30 U.S.C. § 820 — Penalties

Page 146 TITLE 30—MINERAL LANDS AND MINING § 820 1 So in original. safety official under this subsection shall not be construed as making such official subject to any penalty under this chapter. (Pub. L. 91–173, title I, § 109, Dec. 30, 1969, 83 Stat. 756; Pub. L. 95–164, title II, § 201, Nov. 9, 1977, 91 Stat. 1310.) Editorial Notes REFERENCES IN TEXT This chapter, referred to in text, 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 chap- ter. For complete classification of this Act to the Code, see Short Title note set out under section 801 of this title and Tables. AMENDMENTS 1977—Pub. L. 95–164 substituted provisions relating to the posting of orders and decisions for provisions set- ting out an enumeration of penalties, which provisions, as revised, were transferred to section 820 of this title. Statutory Notes and Related Subsidiaries 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. EFFECTIVE DATE Section operative 90 days after Dec. 30, 1969, except to the extent an earlier date is specifically provided for in Pub. L. 91–173, see section 509 of Pub. L. 91–173, set out as a note under section 801 of this title. § 820. Penalties (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 vio- lation. Each occurrence of a violation of a man- datory 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 Sec- retary as required under section 813(j) of this title (relating to the 15 minute requirement) shall be assessed a civil penalty by the Sec- retary 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 con- strued 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 re- view, 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 viola- tion for which a citation has been issued under section 814(a) of this title within the period per- mitted 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 con- tinues. (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 man- datory health or safety standard or knowingly violates or fails or refuses to comply with any order issued under this chapter or any order in- corporated in a final decision issued under this chapter, except an order incorporated in a deci- sion issued under subsection (a) or section 815(c) of this title, any director, officer, or agent of such corporation who knowingly authorized, or- dered, or carried out such violation, failure, or refusal shall be subject to the same civil pen- alties, fines, and imprisonment that may be im- posed upon a person under subsections (a) and (d). (d) Criminal penalties Any operator who willfully violates a manda- tory 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 incor- porated in a final decision issued under this sub- chapter, except an order incorporated in a deci- sion 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 imprison- ment for not more than one year, or by both, ex- cept that if the conviction is for a violation committed after the first conviction of such op- erator under this chapter, punishment shall be by a fine of not more than $500,000, or by impris- onment 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 in- spection 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 certifi- cations Whoever knowingly makes any false state- ment, representation, or certification in any ap- plication, record, report, plan, or other docu- ment filed or required to be maintained pursu- Page 147 TITLE 30—MINERAL LANDS AND MINING § 820 ant 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 relat- ing to smoking Any miner who willfully violates the manda- tory safety standards relating to smoking or the carrying of smoking materials, matches, or lighters shall be subject to a civil penalty as- sessed 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, in- cluding, but not limited to, components and ac- cessories of such equipment, which is rep- resented as complying with the provisions of this chapter, or with any specification or regula- tion of the Secretary applicable to such equip- ment, and which does not so comply, shall, upon conviction, be subject to the same fine and im- prisonment 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 as- sess all civil penalties provided in this chapter. In assessing civil monetary penalties, the Com- mission shall consider the operator’s history of previous violations, the appropriateness of such penalty to the size of the business of the oper- ator charged, whether the operator was neg- ligent, the effect on the operator’s ability to continue in business, the gravity of the viola- tion, 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. In- terest 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 Commis- sion. No penalty assessment which has become a final order of the Commission shall be com- promised, mitigated, or settled except with the approval of the court. (l) Inapplicability to black lung benefit provi- sions The provisions of this section shall not be ap- plicable with respect to subchapter IV of this chapter. (Pub. L. 91–173, title I, § 110, Dec. 30, 1969, 83 Stat. 758; Pub. L. 95–164, title II, § 201, Nov. 9, 1977, 91 Stat. 1311; Pub. L. 101–508, title III, § 3102, Nov. 5, 1990, 104 Stat. 1388–29; Pub. L. 109–236, § 5(b), § 8(a), June 15, 2006, 120 Stat. 498, 500; Pub. L. 109–280, title XIII, § 1301, Aug. 17, 2006, 120 Stat. 1108.) Editorial Notes 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, § 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 redesig- nated that par. as subsec. (d). Pub. L. 109–236, § 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, § 5(b), designated existing provisions as par. (1) and added par. (2), relating to civil penalties. Subsec. (b). Pub. L. 109–280, § 1301(3), inserted par. (1) and (2) designations. Pub. L. 109–236, § 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 ‘fla- grant’ with respect to a violation means a reckless or repeated failure to make reasonable efforts to elimi- nate 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, § 1301(2)(B)(ii), redesig- nated subsec. (a)(2), relating to criminal penalties, as (d). Pub. L. 109–280, § 1301(1), struck out subsec. (d) which read as follows: ‘‘Any operator who willfully violates a mandatory health or safety standard, or knowingly vio- lates 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 incor- porated in a decision under subsection (a) of this sec- tion or section 815(c) of this title, shall, upon convic- tion, 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, § 3102(1), substituted ‘‘$50,000’’ for ‘‘$10,000’’. Subsec. (b). Pub. L. 101–508, § 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. Page 148 TITLE 30—MINERAL LANDS AND MINING § 821 Statutory Notes and Related Subsidiaries 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. EFFECTIVE DATE Section operative 90 days after Dec. 30, 1969, except to the extent an earlier date is specifically provided for in Pub. L. 91–173, see section 509 of Pub. L. 91–173, set out as a note under section 801 of this title. REGULATIONS Pub. L. 109–236, § 8(b), June 15, 2006, 120 Stat. 501, pro- vided that: ‘‘Not later than December 30, 2006, the Sec- retary of Labor shall promulgate final regulations with respect to penalties.’’ § 821. Entitlement of miners to full compensation If a coal or other mine or area of such mine is closed by an order issued under section 813 of this title, section 814 of this title, or section 817 of this title, all miners working during the shift when such order was issued who are idled by such order shall be entitled, regardless of the re- sult of any review of such order, to full com- pensation by the operator at their regular rates of pay for the period they are idled, but for not more than the balance of such shift. If such order is not terminated prior to the next work- ing shift, all miners on that shift who are idled by such order shall be entitled to full compensa- tion by the operator at their regular rates of pay for the period they are idled, but for not more than four hours of such shift. If a coal or other mine or area of such mine is closed by an order issued under section 814 of this title or section 817 of this title for a failure of the operator to comply with any mandatory health or safety standards, all miners who are idled due to such order shall be fully compensated after all inter- ested parties are given an opportunity for a pub- lic hearing, which shall be expedited in such cases, and after such order is final, by the oper- ator for lost time at their regular rates of pay for such time as the miners are idled by such closing, or for one week, whichever is the lesser. Whenever an operator violates or fails or refuses to comply with any order issued under section 813 of this title, section 814 of this title, or sec- tion 817 of this title, all miners employed at the affected mine who would have been withdrawn from, or prevented from entering, such mine or area thereof as a result of such order shall be en- titled to full compensation by the operator at their regular rates of pay, in addition to pay re- ceived for work performed after such order was issued, for the period beginning when such order was issued and ending when such order is com- plied with, vacated, or terminated. The Commis- sion shall have authority to order compensation due under this section upon the filing of a com- plaint by a miner or his representative and after opportunity for hearing subject to section 554 of title 5. (Pub. L. 91–173, title I, § 111, Dec. 30, 1969, 83 Stat. 759; Pub. L. 95–164, title II, § 201, Nov. 9, 1977, 91 Stat. 1312.) Editorial Notes AMENDMENTS 1977—Pub. L. 95–164 substituted provisions relating to the entitlement of miners to their full compensation when they are idled as the result of the operation of this chapter for provisions relating to the maintenance of records, which provisions, as revised, were trans- ferred to section 813 of this title. Statutory Notes and Related Subsidiaries 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. EFFECTIVE DATE Section operative 90 days after Dec. 30, 1969, except to the extent an earlier date is specifically provided for in Pub. L. 91–173, see section 509 of Pub. L. 91–173, set out as a note under section 801 of this title. § 822. Representation of Secretary in civil litiga- tion by Solicitor of Labor Except as provided in section 518(a) of title 28, relating to litigation before the Supreme Court, the Solicitor of Labor may appear for and rep- resent the Secretary in any civil litigation brought under this chapter but all such litiga- tion shall be subject to the direction and control of the Attorney General. (Pub. L. 91–173, title I, § 112, as added Pub. L. 95–164, title II, § 201, Nov. 9, 1977, 91 Stat. 1313.) Editorial Notes REFERENCES IN TEXT This chapter, referred to in text, 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 chap- ter. For complete classification of this Act to the Code, see Short Title note set out under section 801 of this title and Tables. PRIOR PROVISIONS Provisions similar to this section were contained in section 816(f) of this title prior to the amendment of this subchapter by Pub. L. 95–164. Statutory Notes and Related Subsidiaries EFFECTIVE DATE Section effective 120 days after Nov. 9, 1977, see sec- tion 307 of Pub. L. 95–164, set out as an Effective Date of 1977 Amendment note under section 801 of this title. § 823. Federal Mine Safety and Health Review Commission (a) Establishment; membership; chairman The Federal Mine Safety and Health Review Commission is hereby established. The Commis- sion shall consist of five members, appointed by the President by and with the advice and con- sent of the Senate, from among persons who by reason of training, education, or experience are qualified to carry out the functions of the Com- mission under this chapter. The President shall designate one of the members of the Commission to serve as Chairman. (b) Terms; personnel; administrative law judges (1) The terms of the members of the Commis- sion shall be six years, except that—