CITE

    30 USC Sec. 820                                             01/05/2009

EXPCITE

    TITLE 30 - MINERAL LANDS AND MINING
    CHAPTER 22 - MINE SAFETY AND HEALTH
    SUBCHAPTER I - GENERAL

HEAD

    Sec. 820. Penalties

STATUTE

    (a) Civil penalty for violation of mandatory health or safety
      standards
       (1) The operator of a coal or other mine in which a violation
    occurs of a mandatory health or safety standard or who violates any
    other provision of this chapter, shall be assessed a civil penalty
    by the Secretary which penalty shall not be more than $50,000 for
    each such violation. Each occurrence of a violation of a mandatory
    health or safety standard may constitute a separate offense.
      (2) The operator of a coal or other mine who fails to provide
    timely notification to the Secretary as required under section
    813(j) of this title (relating to the 15 minute requirement) shall
    be assessed a civil penalty by the Secretary of not less than
    $5,000 and not more than $60,000.
      (3)(A) The minimum penalty for any citation or order issued under
    section 814(d)(1) of this title shall be $2,000.
      (B) The minimum penalty for any order issued under section
    814(d)(2) of this title shall be $4,000.
      (4) Nothing in this subsection shall be construed to prevent an
    operator from obtaining a review, in accordance with section 816 of
    this title, of an order imposing a penalty described in this
    subsection. If a court, in making such review, sustains the order,
    the court shall apply at least the minimum penalties required under
    this subsection.
    (b) Civil penalty for failure to correct violation for which
      citation has been issued
      (1) Any operator who fails to correct a violation for which a
    citation has been issued under section 814(a) of this title within
    the period permitted for its correction may be assessed a civil
    penalty of not more than $$5,000 (!1) for each day during which
    such failure or violation continues.
      (2) Violations under this section that are deemed to be flagrant
    may be assessed a civil penalty of not more than $220,000. For
    purposes of the preceding sentence, the term "flagrant" with
    respect to a violation means a reckless or repeated failure to make
    reasonable efforts to eliminate a known violation of a mandatory
    health or safety standard that substantially and proximately
    caused, or reasonably could have been expected to cause, death or
    serious bodily injury.
    (c) Liability of corporate directors, officers, and agents
      Whenever a corporate operator violates a mandatory health or
    safety standard or knowingly violates or fails or refuses to comply
    with any order issued under this chapter or any order incorporated
    in a final decision issued under this chapter, except an order
    incorporated in a decision issued under subsection (a) of this
    section or section 815(c) of this title, any director, officer, or
    agent of such corporation who knowingly authorized, ordered, or
    carried out such violation, failure, or refusal shall be subject to
    the same civil penalties, fines, and imprisonment that may be
    imposed upon a person under subsections (a) and (d) of this
    section.
    (d) Criminal penalties
       Any operator who willfully violates a mandatory health or safety
    standard, or knowingly violates or fails or refuses to comply with
    any order issued under section 814 of this title and section 817 of
    this title, or any order incorporated in a final decision issued
    under this subchapter, except an order incorporated in a decision
    under subsection (a)(1) or section 815(c) of this title, shall,
    upon conviction, be punished by a fine of not more than $250,000,
    or by imprisonment for not more than one year, or by both, except
    that if the conviction is for a violation committed after the first
    conviction of such operator under this chapter, punishment shall be
    by a fine of not more than $500,000, or by imprisonment for not
    more than five years, or both.
    (e) Unauthorized advance notice of inspections
      Unless otherwise authorized by this chapter, any person who gives
    advance notice of any inspection to be conducted under this chapter
    shall, upon conviction, be punished by a fine of not more than
    $1,000 or by imprisonment for not more than six months, or both.
    (f) False statements, representations, or certifications
      Whoever knowingly makes any false statement, representation, or
    certification in any application, record, report, plan, or other
    document filed or required to be maintained pursuant to this
    chapter shall, upon conviction, be punished by a fine of not more
    than $10,000, or by imprisonment for not more than five years, or
    both.
    (g) Violation by miners of safety standards relating to smoking
      Any miner who willfully violates the mandatory safety standards
    relating to smoking or the carrying of smoking materials, matches,
    or lighters shall be subject to a civil penalty assessed by the
    Commission, which penalty shall not be more than $250 for each
    occurrence of such violation.
    (h) Equipment falsely represented as complying with statute,
      specification, or regulations
      Whoever knowingly distributes, sells, offers for sale,
    introduces, or delivers in commerce any equipment for use in a coal
    or other mine, including, but not limited to, components and
    accessories of such equipment, which is represented as complying
    with the provisions of this chapter, or with any specification or
    regulation of the Secretary applicable to such equipment, and which
    does not so comply, shall, upon conviction, be subject to the same
    fine and imprisonment that may be imposed upon a person under
    subsection (f) of this section.
    (i) Authority to assess civil penalties
      The Commission shall have authority to assess all civil penalties
    provided in this chapter. In assessing civil monetary penalties,
    the Commission shall consider the operator's history of previous
    violations, the appropriateness of such penalty to the size of the
    business of the operator charged, whether the operator was
    negligent, the effect on the operator's ability to continue in
    business, the gravity of the violation, and the demonstrated good
    faith of the person charged in attempting to achieve rapid
    compliance after notification of a violation. In proposing civil
    penalties under this chapter, the Secretary may rely upon a summary
    review of the information available to him and shall not be
    required to make findings of fact concerning the above factors.
    (j) Payment of penalties; interest
      Civil penalties owed under this chapter shall be paid to the
    Secretary for deposit into the Treasury of the United States and
    shall accrue to the United States and may be recovered in a civil
    action in the name of the United States brought in the United
    States district court for the district where the violation occurred
    or where the operator has its principal office. Interest at the
    rate of 8 percent per annum shall be charged against a person on
    any final order of the Commission, or the court. Interest shall
    begin to accrue 30 days after the issuance of such order.
    (k) Compromise, mitigation, and settlement of penalty
      No proposed penalty which has been contested before the
    Commission under section 815(a) of this title shall be compromised,
    mitigated, or settled except with the approval of the Commission.
    No penalty assessment which has become a final order of the
    Commission shall be compromised, mitigated, or settled except with
    the approval of the court.
    (l) Inapplicability to black lung benefit provisions
      The provisions of this section shall not be applicable with
    respect to subchapter IV of this chapter.

SOURCE

    (Pub. L. 91-173, title I, Sec. 110, Dec. 30, 1969, 83 Stat. 758;
    Pub. L. 95-164, title II, Sec. 201, Nov. 9, 1977, 91 Stat. 1311;
    Pub. L. 101-508, title III, Sec. 3102, Nov. 5, 1990, 104 Stat. 1388-
    29; Pub. L. 109-236, Sec. 5(b), Sec. 8(a), June 15, 2006, 120
    Stat. 498, 500; Pub. L. 109-280, title XIII, Sec. 1301, Aug. 17,
    2006, 120 Stat. 1108.)

REFERENCES IN TEXT

      This chapter, referred to in subsecs. (a)(1), (c) to (f), and (h)
    to (j), was in the original "this Act", meaning Pub. L. 91-173,
    Dec. 30, 1969, 83 Stat. 742, known as the Federal Mine Safety and
    Health Act of 1977, which is classified principally to this
    chapter. For complete classification of this Act to the Code, see
    Short Title note set out under section 801 of this title and
    Tables.

AMENDMENTS

      2006 - Subsec. (a). Pub. L. 109-280, Sec. 1301(2), substituted
    "(1) The operator" for "(1)(1) The operator" in par. (1),
    substituted "subsection (a)(1)" for "paragraph (1)" in par. (2),
    relating to criminal penalties, and redesignated that par. as
    subsec. (d).
      Pub. L. 109-236, Sec. 8(a)(1), inserted "(1)" after subsec.
    heading, added par. (2), relating to criminal penalties, and added
    pars. (3) and (4).
      Pub. L. 109-236, Sec. 5(b), designated existing provisions as
    par. (1) and added par. (2), relating to civil penalties.
      Subsec. (b). Pub. L. 109-280, Sec. 1301(3), inserted par. (1) and
    (2) designations.
      Pub. L. 109-236, Sec. 8(a)(2), inserted at end "Violations under
    this section that are deemed to be flagrant may be assessed a civil
    penalty of not more than $220,000. For purposes of the preceding
    sentence, the term 'flagrant' with respect to a violation means a
    reckless or repeated failure to make reasonable efforts to
    eliminate a known violation of a mandatory health or safety
    standard that substantially and proximately caused, or reasonably
    could have been expected to cause, death or serious bodily injury."
      Subsec. (d). Pub. L. 109-280, Sec. 1301(2)(B)(ii), redesignated
    subsec. (a)(2), relating to criminal penalties, as (d).
      Pub. L. 109-280, Sec. 1301(1), struck out subsec. (d) which read
    as follows: "Any operator who willfully violates a mandatory health
    or safety standard, or knowingly violates or fails or refuses to
    comply with any order issued under section 814 of this title and
    section 817 of this title, or any order incorporated in a final
    decision issued under this subchapter, except an order incorporated
    in a decision under subsection (a) of this section or section
    815(c) of this title, shall, upon conviction, be punished by a fine
    of not more than $25,000, or by imprisonment for not more than one
    year, or by both, except that if the conviction is for a violation
    committed after the first conviction of such operator under this
    chapter, punishment shall be by a fine of not more than $50,000, or
    by imprisonment for not more than five years, or both."
      1990 - Subsec. (a). Pub. L. 101-508, Sec. 3102(1), substituted
    "$50,000" for "$10,000".
      Subsec. (b). Pub. L. 101-508, Sec. 3102(2), substituted "$5,000"
    for "1,000".
      1977 - Pub. L. 95-164 substituted provisions setting the civil
    and criminal penalties with regard to violations of this chapter
    for provisions relating to claims of idled miners, which
    provisions, as revised, were transferred to section 821 of this
    title.
                     EFFECTIVE DATE OF 1977 AMENDMENT
      Amendment by Pub. L. 95-164 effective 120 days after Nov. 9,
    1977, except as otherwise provided, see section 307 of Pub. L. 95-
    164, set out as a note under section 801 of this title.
                                REGULATIONS
      Pub. L. 109-236, Sec. 8(b), June 15, 2006, 120 Stat. 501,
    provided that: "Not later than December 30, 2006, the Secretary of
    Labor shall promulgate final regulations with respect to
    penalties."

FOOTNOTE

    (!1) So in original.