S· DEPARTMENT OF THE Subject Number: 

1990 

Individual Civil 

1. This Directive establishes procedures for Field 

enforcement cases to the Solicitor for criminal 

penalties or injunctive relief, and to provide the Field Assessment 

Unit with the requisite information for assessment of an individual 

civil penalty (ICP) where warranted. 

2. summary of Changes. This Directive consolidates agency policy 

and procedures necessary for Field Offices to implement alternative 

enforcement referrals for criminal penalties, ICP's, and injunctive 

relief pursuant to sections 518(e), 518(f), and 52l(c) of the Surface 

Mining Control and Reclamation Act of 1977 (SMCRA). This Directive 

has been modified and reorganized to clarify changes in policy and 

procedures concerning alternative enforcement referrals to reflect 

provisions of the Settlement Agreement between Save Our Cumberland 

Mountains. Inc .. et al .. and Manuel Lujan. Jr .. Secretary of the 

United States Department of the Interior. et al., dated January 24, 

1990. (See section 7 below, "Effect on other Documents.") 

3. Definitions. 

a. Administrative or Procedural Violation means a violation 

that has neither direct environmental consequences nor enviromrer.taj_ 

remedies (i.e., the remedial measures do not directly require 

compliance with one or more performance standards). 

b. Aoent means a person who eKercises authority and control 

over a surface mining operation on behalf of a corporate permittee. 

see 53 FR 3664, February 8, 1988. Under United states v. DiK Fork 

Coal Co., 692 F.2d 336 (6th Cir. 1982), an "agent includes that 

person charged with the responsibility for protecting society and the 

environment from adverse effects of the surface coal mining operation 

and particularly charged with effectuating compliance with 

environmental performance standards during the course of a 

permittee's mining operation. " 

c. Alternative Enforcement means the documented consideration 

and/or implementation of any or all of the following actions under 30 

CFR 845.15(b) (2) whenever a violator fails to abate a violation: 

criminal penalties (SMCRA section 518 (e)); assessment of an 

individual civil penalty (SMCRA section 518(£)); injunctive relief 

(SMCRA section 521(c)); or suspension or revocation of a permit due 

to a pattern of violations (SMCRA section 521(a) (4)). 
0' • 

e. 

know, in 

the part a 

constituted a 

346. 5, 

means the president and the directors 1 

officer or agent who has line 

a mine site, 

means that an individual knew, or had reason to 

~::~::~•:;o~~rdering, or carrying out an act or omission on permittee that such act or omission 

failure, or refusal. see 30 CFR 724.5 and 

f. Line responsibility with respect to a mine site means 

authority or demonstrated control over the conduct of surface mining 

operations, including the ability to directly cause the abatement of 

violations, and any level of supervisory responsibility aver a person 

having such ability. (For example, the mine superintendent and each 

official in the superintendent's "chain of command," up to and 

including the chief executive officer, would have line responsibility 

with respect to the mine site.) 

g. Violation. failure. or refusal means (1) a violation of a 

condition of a permit issued pursuant to a Federal program, a Federal 

lands program, Federal enforcement pursuant to section 502 of SMCRA, 

or Federal enforcement of a State program pursuant to section 521 of 

SMCRA; or (2) a failure or refusal to comply with any order issued 

under section 521 of SMCRA or any order incorporated in a final 

decision issued by the secretary except an order incorporated in a 

decision issued under section 518 (b) or section 703 of SMCRA. A 

failure or refusal to comply with any order issued under section 521 

of SMCRA would include a failure or refusal to comply with an Im:-1~~.er.: 

Harm Cessation Order (52l(a) (2)) or a Failure To Abate Cessation order 

(52l(a) (3)). see 30 CFR 724.5 and 846.5. 

h. Willfully means that an individual acted (l) either 

intentionally, voluntarily, or consciously, and (2) with intentional 

disregard or plain indifference to legal requirements in authori~ing, 

ordering, or carrying out a corporate permittee's action or omission 

that constituted a violation, failure, or refusal. See 30 CFR 724.5 

and 846.5. 

4. Policy/Procedures. 

a. Bacmround. Section 5l8(e) of SMCRA provides for criminal 

penalties upon conviction when any person knowingly and willfully 

violates a condition of a permit, or tails or refuses to comply with 

any order issued under sections 521 or 526 of SMCRA. Section 518(f) 

of SMCRA provides that an individual who is the director, officer, or 

agent of a corporate permittee and who willfully and knowingly 

authori~es, orders, or carries out a violation, failure, or refusal 

(as defined above) may be assessed a civil penalty for violations 

committed by the corporation and shall be subject to the same civil 

2 
penalties, fines, and imprisonment that may be imposed upon a pers~n 

under sections 51B(a) and 51S(e) of SMCRA. 

Section 52l(c) of SMCRA authorizes the Secretary to request a civil 

action for injunctive relief in the appropriate Federal district court 

when a permittee or agent violates or fails or refuses to comply with 

any order or decision issued by the Secretary under SMCRA; interferes 

with or hinders an authorized representative in carrying out the 

provisions of SMCRA; refuses entry to or inspection of a mine site; cr 

refuses to furnish information or records necessary in carrying out 

SMCRA. 

The office of Surface Mining Reclamation and Enforcement (OSM) has 

implemented these statutory provisions under 30 CFR 845.15(b) (2). 

That rule provides, in part, that whenever a violation remains 

unabated, a daily civil penalty shall be assessed for not more than 30 

days. If the violation remains unabated after that 30-day period, OSM 

shall take appropriate action pursuant to SMCRA sections 518 (e), 

518(f), 52l(a)(4), or 521(c) within 30 days to ensure that abatement 

occurs or to ensure that there will not be a reoccurrence of the 

failure to abate. This Directive specifies procedures for initiating 

the 518(e) criminal penalty, 518(f) individual civil penalty, and 

521(c) injunctive relief processes. Procedures for suspension or 

revocation of a permit due to a pattern of violations and for actual 

assessment of ICP's are addressed under separate Directives referenced 

in Paragraph 6. 

b. Policy. It is agency policy to ensure that: 

(1) For any Failure to Abate Cessation Order (FTACO) or 

Imminent Harm Cessation Order (IHCO) issued after the date of this 

Directive with respect to a site on which coal extraction had not been 

conpleted as of the time of issuance of the FTACO or IHCO: 

(a) OSM conducts follow-up inspections of the mine 

site within three working days after the issuance of a cessation order 

and as appropriate thereafter to determine whether mining has cease·j 

and abatement of the violation(s) has begun; 

(b) All cases are immediately referred to the 

Solicitor's Office to seek a temporary restraining order or 

preliminary injunction (or both) if, as a result of a follow-up 

inspection, it appears either that the operator is removing from the 

mine site equipment needed to perform the abatement work or that no 

significant effort to abate the violation has commenced; and 

(c) If a violation is not abated within 30 days after 

issuance of an FTACO or within 30 days after the abatement date set 

for an IHCO, whichever is applicable, osM proposes and undertakes all 

necessary procedures to assess an ICP against each corporate official 

who was served a Notice of Potential Liability and who has knowingly 

and willfully authorized, ordered or carried out a violation, failure, 
or refusal. Prior to any final ICP assessment, such officer, 

director, or agent shall be afforded due process of law in accordan( ) 

with 30 CFR 846.17. 

(2) For any FTACO or IHCO issued after the date of this 

Directive with respect to a site on which coal eKtraction had been 

completed as of the time of issuance of the FTACO or IHCO, and for any 

FTACO or IHCO issued prior to the date of this Directive with respect 

to any site: 

(a) OSM evaluates each FTACO or IHCO on a case-bycase basis and initiates injunctive relief where appropriate in order 

to bring about abatement of the violation in an expeditious manner: 

•nd 

(b) Field Office Directors decide which alternative 

enforcement measures to implement for all FTACO's that remain unabated 

more than 30 days following issuance of an FTACO or 30 days follO',;ing 

the abatement date set for an IHCO. Except in the circumstances 

described in paragraphs 4.c. (2) (a) (i)-(iii) of this Directive, all 

such Cessation Orders (CO's) shall be referred to the solicitor's 

Office for injunctive relief or criminal penalties, and subsequent to 

any Solicitor's Office action on those referrals (or concurrent with 

those actions if so requested by the Solicitor's Office), such CO's 

shall also be referred to the Field Assessment Unit for possible reP 

assessment in order to bring about abatement of the violations (see 

also Directive !NE-40, "Individual Civil Penalty Assessments"). 

(3) Injunctive, criminal penalty, and ICP referral 

decisions are tracked on the Collection Management Information Systom 

(CMIS), and pertinent information about the violation is included in 

the Applicant/Violation system (AVS) for the purpose of permit 

blocking or conditional permit issuance. 

c. Procedures. 

(a) Field Office Directors are responsible for 

tracking abatement dates and conducting mine site reinspections in 

order to determine the need for alternative enforcement. 

(i) An initial follow-up reinspection shall be 

conducted within three working days after issuance of an FTACO or 

expiration of the abatement period set in an IHCO, whichever is 

applicable. If abatement work is in progress, the Field Office shall 

conduct such further inspections thereafter as are reasonably 

necessary to verify that the operator is not conducting mining 

' 
operations in violation of the CO and that abatement of the violations 

is proceeding satisfactorily. 

(ii) If any reinspection indicates that the cited 

violation~ have been abated, the inspector will terminate the co. 

However, if any reinspeotion indicates that any violation remains 

unabated and that the operator (A) is conducting mining operation in 

violation of the CO, (B) is not making satisfactory progress toward 

abatement of the violation, andjor (C) is removing from the site 

equipment needed to perform the abatement work, the inspector will 

immediately prepare an injunctive relief referral for the Solicitor's 

Office, using the "Field Office Referral to the Solicitor for 

Injunctive Relief or Criminal Penalty (and Information for Possible 

Assessment of an Individual civil Penalty by the Field Assessment 

Unit" worksheet (Appendix 2). (The Solicitor's Office may seek a 

temporary restraining order or preliminary injunction, or both, if any 

of these situations occurs.) 

(iii) 

temporary relief from the 

SMCRA, further inspection 

the extent provided under 

If the operator or permittee is granted 

FTACo or IHCO under section 525 or 526 of 

and enforcement efforts will be curtailed to 

the grant of temporary relief. 

(b) Necessary documentation to be included in the 

injunctive relief referral for the Solicitor's Office includes: 

( i) A copy of the underlying Notice of Violation 

(NOV), co, and associated inspector's statements; 

(ii) Copies of all relevant modifications, 

vacations, and termination notices for the NOV and CO; 

(iii) Copies of relevant service of process 

receipts; 

(iv) Inspection reports, including reports of the 

reinspections under paragraph 4.c. (1) (a) documenting whether the 

operator has ceased mining at the site, is making satisfactory 

progress toward abatement, or has removed from the site equipment 

needed to perform abatement work; 

(v) Informal hearing or conference requests and 

reports; 

(vi) Administrative review requests and 

decisions; 

(vii) other pertinent documents (additional 

reports, letters, maps, photographs, etc.); 
(viii) Identification of ownership and control 

information, including the names and addresses of the company agent( ) 

or representative(&) who were served; 

(ix) A chronology or events; 

(x) Recommendations of remedial measures needed 

for abatement; 

methodology 

(Xi) 

contained in 

A Reclamation 

Appendix 1; 

Cost Estimate [RCE), using the 

regarding whether 

(Xii) Permit information (including information 

the violator has other permits and their status); 

(xiii) Bond information; 

(xiv) A map showing the location of the mine 

site; 

(xv) Directions tor service of process: and 

(xvi) 

Potential Liability for an 

evidence of service. 

A copy of the required Notice(s) of 

ICP (if the violator is incorporated) 

(c) If one or more of the items listed in section 

4.c. (l) (b) above is not available at the time the case is othen;ise 

ready for referral to the Solicitor's Office, and inclusion of the 

missing item(s) would delay the referral by more than a few days, ~he 

referral package containing all other necessary documentation should 

be forwarded to the Solicitor's Office promptly and the missing 

item(s) should be sent as soon as possible thereafter. In instances 

\vhere an NOV or CO has not been properly served, an explanation of the 

service problem should be included in the referral package, but the 

lack of service should not delay the referral to th~ Solicitor's 

Office. 

(2) Injunctive Relief Referrals for FTACO's or IHCO's 

issued after the date of this Directive with respect to a site on 

which coal extraction had been complgted as of the time of issuance of 

the FTACO or IHCO. and fgr any FTACQ or IHCQ issued prior to the date 

of this Directive with respect to any site. 

(a) Field Office Directors are responsible for 

tracking abatement dates and conducting mine site reinspections ln 

order to determine the need for alternative enforcement. If the 

violation(s) remain unabated more than 30 days following the issuance 

of an FTACO or 30 days following the abatement date set in the IHCO, 

the Field Office shall, within 30 days thereafter, prepare the 

necessary documentation and refer the case to the Solicitor's Office 

for injunctive relief, unless: 
(i) An appropriate written abatement plan has 

been entered into between the permittee and OSM, and the permittee is 

proceeding in accordance with the provisions of the plan; 

(ii) The case involves only an administrative or 

procedural violation (if, however, one or more other violations are 

involved, the entire case should be referred, including the 

administrative or procedural violation) ; or 

(iii) A CO or an underlying NOV (other than a co 

or NOV for an administrative or procedural violation) has not been 

properly served on the permittee. In those instances, the Field 

Office shall proceed in accordance with the terms of any service 

contract OSM may have in place at the time, to ensure proper service 

prior to making a referral to the Solicitor's Office. 

(b) The contents of the referral package shall include 

the items listed in section 4.c. (1) (b) of this Directive. 

(3) Criminal Penalties. In particularly serious cases, in 

addition to injunctive relief, Field Office Directors may refer FTACO 

and IHCO cases to the Solicitor's Office for criminal penalties if 

sufficient evidence exists of knowing and willful conduct on the par~ 

of a violator. 

(a) In cases referred for criminal action, the Field 

Office Director shall, using the form provided in Appendix 3 ("Knowing 

and Willful Determination Required for Recommended Criminal Penalty"): 

(i) List each person allegedly responsible for 

any knowing and willful violation, failure, or refusal (indicate the 

person's position in the company and current address); and 

(ii) Document those actions by the person which 

establish a knowing and willful violation, failure, or refusal, 

including any statement by the person which indicates an intention to 

violate a permit condition, or a failure or refus<tl to comply with a 

CO or decision of the Secretary (include dates, times, n<tmes, and 

current addresses of witnesses) . 

(b) In addition, the Field Office shall prepare the 

"Field Office Referr<tl to the Solicitor for Injunctive Relief or 

Criminal Penalty (and Inforrn<ttion for Possible Assessment of an 

Individual Civil Penalty by the Field Assessment Unit" worksheet 

(Appendix 2) and provide all of the information required for an 

injunctive relief referral under paragr<tph 4.c. (1) (b) of this 

Directive. 

' 
(4) Individual civil Penalties. 

(a) If a violation committed by a corporate permitte"' ) 

is not abat•d within 30 days after the issuance of an FTACO or 30 days 

after the abatement date set for an IHCO, whichever is applicable, the 

Field Office Director shall refer the case to the Field Assessment 

unit, using the torm in Appendix 2, for a decision on whether to 

propose an ICP, in accordance with Directive INE-40 on ICP 

assessments. 

(b) such referral shall be made within 15 days of the 

deadline by which any officer, director, or agent of the permittee '-'he 

has been served a Notice of Potential Liability for an Individual 

civil Penalty must provide documentation that he or she has taken all 

reasonable steps within his or her authority to bring about abatement 

of the violation. (Such deadline is 45 days after issuance of the 

FTACO or 45 days after the abatement date set for the IHCo, whichever 

is applicable.) 

(c) The Field Assessment Unit shall have 30 days 

thereafter to decide whether to propose an ICP and, if so, the amount 

of the proposed ICP, using the criteria set forth in Directive INE-

"· 

(5) Field Office Directors shall, during the preparation o[ 

any alternative enforcement referral, review available infor~ation, 

including permit applications, inspection and enforcement files, and 

the Applicant/Violator System (AVS), to develop complete and accurat 

ownership and control information about the permittee and operator 

responsible for the CO and any underlying NOV. The Field Office 

Director shall provide to the AVS Office all ownership and control 

information acquired through the preparation of the alternative 

enforcement referral package by transmitting to that Office a copy o: 

the "Field Office Referral to the Solicitor for Injunctive Rellef or 

criminal Penalty (and Information for Possible Assessment of an 

Individual civil Penalty by the Field Assessment Unit)" worksheet (see 

Appendix 2). The AVS Office is responsible fof updating AVS violator 

file data and, in coordination with the Field Offices, notifying State 

regulatory authorities (SRA's) of any additional ownership and control 

data for the updating of SRA databases and for other permitting or 

enforcement measures which the regulatory program may require. (Fer 

example, the SRA may need to require the permittee to apply for a 

transfer, assignment, or sale of permit rights to reflect changes in 

ownership or effective control.) 

5. Reporting Requirements. Field Office Directors shall ensure th~t 

records are maintained documenting all referral decisions and that 

CMIS is updated to track the dates and results of those decisions. 

Field office Directors are responsible for providing case-specific 

data to the appropriate Field Assessment Office and to the AVS Office 

for inclusion in quarterly reports to SOCM, as required by the 

settlement Agreement. 

' 
6. References, 

a. JO CFR 724.5, 845.15(b) (2), 846.5, and 846.17. 

b. Section 518(e) of SMCRA. 

c. Section 518(f) of SMCRA. 

d. Section 521(a) (4) of SMCRA. 

e. Section 521(c) of SMCRA. 

f. section 525 of SMCRA. 

section 526 of SMCRA. 

Settlement 

Potentia;;,:-;,1,,bilit.y 

Individual Civil ~··~::::i;: j. Directive 

Permits Due to Patterns 

March 1, 1990. 

k. Directive INE-40, 

dated March 1, 1990. 

"Suspensions and Revocation of Federal 

Violations," dated September 26, 1988. 

"Individual civil Penalty Assessments," 

s. Effective Date. Upon Issuance. 

9. Chief, Branch of Inspection and Enforcement, 

CT' 

10. Appendices. 

Appendix 1: Violation Abatement Cost Estimate Worksheet. 

Appendix 2: Field Office Referral to the Solicitor for 

Injunctive Relief or Criminal Penalty (and Information for Possible 

Assessment Of an Individual Civil Penalty by the Field Assessment 

Unit). 

Appendix 3: Knowing and Willful Determinations Required for 

Recommended criminal Penalty. 

' 
Aw:ndix 1 

VIOLATION AIATEMENI COST tSTlMATI WORKSHEET 

1. -Stru~tun J.eaoval 

:Zo EarthiiOV1111 

J. Revegetat1oo. 

4. Other Reclaaat1oo. Coat 

specify--------

·----

Total of ittlll l-4 $ ----------
(Lenath 

,, 

% T.,-,;;;-- % TilOT=- I $0. U (Width huatr.t (Colt 

iD 1D of 

---,;;;..,-- (Total 

rut) reet) l'llt) Oe11olitioa 

DlllOl1t1oll 

Coet) 

b. Mine Entry Stilt 

=""~- X $1000* • (N1,1mb1r (Ccet Per 

of Entry 

Entriee) Seal) 

Plr C"'bic 

root) 

(Total Colt 

For Suli111 

!.ntriu) 

' . Debris Han~l1r:g end Di6poul (incl,.dee miiC• equipment, 

reef 'ocltl, mint timber1, 

aeneral eite cleeD up) 

Tottl eott • $2000 per oite** 

d. Conveyor aemoval 

,=,;::,,..- X $16 (conveyor (hmoval - Lenath Cott Pat 

1a Li11aar 

J'ut) Foot) 

(Total 

Removal 

Colt e) 

*Jutt ualhl.& tha eatry. Dou not include baeltfillin& aad 

grtdilllo 

**M1,11t be adj,.aud depend1n& 011 tmount to be diepoted. 
2. laok!1Ilh& u4 l:u4h& 

a. Hhh•'"ll !lh!noUon (ContoH 1!ln!na) 

' ' T n ' n.oo• • 

(lll&hvaU (hn&th (IIJ4tll .. ' (CDII.VOU!OII (JutUlUII& (toed 

ild&ht .. .. Juch f~o• Cubic ad Ou4hl hckfUlh.& 

rut) Ii&hvaU 111 , ... ~ 2) raat to Colt Par nd Cudlu& 

111 Put) CuUe !nob) C11biC Yn4) I;OUI) 

(Ln&th 111 

hH) 

' 7 ,.,.,..,., ' ==~ ! 27 x !1 .co• .. -,-;;;:r- (wtAcb £, (lloi&ht 111' (CuvouluJocUUUna (focal 

Fut) foH) Froa Cubic ud Gudin& lloldUUna 

Fnt to Coot Par aa4 Ora4111J 

Cu'Uc Tar4o) Cubic Yard) Coou) 

' l7 X • 

{Acuo of (convualoll 

Olo<ur~ad rroa Acru Foot 

Raqulu 

Fiul GU41n&) 

Fro• Cubic Tard 

(fetal 

Fhal 

Cudllll 

·Con a) 

to Squau 

rut) 

Area 

Raquirlll& 

final CuHn&) 

Foot to for Ploul 

C"blc Tar4o) CradinJ) 

4. Topooll Radlotrlhutlon 

cr;,,-,-, X ' 3 H 0 (Acroo of (Convaralon 

Ilht11rhd rroa Aorto 

Aru To Square 

hqulrh& rut) 

:ropooU) 

XC.5 <;27 X 

(1oploU -'111 (Coovouioo 

bl l•diuri~utd rroa 

h • tlopth of Cul>1c rut 

6 ioch .. (.Sft)) to CuUc 

Ylf41) 

• 

-(Surhca ""'"'= X H (Coaveu1oe 560 ll: 2 (Tve ron , '<co-.:~vnttoo ,,~,~~~""'' ' 

Acrua• rroa An·•• "'"""'*" rroa Cutoie 

of rood) co Squn Doptb to ran CO 

7ul) I• Grdd) CuUc Tarh) 

n .oo • ~,-,.,,--- (coot Pot '(total 

Cubic tud Coou for 

For TopiOil TOpiOil 

lo411tr1~.) l•U•,). 

• ---.r;:rToi; (Toul C"'l 

ror rood 

11&01'1).) 

1 Should toe odjutted to loctl acoooatc coodttiooo ood tlte eoodittooa (diltloca 

of nU IO'I'IIIOt tod aochtoorr rtquireaoo.tt, t)'pe of ••nritl to ~~ hodlad), 

10TUt h to h uu4 vhto oo1)' tlilbt auUoa or Uu1 arodiol it htt to be 

4ou cio. thl lin. 

l 
•• 

1.. l•••attatloo 

laa4bt4 Ptaparatloa 

laa41oa, rart1111ar, 

'1'roo Plaattaa 

•· !uuHu 

• 1110/aua 

Xulcb • 17l0/acra 

• U70/uu 

·~'-' (I of uru to 

.. , ....... , 

uno nr ant + 11ZO pn· au~ • {$/a~ro lor llt4bo4 

prepautioo) 

(l(un (n u .. h&, · 

fart111otoa, ao4 

auhbh&) 

l,,,,,,,,,,,,,,,,..--

uuauoa) 

1

roir;;;,•eraa (f o! auu 

tor plnt1111) 

I !270 par &CI'I • 

tilaou lor pluuaa 

traat ao4 ollruba) 

•,,,,,,o,o,c,,-,,,,,-.,,,,,,,~u •• l 

haplll& Col:r 

Trauaoat -

(h~dre4 U pi 

11 ( 6.0) 

• $0.05/10 ft~ • $0.10/10 ft 

• ''''''"'"'''''r-J Tnat•••t> . ''''''''"'''''''''"''''-

•iaqutnd oalJ' 

tt •••• •• <•.o 

• 7"'"''"':-rrrm.-- z ,; u . zo ·(Chand LuaU (eu.nrucUoa (fotai Cooetroctloa 

to rut) tnt ru :1.1oaar cuu) 

Poet) 

• 

''''"''•''r'''•'•'•, h ailu) ~ :!"!'' x u . co •. ...,,.,,...,.,...,r-- l&•••ul Cnt (Toui laaoui 

ru Uaou Cuta) 

1'nt) 
A~pendix 2 

Field Oftioa Referral to th~ Solicitor for Injunctive Relief 

or Criminal Penalty (And Information for Possible Assessment 

of an Individual Civil Penalty by the Field Assessment Unit) 

Priority 1: 

Priority 2: 

Priority J: 

Priority Designations: 

Imminent Harm Cessation Order is unabated; or 

The permittee is actively conducting mining 

operations after a cessation order has been 

issued; or 

The permittee has interfered with or hindered 

an authorized representative in his duties or 

has refused entry fer the purposes of 

inspecting a mine or obtaining relevant 

inspection records; or 

Settlement Agreement case. 

Non-Settlement Agreement case where a 

cessation order has been issued and the 

permittee has ceased mining or abandoned the 

site without abating violation(s) which are 

or may become serious. (NOTE: An unabated 

violation would be considered serious if the 

extent and duration of the impact would 

progress to an imminent harm/danger 

condition; would tail to stabilize naturally 

before causing substantial environmental 

damage to offsite air, water, or land 

resources; or would substantiallY interfere 

with the planned postmining land use.) 

Non-Settlement Agreement case where the site 

is abandoned or inactive with environmental 

harm not as great as priority 2 above. 

1. Permittee(s) Name 

Permittees' Officer(sl: 

Name Name 

Position Position 

*** source *** Source 

*** sou:p::e - ;rndicate source of information. e.g., permit. AVS. 

furnished by violator. etc. 
Permittees' Officerlsl: 

• Name Name 

Position Position 

*** Source *** Source 

Permittee's Director Is\: 

Name Name 

Position Position 

*** Source *** Source 

Name Name 

Posit ion ·Po;on'•'iCe><;OoCn;--------------

*** source ··"•'•"•"'n'u'"'c'•;:------------

Permittee's Shareholder Is) (10'1: or more): 

Name 

Position Position 

*** source *** Source 

• Name Name 

Position Position 

*** Source *** Source 

2. Operator(s) Name-----------------------

Operator's Officer(s): 

Name Name 

Position Position 

*** Source *** Source 

*** Source Indicate source of information, e,g., permit, AVS, 

furnished by violator, etc. 
operator's OfficerCsl: 

Name 

Position Position 

*** Source *** Source 

Operator's Directorlsl: 

Name Name 

Position Position 

*** source *** Source 

' ~·L_ ________________ __ 

Name Name 

Pas it ion ip>.oOoC,C· c>i<o;;;;n------------

* * * source <,c,c,;-,co~u;:;o;o;o;------------

Operatorlsl Shareholderlsl (10% or more): 

Name ' b''~------------------ Name 

Position ip>.oOoCiCtC,c· o;;;;n-----------

*** source *** Source 

Name Name ' 

Position Position 

*** source *** Source 

*** source 

furnished by 

Indicate source 

violator, etc. 

of information. e.g., permit, AVs. 

Permit Information 

MSHA 

Expiration Permit Number Number Date ;~=======::::::::::::::::::::::::::::::::: 

Status: Type: Int-erim Active =========== Inactive Permanent =========== 

) 
Additional Information: 

001 V/T NOV# COUNTY PERMIT# CRIM 

A copy of the underlying NOV, co, and associated 

inspector's statements. 

Copies of all relevant modifications, vacations, and 

termination notices of the associated CO(s). 

Copies of relevant service of process receipts. 

Inspection reports. 

Hearing or conference requests/reports. 

Administrative review requestsjdecisions. 

other pertinent documents (additional reports, letters, 

maps, photographs, etc.). 

Identification of ownership and control information 

including names and addresses of the company agent(s) or 

representative(s) who were served. 

Chronology of events. 

Recommendations for remedial measures needed for 

abatement. 

Reclamation cost estimates using methodology contained 

in "Violation Abatement Cost Estimate Worksheet." 

Permit information (including information regarding 

whether the violation has other permits and their status) . 

Bond information. 

Map to mine site. 

Directions for service of process. 

Copy of the required notice of potential liability for 

an individual civil penalty (if violator is incorporated) and 

evidence of service. 

Field Office Field contact Person 

Telephone Number Date 
Knowing and Willful Determination Required 

for Recommended Criminal Penalty 

AppgC\di)( 3 

1. Document those actions by the permittee/operator which are 

considered to be a knowing and willful violation of a permit 

condition or a knowing and willful refusal or failure to comply 

with a cessation order or decision of the Secretary. 

2. List those persons allegedly responsible for the abovedescribed knowing and willful actions, or failure or refusal to 

comply (indicate position in company and current address). 

3. List any statements by persons which indicate an intention 

to violate a permit condition, or failure or refusal to comply 

with a cessation order or decision of the Secretary (include 

dates, time, name, and current address of witnesses). 

I