· S· DEPARTMENT OF THE 

1. PURPOSE, This directive seta forth procedures for imposing daily civil 

penalty aaseasmenta for imminent harm and imminent danger cessation orders 

(hereafter IHCO) which remain unabated after the scheduled abatement date. 

This directive is applicable to all unabated IHCOa except where agency 

agreements require issuance of a Failure to Abate Cessation Order (FTACO) for 

an unabated IHCO violation. 

directive provides for unabated IHCOs to be 

in situations where the Office of Surface Mining 

''''''''"''' {OSMRE) is obligated to issue a FTAGO, such as 

when required by a court order or settlement agreement. 

3, DEFINITIONS. None. 

4. POLICY/PROCEDURES, 

a. BACKGROUND. In addition to any penalty imposed under Section 518(a) 

of the Surfa~e Mining Control and Re~lamation Act of 1977 (SMCRA), Se~tion 

518(h) of SMCRA and ae~tion 30 GFR 845.15(b) of the Federal regulations 

require that whenever a violation has not been abated within the abatement 

period set in the noti~e or order, a civil penalty of not leas than $750 shall 

be assessed for each day during which such failure to abate continues beyond 

the abatement date for a ~ximum of thirty (30) days. This directive 

specifies that the assessment of a daily civil penalty applies to unabated 

IHCOs and ensures that the civil penalty assessment requirements and related 

procedures specified in paragraphs B.l.(c) and B.2.(c) of the Two Acre 

Settlement Agreement (SOCM v. Hodel, et al., C.A. No. 81-2238) will be met. 

For cases covered by the Two Acre Settlement Agreement in Kentucky, FTACOa 

will continue to be issued whenever an IHCO remains unabated beyond the 

abatement date and 518(h) civil penalties will be assessed on those FTACOs. 

b. PROCEDURES. In order to accomplish the purpose of this directive 

the following procedures are established: 

(1) Field Offi~e Directors shall: 

(a) ensure proper service of IHOOs. Where servi~e is 

delayed, Field Office Directors shall ensure that the citation is modified to 

prescribe sn appropriate abatement date. In csaes where two or more persons 

are cited as the violator and service is not obtained on all of the persons 

cited, Field Office Dire~tors should proceed with reinspe~tions to allow 

assessment of the daily penalty on the persons served; as service ia obtained 

00 the remaining persons, Field Office Directors shall modify the citation to 

specify an abatement date for the party newly served; 
(b) promptly ~ondu~t abatement inap~~tions of IHCOs on the 

a~heduled abatement date or when notified by the violator that the violation 

has been allegedly abated, Which~ver is earlier, and forward a copy of the 

inspection report findings to the appropriate Field Ass~swment Unit; 

(c) promptly conduct subsequent r~inspe~tions of IHCOs When 

notified by th~ violator that the violation has been allegedly abated, or 30 

days aft~r the scheduled abatement date, whichever is earlier, and forward a 

copy of the inspection report findings to the Field ABseasment Unit; 

(d) initiate appropriate alternative enforcement action on 

IHCOs which remain unabated 30 days after the scheduled abatement dat~, in 

accordance with applicable dir~ctives; and 

(e) promptly conduct additional reinspections of IHCOs When 

notified by the Field Assessment Unit that additional or updated information 

is necessary to complete ass~ssments of outstanding IHCOs, and forward a copy 

of the inspection report findings to the Field Assessment Unit. 

(2) Field Asses~ent Units shall: 

(a) on receipt of an inspection report confir.ing that an 

IHCo remains ttnabated after the abatement date, ~oamence assessing a ~ivil 

penalty of $750 for each day the violation remains unabated. Such penalty 

shall not be assessed for more than 30 days for each violation. Penalty 

assessment shall begin on the first reinspection after the abatement date at 

whi~h the violator's failure-to-abate ia confirmed; 

(b) on receipt of an inspection report that the IHCO 

violation remains unabated 30 days after the abatement date, or su~h lesser 

time if abated, and determining that temporary relief has not been granted for 

the IHCO by the Offi~e of Hearings and Appeals or a Federal Court, issue the 

Noti~e of Proposed Assessment (NOPA)l 

(c) condu~t an inv~ntory of unabated IHCOs using data 

contained in the Collection Management Inforaation System (CMIS) and ensure 

that all identified unabated IHCOs are properly assessed; 

(d) follow the existing follow up procedures contained in 

the Civil Penalty Assessment Manual, Directiv~ CAA-1, applicable to issuing 

final orders and case referrals to the Division of Debt Management for 

collection action; and 

(e) assign daily civil penalty number which is similar to a 

~itation number, and ensure that all IRCO aaaeasments are entered into CHIS 

for purposes of permit blocking by the Applicant Violator System, 

, 
5. UPORTING REQUIIWIENTS. None. 

6. El"FEC'l' ON OTIID. DOCllMKNTS. None. 

7. REFFJ!li!IICES. 

a. Directive CAA-1, Civil Penalty Asaes .... ent Manual, hlnll!d 

January 6, 1988. 

b. Two Acre Settlement Agreement (SOCK v. Hodel, et al., C.A, 

No. 81-2238). 

8. EFFECTIVE DATE. Upon hauance. 

9, CONTACT. For further information nn this directive, contact the Chief, 

Branch of Inspection and Enforcement at (202) 343-4550. 

10. KEY WORDS. ~nent harm, Im.inent danger, ca1sation order, civil 

penalty, assesa.enta. 

11, APPENDICES, 

a. Appendix 1. NOTICE OF PROPOSED ASSESSMENT LETTER 

b. Appendix 2. PAYMENT AND APPEAL l'!!FORMATION 

3 
'" 

Dear 

OFFICE OF SURFACE MINING 

RECLAMATION AND !JIPORCIDIENT 

530 GAY ST., S.W,, SUITE 500 

KNOXVILLE, TENNESSEE 37902 

NOTICE OF PROPOSED ASSESSMENT (NOPA) 

DAILY CIVIL PENALTY NO. 

' 

PERMIT NO. 

Under the authority of the Surface Mining Control and Reclamation Act of 1977, 

Section 521(a)(2), you were iaaued Imminent Harm Ceasation Order No. (IHCO 

No.), which required yon to abate the violation(s), condition(B), or 

prsctice(a) cited therein by (abatement date), 

An reinapection on revealed that the requirements of the Imminent Harm 

Cesntion Order complied with for a ~NTE 30) day period after the 

reinapection date, Therefore in accordance withO CFR Section 845.15(b)(2), 

the Office of Surface Mining Reclamation and Enforcement does hereby issue you 

a proposed aassssment in the amount of (n days X $750.00), 

carefully read the following information which contains information conearning 

the requirements for payment of civil penalty assessments. Information 

regarding the requirements for obtaining informal snd formal review of the 

proposed penalty is slao eneloaed, 

If you have questiOns regarding this matter, you may call a Civil Penalty 

Assessment representative at (615) 673-4506, 

Enclosures 

Sincetaly, 

i

Branch ""'-'""'""":• of Enforcement Chief
APPUDIX 2 

PAYMENT AND APPEAL INFORMATION 

PAYMENT OF PENALTY 

Unlesa you request an aaaessment conference or an administrative hearing in 

aeeordance with the instructions set forth below, the proposed civil penalty 

assessment will become a Pinal Order within 30 days of receipt of this letter. 

Payment must be received by the Office of Sutface Mining Reclamation and 

Enforcement (OSMRE), Branch of Collections, within 30 days after the 

assessment becomes a Final Ordet or the debt will be considered delinquent and 

the following sequence of charges will be applied to your aeeount: 

A. Interest calculated at the current Treasury rate will be assessed 

from the day when payment of the eivil penalty was first due. 

B. Administrative costs will be incurred in the processing and handling 

of the delinquent debt, sueh as the cost of referring the account to 

a debt eolleetion company. 

c. If any portion of the civil penalty remains unpaid 90 days after the 

assessment is first due, you will be snbjeet to s 6 percent penalty 

per year upon the balance due ealeulated from the first day of 

delinquency. This penalty will accrue at the rate of one-half of 

one percent for eaeh month that the balance remains unpaid. 

Payment should be made by eheek or money order, payable to the Office of 

Surface Mining Reclamation and Enforcement and mailed to: 

U.S. Department of Interior 

Office of Surface Mining Reclamation and Enforcement 

P.O. Box 360292 M 

Pittsburgh, PA 15251 

To assure proper credit for your payment, please note on your cheek or money 

order the citation number for whieh payment is being made. If payment of the 

civil penalty in a lump sum will result in severe financial hardship, please 

contact the Branch of Collections i~ediately at (202) 343-4031 to diseuse 

installment terms. 
REQUEST FOR INFORMAL CONFERENCE 

If you wish a conference with a representative of Office of Surface Mining 

Reclamation and Enforcement to review the amount of this proposed aoseosment, 

you must oubmit a written request within 30 days after you receive this letter 

as provided at 30 CFR 723,18(a) or 30 CFR 845.18(a}. (A copy of 30 C,F,R, 

Part 845 is enclosed for your convenience,) You may use the enclosed form to 

request s conference. Send your request tot 

(insert as appropriate) 

Beverly C. Brock, Chief 

Branch of Enforcement 

U.S. Depart=ent of the Interior 

Office of Surface Mining Reclamation and Enforcement 

Knoxville Field Office 

530 Gay St., SW, Suite 400 

Knoxville, Tennessee 37902 

Floyd Johnson, Chief 

Branch of Inspection and Enforcement 

U.S. Department of the Interior 

Office of Surface Mining Reclamation and Enforcement 

Brooks Tower 

1020 15th Street 

Denver, Colorado 80202 

REQUEST FOR FORMAL HEARING 

If you vioh a formal hearing before an Administrotive Law Judge under Section 

518 of SMCRA to contest the proposed penalty assesoment or the foct of the 

violation you must file s Petition for Review together with payment for the 

full amount of the civil penalty assessed. Your payment will he deposited in 

an escrow account until there is a final decision on the ~ount, if any, that 

is due. Your escrow payment may be made by check or money order to the 

~Office of Surface Mining Reclaaation and Enforcement.~ IN ORDER TO ASSURE 

PROPER CREDIT FOR YOUR PAYMENT, PLEASE WRITE ON THE FRONT OF THE CHECK OR 

DRAFT THE NUMBER OF THE NOTICE OF VIOLATION OR CESSATION ORDER AND THE 

PERTINENT VIOLATION($), ATTACH THE DRAFT OR CRECX TO THE PETITION AND SEND 

TOt 

Office of Heatingo and Appeals 

U.S, Department of Interior 

4015 Wilaon Boulevard 

Arlington, Virginia 22203 

(703) 235-3800 
The dates for filing the Petition for Review are1 

1. If you are not requesting an aeaeeanent conference, you have 

30 daya from receipt of this letter to file the Petition for 

~iew. 

2. If an aeeea~ent conference baa been held, you have 15 days from 

receipt of the notice of the conclusion of the conference to file 

a Petition for Review. 

The requir~ente for the contents of the Petition for Review are set forth at 

43 CPR 4.1152. (A copy of the regulation is enclosed for your convenience.) 

If it ie determined through adminietrative review of the proposed penalty that 

no violation occurred, or that the amount of the penalty ahould be reduced, 

OSKRE will refund the amount with appropriate intereat. However, all refunds 

are subject to administrative offaet for any other outstanding civil penalty 

debts and/or delinquent reclamation fees you may owe. Please be advised that 

failure to forward the auount of the proposed asaeasment along with the 

Petition for Review under Section 518 of SMCRA will result ia a dismis&al of 

your Petition. Since you are requeoting a fo~l hearing, you may want to 

have an attorney asaiat you in the presentation of your case. However, you 

are entitled to repreoent yourself.