30 C.F.R. § 100.3

Current through October 31, 2024

Section 100.3 - Determination of penalty amount; regular assessment

(a)General.

(1) Except as provided in § 100.5(e) , the operator of any mine in which a violation occurs of a mandatory health or safety standard or who violates any other provision of the Mine Act, as amended, shall be assessed a civil penalty of not more than $88,354. Each occurrence of a violation of a mandatory safety or health standard may constitute a separate offense. The amount of the proposed civil penalty shall be based on the criteria set forth in sections 105(b) and 110(i) of the Mine Act. These criteria are:

(i) The appropriateness of the penalty to the size of the business of the operator charged;

(ii) The operator's history of previous violations;

(iii) Whether the operator was negligent;

(iv) The gravity of the violation;

(v) The demonstrated good faith of the operator charged in attempting to achieve rapid compliance after notification of a violation; and

(vi) The effect of the penalty on the operator's ability to continue in business.

(2) A regular assessment is determined by first assigning the appropriate number of penalty points to the violation by using the appropriate criteria and tables set forth in this section. The total number of penalty points will then be converted into a dollar amount under the penalty conversion table in paragraph (g) of this section. The penalty amount will be adjusted for demonstrated good faith in accordance with paragraph (f) of this section.

(b)The appropriateness of the penalty to the size of the business of the operator charged. The appropriateness of the penalty to the size of the mine operator's business is calculated by using both the size of the mine cited and the size of the mine's controlling entity. The size of coal mines and their controlling entities is measured by coal production. The size of metal and nonmetal mines and their controlling entities is measured by hours worked. The size of independent contractors is measured by the total hours worked at all mines. Penalty points for size are assigned based on Tables I to V. As used in these tables, the terms "annual tonnage" and "annual hours worked" mean coal produced and hours worked in the previous calendar year. In cases where a full year of data is not available, the coal produced or hours worked is prorated to an annual basis. This criterion accounts for a maximum of 25 penalty points.

View Image

(c)History of previous violations. An operator's history of previous violations is based on both the total number of violations and the number of repeat violations of the same citable provision of a standard in a preceding 15-month period. Only assessed violations that have been paid or finally adjudicated, or have become final orders of the Commission will be included in determining an operator's history. The repeat aspect of the history criterion in paragraph (c)(2) of this section applies only after an operator has received 10 violations or an independent contractor operator has received 6 violations.

(1) Total number of violations. For mine operators, penalty points are assigned on the basis of the number of violations per inspection day (VPID)(Table VI). Penalty points are not assigned for mines with fewer than 10 violations in the specified history period. For independent contractors, penalty points are assigned on the basis of the total number of violations at all mines (Table VII). This aspect of the history criterion accounts for a maximum of 25 penalty points.

View Image

(2) Repeat violations of the same standard. Repeat violation history is based on the number of violations of the same citable provision of a standard in a preceding 15-month period. For coal and metal and nonmetal mine operators with a minimum of six repeat violations, penalty points are assigned on the basis of the number of repeat violations per inspection day (RPID) (Table VIII). For independent contractors, penalty points are assigned on the basis of the number of violations at all mines (Table IX). This aspect of the history criterion accounts for a maximum of 20 penalty points (Table VIII).

View Image

(d)Negligence. Negligence is conduct, either by commission or omission, which falls below a standard of care established under the Mine Act to protect miners against the risks of harm. Under the Mine Act, an operator is held to a high standard of care. A mine operator is required to be on the alert for conditions and practices in the mine that affect the safety or health of miners and to take steps necessary to correct or prevent hazardous conditions or practices. The failure to exercise a high standard of care constitutes negligence. The negligence criterion assigns penalty points based on the degree to which the operator failed to exercise a high standard of care. When applying this criterion, MSHA considers mitigating circumstances which may include, but are not limited to, actions taken by the operator to prevent or correct hazardous conditions or practices. This criterion accounts for a maximum of 50 penalty points, based on conduct evaluated according to Table X.

View Image

(e)Gravity. Gravity is an evaluation of the seriousness of the violation. This criterion accounts for a maximum of 88 penalty points, as derived from the Tables XI through XIII. Gravity is determined by the likelihood of the occurrence of the event against which a standard is directed; the severity of the illness or injury if the event has occurred or was to occur; and the number of persons potentially affected if the event has occurred or were to occur.

View Image

(f)Demonstrated good faith of the operator in abating the violation. This criterion provides a 10% reduction in the penalty amount of a regular assessment where the operator abates the violation within the time set by the inspector.

(g)Penalty conversion table. The penalty conversion table is used to convert the total penalty points to a dollar amount.

Table 14 to Paragraph (g) -Penalty Conversion Table

Points	Penalty ($)
60 or fewer	$164
61	179
62	192
63	210
64	227
65	246
66	266
67	289
68	312
69	339
70	365
71	397
72	432
73	468
74	504
75	547
76	595
77	641
78	696
79	755
80	818
81	886
82	957
83	1,039
84	1,124
85	1,220
86	1,321
87	1,430
88	1,550
89	1,679
90	1,819
91	1,970
92	2,132
93	2,311
94	2,504
95	2,712
96	2,938
97	3,180
98	3,448
99	3,735
100	4,047
101	4,383
102	4,748
103	5,143
104	5,571
105	6,037
106	6,538
107	7,083
108	7,673
109	8,313
110	9,005
111	9,752
112	10,567
113	11,447
114	12,401
115	13,433
116	14,551
117	15,765
118	17,077
119	18,500
120	20,039
121	21,711
122	23,515
123	25,477
124	27,599
125	29,893
126	32,386
127	35,084
128	38,005
129	41,171
130	44,601
131	48,316
132	52,338
133	56,698
134	61,221
135	65,741
136	70,266
137	74,785
138	79,309
139	83,830
140 or more	88,354

(h) The effect of the penalty on the operator's ability to continue in business. MSHA presumes that the operator's ability to continue in business will not be affected by the assessment of a civil penalty. The operator may, however, submit information to the District Manager concerning the financial status of the business. If the information provided by the operator indicates that the penalty will adversely affect the operator's ability to continue in business, the penalty may be reduced.

30 C.F.R. §100.3

72 FR 13635 , Mar. 22, 2007, as amended at 73 FR 7209 , Feb. 7, 2008; 81 FR 43455 , July 1, 2016; 82 FR 5383 , Jan. 18, 2017; 83 FR 14 , Jan. 2, 2018; 84 FR 219 , Jan. 23, 2019; 85 FR 2299 , Jan. 15, 2020; 86 FR 2970 , Jan. 14, 2021; 87 FR 2336 , Jan. 14, 2022; 88 FR 2218 , Jan. 13, 2023

81 FR 43455, 8/1/2016; 82 FR 5383, 1/18/2017; 83 FR 14, 1/2/2018; 84 FR 219, 1/23/2019; 85 FR 2299, 1/15/2020; 86 FR 2970, 1/14/2021; 87 FR 2336, 1/14/2022; 88 FR 2218, 1/13/2023; 89 FR 1817, 1/15/2024