business Regulatory Enforcement Fairness Act of 1996 (SBREFA) 1-888-REG-FAIR (1-800-734-3247) 500 W. Madison Street, Suite 1240 Chicago, Illinois 60661
40	Helpful Suggestions Maintain an effective safety & health program Maintain a zero or low violation average Timely abate any violations issued Pay penalties on time Participate in pre-assessment opportunities
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