Subject: 

OSM/103 

.. 

U·-S· DEPARTMENT OF THE INTERIO 'Subi~~:tNUI!lber: 

OFFICE OF SURFACE MININGr.::T~~--~ttal~Num~ber-:-.....:j RECLAMATION AND ENFORCEMENT 374 

DIRECTIVES SYSTEM Dau: 9/4/87 

Conference Officer Operations Manual 

.-···"7 

i .. - , ?!,. .. • •. ( w·~ •1-1.-"" J_Q,. 'lj n&: Director 

1. PURPOSE. This directive is to info~ all OSMRE employeea of the 

availability of the OSMBX Conference Officers Manual. This manual 

provides standard$, policy and procedures for use in planning, 

conducting and reviewing assessment codferences for c~pliance 

with Part 845--Civil Penalties, Code of·Federal Regulations, 30. 

2. DEFINITIONS. None. 

3. POLICY/PROCEDUilES. The OSM!IE Conference Officer Manual was 

developed to provide OSMRE's Conference Officers, conference 

reviewers, and confarenee man&gBrs with guidanee far. use in 

performing and evaluating all phases of the conferences, 

couductins conferences, ~ettling cases, prepsring·confeten~e 

reports, reviewinz and approving .conference settleaents and 

reports, and qua~ty control review of conference work. 

4. . REPORTING REgulREMENTS. See attached appendix. 

5. REFERENCES. See attached appendix. 

6. !l.F'l':&CT ON OTIIEll. DOCinmm:s. Snpercedes draft manu.al dated 

August 7, 1986. 

7. EFFECTIVE DATE. Upon issuance. 

8. CONtACT. Directorate of Finance and Accounting, (202) 343-3062. 
• 

OFFICE OF SURFACE MINING 

RECLAMATION AND ENFORCEMENT 

CONFERENCE OFFICER 

OPERATIONS MANUAL 
\ 

Chapters 

1 

2 

3 

TABLES 

A 

B 

c 

D 

E 

CONTENTS 

Table of Contents 

Time Guidelines Chart 

INTRODUCTION AND OVERVIEW 

1.1 General Background 

1.2 General Appeal Rights 

CONFERENCE PROCEDURES 

2.1 

2.2 

Purpose of Conferences 

Responsibilities of the 

Conference Officer 

2.3 Scope of the Conference 

2.4 Scheduling the Conference 

2.5 Preparing for the Conference 

2.6 Conducting the Conference 

2.7 Settling the Cases 

2.8 Preparing Conference Report 

2.9 Conference Officer Audit Report 

2.10 Correction of Conference 

CIVIL 

3. 1 

3.2 

3.3 

3.4 

3.5 

3.6 

Officer Documents 

PENALTY ASSESSMENT 

Point System for Penalties 

History 

Seriousness 

Obstructions 

Negligence 

Good Faith 

Conversion of Points 

Assessment Guidelines 

Procedural Guidelines and 

Flow-Chart 

Exhibits and Forms 

Case File 

i 

i i 

1 

2 

3 

3 

5 

5 

6 

37 

39 

39 

40 

53 

54 

55 

55 

56 

57 

58 

60 

62 

66 

71 

116 
Within 10 days copy is 

sent to Branch of Civil 

Penalty Assessments 

(BCPA) 

TI.ME GUIDELINES 

PENALTY ASSESSMENT & 

INFORMAL CONFERENCES 

-

Citation ) is 

written 

T 

I 

Within 15 

may submit 

) 

I 

Citation is served 

the Operator 

I 

I 

days Within 30 days 

may file 

written material appeal 

to OSM and 

Inspector 

T 

Appeal of the citation 

is referred tO as 

request for an "R" 

hearing. 

Written material considered (if submitted) and 

within 30 days BCPA will *sEE ASSESSMENT MANUAL serve Notice of Proposed 

Assessment (NOPA) 

I 

Operator is served 

Once the NOPA is issued, an appeal NOPA 

is referred to as request for a ''P" hearing. 

I r J 

Within 15 days May pay NOPA 

to 

I 

Within 5 days 

may request 

mine site 

hearing 

May file 

appeal I 

Within 30 days may request may file appeal informal 

conference • 

I 

Continued 

ii 

(NOPA placed in 

escrow) 

• CFR and the NOPA letter both outline that 

request must be made in 15 days. An 

additional 8 race p eriod of 15 da y s has 

been added thus allowing 30 days to 

request the conference. 

\ 
I 

If approved copy of NOPA 

and conference 

approval letter eent to 

field 

Conference held within 

60 days of approval or 

termination. whichever 

ia later ** 

Within 5 days before 

conference notiCe is to 

be posted 

Informal conference is 

held 

Within 30 days 

Conference is concluded. 

reviewed and approved. 

** Conference is to be held within 60 days of 

receipt of the conference approval letter or 

60 days from the date of termination. 

whichever is later 

I 

Operator may 

settle 

:!.ii 

I 

Operator is served 

Conclusion of 

Conference 

r 

I 

Within 15 days 

may file appeal 

(assessment 

placed in 

escrow) 

l 

After 30 days 

final order is 

sent 
CHAPTER 1. 

INTRODUCTION AND OVERVIEW 

This chapter presents general information about the 

establishment of the Office of Surface Mining and a discussion of 

the Conference Officer Program. 

1.1 General Background 

The Senate and House of Representatives of the United States 

of America in Congress enacted the Act cited as the "Surface 

Mining Control and Reclamation Act of 1977". With the passage of 

the Act under Sec 210(aJ there was established in the Department 

of the Interior, the Office of Surface Mining Reclamation and 

Enforcement <OSMREJ. National concern over extensive 

environmental damage caused by previous coal mining activities 

·led to the passage of the Surface Mining Control and Reclamation 

Act of 1977. 

In the enforcement at the Federal program or Federal lands 

program, or during Federal enforcement pursuant to section 502 or 

521 of the Act, any permittee who violates any permit condition 

or who violates any other provision of this title, may bE 

assessed a civil penalty. Each day of continuing violation may 

be deemed a separate violation for purposes of penalty 

assessment. In determining the amount of the penalty 

consideration shall be given to the permittee's history of 

previous violations at the particular surface coal mining 

operation; the seriousness of the violation, including_ any 

irreparable harm to the environment and any hazard to the health 

or safety of the public; whether the permittee was negligent; and 

the demonstrated good faith of the permittee charged in 

attempting to achieve rapid compliance after notification of the 

violation. 

A civil penalty shall be assessed only after the person 

charged with a violation has been given an opportunity for a 

public hearing or other appeal rights. Where the person charged 

with such a violation fails to avail himself of the opportunity 

for a hearing or other appeal rights, a civil penalty shal I be 

assessed after it is determined that a violation did occur and 

the amount of the penalty warranted, and has been issued an order 

requiring the penalty be paid. 

1.2 General APpeal Rights 

A. Within thirty <30J days after receiving 

permittee may file an application for review 

hearing under the provisions of 43 CFR Part 4. 

a citation the 

and request for 

-J 
\ 

B. ~ithin five <5) days of being served a citation the 

permittee may request a mine site hearing to review or protest 

the facts of the violation. Forms for requesting the hearing are 

attached to the served citation. If the operator is dissatisfied 

with the results of the mine site hearing, a formal appeal may be 

requested under the provisions of paragraph A above. 

C. Upon receipt of the Notice of Proposed Assessment <NOPAJ 

of penalty for the violati~n, the Operator may request either 111 

or <2) below: 

Ill Within thirty <30l days request an informal 

conference to review or protest the proposed penalty amount. 

This conference is to discuss the amount of the penalty and not 

the facts of the violation. The person requesting the 

conference need not pay the proposed amount into escro~ to 

qualify for the informal conference. 

<2l If a conference is not requested within thirty 

<30l days, the operator, by placing the proposed amount of 

penalty in escro~, may request a formal hearing to review or 

protest the amount of the penalty, and/or the facts of the 

violation, it not already requested. 

D. After the informal conference and receipt of the 

Conclusion of Conference Report, within fifteen 1151 days and by 

placing the amount of penalty in escrow, the operator may request 

a formal hearing to review or protest the penalty amount and/or 

the facts of the violation, if not already requested. 

The Act, clarified and amplified by the Code of Federal 

Regulations, allows coal permittees the opportunity to have a 

public hearing when they are issued violations and are to be 

assessed civil penalties for actions contrary to the Act. In 

addition to public hearings, a procedure has been initiated 

allowing for informal conferences to be conducted after a 

permittee has been issued a NOPA. The Conference Officer 

position was established in order to provide trained personnel 

to conduct these informal conferences. This manual is written 

to delineate the procedures and guidelines for the Conference 

Officers, and to depict the requirements in conducting informal 

conferences. 

2 
CHAPTER 2 

CONFERENCE PROCEDURES 

The procedures outlined in this chapter 'apply to informal 

assessment conferences. The responsibilities and activities of 

Conference Officers are as delineated and generally follow the 

procedure depicted in the flow-chart shown under Table C. 

2.1 Purpose~ Conferences 

The conference allows the permittee or operator an 

opportunity to informally discuss the proposed assessment of 

penalty for a citation prior to the assessment becoming 

finalized, and· without placing any money into escrow. It is an 

opportunity for the permittee to bring to light information which 

was not available at the time of propos~d assessment, or to offer 

extenuating circumstances which may have a bearing on the case. 

After presentation of facts the Conference Officer, upon 

obtaining concurrence from the reviewer, renders a decision and a 

final assessment. Settlement is to be accomplished, it possible; 

as it precludes further collection and legal action and the need 

to deny permits or take other remedial measures because ot 

outstanding violations or penalties. 

The good faith criterion is considered only after a 

violation has been abated and normally is not considered by the 

assessor. The conference provides the permittee the opportunity 

to document whether good faith points can possibly be awarded. 

In addition to good faith, the conference provides the permittee 

an opportunity to present any facts having a bearing on any ot 

the elements of the proposed assessment. 

The conference is not a forum for discussing whether the 

violation occurred--it must be accepted that enforcement actions 

taken in the field are correct. Where the permittee asserts 

facts which would indicate the violation was written in error, 

the Conference Officer should bring these facts to the attention 

of the Field Office Director so that corrective action may be 

taken if appropriate. Where a dispute remains, the proper forum 

for discussing the enforcement action is the hearing procedure 

pursuant to section 525 of the Act. 

2.2 Responsibilities~ the Conference Officer 

As conferences are the means tor the permittee and the 

general public to discuss and resolve the merits and aspects ot 

proposed assessments, it is essential that the Conference Otticer 

be regarded as just, consistent and accurate in the 

interpretation of law and pfocedure. This requires that the 

Conference Officer be knowledgeable in the application of laws 

pertaining to the coal mining industry. 

3 

> • 

~ 
\ 

The Conference Officer must appear as impartial but 

objective in the decision making process. Communication is 

essential so that all affected parties feel that justice 

prevailed and the right of expression and appeal was served. The 

mission of enforcement of the Act is prevalent in all decisions 

but the intent of the Jaw must be considered in all endeavors. 

The permittees should be taught the requirements of the Act but, 

more importantly, become endowed with the spirit of cooperation 

in endeavoring to fulfill the provisions of the Act on a 

voluntary basis. 

Negotiations are to be conducted rational Jy in order to 

settle the issues involved in the penalty assessment process. 

The Conference Officer must possess the ability to listen, 

perceive, and evaluate information to arrive at a final 

conclusion·based on fair, impartial decisions rendered by facts 

rather than impressions or preconceived concepts. The 

Conference Officer must possess the ability to research 

pertinent information in order to prepare for the conference and 

to evaluate presentations made at the conference. In addition, 

the Conference Officer must possess the technical ability to 

obtain and understand the facts relating to violations, including 

intent, seriousness, and potential or actual environmental harm. 

The Conference Officer must construct and maintain a 

complete file for each conference (see Table El. It is essential 

that procedures and efforts be fully documented, as we! I as the 

decision making process used in rendering the final assessment. 

A log or history sheet <~imilar to Exhibit 17) shall be used to 

record activities and other actions taken in the conference 

process. This form does not replace other required documents but 

is a brief recapitulation of actions and events encountered or 

contemplated during the case assignment. Also in the event of 

transfer or other monitoring of the case it wil I allow continuing 

action to transpire without unnecessary duplication of effort. 

Typical forms and documents used by the Conference Officers are 

shown in Table D. The Branch of Civil Penalty Assessments <BCPAl 

will send pertinent documents to the Conference Officer so that 

a file can be established and maintained. In addition to the 

documents received from BCPA, the enforcement documents 

pertaining to the citation wil I be secured from the Field Office, 

and will be made a part of the file. The Conference Officer will 

send a Conclusion of Conference letter and an Assessment 

Conference Report to the permittee after the conference is 

concluded. The Conference Officer must also send copies of the 

Conclusion of Conference Letter and the Assessment Conference 

Report to the BCPA. Reports and correspondence prepared by the 

Conference Officer will be retained in the case file. 

There will be a person on the Conference Officer's staff 

designated as responsible for reviewing the Conference Officer's 

work for accuracy and adherence to policy. 

The Conference Officer will prepare a report documenting the 

4 
NOV or CO numbers, the proposed assessments, the original point 

totals, modified assessments, and the modified point totals. 

2.3 Scope ~the Conference 

The Conference Officer has authority to affirm, raise or 

lower the penalty as specified 

Directive: 

in the Delegation of Authority 

OPM 5-11, #250, dated 7117185, paragraph 3ct19ltpl: 

Conference Officer 

"The 

has authority 

proposed civil penalty. 

to raise or lower the 

This authority 

limited to modification 

includes but is not 

of an assessment 

percent and $500 of 

in excess of 25 

the original assessment." 

2.4 Scheduling the Conference 

The permittee must reguest a conference in writing within 

of 

thirty 

Proposed 

t30J 

Assessment). 

days of the receipt of the assessment package <Notice 

A form for requesting 

be 

a conference will 

included 

penalty. Requests 

in every package where a violation warrants a civil 

for conference will be sent to: 

Branch of Civil Penalty Assessments 

Office of Surface Mining 

Department of the Interior 

Washington, D.C. 20240 

After the conference 

~pproval is forwarded 

is approved, a copy of the conference 

to the appropriate Conference Officer, who 

is responsible to schedule the conference. 

date and 

The 

concluded 

conference must be scheduled at the earliest practical 

no later than sixty (60J days after receipt of 

is 

the 

later. 

approval 

Any 

Jetter 

conference 

or the end of the abatement period, whichever 

days of the receipt of 

that is not concluded within sixty <60) 

the approval Jetter must be reported 

Exhibit 16). The permittee 

(see 

should be given an opportunity 

have the conference scheduled 

to 

at a convenient date and place. As 

the conference may be attended by the public, 

wil 

the conference site 

I be a location available for public access. 

A notice of the .conference, pursuant 

be posted at the OSMRE Field 

to 30 CFR 845.18, must 

over the mine at 

or area office having jurisdiction 

This notice 

least five (5) days prior to the conference. 

is a copy of the conference scheduling 

Exhibit 1l. The public 

letter <see 

notice requirements 

participation requirements, 

and the public 

pursuant 

be observed. If, due 

to 30 CFR 845.18tblt2l, must 

to budget constraints 

conferences are held 

on travel, 

by telephone or by letter, the public will 

be included in the following ways: 

tll For telephone conferences, 

arranged upon advance 

conference calls will be 

request of the public; 

5 
ma i l 

the 

trcm thE permittee ~ill 

FUblic, the day on which 

be- avai !able. upon request tram 

the conterence in scheduled. 

The purpose or the conference is to provide the permittee a 

fcrum for discussing the assessment. The permittee is contacted 

e,itt.er by phone and by regular mai I regarding the time and place 

for the conference, or by certified mai 1 if prior phone contact 

was not possible <see Exhibit 11. It the permittee cannot make 

the scheduled appointment, fails to reschedule the conference or 

fails to appear at the conference, the conference may be 

concluded without any further information from the permittee. 

The permittee will be sent a letter <see Exhibit 31 concluding 

the conference to allow the permittee the chance to request a 

t~ec.ring, and to finalize the case tor collection purposes if the 

permittee does not request a hearing. 

2.5 Preparing f~r the Conference 

In preparing 

Conference Gtticer 

arE included in the 

eacn tollow: 

and reviewing the assessment file, tne 

shal 1 maKe certc.in that all basic documents 

tile. A list of documents c..nd a sample or 

A. Assessment Pac~age 

1. Conference ~equEst Approvc..l 

.c. 1st page of I etter: ~o~ice or froposed Penalty 

Assessment <NGFAJ 

3. Completed Conference Request Form 

4. NOPA 

5. Assessment ~orksheettsJ 

6. Assessment ExplanationtsJ 

B. Enforcement Package 

1. Copy of citation to include continuation page<sl 

2. Inspection Report<sJ 

3. Inspection StatementLsJ 

4. Log sheet <if applicable! 

Mod if ication(sJ Lit applicable! 

6. Termination or Vacation- include applicable 

inspection report<sJ and statement(sJ 

6 
X. ~his ~he operator or 

person reqyesting the 

conference (See page 3) 

United States Department of the Interior 

OFFICt OF SUPJACE MININC 

Mr. Lloyd Smith 

Manager 

Anyole Coal Com?anv 

P. 0. Box 000 -

Jelllcc, IN 377~2 

f{ttlarn.ation and Won:e:a:u=: 

WASHINGTON, D.C. ~40 

FEB 13 1987 

"Bi FEB 19 A!O :39 

CONP'ER!SCE Uourst APPROVAL 

ns ... :- .-... ,t. :v FI~~-D c;r; i': --

u, N86-91- 000.1(1) 

Thia ia in reapooae to your letter(s) dated February 2, l~E7 

1n which you reque!ted a eon!erenee. Your request haa been granted 

and ia being forwarded to the appropriate OSM office for •••1gn~nt. 

A Conference Officer vill coataet you to aehedule the coafereace. 

lf you have aay que•ttoa• or Deed •••iatanee, pleaae e&ll the 

appropriate Conference Officer li•ted oa the attaeh~at to thit letter. 

Robert 1. Ca~bell, Cbief 

lraneh of Ci•tl Penalty Aateat~Dtt 

7 

Page l of 6 

Is ~he citation nu~e= 

consistc~t thro~g~c~t 

this pack..age 

~---------"!he ccnfere~ce ~st 

be hel~ V1th~n 60 days 

of date received or 

~he ~er--!na:ion date 

of the citation whichever is later 

Note that it i• specified 

contact vill be ~de to 

achedYle the eouference 

. -J 
\ 

EXHLBI! 1 to !able E (Ccctinued) Pace. 2 of 6 

This letter ~ ae~t after the lranch o! Civil Penalty Aaoeowmento (ICPA) 

receives a copy of the c1tat1an and bas completed the Notice o! Propoaed 

Aaoea-=e~t (NOPA). With th1• letter and the NOPA (pages 4 '5), there 

1o a blank request for co~fercnce form (aee pace 3). If the operator 

request& a conference, thia ia returned, evaluated and acceptance or 

de~ial 1a give~. 

e -

. 

... 

United States Department or the Interior 

Omct OF SUUACI MININC 

J.ec:la.madcm ~d WCift!C:mCt 

W ASHINCTON, D.C. 110240 

Anyole Coal Co:::pa:-:Y 

P.O. Box . 

Jellico, ~- 37762 

January 28, 1987 

I!Z: CIVn. PmAl.Tm 1'tR VIlL'.1Ial CF lHE SI.FIK£ MININ; CDm AND 

I!ZC!.IMAnQl JCr CF 19n, (SiJ\JJ, ~ o.s.c. 1201 et eeq. 

Ux:losed is • tx>tlce of p~~ civil peDOlty uses=t vith respect to 

certain violatlncs for vtW:h • ootine of violatlnc (NO\') or a cea .. tlnc 

order (CC) was iuued to you. 

Please read this letter very carefully. It c:octelns iofoi'IIIOtlnc 

coccerc1"4! requ!.remeota fDr p.oymoct of civil peDOlty ..... -. vhJcl> 

...,.t be foJJC>WI!<! to ....,ld add1t1ooal coot, lll:d requlremecU for cbt•~ 

!r.formal and formal review of the peDOlty. If y<:>.J have ar:y quest!Dr.s, 

)'<:>.J fi>E'J call the Branch of Civil Per.alty Asses"""""' at (202) 653-2904. 

I. P.uMDrr :1'1\lXDlmS 

Uoless you req.Ject ar. asses~ cocfereoce or adm.ii::i..atrati~ heuq 1J:::; 

accordance vith the instruct!ocs aet fDrth bel COl, the p~aed civil 

per-.alry asaea......,t vUI becaae • Final Order vithiD ~days of nce1pt of 

this letter. Paymect &1St be received by the Offlne of Surface Mini"4! 

(CEH), lrarch of Collectlncs, vithiD ~days after the uoes=t bee.,_,. 

a Final Order or the debt vill be coco1dered delinquect ODd the fDll""1"4! 

aeq.>er>ce of charges vUI be applied to your aceo<m: 

A. ~tereat calculated at the curro<lt Treuury rate vUl be 

aaaesaed from the day vheo ~of the civil peDOlty 

ws first &>e. 

I. Admllll.atreti'"' coots 1lx:urred in the proceea1"4! lll:d 

bocdlq of the clolll>quoct clobt, 8UCb u tho coat of 

referrq tho .ceo<m to a clobt collectlan CCIII>C'1· 

C. If -r portlan of tho civil p«>alty .._ina <q>aLd 90 

daya after tbe uaea- La firat -· you vUl be 

albject to a 6 peroect pe<>alty ,....- ~ tho balarce &>e 

calculated from the firat day af del~. ThJ.e 

pe<>el ty vU I accrue at tho rete af CX>O-hal f of ex>e 

perc:ect for each .:x>t h or port lac the roof thot the 

bol aoce remaina ~ Ld. 

s 
EXHl!II 1 to Iable I (Continued) Page 3 of 6 

Thio form ia aent blank to the operator and if a conference io desired 

the form ia completed and returned to ICPA. 

~723-4 

Jtcvieed 2-10-8' 

Civil Penalty Section 

Office of Suiface HininR 

V.S. Depart•ent of the Interior 

195! Constitution Avenue N.~. 

Wa•hlngton, D.C. 20240 

Dear Sirs: 

FEB 2 1987 

(Date) 

Purauant ~o 30 CFR 1845.18. I request a conference to revtev 

the proposed assessment for violations of Notice of Violation(•} 

I __ ~B~6~-~9~1_-0~0~0~-~~~----- and /or Cessation Order( a) '----------~--------

tfy telephone number 1o !Jt.F) 555" -7) 1-b 

_________ ~~· requestor 

5S5-~1'[. 7'/t,-------------·relephone uulllber of the 

iJt cure) 

(N~me of Permittee or Operator) 

-;7 •oOI(f---Mailin& address of the 

(-o.i~cX Q?0 dell/CO z;;v-JZ/?7._ requutor (Addreaa of Peralttee or Operator) 

Provided your requeat fa received within 15 daya aa provided in 30 CFR I84S.18, you vill be coa~acted by a conference officer in order to •rr•n&e the tiae and place of the conference. 

( 

Pvravant to 30 CFR I84S.18(~)(2), at leaet 5 daya prior to the 

conferenc~. notice of the t1ae and place of the conference auat be poated at the OSH field office th•t haa jur1adiction over the a1ne. £ay peraoa baa the ri1ht to participate ~n the conference. 

15 day craee period has been 

added thus allovin& 30 days 

to request conference 

Thia re-emph&si&es the 

requirement for posting 

Anyole Coal Company 

.J.ii:u.:ary 28, 1987 -- Company name end date of initial letter 

9 

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EXEl!I! 1 to Table E (Caotinued) 

OSB 723-5 

.Jievised 7 /10/Sll 

CIVIL PENALTY SECTION 

OFFICE OF SURFACE MINING 

RECLAMATION AND ENFORCEMENT 

U.S. DEPARTMENT OF THE INTERIOR 

WASHINGTON, D.C. 202ll0 

NOTICE OF PROPOSED ASSESSMENT 

Notice or Violation I 86-91-000-1 

The Civil Penalty Section has reviewed the notice of violation 

indicated above, 1nrormat1on rurnished by the authorized 

representative of the Secretary, and any information eubm!tted 

by the permittee or operator pursuant to 30 CFR ~ 8ll5.l7. 

Based on this review, the C1V11 Penalty Section has determined 

that the violations cited appear to have occurred and proposes the rollo~1ng penalties: 

NOV received: 12/18/86 

Page I. of 6 

Violation No. 

or 

Amount or ---,;_--no-uoes this a.mount Proposed Assessment(-- agree v1th page 5 

$ 1,600.00 

or 

or 

or 

or 

or 

or ----------------~~----------Is the total correct Total Proposed Assessment $ ~·- _.o_o ________ __ 

Note: If the attached assessment worksheet ahows that good faith 

was not considered in making this asaesament (due to tbe length 

or the abatement period), 70u may request a modification baaed 

on consideration or good raith. To obtain a reduction or the penalty on the basis or good faith in attempting to achieve 

compliance, 70u muit ahow that JOU took extraordinar7 meaaurea 

to abate the violation in the shortest poaaible time and that 

abatement was achieved befOre that date aet.!or abatement. Tour 

request tor a modification ahould be made in writing, after the 

vlolatlon has been abated, and should be addreaaed to the C1v1l Penalty Section at the above address. 

10 
EXEIBI! I to !able E (Continued) Page S of 6 

Assessor's identifying nl.li!Derln case of questiOns or problens the 

person Making the assessrrent can be 

a:>nt-=1::-~e..! 

?•;• _l_ c! _I __ 

NC\1 • $(.-'I\ - bO~·- I 

co • 

Nu.:e c! Cc~pa.'1y 

Pn-"a • 1i s-Ap a 

CoA~ Co ....... P-'9"" 7 

Viola~ion t -----~'---- o! 

\ 

~. Hi5tory of previous violations 

2. Seriousness (either A or B} 

A. (1) Probability of occurrence \S 

(2} Extent of potential or 

actual da.rnage 

B. Cbstruction to en!orcement 

Total Seriousness 

3. Negligencl! 

-4. Good Faith (.Will be considered af'ter complete 

information is received) 

TO'I'AL POINTS 

ASSESSH.EN"I' 

Vic:ation t -------------- of 

1. Hi•tory of previoua violation• 

2. Seriousness (either A or B) 

A. (l) Prol:>al:>ility of oc:c:urrenc:e __ _ 

(2) Extent of potential or 

actual damage 

a. Obstruction to enforcement 

~otal Seriouaneaa 

3. Negligence 

~- Good Faith (Will be conaidered after complete 

information ia received) 

TarAL POINTS 

ASS~SSHEN'I' 

11 

PC'l~TS 

-

36 

s "· D'O 

POINTS 

s __ _ 

.Are theae points in line 

vith assessment guidelines 

~ Is the mathmatical 

calculation correct and 

does the point count 

correspond to the 

assessed dollar amo~nt 
\ 

EXBIBI! 1 to Table t (Ccctinued) .. Page ·6 of 6 

Thi• paze 1& not aent to the operator but is included in the aaaeaoment 

package oent to the Confere~ce Officer. !valuation ahould be .. de to 

aee if the auuoment po.ek&&e .and thio rationale correopondo with the 

inopector'• otatament(o) and io in line vith aeneral •••••oment cuidelines. 

OS~ 12J-6(a) 

.ll/27/79 

Aaaeasment Ezplanatian 

.ge __ \_of~ 

•CN t '5(.,-'\\-ooo- \ 

co ·------------------ " .._~... 0 ! COn\ pan y _.:_-4.:_:/V:_,j::._::O~L:.:t::.__.:::Cfl::_:""'::f:..__:~::__:~.:.:_:l':._--9:.:..:..--':_.(~--------:-----

Violation f __ ...;. __ of--'----

ftiatory of previous violation•• 

Seriousneas: (either A or B) 

}... 

(1) Probability of oecurrencet \5 

tv ,t:; re,e ?o£ <" '' _;...., //A'..s Occ v,-e l?e z:>. OP&<"1 ro~ H'_.,.s 

"'" r '""-"·;.;'"-"'~~P z;,:;sc,ifo<?.<r:;:.£ o,c Scl>·:...&~r ;s_.,..s,:V. 

J) sc-t..,~G-Ei ;./.«1> A Ph' o~C 3. 73. c..;P:S7A!&..-;>..-;~ SA .... P<ii w"'.s. 

~ • fJ'? f' H, 'J) OWAJ S 7.:?£:..-;>-? t.J A-.!. ,:_ • r;_ 0 

(2) ~xtent of actual or potential ~amege:'1 

a. Obstruction ·to enforeementz 

Jlogligeneea CJ\DINMY III:CLIG!:NCE \1,_ 

Goo~ Faith• . WlLL BE CCNSIDE~ED AFTER COIPLETE JNFCJIMTICN lS JtECElVtD 

12 

Do the points 

correspond to 

those reflected 

on page 5 
~l!IT 3 to Table I (Continued) Pa&e 2 of 11 

'!'l'1is is ~'-le :ro:-:t pd?€ o! t..~e ci ~:io:1. ca.:-e::.:.: rE'"~·ie-.. : s!Jo·.:.lC be ma:Je t.D 

as =eo:-~:-. t.l"..a: t.'-le correct orga.-..:.za~o:-. is ide.-.:.i:ie::,. prope:- service has 

bee:; execc:tee, ll1"lC ar.y other discrep.mcy t:r.a~ might be ==vered. 

He ~rmil 

"'''""'GI Uc•eas 

P.o. Box 000 :f£.11;"' 'uw..J. "377t:..j. 

8E-Ac3 

\J'o!O£~ T,..E A\JTHOR:T'r oc TM£ SUJit!CACE Wf"''ING CONTII'IO:. ANO II!.EO...A.IoU,TtON ACT OF' 

,,,., (P.~ r.:.-67, X U.S C 11':1;. TM£ UNOEFtSIONEO AUTP~OFUZEO RCPfE.SiE.l"'TA .. TIVE OF' TME 

&EC!IIIE"U.R.Y OF' TME INTERIOR h.&.l conclwc:I.C I" in&pKtiOf'l of the b•e l'li1'1t 01'\ the a.bO¥! Cl< 

ef'IICI f\.a1 loul\(1 'f"iolalt0"4(1) of ttw Ac\. the r~vtationl 01' fe!Q~o~ir.:' ~i:oftdiliotl(t) 1•1\tod In ttw at. 

&ac:'f'\IN'1'\I(S) Tr'lil NOhCA 00!'\ltlhtta a MQoaratt HOttOI O! VIOlation for .. c::fl ... 11101'1 lilltd 

"o'" """''~ a~att ea~:"' of t~M YIOit1iol"':s) •ltt~ir~ tN IIHS•Qf'\ateod ab&tttr~oef'lt lima. Y01.1 are res~on 

s.IDit tor OO•n; ''' •O"' ,,., 1 urc ar< W0'"4manlol.t ml~'~"t:•. 

'THE U"'':>EJitS•0,..£0 A.I/TMOR~£0 REitRESENTATl'IE HEiitE!Y FIN OS T"AT THIS NOTICE 

I!' t>OES NO": EZ:IiliiE! ~EOJ CIE CESSATIO~ 0" lii!IN'tNC £XPAESS;.v 0"1N PRACTI:Al. fC. 

F'ECT Thoe•tto•t. 10'" - l?"'a•t I'IOt t'l'll<llt<' lc an ii'IIOttn&l p~o~bl•t M8'"'' on te-Q..,.ll, w•ll"un )() 

,..."' 81te· M""uc.e of ""'' ""'"~ CIC· CS:P ~ t5) 

Tr"'' Notiet Sl'lat: tem.ain it~ t'lltcl until It e•pirea u ""ooPiOed 0t1 1M ,.,.,..,.., Ot is ft\OCI•I•K. ter· 

fftif'!.ai..C:, 0< •ac:atee by .,,;u,,. f'ICihC:t ot 81'1 8\oltl"'on:.cl lt'PftMI'Itati•e ot tne S.Cretary TM IH'f'lt for 

CIO'•Kt•O" tnar be trtti'ICitC: by an aiJif\or~tt'C! ft'P'•sent8tr•t tor~ c.auu If rou Mot<~ aOCI•IIOnal 

titfte to c.orr•c:t '"' •rotatoOI"(a:. pteau CO"'tac:t tht f1etd Oil ret f\8mt"CC abo•t 

13 

Data ahould be 

cross-checked 

against ~hat 

ahovn on the 

Aaaesoment Package 

Verify that oervice 

vas executed and 

citation 1• valid 

Note the name of the 

ins~ectoT in case 

questions aTise 
\ 

!Xl!IBIT 3 To Table I (Cocti.nued) Pace 3 of 11 

This 1• the oeeood P.&e of tbe citation. A pace 1a aade for .. eh aeparate 

Yiolat1on vitbio the c1tat1oo. The information ohould be crooo-cheeked 

a&ainot t·he .Uta 1n the Aaouo-ot paelul&e to aaaure the eve are consiatent. 

Otl.u 

u.s or,.A•n•EH1 •' ~ct ...... 

or'"' 

~ J. .. 

•···t'i~• . "' .,.. "'..._.."1 @;:;,, -tJDtJ -2 

NOTlCE OF VIOLATION ICOHTIHUATIOHI -,-.. I 

NATU~E OF PE.MI1 CONOmON YIOUTED PUCTlCE 0~ VlOI.ATIOH 

F .. :l.- - _ _.,.. .trl ... - 1, ·L !. ... ;o ... u .............. .l. -- • "' 

~ .. -~~· • t.:. • !::" ... ~· u. •• -:u ·.-: • ~;;) ..J ...J 

'AOVISION:S: OF' THE AECUL.ATIONS. ACT OA ,EAM!T VIOLATED 

C::a ..,,. <J::l. ..r -.,._,.., r .--i:' • • >.1 P ~ r <:: P •• ~ :.l- 'IF 

-r •. IV".~-""'' I 

P'O~TION OF' THE OPERATION TO WHICH NOTICE APPLIES 

c:. •• ~· .,. b• . .;.., ,-.,,-. I 

-~. 

~-~ 

. CORRECTIVE ACTION AEOUIII;£0 (lnt:llld•tto lttltrfm SttDI. H AnrJ 

~~- ..,.."' ... .,... .. bA•"u "-""' ,... NfCLVA...._ /, ,.,.._,..,. " - .. ~ ... _ .... , .. 

~· 'il • II •~' ~ur' ·'*'' .. ·- 1.- -~.-ho-.><. •• 

TIME FOR. AIATEt.IIENT (i~tt:lt~d•tt' T""' tor lt'lttr'im Sr•Ds. It A11y} 

,. ,l ; 't>.-1 ,z::.. -. 1\.,.-l....n I~ oQQ~ J>T ID'OO A"' 

.. ·-- - .. ·- ---··Oo·•·'- ---,_ ... ·-~-~-··· ... "'"---

14 

What vas the •1olation 

What provision vas 

violated 

d 

c 

What portion or extent 

oes the violation 

over 

Wh•t remedial action 

15 required 

What period of time 

vas allowed for 

abatement 
EXHIBIT 4 to Table E (Continued) Page 4 of 11 

This is the inspector's verbal report of \.:hat occurred. Look for the who, 

1,.;hat, .... ;here, when and how much. Read the report and read even in between 

the lines to deternine the extent of damage or potential damage. Evaluate 

this report against 

the Enforcement 

the Assessment package and the other documents within 

package. 

PcT•1t ~ 

~ of 1asp~ct1cn: 

!z2! of 1~sptctfc~: 

ActSotl 1"a\tt:: 

~1acus1fOT1~ 

IJSPlCTIOJ !ltOIT 

Anyole Coal Company 

P. 0. !lox 

Jellico, TN 37762 

Campbell 

12/10/86 

Partial 

Jeff 

Page 1 of 2 

Issued 1"0\' 8£>-091- .:<<•-0(,1 

containing one v1olat~on for 

failure to meet effluent 

licitations 

A 'Partia~ !r.spectlor. ,.:os cor:pleteC on th1s s;.te on 12/10/86. 

~~:P::~~~~~ee was represented 

V.."hat are the inspector's 

on site Ct.:r:.q~ thls /comments about the 

~1n1ng occurred ~ithin p rcit b d A 

present as requ1red. Diversions 

e oun aries. permlt sign is 

des1&ned. All 

are stable and function as 

three basin ecbankments 

vegetated. Haul roads 

are stable and ~ell 

ere ~ell malntained All th b i ( 00 0 .., . • r e e _as ns 1. OL. and 003) were dischargin& during 

lnspec~ion. Field 

this 

tests revealed that basin discharges 

002 and 003 were 

from 

~as field tested 

in COKp!iance. Discharge fro~ basin 001 

and found to exceed effluent 

for pl~~ Sa~p]es 

limitations 

were collected 

~n~lys1s. Labcratory 

and taken to a lab for 

analysis 

dischargin& water wicl~ indicated th~: basi~ 001 

c pH of 3 73 Th•s •· 1 was · 

Tesult~~ 

· . ,~ <.lsc 1.::rse 

6t-9I-uu0-00I 

in the 

containin& 

issuance of ~otice of Vi~l~cio~ ~o. 

one violation for failure 

~!fluent li~itation~. 

to meet 

Laboratory analysi~ fro~. t~~in 001 is 

15 

violation 
\ 

EXHIBIT 4 to Table E (Continued) Page 5 of 11 

This is a continuation of the inspector's report. 

in comments versus assessments. 

Look for discrepancies 

!.!!!.!~.!.!! Auyole Coal Comp •• my 

summarized as follows: 

Basin 001 

discharge 

Basin 001 

upstream 

Basin 001 

do1Jnstream 

3 • 7 3 

6.89 

6.60 

99.84 

6.12 

7.08 

At this point the inspection concluded. 

Pace 2 of 2 

0 

12.9 4 

I 2. 9 4 

Service of I'OV r;o. 86-091-000-001 

at the tipple facility in Morley. 

accept service ... ·as Lloyd Smith 

was effective on 12/10/86 

Present to 

tipple manager 

Mr. Lloyd Sr::ith va& _;informed about the issuance of this 

NOV. This discuss!~~ -included the nature of the violation. 

the abatement measures, the basin involved, and the 

abatement time. 

Performance standards not indicated as in compliance are 

su=oarized as follows: 

Effluent violation addressed in NO\' 86-091-000-001. 

Itco 18 is not in compliance as evidenced by NO\' 

86-091-000 ·001. 

16 
EXHIBIT 4 to Table E (Continued) Page 6 of 11 

This is the inspector's 

the level of assessment 

statement and used by the Assessor's 

within the various categories. 

to determine 

J t;,)/)1 

•••• r. 

••••t ""''' 

"l•l•tlo•u It• lo fl. I I( thll h e11 •••uwtJc~ tc ... ron·•••"t •l•h·tlot~l) 

t-•••!wl ••• ,., .... tlroJI r•t"'l•tioft , ••• , ... d to ''"'"•"'' IJAttrt '"' ., ..... ll•t.•• aefertMt 

WAT"E..« 

Ltlt eM r•••••r that U•• '"'"' J,l AOI. U'lt •••• et tht tloiiiiUoa,J 

poll U~fo.U 

2. 1!' t~ .,..,,,., t.ee h•i'i"'!Pit~, dt-.crlbt lt. If (t 1!.11 floOt ht;>P<"•d .... l.et _,.Ill CIOat (t to 

, .• ~.,..,. .... c N .. IH-•1'! I• C.IUtf '(tor •••c.i'lt, If U'ltt• l1 '" &!•• for ... tdch •• ••C:io<r•'ll cof'!trel I• 

ce.:u 

F~C•tC:•f. 

It to 

:'111 

"'' 

,.,_,, 

l.l'ltrt 

It~ 

•~ ho"' 

thet 

ll&tlf 

,,,,.. re•c:hord • ttr•••' If It httl'l't fi.Chtd • 1::r••• ...... ,, -~~14 

J• 1-h&\ to ha(;lpef'll) . , 

--rh,e <-v<-NT 

... {-

"'c.c.~pi·A~'-" 

h•::> hoppt.uE-<>. D;u:_h..~>JE /C.,.,,.., bA,;~ 00 I wA~ ou 

fO .... r H. e-s • .v 00\ .o.sc..kL.:J'- h• ... pH ct ~.73. 

l. •~w a..ch 4•&•9• 1\&1 alrea(!..- -.:ewrr•CS •• • ttlhtl\ of U•• \'iol•t1ol'll •1•o, h \h• ••••t• 

event or '2 

obstruction • 

probability of 

occurrance 

•• v... ,...ratt ., •• Of Clot a Jt •• ~: thl ,...ro1t art•7 Dlll.-.:'jE:. 

T~E. b11,...."~'¥ ~ 

tiO(.!. ~~~h a~ TH(_ r~·i AR£4. 

rec_e~~,~;...,j ~~<T\ 

if•t 

··~ 

rec.~~_,·, 

"1":::. ~Ho...._..= 

... .,j 

~ 

~TC-i.A."r\ 

"-'f~t!.EA"\. 

13 s1i51...+. L.qb .<~ ... A-l~s:;s o-+ ,.....,f"<rs To 1-k ~what 

A.C.ot:>•S 

pH <.,.€>'1) bo._.u-sn..e..q-"' pH G..4-o .> 

10,95 Oe.:>Pf",...o, 

.... p~~/CX.......V~"-r!'"<.A,.,., 

4-o 9:.~5 

.....,'I !i ,,:."-'C...~I'I"'_:jU> .> A....,,. AI k,,qJ;..,,J.'j vp..:.~,..,_ c......oi\'S 

o .... ~ h-=--..o3Te..u..""\, 

was the 

~"·~torl 

c. 

t.•Ctl~t 

aow a~oeh'b••.r't• 

ll'.l• ~t~ol'ltJal 

•Jtht "••• 

Ca&~!.•· 

occw:-r•<l 1C th• .,.JolatJor. haC N:>t )..,,. CIJw:~att4' ..,. - 0'1"1 

~.u.h ... ++v:s ~pt: o4= v,olqT.~ Ct=rt l .. u.-r Wor.~lt 

j, . ...,,.Js) 

l.ht Cl•&•t• 

'NV'I'I~i~<hlj, 

••tt"~ ott U11 porrah ere•• D"'',....III-:"'E. 4~ATt 

b<"~S•N!.. h"'\1~ b~ IN p\<~CL 

OC.(...u'c...'S o~ T~u. p~i+ ~, Th._ 

bVt-1 t.oUJ-.(b&T£b) A_....,t>+~t:; 

qv,{!. 

... ~,.....,S 

S._,...•,£. .,.-, ....... ~">NO f'~oJic-..,..:; ~ff"luE.W.T vlolq,-o.....,S h~'-(£. 

po~"''O:Vl ~-:t-o~· s·,..,-€. C"'t'l"\1'\j<f O•Jl::! tq~~Q.~{. O~·,,'f f"At ..... +'.~>.l\ 4ic..NTS'. r,- '15 

..._,;11 ~C"'' Q,o..l~ ..._,O~E. ""f"f!.lllo.i ..,-t-4"1'1" 000....>'""'1L..,n"Eh +h.•~ 

i.-...1 '((ol.:tT<C,._,. 

•·•C:lJtJ.C:,., 

:!!. C'~s~~..c:•c:~ 

<C."-"ef"··"~ 

to 

rocc::rc:~te;•n~, 

!•!o~~ ...... ,.,t v;o1•tie,., ;;~n, .. .-r tet o~•ttu::lo" •lol•:iol'l& Oflly. •-=" •• 

L 

•c:.r.,torlr.o;, pl•n•. IN! Ctttl~iC"•tto"•J, 

:.: 

>'c:r1~t' "O• "'H:!e:.1c:n c! t.l'lll re~.:lol1o~. •Ct1.ully C~ltt....:t.-C ""!orc••ent 

,::sr. •n.l!/o~ tht p ... tll.c:. 

-:--~-:-·• c~ rtu~t (O."lY o"• C!-•tion ·~;o!lea I.C' ••cl'; •tol•tlol'l; 0::-st dt"C"i4t' v~ic:~ ~"'t'stiol'l"t.o &l'llo.,...rl. 

~·· ·~t 

'-

c.! 

lt 

Gee=. 

~~ 

:or 

t:'\iflk 

....... 

tl\il 

~1.-l. 

wlo1•tio"' 

crp!.dl'\. 

,,;~, 010t th• fault ct '"' Or"'r"t,t IF-Crht;a tu• to "'"C:•li•• or 

"'"f'l"...::."r th•l 1.~1 ptr::.l:tt"t .i1 C'O'~Iidttl'( tU?Or•ttl• !or :: .• .. :~;:;111 c! a:1 ;>tr•ona o.ockln~ on th• c.lf'latlt•. 

extent 

I......C:o!!•':'t"<• 

1. 1!' !C" 

tC" 

t~.i:'ll tl'.~l ..,..icl•tlc~ "'•• the tel..l':. o~ fiOt kl'lcqn'f e!:>Ou: OS:1 re~r.~l•:IOfll. 

0~ cs.•. 

ToR.. r• ..... 

u:;u 

l .. tloi'\.S, 

ft 11

or, ............ : .. o{ lllck o: u••ol'l.-::1• (Art, ... Plll:'l. rl·~ A -rw4Y --f-- negligence 

h"<v£. pl-f P""<>biVrl~ p.r..•c>t::' 4 

"C 

.,.-~l'$ rA, ... t ... l/ 

T Hf. 

.E.ve...o.;Ts 

Two bA-s, o..J::. ( oo 1 A-.Jt> oo;:,) .o ..... f"'\' .- .QCA; "" ~ ~..vl-.ic..k. wru/c. resu ~ ~,..... b..,s~ ... ~·"S<. ~- · 

/4.:l<.OWtR. 3 A~ bA--;.,""' 

rv 

ool 

-r\....r5 

.......... 

E.r.JE....LJT)!~E..oft:.A.A7'£.'~ ~ c,-;,t:..J-....;..<'1, • .-_,,, A'"r:. 

Af?~~'['!j 

....,,.,:s cv+-bf= 

bic "-'Cl+ f.J(,UCt&. ~G.~ b/e. ~ Cc,.,plr."<r.X..L 

.,.,~··t 

t. 

\C 

:: ,...,.. •~tu•l er ;oot•fl:!ol ,i.,·fr'or:.~.,,:.l ~-•r• Of t.~r,. tc: :~~?'-~:I: ,:-.a,.)~ t.••• ~ .... 

:c~:.:: 11 f:ocr 

11 tor .. 

~ 

~l..l 

b<tl"~ 

C?-<t•t:: 

cit•~. 

• .:=.e:r:~r the •tt1.:.tio" ... ~ """•t. r! '":rt~·'"'O· \fl~ C?'ff•tcr c:r I.C 

1. '-'•• :~. c;·~•·.cr 1~ vl~:o:!oc- c! • 1;...-cl!i~ ?<r•:t CC:"C:r::o~~ D~C: 

~~ ''·* $;•:• (( t=~ cs"'. c.c:n:•rrdn:; th:l .... r::o:lc:.r.~ 

c :- ••• : • 

;•;c· "'"''·'"'<; c: •:c;o\.C~ ··= : ..... lt'J"'' c: .... ~.-\. 

t..·c: r • I r• 

·•••" oollo<.rC.•.•"J 

::~ ''(•' 'r 

~·•o.cro 

·-• ~·• (""""'~·Itt-. fer co,.;::.,.,., .,..1\:'1 or. rr::t· c-: C'C. •n e;..-•. 

·;...:''' 

tC' c:.:;ly 01 tajl!(l) '' pc"ll:flr. ":'"• 1!r:o::C"• ••• 

••• ·~ 

'"' 

•"•t 

..,,,, 

••t:•:::.·.·~ 

o•r r:: o:•l•'"'•"t· 

•••• :: )'C'" t~.tnl t~-" •p;:l•o, Coocr.:o ~-•• ••r•c ,._ 

.. :•• tr .• c""Totcr tool. 

I ' I 1.1 I 0 ( 

17 

. .. 

., 

prior warnings 7 
I 

\ 

EXHIBIT 4 To Table E (Enforcement Package) Page 1 of 11 

This is a log sheet used by some enforcement offices to monitor citations. 

A form of this type can be extremely useful in identifying the number 

of modifications and also the dates involved. If this type of document 

is not available, other means have to be developed to verify service date, 

abatement dates after modifications and etc. 

I I I I !I~ ~ 

~ 

I 

0 

' 0 

'i' 

0 

0 

~ 

'"' ro 

~ 

~ 

-~ 

-' 

0 

' "' ~ 

\-

It 

~: ;.; 

" < = "- 0 I Q. 

'1' ~ ~ 

r~ '\ 

,, " ~ ,, 

~ 

~~ ~~ 

~~ 0 

~ 

~ 

I z c 0 0 < 

' 0 

0 - "' 

~ 7. 

~ 

"' z " i~ "'~ 0 

" -

~ 

;;0 0 _, ro 

I r ~ 

0 

~ "'"' 0 

~ l------

"fl ~ ' -...) 

y 

/ 0 l;o ro ,, I ~ ~ 

w 

0 "'"' ~ I 

ro "' z 

"' ~ 

~ 9 

< \ > 

~ 

'-

~ ~ 

"' " ' ~ 

~ i?~ 

~ rt "' ro· 

-

"' 

"'~ co 

"' 0 

~ 

If 

~ " 

~ 

z 

'i 

"' 

?; 

0 

~ 

ro 

n 

c 

" 

-

n 

g 

" " 0 

~ 

-

~ 

c 

0 

0 

" "' " ~ 

-

~ 

-

ro 

"' I 

"' 0 

w 

Do the dates and 

actions correspond 

to the citation and 

assessment package 
EXHIBIT 4 to Table E (Continued) Page 9 of ll 

This is a modification of a citation. It should b~ carefully reviewed to 

see if the original violation was amended and whether the assessment should 

also be amended. 

U.S. DEPARTMENT OF THE INTERIOR 

Office ol Surface Mining Reclamation and Enlorcemenl 

MODIFICATION OF NOTICE OF VIOLATION OR CESSATION ORDER 

, ~•me A .tV)' ()C.£ C'a<>L eo,..p .. "'' VPe•m•llee Ougonahng Olloce Address 

No PetiOHT O~M. Rev< Offi c.e ] Mao~ong AOO•ess No12.R.i s 

?,o. t3ox ooo "Je.iko,if...,~-JE:~~ .3 77~;,. P 0 Ecx: ~~~ ---- L -------- Noe..e\ $ 1 

J Name o! M•"t' --r€H~-J€~5E..£ l.ppi~ Suf!ace (....-""Qther (Spec.ry/7 filoR e Unae•9•ouna _17ppl£ __ 3 76.:16 -----~- le1ep11one Numbe• 

:~.;;r;;~:'~- ...L'c~::,'?"E ,; ' S1a1e 

' /EN IJE 0::.££. (" t5 )c., 3 ~ -17 18 ' 

6 Oot'•.ato• ~ Name 8 Date ot lnspeCI•on 

~bEe. 17, 198(, i fl.'.ao<.ng AO.:Iress 9 Ttme ol lnspec1•~ 

To II: so<f;: I '0 

. ,, 

,, 

i 

I 

From 1!..:...12_ :: 

Stale Per mot Nu,..,:JI"' I ;-;;~~"~;·~ 5 ~ ~;~~ ~m~erQ ~ 13 OSM Mrnr Numbe• 

8 1. -A03 

ACTIONS TAKEN 

Aulllorrty Under tile autllordy of tile Sud ace Mm1ng Control and Reclamation Act 

of 1977 P L 95-87 30 U S.C 1201 the lo11ow1n g act1on 15 taken I 

Dated 

8(., -091- 0-.»-00/ 

VIOLATION--'-- OF __j __ IS M001f:'lf0 (0f'SCffl)f! ACI•on lfld Jusrdy) 

l=lb...,-rc:,....,e_...t.,- t>-4\i.. IS E~£Jo..~bE.b -ro 1D:oo . ..;rr1 O•J A#-'"1~( DE.c.~4 /95(... 

£:.tl<"'"lrtk<! (opf:.e.A"""!'O"-. ~?ves-r~ IHC ExT.f..NS/O..J 'N OR.bE~ fo. T~i!j Abb}..j.,·0 ,..;A / 

IRE.tt"frlE l-IT 1"'1f..T"HoD~. '5,-k: r.v!:~<..Tro:\J tNblc:.JlT"i"b +1---..ff +-h..t bA~.:v 00 I hAt:> b€..0..1 ~~,.f.l> ..... -.*-\...... +•<..vl-k.o<:...;l \," . ....-,.E.. v....~,-!k. \.~ii-ib s ... •C..C..€..":."!.. ~~ b4~•"" p 1-1 ),:'lb 

b<.-;-...: r-A.•!:,~~ F; ,vii pH\,:-..,,+ f.-c . ....., -:!>.'1 .fc App=uxr..,.,.q.'":'""i_~ Lt.f'"J. I_....,-f"to.......; jv"TO 

llol; b.o..::;,...., h""o bLC ... -::~TU:> ..... o=~--'"'0,,4-...i'l.S ,,... C..C""'pJ. ..... ......:...E.., A:s 11-1€. pt:~-.,, He.::./ i c--re~~-:--.:-E. 1 !0. ,, .. k._,..__j ~oc::. ~ t~.-1 h e:~ o.:...< -rc AC.::TE...) +~-t f.>{"T"£N"Sic.._,· , :;. ·r~-A...rrcv., VIOL-'-T•Or.. ___ OF ___ IS lo.' • .)::Ji~l£0 (::les,r.t:Je Aclron and Jusl•lrJ +-_,_ ___ _ 

! 18 \110LA'TI0N --- 0< ----IS MOOI~t£0 !DtSCtrtlt A.CI•On and Justrly) 

i 

~~~~=m~e~o~,~."~,7,7,,~.,~,,~A~,,~.~,,~.~,~,,~,.~,,o----------------------H~·-N~Do_~~f~<c_V'~-=b-.l_~~,o~~~o~:.~~"~~~~~,&~o~N~"~~=~=,,c-----~ 

19 

changes the 

abatement date 

Note the good 

faith connnent and 

also the consistent 

effort 
I 

\ 

EXHIBIT 4 to Table E (Continued) Page 10 of 11 

This is the termination or vacation notice whichever is applicable. 

Document should be reviewed for statements and dates. Only if a 

violation has been satisfactorily resolved is settlement possible. 

- U.S. DEPARTMENT OF THE INTERIOR 

Office of Surface Mining Reclamation and Enforcement 

VACATION OR TERMINATION OF NOTICE OF VIOLATION OR CESSATION ORDER 

1. N•me P."Permlnee Origin•Ung Office Address 

/l#j_tlLE Co"!< /, r "-'Q,?J/)~.M- I I No Permit OS.tYl 

2 Maohng AdCl<e~s Note. ~(:s .llet.-1 oFh'c€.. 

?.o_ Bo>:_£00 J jd/, co ,/£NIJES~"E ;:)776.::> P.c. Eo>c 17'1 

3 N"'mc of M.ne ,. Sud ace V"'ther (Spec•frJ

7 rJ oi?. l!is 1 /E "" E s"u:. 

(Y)o"- E _/.pplc Unde<grouna ::-Gpp!L____ a?e-:<8 ---·-- Telephone Number 

( ;?2;·~~-~:?~~ 5! C ~;;~~b~ I I 1 Slolle 

:JEN!-fE~~E£ ( 615) &3::l. -!718 

' Ope•alor·s Narnc ' Dale ol Inspection 

/YcUnba 18' 198& -- - - ·-------

' Matlmg A00rC5~ 9 Ttme ol tnspect•o., 

From u: :J5 ~ To~Q 

" Stale Per mol Number I 11 NPCES Number I 1.2_ MSHA 10 NumOet 113_ OSM Mme Numbe< 

'{3 8- !JD 3 JNC·CSoS5 .1../0 -coc;o o I 

ACTIONS TAKEN 

Authortty Under !he authority of the Surface Mining Control and Reclamation .~ct 

of 1977 (P.L. 95-87; 30 U.S.C. 1201) the following act10n is taken: 

" Notoce ol Voolat•on NumOe< : Dated I ., Cessat•on OrC:er Number 1 Oaled 

BG -cF!I-oa:J- CO/ : !:</toje~-, - - - ' ' ' 

VIOLA nON~~'- OF _j~_IS S( Termonated " lor lhe Followmg Reasons. 0 Vac;ueo ' 

(5,., Suv Pee.,., • +ke /ope IVI.,-D€. h R "- fEe -htu>1 t. b RJyr.>V~ ", .. rr 17'1t4SUI2£ S. 

OO/ h~s b=" s..x:c.zs<~I!:J -n~U> t4ND "' •"-' eo,,.., pi, "'"' = w,ft, 

E.~\~...«-v( l,rn,i-.;..+."o·-.J~.:.. 

" VIOLA liON -~~OF~~~ IS=· Termonaled lor 1t1e Follow•ng Reasons - V<IC<IIed -

" VIOLATION----- OF ______ IS C. Te<mor.aled tor !he Follo ... ·ong Reasons t-' vacated 

: 

I 

' 

/.ZA3l"' - .. .. - ----. -·--· If f.l PD So- r_vt:.o ,.;J.f.s/f<' 9 IJ p,,.,, t.:.om~· ot Auoho••<•'d fl~tHesen1a.1•~e 1Clento1oca.toon N,_,n,oeo 

' .-

~-~~- -------- --~(11c~~e ~,;>'--~~~~ 

'/).-c. IB, t'tDi, 

lf-159 {12i8U) 

20 

Termination or 

vacation ? 

• 
EXHIBIT 4 to Table E (Continued) Page 11 of 11 

. This 's re ort and not always will be included or made is another ~nspector P b ost helpful in determining 

f 

the h kage The comments can e m . . a part o t e pac • . f h r tor in resolving the s1tuat1on. overall effort and cooperat1on o t e ope a 

Count I 

££erator: 

Anyole Coal Company P. 0. Box 000 

Jellico, TN 37762 

Campbell 

88 -AOJ 

Date of ~ction: December 17 and 18, 1986 

~of lnsp~ction: NOV Follow-up 

Action Ta\:en: 

D1scu5s1on: 

Jeff 

Modified NOV 86-091- 000-001, violation 

effluent 

l of 1 for 

limits to extend abatement date from 

12/19/86 to 12/22/86. Terminated NOV 86-091-000-001 

violation 1 of 1 on 12/18/86 

·; 

A follow-up 

12/17/86 and 

inspection was conducted on this tipple site on 

during 

12/18/86. The permittee was represented on site 

these inspections by ~r. Lloyd Smith 

On 

pit below 

12/10/86 

minimum 

basin 001 was found to be disc!1arqinq water with a 

issuance of 

effluent limitations. This resulted in the 

set 

l'VOV 86-091-000 -001. Abatement date was initially 

for 10:00 a.m. on 12/ 19/86. The initial l':ov follow-up 

inspection was conducted on 12/ 17/86. This inspection 

tl1at 

revealed 

]Jasln 001 had been treated witll agricultural lime with 

again comments on 

/

good faith efforts and 

consistentcy of effort. 

1st attempt did not 

resolve so an 

limited success. The basin pH had increased 

3.7 

froJOl approximately 

compliance. 

to 4.7. 

At 

In-flow into the basin was beina treated and was in 

this point the permittee reqUested additional 

~c gJ-~Jltcd 

time 

in order to try a different 

compliance \~•ith 

treatment mctl1od and achie,-~ 

"cJood f.:.titl1" cffot·t 

effluent limits. As the permittee ~.-,•.;.s makins a 

m;lkimJ 

to comply, additional days \,'o3S nl·cntcc: 

h.Jnd-5cJ·vcd 

the nch· 

on 

abatement date 12/22/86. This modificotton \,·~s 

12/18/SG at which tin•c it t-•as determined 

b.1sin 001 

th.Jt 

t1ad llccn successfully 

willl ~ffluCJlt 

treated ar1d ~as ir1 cOmJ)liarlC~ 

1,;-ov 8G-09l-OOQ-001 

limitations. ~s a rcSIJlt, violation 1 of l :~ 

\,•<ls tel·min,ltcd . .\copy of the tcrmin2.L:.··:-n 

\,'-1'> IJ.rnd Sf...'I"VC'd LO 1'~1-. Lloyd Smith .lt th<• C01'l;J1Cti<..)ll Of ._. .. ,, 

21 

alternate method was 

employed 
\ 

Missing documents will be secured from the Assessment 

Office. the Field Office or originating office of the missing 

document. Any modifications, terminations and other relevant 

material should be added to the file. It is important that the 

Conference Officer review the file materials, the inspector's 

report and statement. and the follow-up inspection report. The 

Conference Officer should review the file before conference so 

that questionable enforcement actions can be resolved through 

discussions with the inspector, the inspector's supervisor, the 

Conference Officer's supervisor, the Solicitor or any other 

source that might resolve the situation. 

In addition. the Con~erence O~~icer shall com~are the 

Inspector's Report and Inspector's Statement with the Assessment 

Explanation in order to determin~ i~ documents are in agreement 

or if there are questionable aspects. Other offices within OSMRE 

may be contacted i~ ~reater clarification is needed. The 

Conference Officer will also compare the date(s) for abatement, 

along with any modification, to determine if anY good faith 

points may be awarded. If good faith points are available, the 

operator may be contacted about extraordinary measures and 

documentation o~ extra manpower. eQuipment and costs incurred to 

abate the violation(s) rapidly. 

Following this analysis, the Conference Officer discusses 

with the reviewer a proposal for any revised assessment. The 

Conference Officer discusses any discrepancies in the documents 

and the results of inquiries about the case from other offices 

within OSMRE. The reviewer may suggest other areas or alternate 

approaches that need further analysis and questions that may be 

pursued during the con~erence. 

Following are fictional documents relating to "Anyole Coal 

Company" and suggestions for pre-conference analysis that may be 

conducted. 

The assessment for Anyole 

contains no history points. 

Coal Company NOV 86-091-001, 

The Probability of Occurrence for this violation was 

assessed at 15 points, the highest possible number of points 

within the ~ategory. On the following pages, the assessment 

worksheet and assessment explanation are displayed; they should 

be compared with the inspector's statement and inspection report 

on the pages the follow. 

22 
,, 

EXHIBIT 1 to table ! (CantiDued) Pace S of 6 

Aaa .. aor'a id&Dt1f1D& auaberCS!"J 72~--.i 

R_e•.oise~ 0':1/~7/~':1 

.\:5 'J~j13::'.~:::-:. ·,.;-:::::-'l::s~:~-:. 

{S~e i'4r':. '.-...: 1 

NCV 

JA caae of 'l\l&etiou or problaloa ~· 

para= ~~ the ua ..... ut can be 

Ps;-e ___l___ cf _I __ 

$1.-'11 -coo.- I 

co ' ----------

P!:P."'IT • 1) g-Ao .a 

Na.r.:e o! Co:npany --'"''""-"'"'(~&_<_E __ ,C:.o="':..""=--CO::.::_~_.:.".:.""'.:.._~--'r'----------

Violation t ------'---- Of ~ 

1. History of previou• violations 

2. Seriouanea.s (either A or B) 

... ( 1) 

(2) 

Probability of occurrence ___J2._ 

E~tent of potential o~ 

actual da.m.!lge 

B. Cb.st:ucticn to enforcement 

'l'ct.al Seriousness 

3. Negligence 

q 

•· Good Faith (Will be conaidered after complete 

information ia received) 

. CS."'I 123-6(a) 

11/27/79 

/) 

I '2-

-

;qe _1_ of __ \_ 

""' • '5{..-'1\-ooo • \ 

co•--------- ,..,.~ of """'"""Y __ A_,.,_j'-o_L._E _ __;:LP::;_-_(_;c;,;_ __ ,:.I' _ _.,:..'"".....L(---------

violat.ion t ---'---of--'----

Seriou5neaat (either A or I) 

A. 

(1) Probabilit.y of oc~rences \5' 

WA/E,( PO-'...::'UT/;,....1 .H'A'..S OC.Cu.-f.,tf'ez::>. ~.P~"1r.o,-r A1,..s 

])~$c#<"'?;('r;!C &~,t: ~b,;..,c-r ~""'.s"'::.v. 

(2) 

])A,...,A~ {;""~ -;-~..v"]:>.S. CFF pu_.,n- .. -,.. -rKe ;=o,e..-, oF 

WA7'"£:A.. Pot_t.ur~o.,._ P;/ o~ ~&:-q.-, LVA..S. .(.cwE"£Eb_ 

23 
\ 

, ... 

lJSPlCTtON liPOlT 

Pagelof2 

!.!.!..!1tttt1 Anyole Coal Company 

P. 0. Box. JIOV/CO 

Jellico, TN 

VIolet. SeA 

l~lPtCTo•"l ~~~~L~tK: 

~·••t Vl&htlo"'ll It• ,. (I.J i( U~ll· lt. &A ••tuvttlt.o> 1C' 4flleu•&4Al •lelatlelllJ 1. 

l•l•t•.-c• ""''' Lilt. t-•••·"'1 aM •••"' r•••--•r "'' ""'' '''"''''•" ''"''""Ill •• ,, ... , .. ,, IJ"•'"' "tw •••"' lls\.e4 tlilat tM '"'"' Sa Ael. th• •••• as t.llte •lelatJea.J WA-ru. poii.Aio.V 

,._,

l. 1! '""" ••••t h•• h•.,fi'C"'••· lllew-rlh h. Jl It h•• ... , ht;l~,.,oll, ,.., .. , _.,,, c•u•• lt. •• 7 ;-or. ,,.,c ,..,.. tl•-•l"! I• l.l'lat? tror •••c.;1•, tf U••r• I• •• a~•· ror "'"dcl'l ,.. ••.CI•u•t coAt,.ol ta 

cac•• 

J=rc .. 1 (•<11. ~·• rw,.o(l {rOll:. ttlat ar•• r••c:l'l•4 • ltt•••l Jt It h••"'l rtat'lud • l~f•••· w&.at -'llld It to c•t th•r• ar-4 bow lliLcly .1• Uat to ha;op.nlJ J:; 4- Jl-..e. 

~ E.v£..t-~T h.o~~o 5 ~~£b.. Di ~l....cR.JE. ~''""" bA·s.-9.; [X) I w"'l~ ou 

CTT Ca·"""'P ,. 

'Arvc:.e. 

fOR. r H . S.5o..JOOJ D<5c.J...L~~ h•~. pH at ~.73 . ' 

Actiotl Ta\.en: Issued NO'.' 86-091-00Q-001 

containing one violation for 

failure to meet effluent 

limitations 

event or 2 obstruction ,. 

probability of 

occurrance 

D1scus51on: Haul roads are well maintained. All three 

basins (001, 002, and 003) were discharging during this 

inspection. Field tests revealed that basin discharges from 

002 and 003 were in compliance. Discharge from basin 001 

was field tested and found to exceed effluent limitations 

Permittee 

for pH. Samples were collected and taken to a lab for 

-------

summarized as 

Easin 001 

discharge 

!a sin 001 

upstream 

Ea sin 001 

downstream 

Anyole Coal 

88-AO~ 

follows: 

3.73 

6.89 

6.60 

Compctnyanalys:!.s. Laboratory ar1alysis indicated that basin 001 vas 

discharging water with a pH of 3.73. This discharge 

resulted in the issuance of Notice of Violation No. 

86-9!-000 -001 containing one violation for failure to meet 

effluent licitations. Laboratory analysis from basin 001 is 

99.84 0 

6. 12 12.94 

). 08 12.94 

A~ this point the inspection concluded. 

Service of NOV No. 86-091-000-001 was effective on 12/10/86 

at the tipple facility in Morley. Present to 

ac:c:ept service was Lloyd Smith tipple manager 

Kr. Lloyd Smith v~a .. ~a.formed about the issuance of this 

NOV. This discuss1o~~nc:luded the nature of the violation. 

che abatement measur~•. cbe basin involved, and the 

abatll!ment time. 

Performance standards not indicated as in compliance are 

sum=arized as follows: 

2 SF: Effiull!nt violation addressed in NOV 86-091- 000-00l 

Itec 28 is not in compliance as evidenced by NOV 

86-09!-000 -001. 

24 
There is consistency between the assessor's and inspector's 

statements regardin~ the seriousness of the violation. Excerpts 

from the Assessment Manual regarding seriousness follow: 

3.3 Seriousness 

In assessing seriousness, the first aspect to consider is 

whether the violations was an event, potential event, or an 

obstruction. Event violations cause or potentially could cause 

environmental damage, personal injury, or property damage which 

could or did result from the violations of the regulation. 

Obstruction violations are those which prevent the inspectors or 

other OSMRE personnel from reviewing the overall mine operation 

for administrative, technical, and procedural review as set forth 

in Public Law 95-87. The threshold for seriousness is twentyone <21l points. 

s~riousness is subdivided into two elements: the probability 

of occurrence and the extent of potential or actual damage. 

Under CFR 30 Part 845.13 <b) <2> <i), probability of 

occurrence points are to be assessed as follows: 

<a) occurred 15 points 

(b) I ike I y to occur 10-14 points 

(c) unlikely to occur 5-9 points 

(d) insignificant 1-4 points 

<e) none 0 points 

***************************************************************** 

From the documents in the case file, the assessment of 15 

points for the probability of occurrence appears accurate. The 

laboratory reports in the inspection report verify that the water 

discharging from the basin was out of compliance for pH. The 

assessment explanation mirrors the statement from the inspection 

and lab reports, and the assessment manual indicates that 15 

points should be awarded, as the event has occurred. During the 

conference these facts should be discussed with the operator. 

Unless he has documents that would nullify other documents that 

are already in the file, the assessment for probability will be 

affirmed. 

The extent of potential or actual damage will be addressed 

next. Again, the documents present in the file, plus any 

additional data obtained from communication with other offices 

within OSMRE associated with the case, will be analyzed and 

compared. A copy of the Inspector's Statement relating to the 

extent of the damage for this violation and a related excerpt 

frc.m the Assessment Manual follow: 

25 
\ 

, .. ,. !'~••' Vlol•tlo• .. It• '-• 11.1 1( thl1 l• •" oiJ~t.r...c-tlc~ tc ""f•rt~•""' •l•l•tlo#ll 

1. ~.,., r.,ra: .. l ., .. ,,., ..... thl• r•t.,l•tJo,. ~otJt".,:l to PI••·.,,.,, IJ,.III'\ U••• '"''"" lll\.e4 

"•t•r•.w::• l.l•t ,,... ,,..,._.,, '""' U•• ..... , 1• "o' '"" •••• •• '"" •l•l•t'••·J 

l.J o-r~ pol I w-tto.v 

event or L ~-------- obstruction • 

.... , .... 

1. e~ .. •oel"' 4••••• )1.•• •lr••lll• occtn·r•~ •• " r••.,lt of t.ht 'll'iol•tlo"' Al1o, J• '-"• 4•••t• 

probability of 

occurrance 

•• uo- P'""''' eru or •••• h ••~eM oi: ,,.,,. ""''"'" ,.,.., p,.,,....~IC. t>o~ ~~b o~ Twe_ feAt'o'lt<f. Alt.e.q • 

TkE. bii'"""~_9C '"1b ..,....~-=. rec.c.rvi-..J ~~~"""- i~ sli~l...~. LAb<A ... ~~sis of:i-.fACrs 'To~ ~what was the rec_e;\.1;-.~5 ~~~ ··~ A~ .follow.;.:;; ~pn~to\. p" t..~'i 1 bo ....... ~""" pH t..l.o :> extent A<::ooo~ ... f~""\fr:x...-.V~"'\ ~.q3 '-''.<uC..~A ... ~~:) A .... -. AI kAI;..,,~ ..,p.:,,.._,._ ~.o,.,~"'!5 

\0,'9:5 D~PP•"""' 4o 9.'iS o .... t-4-.t. c.~ ... :rr~I'Y\. •· .,..., e...:l"''l••¥9,. •1•1\f ,..,.,,. occv:-r•d 1( U•• Ylol•tlor. l'oad 1\0\ >--•"' dJw ... •r•<t ~- 01.~ 

~-~~tofl tloriCfl~· U'.i1 pot• .. t1.f,J ~la.lt•• Wro"'ld t.IUI ~a••tl ••U"d o!f '"" "'rolt .,,,.. C-.~.-,E. 4$S.OC.I ... T't 

k.I,H,._ +'-...:5 ~pt: cf: Viol "'T.-.. C.e:iilw~T 1! . ..-,,J.,s) lo.,I"'-"C.<IPhlj Oc.c.....4o..S o"'f= T .. t. pc.l&n\i+ RCA:.q, Th._ b...,~,...,~ hA"'E. b~ '""' p\•c:.L qo,..~-I.E. SU•·~ ..,-,,....~')NO f~lc;...."!o ~A=-\ue.W.T ...... ioi'I'Tfo.vS r-.A...tlt. 

bUf-4 t.OO:..... ... ~"'r1?;b) A..,C. +\...t. ~ ... "S,...,S o•.-~ biSc.hoo.«~€. Ov<.i<...O"'[ 1'#\j._../:'AI\ £.J~TS'". ");'.,-_ '1 S 

o~-rW\ ............ ~ o:n=.- s·,.,.-E.. C"l""'~~€ '"'-';l\ ~C"( "'o-1'::5, ~ot...SE:. 'T"f1Ao..l "'T'H"lT I>Oc:....J~c......Tr"E.b la.l 

-++--• ~ "t ol4T< o ..... . :l!. t":•·~~..,.~•c" tc !~to.-t~•.,.,t Viol•tic,.• ; .. ,., .. .,f tor o:atr~~'o" •io1•~1o"• o"lf. 1-:1'1 •• 

•· 1olltiC:':i (C.r..:•r~ .• n~ r•c:Cf(~l•;:ltiC;, acf.ltQ!l""i, Jll•tol, .rod CtttJ!iCI\IOtll)• 

L ~~ct1::0• -~· •nol•t.•on o! Ut.1• '"'"''-t1oll ..ct..,•llr o:uui0Ctt4 ~f'ltorc••••t , 

~,. .:St: •N!/Or U\f p .. clk. · 

* * * * * * * * * * * * * * * * * * * * * 

3.3 Seriousness (From Assessment Manual) 

The extent of potential or actual damage penalty points are 

assessed as follo~s: 

(a) damage ~hich could extend off-permit 8-15 points 

(b) damage confined within permit 0-7 points 

Based on the facts in the violation, inspector's report and 

statement or other documentation concerning the violation the 

assessor determines the applicable categories for seriousness and 

assigns penalty points. If damage is confined within the permit 

area, assessor begins with three (3) points and moves up or down 

depending on the mitigating circumstances. If damage could 

extend beyond the permit area the assessor begins with eight (8) 

points and moves up to the maximum of fifteen (15). The 

probabil~ty of occurrence should be fine-tuned to the mitigating 

circumstances. In the insignificant, unlikely and likely 

categories the assessor begins at midrange, three (3), seven (7), 

and twelve (12), respectively, and moves up or down depending on 

the mitigating or exacerbating circumstances. Developing an 

understanding for the relative severity of particular situations 

will determine how an assessor or Conference Officer decides 

within the point scales. 

26 
The permittee, during the conference, may present information 

concerning the seriousness of the violation. The information may 

create the need to a1firm, raise or lower the proposed assessment 

based on the presented information. Normally the actual 

violation plus the inspector's report and statement will be used 

es the documentation for the assessment of penalty points 

relating to seriousuess . 

• • • • • • • • • • • • • • • • • • • • • • • ••• • • 

As indicated in tbe excerpt of the Assessment Manual above, 

the range of assessment points for damage which could extend offpermit is from 8-15. The assessed points of 9 thus falls in the 

low range in the off-permit category. This assessment has been 

•ade in licht of the inspector's statement that: 

•..• damage to the existing stream is light .•• no previous 

effluent violations have been documented, end the basins 

only discharge during rainfall events. It is doubtful that 

off-site dame(~ will get eny worse then that documented .•. 

!he Conference Officer should question the operator regarding 

the distance from the ponds to the nearest receiving stream, the 

estimated amount of actual discharge, the number of times the 

ponds have discharged previously when they were not in 

compliance, etc .. Unless the operator's statements end furnished 

documents ere significantly different then those of the 

inspector, the esses~~ent for extent of damage will be affirmed. 

Negligence is the next section of the assessment to be 

analyzed. !he inspector's statement indicates that "operator 

usually treats the two basins on this area that have pH 

problems." This statement would indicate this was "ordinary 

negligence", and the categories of "reckless" or "knowing an.d 

willful conduct" would be inappropriate for this violation. 

Based on the Assessment Manual, it appears that an assessment of 

12 negligence points is appropriate unless the operator provides 

documents proving negligence points should be reduced. 

• • • • • • • • • • • • • • • • * • • • • • • 

3.5 Negligence {From Assessment Manual~ 

Assessing this criterion involves a determination of the 

permittee's degree of fault in committing a violation, either 

through an act or failure to act. The regulations specify the 

standard of reasonable cere for permittees. It is the 

permittee's responsibility to learn and follow the regulations. 

The threshhold for ~be criteria, negligence, is thirteen {13) 

points. 

27 
\ 

The following are the four categories of degree of negligence 

defined by regulations and BCPA policy:' 

(a) no negligence 0 points 

(b) negligence 1-12 points 

(c) recklessness 13-20 points 

(d) knowing and willful conduct 21-25 points 

30 CFR Part 845.13(b)(3)(ii)(b) states: "Negligence means the 

failure of a permittee to prevent the occurrence of any violation 

of his or her permit or any requirement of the Act or this 

Chapter due to indifference, lack of diligence, or lack of 

reasonable care, or the failure to abate any violation of such 

permit or the Act due to indifference, lack of diligence, or lack 

of reasonable care." 

In assessing negligenc~ the assessor should always start at 

twelve (12) points and work down for moderating circumstances. 

Thirteen (13) to twenty (20) points are assessed for recklessness 

depending on the specifics of the violation. Generell~ where 

recklessness is involved, the assessor starts at thirteen (13) 

and assesses upward depending on compounding circumstances. The 

legal definition of recklessness is disregard of a known or 

obvioui high risk. A permittee is reckless where it would have 

been obvious to a reasonable operator that the course of action 

(an action o~ failure to take action) was likely to cause a 

serious amount of damage or harm, end the operator followed the 

course anyway. Reckless conduct also exis~ in those instances 

where the operator is engaged in activities inherently dangerous, 

and requires a greater_degree of care to insure safety. 

* * * * * * * * * * * * * * * * * * * * * * * * * * * Good faith is the next item to be analyzed. Good faith points 

are designed to motivate the operator to abate the violation as 

rapidly as possible after notification of the violation. The 

operator is thus rewarded, by a reduction in the penalty amount, 

if abatement is achieved rapidly using extraordinary measures 

(extra effort, money, equipment and manpowe~ expended to 

implement rapid abatement). 

Rapid compliance means that abatement occurred as quickly as 

possible, based on unique circumstances relating to the case, and 

that abatement was achieved prior to the time for abatement 

appearing on the NOV or prior to any modified time for abatement 

as determined by the inspector who wrote the NOV. 

Good Faith points are the most important tool that the 

Conference Officer can use to motivate operators to resolve 

problems as quickly as possible. As soon as a conference request 

approval is received, the Conference Officer should determine if 

the violation(s) has been abated. If not, the operator should be 

contacted to discuss the potential awarding of good faith points 

28 
This EXHIBIT frcm the Assessment Hanual explains how to calculate the awarding 

of Good Faith points. 

The follo.dng scale shall be used as a guicle in a1mrding good faith 

points, recognizing that in order to a1mrcl good fafth points for rapicl 

COI:1pliance there must be a finding that extraordinary neasures* 11ere used 

and that rapid abatement 11as achieved as indicated in 30 C.F .R. S 845.13 

(b) (4) (ii) (A). In calculating the tiiJe set for -abatement, include cases 

Hhere the tine for abatement has been extended b".f the inspector for 

extenuating circuostances. 

(p. 35-Assessrtent 1-lanual) 

10 points: Auarded uhen abatettent occurs imcediately, or 11i thin up 

to. 10 percent of the time set for abatement. 

9 points: Awarded when abatement occurs within 11 to 20 percent of-· 

the tiJJe set for abatement. 

8 points: hmrded 11hen abatement occurs within 21 to 30 percent of 

the time set for abatement. 

7 points: hmrded 11hen abatement occurs Ill thin 31 to 40 percent of 

the tine set for abatement. 

6 points: hmrcled when abatement occurs Ill thin 41 to 50 percent of 

the tii:IE! set for abatement. 

5 points: hmrded 11hen abateJJent occurs 1.Jithin 51 to 60 percent of 

the time set for abatement. 

4 points: hmrded uhen abatement occurs 11ithin 61 to 70 percent of 

the time set for abatement. 

3 points: h~arded when abatement occurs lllthin 71 to 80 percent of 

the time set for abatement. 

2 points: h~arded when abatement occurs 1-lithin 81 to 90 percent of 

the tiDe set for abatement. 

1 points: Awarded when abatement occurs within 91 to 98 percent of 

the time set for abatement. 

INITIA."'IVI: - how quickly operator begin work to abate violation. 

AND 

W.IDISTDJCY- once uork for abatement begin ho.1 consistently did the 

AND operator work. 

o:n1I'nn:Ni' OF~- liaS additional help or equipment hired to abate 

violations? Was coal renoval. interrupted? 

Were acldi tiona! ho.lrs uorked? Was at least 1/3 

of the operators equipment placed on abatement 

of the violation? 

29 
\ 

if rapid abatement, using extraordinary measures, is achieved. 

The scale for implementing good faith points appear on the facing 

page, and information from the Assessment Manual follows: 

* * * * * * * * * * * * * * * * * * * 

Good Faith (From Assessment Manual) 

Points for good faith may be awarded as follows: 

(a) Normal compliance or lack of abatement. 0 points 

(b) Rapid compliance + extraordinary 

measures 

-1 to -10 points 

* * * * * * * * * * * * * * * * * * * * 

Considerations of good faith involve the examination of 

initiative, consistency, and commitment of resources, to 

determine if extraordinary measures were employed in achieving 

rapid abatement. Initiative would be how quickly or thoroughly 

the operator began work to abate the violation. Consistency 

would measure or examine the continuance of effort employed to 

eliminate the problem. Commitment of resources would involve the 

securing additional equipment or personnel, interrupting coal 

removal, expending extra manhours and resouces, or other special 

measures taken to remedy the situation in the fastest available 

means. 

To award good faith there must be documentation that 

extraordinary measures were used in addition to rapid compliance. 

In calculating the time set for abatement, include any extensions 

of time given by the inspector for extenuating circumstances. 

Extraordinary measure must be fully documented by obtaining 

actual documents reflecting the efforts taken and an affidavit 

from the operator outlining the measures employed. A sample 

affidavit is presented on the following page. 

30 
SAMPLE AFFIDAVIT 

STATEMENT OF JOHN DOE 

1, John Doe, Engineer for ABC Coal Company, Inc. make the 

following statement to demonstrate extraordinary efforts taken by 

ABC Coal Company, Inc. to achieve rapid abatement of violation 1 

of 2, citation number NOV 86-091-016-002<3>, mine #24 in Scott 

County, Tennessee. 

<1> pulled eight men from active production mine #26 in 

Fentress County, Tennessee to inactive mine #24 in Scott County, 

Tennessee, approximately 25 miles away. 

<2> pulled one dozer, one 

trucks from active production mine #27, 

approximately 75 miles away. 

front end loader, and twu 

Whitley County, Kentucky, 

<3> AI I equipment was hauled from mine #27 by contract 

carrier, XYZ Haulers, of Wi II iamsburg, Kentucky at a cost of 

$2,500.00. <Copy of invoice and/or payment is attached!. 

(4) Contracted with JOB Consulting, 

Tennessee at a cost of $1,800.00 (copy of 

design and assist in the installation of 

required to abate the violation. 

Inc., of Oak Ridgo2, 

invoice attached) to 

the treatment system 

<5> personally supervised and directed the work to 

achieve abatement of this violation tor approximately 12 hours. 

<6J Abatement was achieved at 10:00 a.m. on June 30, 1986. 

<7> Jack Labor cal led Inspector Jake Q. Smith at 10.:15 

a.m., June 30, 1986, advising him that abatement had been 

achieved and effluent limits were in compliance. 

<8> Inspector Smith returned to the site of violation July 

1. I986 at 11:00 a.m. and issued termination tor the violation. 

State of 

County of 

hereby affirm, under oath, that 

true to the best of my knowledge. 

the foregoing is correct and 

Sworn to before me 

day of 

John Doe, Engineer 

and subscribed in my presence this 

19 __ 

Notary Public 

In.clude country, state and 

expiration date of commission> 

( 31) 
\ 

The basic rules in calculating the days between service and 

abatement or termination to determine good faith potential are as 

follows: 

1. the day of service is not counted; 

2. the day of termination or abatement is counted; all 

modification of abatement dates must be consideted; 

3. if the time between service and termination or 

abatement is seven (7) days or less special rules apply (see CFR 

700.15(c)). 

To determine the date of service the examination of various 

documents is essential. If the citation was served by hand by 

the inspector, the citation will bear the name, title, and 

signature of the person served in the lower left corner of the 

citation. Normally the date of service will be the same as the 

date of inspection. If the citation was served by certified 

mail, block 18 should reflect the date of mailing and the 

certification number. In this case the date of service is 

determined by examination of the Domestic Return Receipt. The 

date of service and the person served should appear on the card. 

If the card is not available or the information is not reflected, 

the date of mailing plus three days may be used to calculate the 

date of service. 

Nor•ally the date reflected on the termination notice is the 

date used for the abatement date. There are cases when the 

abatement date is different than the termination date shown on 

the notice. The inspector is sometimes unable to reinspect at 

the time of actual abatement and the termination date reflects 

the date of reinspection. If documentation can be obtained to 

verify the true date of abatement, and the inspector concurs, the 

actual date of abatement should be used in calculating the number 

of days for final assessment and in the consideration for good 

faith. 

In order to compurethe days that a violation for a NOV was in 

effect, the following documents need to be examined: 

Proof of service on the NOV 

The "time for abatement" on the NOV 

Any modifications of the NOV affecting time for abatement 

The termination notice 

The documents for "Anyole Coal Company" appear on the 

following pages. 

32 
U.S. DEPARTMENT Of 1 hl n:TERIOR 

Office of Surface Mining Reela~>oUt• .. nd Enloree!nenl 

NOTICE OF VIOLATION 

Permanent Procedures 

0 No Permi1 

1. Hottce of VtC·•C •:..n Number 

~-O'll -()OO-ool 

OftglnaUng 

QSf"l.. 

No~~.ls RI'£A oft=i'c.£. 

"f', 0. 'Box 17'l 

Noo:~i s IE.Jo~.J -.ssE£ 

378~8 

Telephone Number 

(~15)G~-l7/8 

'· ••• ;r 

~---iD,.J~ o+ Se·nllc-<-

12- 10- H, 

U.S. DEPARTMENT OF THE INTERIOR 

Olficc of Surface Mining Reclamation and Entorc:ernent 

MODIFICATION OF NOTICE OF VIOLATION OR CESSATION ORDER 

001 

16. VIOLA liON--'- Of' _j_ IS MOOIFI£0. to.JeftiM AerO'I •M .ltntttrl 

Rb,.-r£,..,e.NY t>.:a.-rC:. •s £C"TTHb£.b lo 10:00 Itt'¥) O"-' _,,.,.,74f_ Ot:c • ..=t~ f18C.. 

Pt..,;tiec /op<-un"O~ tt:?v~T'U> ..-~ &:I"'.•Js.'o..J • H DP.b£,., io. "T'":J ltDbrl.cuJA I ~1M",..,£ J-r. P~£.1Hol)":.. '5,"-1'£ ~-~::~c..T·~ ;...,~~b +M.J ~ bA'!,.',., oo 1 h"b bu...t ,.~.,..f..b -.-.+-\... A-=tr•<-"-<4~1 '-~(. .....,,.f.L.. l.:"'"\\~~.b s~~. If.£ b ... ~.-.... p ~ l,_,.'> 

bn ... ~\~·tt f1 '""f.._,J( p 11 ._.,.,.,.f. ft""'-...., ~."'1 to ~- ~--~~ Lf.'7. "I,J-tla....J IU'TO 

'"T'"i boo..£;.., J.t.,c:. bu.u .,-~u '-""!> ~~~~~s ,,., <..c...,pl• ~. As .,....,.£ pua...,t C\tE.,.,.~Tc.e.. is "'""~• ... .l • ~oot) .f"i(l" £+to;:r..T -reo -"e~-r€.., .._\..c ~rT'CHSiou ;:. .,.,..,.,...l>l U'. Vt01..A110N ___ Of' ___ 1SMOOtF_tEO.{Dnc711M~•twi.MnfllrJ 

11 Vt()LA TION ---Of' ---r5 MOOcFIED. tC.KtitH ,u,_ •tttJ.IIattlrJ 

33 

Tr"" ~- A.k~ I.Z- I 'i-S&, 

ri).J:.f,~ +,;., c 

-f- Ak./, ...,.1-
\ 

EXHIBIT 3 to Table E (Continued) Page 10 of 11 

This is the termination or vacation notice whichever is applicable. 

Document should be reviewed for statements and dates. Only if a 

violation .has been satisfactorily resolved is settlement possible. 

U.S. DEPARTMENT OF THE INTERIOR 

Ollice of Surface Mlntng Rectam•lion •nd EnfOf'cemenl 

VACATION OR TERMINATION OF NOTICE OF VIOLATION OR CESSATION ORDER 

8. Date of ln~pecuon 

fYc;.n, bc:.e 18, 19e" 

1 M&,.•"'9 ACICioc:s:s 

HI. Sl.ue Pe'""' Numo.er I

t I. NPCE:S Nu~ 112 ... SMA 10 Number 

'"' c-cs oss L/0 -cooo o 

113. OSM Mn"te Number 

'C8-f/G3 

ACTIONS TAKEN 

Authority: Under the authority ot the Surface Mining Control and Reclamation·"''' 

of 1977 (P.l. 95-87; 30 U.S.C. 1201)the following action is taken: 

8<, -Cf/1-oaJ- oo/ 1 O.ale<l' 115. CeswiOon OrC:er Number 

: 1~/to/et.. - - -:-

17 Y.at..ATION ---OF ___ IS::! Tetm•rute<l 

G V..C.~Ied 

Cot lhe Foltowinljl Reuons: 

18. VIOlA110N ----Or ______ IS t.J fe<tnlt".&letl 

1.1 Y&C&HXI fOI' lhe FouowiftG Ae.sons: 

34 

,Daled 

0 

: 

Termination or 

vacation ? 

• 

1:1./ IB{'l(p 
Copy of conference appointment letter 

Sign-in sheet 

In addition, the Conference Officer may 

of pertinent regulations; CFR 30 and Public 

Conference Manual in the conference room. It 

to have an extra copy of Table A of the 

ready reference on conversion of points 

penalty based on number of days. 

2.6 Conducting the Conference 

wish to have a copy 

~aw 95-87, and the 

might be beneficial 

manual available for 

and calculation of 

The Conference Officer is responsible for maintaining 

accurate and complete notes of conference proceedings. The 

Officer will open the conference with an explanation of the 

purpose of the conference. The Officer will explain that this is 

an informal conference and that it is not governed by section 554 

of Title 5 of the United States Code, regarding requirements for 

formal adjudicatory hearings. 

As it is essential there be a record of those attending the 

conference, the officer wil provide a sign-in sheet 1see Exhibit 

14) to record attendance. 

After the opening remarks by the Conference Officer, the 

permittee may present information that is relevant to the 

assessment. The conference should cover the penalty points 

assessed for each aspect of the violation(sJ; the discussion wil I 

include the assessment for history, seriousness, obstruction, 

negligence and good faith points. The review and analysis of 

assessed points in each area will be viewed in light of 

information derived from the operator or his representative<sJ, 

and representatives from the Branch of Inspection and 

Enforcement, Permitting., Bonding, or the Solicitors. The 

operator may present documents or discuss extenuating 

circumstances relating to the violation<sJ. Any revisions in 

assessed points must be in concert with the Assessment Manual and 

must be fully documented. Good faith will be discussed if it was 

not considered in the original assessment; because of the length 

of the abatement time, the penalty may have been assessed prior 

to the end of the abatement period. 

Any presentations by the public are made after the 

permittee's presentations are completed. According to 30 CFR 

845.18 <bJ<2J, any person has a right to attend and participate 

in the conference. Comments made by the public will be recorded 

by the Conference Officer and will become a part of the 

conference file. If the public presents testimony that is 

contrary to documentation present in the file, the officer will 

seek the assistance from other offices within OSMRE, following 

the conference, to verify the public testimony. 

The Conference Officer must direct the discussions to facts 

relevant to the assessment, not the fact of the violation. 

37 
in escrow) must accompany the application. 

In closing the conference, the Conference Officer should 

thank the permittee and the publ.ic for appeari~g. The permittee 

should also be advised of the right to request a hearing to 

further appeal, pursuant to 30 CFR 845.19. In addition, the 

permittee should be counseled on avoiding future violations and 

on abating any other violations that may have already occurred as 

rapidly as possible. 

2.7 Settling the Cases 

The Conference Officer will consider all relevant 

information on the violation and send a written Conclusion of 

Conference report to the permittee. The Conference Officer should 

attempt to settle cases through the conference process. In many 

cases agreement can be reached through conterence and this 

prevents additional expenditure of time and effort in the 

preparation of the final order and subsequent collection 

procedures. 

Although the Conclusion of Conference report should be 

prepared as soon as possible following the conference, there may 

be slight delays pending the arrival of affidavits or other 

documentation from the operator, the rendering of payment with 

signature of permittee consenting to settlement, or for time for 

consulting with other officials regarding the case. 

If the permittee consents to the assessment but is unable 

to render full payment, an installment agreement may be 

considered. A payment of at least 10 percent must be rendered 

with the consent agreement and the balance is to be paid in a 

maximum of twelve mont~ly payments. The minimum penalty amount 

eligible for a payment plan agreement is $1,000.00. Operators 

that have previously defaulted or who have not paid other 

agreements timely wil I not be offered new agreements. 

It should be tactfully pointed out to the permittee, if 

agreement cannot be achieved, that further appeal will require 

additional time and effort. The permittee has the right of 

further appeal and, if so inclined, should be advised of the 

procedures. The permittee's plan for further appeal should not 

have any bearing on the outcome or decision of the conference 

proceedings. 

2.8 Preparing Conference Report 

An Assessment Conference Report wil 1 be filled out for each 

NOV or CO considered in the conference. This report will 

provide documentation of revised civil penalty for each violation 

considered at the conference, changes in points and the rationale 

for changes. lt is essential that the reasons for changing 

points be documented, be consistent with policy, and be accurate 

reflections of facts made available to the Conference Officer. 

39 

~'~ ~ 
\ 

The narrative section of the Assessment Conference Report, which 

is an in-house explanation for any adjustment at penalties, will 

normally not be sent to companies. 

Within 30 days of the conference, the letter (and forms 

relating to the conference) will be sent to the permittee.· If 

payment is sti 11 due, the letter and forms wi 11 be sent by 

certified mail, return receipt requested, so that OSMRE has a 

record of receipt by the permittee. Copies of all documents 

sent to the permittee will be made a part of the assessment file. 

Additionally, the certified mail receipt should contain the 

number of the specific violation(s). 

2.9 Conference Officer Audit Report 

A Conference Officer Audit Report wil 1 be submitted to the 

reviewer/rater along with the Conclusion of Confere·nce Report. 

The reviewer will initial each section that he/she considers 

complete and accurate, and will note any sections that require 

additional work or clarification. If additional work is 

required, the Conf·erence Officer completes or corrects ·the 

documents, and submits to the reviewer again for initialing. 

When the audit report has been fully approved and initialed by 

the reviewer, the Conference Officer or assistant prepares three 

copies of the report and submits two copies to the Program 

Manager, who may do the following: 

a. approve the Conclusion of Conference Report: 

<1) initial the audit report 

(2) date the Conclusion of Conference Report 

(3) notify the Conference Officer 

copy of the report may be sent 

operator and specify the date to be 

on the letter 

(4) forward a copy of the report to BCPA 

b. if the report is not approved: 

that a 

to the 

inserted 

(1) return the Conclusion of Conference report to 

the Conference Officer for rev.ision 

(2) initial satisfactory sections of the audit 

report, and specify areas requiring 

correction or revision 

~hen corrections or revisions 

is re-submitted to the Program 

approva I, the I etters and reports 

BCPA. 

40 

are accomplished, the report 

Manager for approval. Upon 

are sent to the operator and 
The Conference Officer Audit Report for 

follows on the next three pages. 

Anyole Coal Company 

For "Anyole Coal Company,'' the fictitious case used 

throughout this manual, the operator had be~n contacted after 

pre-conference analysis. The operator was advised of the need 

for documentation in reference to the awarding of good faith. An 

appointment letter was sent by regular mail as previous contact 

had already been established verifying the identity and proper 

address of the operator. A sign-in was prepared and completed 

by the operator during the conference. The conference was held, 

a decision was made by the Conference Officer and the reviewer 

concurred with the decision. The operator was advised of the 

decision and agreed to render ful I payment for the revised 

penalty. A copy of the pertinent documents that were used for 

this case follow the Conference Officer Audit Report. 

41 
\ 

EXHIBIT 4 to Table E (Continued) 

The audit report is to be attached to each completed conference case. Items 

should be reviewed and each part examined to assure that accuracy and 

cocpleteness has been achieved. Only the appropriate pages of the audit report 

should be attached to the completed cases. The audit report will be completed 

by the Rater and the Program Manager. 

Date of 

Review 

,./ , •• ~/- 00<>· &>o/() .3. //-$ 7 

Ci L!lt.lC11 t Date of O:rlf. 

/.:;.,r-~' /~oo /~00 

~rm1nat1on ~te J, tO' A $, Rev1sed Penalty 

/~oo k.-~.s ,· ~ r: 

J, collected $, P.aynoent Plan Conference o!flcer 

~.. A.ns~r the follc,..dng questicns regardin9 ycor Ccrlclu~loion of Cooference 

Rep:~r t. 

Mana~r 's 

O:ncur renee Yes Rater's 

O:Jncurrence 

(Initials) 

4-

4-

f4-

J:tiIii1:!:f- G. 

4 

4 

if!r; lC 

l. Proper ~y na.rre anCI citation 

nl.ln'Oer (S} appear on relevant she-ets 

of the report 

2. The type of letter (i.e.- full payment or no payment required) is 

appropriate to t.he o::::nclus ion of 

CO"l!erence. 

J. NOPA amount is transferred accurately 

to the conference report. 

-4. Additions to or rcduc:ticns in the 

penalty are accurately computed. 

S. Narrative is clearly and accurately 

written. 

Narrative is free of spelling and 

9r~~tical errors. 

I. 1\ re{Drt Cor ead1 violaticn a:nferenced 

is included in the.rcport. 

0. A COP'J' o{ the vacation of the 

violation(s) is attached if it 

h.ss txx>n vacated. 

/ /'.£. 

/ eL 

./ ~ 

/ .J2k. 

/ ..21,.. 

./ @. 

__,); ~ 

5·13-'17 

Dale 
!-.'·- :lc_ 

EX~!B:: G to Ta~le E (Continue~) 

This page of the audit re?ort only needs to '>e submitted if there was a 

pay-:;1ent or pay agreer:ent execu::eC . 

. :.'!0:-71- cr< ,_·, ·;(.) 

~:.~:.:.:::r. ' 

5'. ;.. c=;:· c: :.-::e c.-::e~-" z."":::. e: a::.s:-:.:~::. ~:..: :.."'.e s:.;-:--.e:: 

::-:-.se:-.: .:.Sse£~.:. :: ::·.-:: 

::-~:-:a::y ;..;:e-2.":'>e..":: (~ ?l!.::-::-e.""::: 

a:e ::-:::.:.ox::e-:. :.oo: :.."'.e :e::==:-:. •·:-.e.-. 

-:..-.e ~ . .a.:-::.- ~l!.S !:>e-e::. ~:..:. as :..-.e 

:es~:. c! -:..:.e c:::::".!e:e::.=-e. 

;.. c::::::· c! :..'":e ?!:·":':"E:-.: ;:.~oo: 

a.;:-.:e-2.--:-E.oo:: a...oo:= C:;-..":': ;.a:-'7lE...-:: ::~ 

: ~-.:::e-:: a..oo:.: :.:·e s:.;-:eC C--:--~e.:. ;..s.s:e~r-e.-.:. c: c:·:~ 

?e.-. .a.:.:::· ~z~--:-.e.::.: ?:a. ... · a.:e 

.:..... c.:.xe-: :.-: :..-.e ::;:::::: •":":e..-. :.::e c=e:~::.:: !".a.s z.;:ee-:: - ~.:s 

a;:~-:.e.-::. 

C.:~"':y :"'..!..~. :.: :z:..:c:". a.-. .: ;:e:-:-:-. .:: 

:-:-.:.:;-e::s z.:e- =:::-. .s:s:~: ~:·•e-o_-. :.."':e 

C::-.:::.:..s:::-. :: :::-::e:e:-::e :e-;:c:: 

a."':.: :.~e :::-.s::.:-.: assesr:""le:-.: ::.:. 

C.:·::: ?e:-.~:::: c;:-:-e~-.:. 

~e.s 

.•. r 

P.!.:e:'s 

C::'l=~::e:-::e 

(::-.::.:~s; 

1 nterest is Ceter~ined hy the U. S. 

7:-:e ::-:.:e:~.s: :a:e c:-: :..-::- --.. e..-/- · 

c: ::.v:: ?e:-.G.:.:·.- ..;.::f"e::7>e:-:;-·~; ·- ~epartment of the Treasury~ it has 

.:.:.s:K ~=-! a.":2 :..~e ;.a:·7."l!."":: flucuated annually. Any rate changes. 

z:.~:.: a:-:;; .:..:e ~~:~ !:: ?0!::~-e:-::.~ -w~:ich are posted in the Congressional 

a:~ e:::-:~:s:::-.:. ... ·:.::-. :.":cs~: :.::. :."':~ ~ecorC. musr he reflected in agreements. 

?2:-..e-.:. ;::a:-. =:-.a:: a:-.:: :.-.~. ,,.---, ..'/ :.:·::..:. ?~:-. .=..:.:.~: Re:-:-.:.::.3.:-:=-:: :.=::-=-..:::. ~-.r· ~ ~ 
\ 

EXHIBIT 4 to Table E (Continued) 

This page of the audit report is only applicable when there has been a 

revision of proposed assessment. As noted there must be justification 

and documentation sufficient to allow the revision. 

Al$1-f'/· .,.,., ·ool'{d ~0"/s"..""{, C1taum I Oi\ference of 1cer 

II. If the penalty was reduced, AnS\oler the following questicns: 

L Penalty reductions follow guidelines outlined in the Assessment 

Manual: 

~gee's 

Concurrence 

& ter • s 0::mren ts: 

Yes No Rater's 

Cc.ncur renee (Initials) 

2. n:x:u:rent.ation is presented .i.n the Cc.nclusion of Conference 

Aep:>rt to justify penalty reductions: 

Hanaqer 's 

Ccncurrence 

Rater's Corrrnent.s: 

Yes No Rater's 

Concurrence 

(Initials) 

3. The COnference Officer's file contains sufficient information 

and documentation to support the justification presented in the 

Conclusicn of Conference Retprt. 

Manager's 

Concurrence 

.2f 

Rater's COI'm'IC'nts: 

Yes No Rater's 

Concurrence 

(Initials) 

~ ~.z.. ,; A.,_":, • .:t:---'--1 ..........( ~ 

..;JJ.~~ 

~if"''~~ 

44 
EXHIBIT 4 to Table E (Continued) 

Conference report is prepared to reflect actions of the conference. The 

report will show persons attending, and the revised or affirmed assessment 

after a conference is held. 

A~SrS~MF.NT CO~FERENC~ REPORT 

fo;r~oxvil lt- t·i~ld Offic~ 

Citation No: HB6-091-000-00l!ll 

.,.ype of Conference: -~ in persnn telephone ___ letter. 

Dat<.• ·('If Cuufet"<•nce: Mil~ch 11, l~R7 

!ill! 

!1~Y~-§~i1~--------------------- ~~~~g~t _______________ _ 

A•ount of Assessment 

~! ~~~i!!~ 

______ !_gf_J ________________ _ 

s_!~~QQ~QQ _____________ _ 

45 

~The date is not inserted 

review and acceptance by 

Program Manager 

until 

the 
\ 

EXHIBIT 4 to Table E (Continued) 

This page reflects the cause of the citation, the initial proposed assessment 

and the f~nal assessment as a result of the conference. In addition it 

shows the dates as reflected in the enforcement package. 

ASSESSMENT CONFERF.NCE RF.PORT 

{Continued) 

Page2of2 

Company Nem~: Anyole Coal Company 

Pcrmi t No: 88-A03 

]. CJtatJOil No: N86-09l-000-0Ql(l) 

Violatio•1 1 of 1 

(a) N;Jture of Violation: 

for water discharge. 

(b) Dat~ For ALatement: 

2. Conference Result 

Failure to meet effluent 

12-22-86 Date Ser1o1ed: 

Date of Termination: 

P.roposed 

b~~~~~!!I~D! 

{a) History/Prev. Violation 

(b) Seriousness 

(1) Prob8bility of 

Occurrence 

Extent of Damage 

(2) Obstruction to 

Enforcement 

(c) Negligence 

(d) Good Faith 

TOTAL POINTS 

TOTAL AMOUNT 

ASSESSMENT 

-1~------

--~------

-1~------

46 

limitations 

~~2-10-86 

\2-18-86 

Conference 

~~~~~~!!!!!?.! 

_H ___ _ 

--~-----

_ _!;? _____ _ 

-=~-----

-~L ____ _ 

EXHIBIT 4 to Table ! (Con::inuec) 

ASSESSH£~T COHrEREHCE REPORT 

I Cor:r.t i nued) 

C.ita1ion fiio: t~nr;-o~n-ooo-oolil) 

Wiclalio~ l of l 

Po«e 2A of 2 

'ftarr:a1 i "co: 

l,r:aef c~.rlan:~ticn of f'UI.I<.II'IS i'&.~r .,,.chances in ·~slcn•ent of Full explanation or 

f'~"~int.a at~d any addl t ional ~nfnraatlon thal was presented at /rationale should be made fO'! 

lhe c~nfe•ecce.l any changes or modification' 

TouT (4fl) ?tlin\.a coed (ai1h awarded (or ra,dd aloaLeaent cnabined of assessment. In addi~ion 

oetith e,;traordinar,- aeaaur••· Citation was band aerved on 12-10- documents should be attache< 

er. with aUat••ent dat.c of 12-22-RG. after •odificaLioa. 1'bia 0 identified that constitu~ 

all~.., .. d 12 d•v• t.u resolve the pr·o!.Jlea. Citation., • ., terainat•d r ~n 1:!-JS ... SG; within e d•vs or in G6.67to of the ti•e allowed for the basis for change. 

Ttsol¥t•ent. Inspe~tor's •t•te•ent co••ented on tood f•ith 

cff~rts •nd tl·~ Ot•erator f~rnish~d a ewo~n •ffidavit Cae~ 

.at t.acbed). 

Operate~ ac~e~d ta th~ revised assesaaent, 

4~r~••en1 an~ render~d full p•~•ent. 

sit.n•d th~ consent~ 

47 

A brief statement of 

settlement or non-settlemen 

should be made 
EIEl!I! 4 to table ! (Co=tiauod) J'aa• I of 15 

All -.c41f1c:at1.,.. or rrrtaioDa o! uaca-.ecta abould M cloc.,_,ted c4 

.. de a part c! the cue fUe. Mn> at.at,..=ta can M obt..U..d or copiee 

o! actual cloc,...cu. Tbere -•da to toe :! ... tificat1011 111 .... 1"7 iut.&Dce 

that cauaad a reviaioc, roclucti~ or a!firw.tiOD of uaeaeweet. auto.1ttad 

cloc~~McU aoed to toe uvicwd &Dd nal..atad u to vllether tbe auaa-t 

aa propcaed can be -.edified. luf!1c1e=t tt.e .. ,. M &llDWd for tbe 

Operator to auppl7 doc~tatiOD but firD daadl1Dea ahould toe aatabliabad. 

Page 1 of 2 

STATEMENT Of LLOYD SMITH 

I, lloyd Smith, Manager of Anyole Coel Company, aake the 

following statements to demonstrate extraordinary effort• 

taken by Anyole Coal Company to ech1eve rapid resolveaent of 

the violation cited under NOV 86-091-000-001(1), More Tipple, 

located 1n Campbell County, Tennessee. 

(1 · There were three aen pulled from active production 

•1ne •2, Anderson County, Tennessee wh1ch i• approxiaately 15 

miles away. 

t2) I used two of the men to i•mediately start treatin& 

the basin with agricultural lia@. Th@ other aen wea 

dispatched to lafoll@tte approximately 8 ailea away to aecure 

additional chem1cals. For this purpose, I utilized the truck 

normally used at the active aice 11te to transport the aen 

and to purchase the chemicals. 

3. After treat1ng and monitoring the basin it waa 

determ1ned that some improvement had been accoaplished but 

the bas1n was still not w1thin acceptable limite. 

(4: An engineering firm was contacted and a 

representative came to the site. It was recoaaended a 

different treatment system be employed and the engineer drew 

up plans and specifications. The apecifications were 

delivered to a welding shop in Jacksboro and the new ayatea 

was aacufactured. When completed two aen were diapatched to 

aecure the ne~ system and return 1t to the tipple site for 

installat1on. The cost of the engineer, construction of the 

new aystem, delivery and installation was $3,121,77. Coat of 

the chemicals w~s an additional S223.84. 

(5} When the new system was installed and it wee 

determined the bas1n was 1n coapl1ance, a call waa aade to 

the Inapector. The Inspector came to the a1te, aade an 

analysis of the d1scharge and 1ssued teralD&tlon of the 

v1olat1on on Dec~•b~r 18, 1986. 

i6J The resolvement of the violation 1ncurred the use of 

three aen for eight (8l days and the exclusive uae of the 

truck for the ent1re pe:1od. Th1s also involved the bulk of 

•Y t1m~ to superv1se a:~ monitor th@ ect1vit1eS to resolve 

the violatlon. 

48 

' ·' -1 
EXHIBIT 4 to Table E (Continued) 

Statements should be sworn, notarized and furnished prior to or at the 

scheduled conference. If the statement was not prepared in advance it 

may.be rendered at a later date or taken during the conference process. 

Conference Officers have been delegated the authority to administer oaths 

and the Operator should be asked to confirm that the statements rendered 

are true and accurate. 

Page 2 of 2 

Lloyd S•ith, being duly •worn •ays that the atate•ent •ade in 

~he ~oregoing ic true to the best of his knowledge. 

'ate of Tennessee 

County of Ce•pbell 

~--~-------------------- Lloyd 

£~ Saith, Manager 

Sworn to before •e end subscribed in •Y presenCe this the 

lOth day of March, 1987. · 

49 
EXHIBIT 4 to Table E (Continued) 

Settlement should be achieved if at all ·possible. A consent agreement is 

used to affirm settlement. The settlement agreement should be executed 

and signed at the scheduled conference unless the representative can not 

sign and render necessary payment. The consent agreement can he prepared 

and furnished to the representative to be returned by a given date. 

United States Department of the Interior 

OFFICE OF SURFACE MINING 

Reclamation and En!orument 

530 Gay SL, S. W ., Suite 500 

Knoxville, TN. 37902 

Op<·rRtor 

£Q~~;~r ~~~~~~~;~r Qf £IY!~ e~~~~TY 

(full Payaent) 

THIS AGREEMENT is •Hd~ 3nd ent~red into this lith day of 

rch, 1987, by and between ~~Y2!~ £Q~! £2!1e!~X C'the 

~perator~l and the Office ~f Surface Mining Reclamation and 

Enforce•ent. U.S. Depart•cnt of the Interior c·osH"). 

WHEREAS, pursuant to its authority under the Surface Mining 

Control an~ Recla$Rlion Act of 1977 (~the Act") and re~ulations 

promulgated thereunder, OSM has issued to the Operator Notice of 

Vi~lation t•NOV") No. 86-091-000-001(1), charging the Operate~ 

witl1 one ur more violations of said Act and regulations at the 

Operator•s surface coal •ining operation in Campbell County. 

Tennessee. operated under Permit No. 88-AOJ; end 

WHERE~$ OSM h~s praros~d a civil r~nalty assessment in the 

amttUnt of Sl.COO.OO for said violatiun: and 

WH~REAS tl1e parties ~ish to settle all outstanding issues 

arising out of the issuance of said NOV and proposed assess•ent: 

NOW. THEREFORE, in consideration of the ahove premises and 

tl1e conditions set forth herein. the parties agree as follows: 

1. -"civil pen:1lty in the 8IIH.1unt of Sl.:!OO.OO i·s hereby 

assess~d fnr ll1e violation cited in the abuve referenced NOV. 

This ass~ssmenl is nuw final, and any right.s th~ Operator ••Y 

o1h~rwise have had to contest th~ proposed p~nalty assess•enl ere espressly waived. 

so 
EXHIBIT 4 to Table E (Continued) 

Two original consent agreements should be prepared. Once payment is rendered 

the payment is identified and one copy is given to the Operator or 

representative as a receipt. Th~ Conference Officer will never sign this 

form until payment is rendered as this constitutes receipt of settlement. 

~- Rc:cC"ipt of cheek no·-----~~--~-----·-·---- in lhf! aaount of 

s __ ~_«_qf'_..;._~--------- is herl!by acknowl~dl(~d in full pay•e~t of 

said final penally ass~ss•ent (provided any p~rsonnl check t1•ely 

cl~ars tlte financial institution on which it is writl~11l. 

~~~~~~ ~Q!! £2~~!DY 

Operator 

OFFICE OF SURfACE HINI~G 

Billy R. Kneisley 

Asses~MCJtl Conference Officer 

51 
Pa)~ents are immediately transmitted to the, Lockbox, either by a Conference 

Officer who has been delegated as a collection officer or by another 

designated collection officer at the :ield or area office. An abstract should 

accompany each deposit. 

Oepar~ent of the Jntertor 

Office of Surf•ce "ining 

Abstract of ReMittances 

Deposit Ticket Ho.:. ______ _ 

Date of Deposit:. _______ _ 

T.)1Je: Knoxvill~:! Field OffiO! 

Item Transact ion Name of Remitter Acct. 

Ho. Number t Check Number Oescri~~ ion Number Amount 

J\n)<>le Coal Cl:>. Civil PenzU. ties 141099 $1,200. 

O>ed< No. 300 assessed against 

Dated 3/11/87 J\n)'cle 0>a1 Cl:> • 

tOJ 86-91-00o-1 

roLL PA»10r.l' 

I 

Anyole Coal Coapany No. 300 

(615) 555-7225 

P.o. lox 000 

I Jellico, Tn 37762 

~.-e // 19 ..17 

UPTOt..'N ~ANK 

Jellico. Tennessee 37762 

.'Pay tz.-<.-7-.C ./?....7'__.., 4 ~./?~~ o" 

i DOllARS s/~oo ;;--

·;To The 

Order Of: 0-f{~ <(q-c '>??~ 

000001111-1111-JJJJ ,J ¥' • <If I • QD# • 

~he above llsted remittance{s) recei~cd 

•nd deposited by: 

Anyole Co~l Company 

t() ;(£"'£ _,.L._d 

'f·tl-17 

. -=-n-::==-.<rr.=~===---- Date ____ _ tollect1on Orf1cer (Denver} 

52 
2.10 Corrections of Conference Officer Documents 

If 

reports, 

errors 

that 

are 

have 

discovered in Conclusion 

been previouslY submitted 

corrections will be made as follows: 

of Conference 

and mailed, 

a. ori~inal pages, containing errors, should 

remain in the report, with a stat~ment on the bottom of the 

specified page indicating that a correction follows. 

b. a new page including the correction, follows 

the ori~inal pa~e containing the error(s). The Conference 

Officer initials and dates the correction(s). 

c. copies of the complete. corrected Conclusion 

of Conference report, containing original and corrected pages, 

should be submitted to BCPA. the operator if applicable. and the 

Conference Officer case file. The word ''corrected'' followed by 

the current date, should be placed under the original date on the 

Conclusion of Conference letter. 

53 
following sections and are in generalized terms. The specifics 

are contained in the Assessment Manual within the Civil Penalty 

Section. Questions concerning proposed assessment may be 

addressed by contacting the BCPA. 

3.2 History 

The threshhold for the criteria, history, is ten <10l points 

so if this accumulation of points is reached for history a 

penalty must be assessed. The assessment of history points 

follows a given formula: one <ll point for each separate NOV 

violation at the same site within a previous 12-month period; 

five <5l points for each separate violation in the CO at the same 

site within a previous 12-month period. Same site has been 

defined as a permitted area. To be assessed history points the 

previous violations must have been finalized. Violations are not 

finalized until the entire review process is complete. If a 

permittee fails to exercise the right of review, the violation is 

complete as of the date the permittee's right to review expires. 

It is also noted if a wiolation is vacated, the violation is not 

used in assembling history points. 

The BCPA will review the previous violations found in the 

permittee case file and propose the assessment points based on 

their findings. The Conference Officer must ascertain that the 

proposed assessment of points are valid and all NOV's and CO's 

were included. History points may be affirmed, raised or lowered 

depending on the results of the research and also on data 

supplied by the permittee in the conference. 

3.3 Seriousness 

In determining the assessment in the criteria; seriousness, 

the first aspect to consider is whether it should be categorized 

as an event, potential event or if it was an obstruction. Events 

are violations that cause or potentially could cause 

environmental damage, personal injury, or property damage which 

could or did result from the violation of the regulation. The 

threshhold for seriousness is twenty-one <21l points. 

Seriousness is subdivided into two elements of consideration 

in the assessment of penalty points; the probability of 

occurrence and the extent of potential or actual damage. Under 

CFR 30 Part 845.13<bl <2J < i J, probabi I ity of occurrence points are 

to be assessed as follows: 

<a l occurred 15 points 

(b) likely to occur 10-14 points 

(c) unlikely to occur 5-9 points 

(d) insignificant 1-4 points 

(e) none 0 points 

55 
The extent of potential or actual damage penalty points are 

assessed as follows: 

(al damage which could extend off-permit 8-15 points 

(bl damage confined within permit 0-7 points 

Based on the facts presented in the violation, inspector's 

report and statement or other documentation concerning the 

violation the assessor determines the applicable categories 

within seriousness and assigns penalty points within the two 

elements. If damage for instance would occur only within the 

permit area, the starting assessment would be three (31 points 

and move up or down depending on the mitigating circumstances. 

If damage could extend beyond the permit area the starting 

assessment would be eight (8) points and move up to the maximum 

of fifteen <151. The determination of occurrence should be 

fine-tuned to the compounding circumstances. In the 

insignificant, unlikely and likely categories the assessor begins 

at midrange, three <3>t seven (7), and twelve <12), respectively, 

and moves up or down depending on the mitigating or exacerbating 

circumstances. Developing an understanding for the relative 

severity of particular situations wil I determine how an assessor 

or Conference Officer decides within the point scales. 

The permittee during the conference may present information 

concerning the seriousness of the violation. The information may 

create the need to affirm, raise or lower the proposed assessment 

based on the presented information. Normally the actual 

violation plus the inspector's report and statement will be used 

as the documentation for the assessment of penalty points 

relating to seriousness. 

3.4 Obstructions 

Obstructions are those violations which prevent the 

inspector from reviewing the overall operations of the mine in 

determining compliance with regulations. Similarly, violations 

which prevent the public from identifying the minesite or 

exercising rights under the Act are considered obstructions. The 

threshold of points in the criteria; obstruction, is ten <10J 

points. 

Obstruction violations generally involve the permittee's 

failure to keep records, authorizations, approved plans, or maps 

at or near the minesite, thereby obstructing the inspector, or 

the failure to post proper permit or perimeter signs which might 

hinder public or inspector identification of the minesite. The 

specific guidelines of obstruction assessment is contained in the 

Assessment Manual and point assignments have been developed for 

mine identification signs and other obstruction violations (see 

Appendix A of Table Bl. The assessment of points is generally 

that actual obstruction is assessed in the 10-15 point range 

while potential obstruction is assessed in the 1-9 point range. 

56 

',.\ 

l 
\ 

When the violation 

based on the degree 

enforcement by an 

public. 

constitutes an obstruction, the assessment is 

which the violation prevented or impeded 

inspector or enforcement initiated by the 

When it appears that a violation could result in either an 

obstruction or an event, it may be necessary to contact the 

inspector to clarify the situation. Was the particular violation 

more of an obstruction to enforcement or was it clear that damage 

had already occurred or was likely to occur? 

3. 5 Ne·g I i gence 

Assessing this criterion 

permittee's degree of fault in 

through an act or failure to 

standard of reasonable care 

permittee's responsibility to 

The threshold for the criteria; 

involves a determination of the 

committing a violation, either 

act. The regulations specify the 

for permittees. It is the 

learn and follow the regulations. 

fault, is thirteen (13) points. 

The following are the four categories of degree 

defined by regulations and BCPA policy: 

of tau It as 

<a l no negligence 0 points 

( b ) negligence 1-12 points 

(c) recklessness 13-20 points 

(d) knowing and w i I 1 f u 1 conduct 21-25 points 

A no negligence situation is where the operator acted 

prudently but a violation occurred anyway due to either an Act of 

God or vandaiism. While the permittee cannot prevent the 

occurrences it can become negligence if the operator does not fix 

it promptly. When no negligence on the permittee's part can be 

discer·ned, no points should be given. 

30 CFR Part 845.13(bl(3l<iil<Bl states: "Negligence means 

the failure of a permittee to prevent the occurrence of any 

violation of his or her permit or any requirement of the Act or 

this Chapter due to indifference, lack or diligence, or lack of 

reasonable care, or the failure to abate any violation of such 

permit or the Act due to indifference, lack of diligence, or lack 

of reasonable care." 

30 CFR Part 845.13(bl(3J(iiil states: "ln calculating points 

to be assigned for negligence, the acts of all persons working on 

the coal exploration or surface coal mining and reclamation site 

shall be attributed to the person to whom the notice or order was 

issued, unless that person establishes that they were acts of 

deliberate sabotage." 

Ignorance of the law is not a no negligence situation. 

Permittee's are charged with the duty of knowing the regulations. 

In conflicting cases between jurisdictional agencies such as the 

State and Federal requirements, the violation would be under 

57 
Fede;ral law but the degree of fault would be low. Negligence is 

the failure of a permittee to exercise the degree of care 

norma 1 l y expected of a carefu 1 and reasonab 1 e operator. 

Negligent acts include committing an act which constitutes a 

violation, failing to do something that. is required, o.r 

attempting to do a requirement but doing it improperly. 

As the regulations establish what is considered the standard 

of reasonable care, almost every violation involves some degree 

of fault. In assessing under negligence the assessor should 

always start at twelve <12J points and work down for any 

moderating circumstances. Thirteen <13l to twenty <20l points 

are assessed for recklessness depending on the specifics of the 

violation. Generally where recklessness is involved, the 

assessor starts at thirteen (13J and assesses upward depending on 

compounding circumstances. The legal definition of recklessness 

is disregard of a known or obvious high risk. A permittee is 

reckless where it would have been obvious to a reasonable 

operator that the course of action (an action or failure to take 

action) was likely to cause a serious amount of damage or harm. 

and the operator followed the course anyway. Reckless conduct 

also exist in those instances where the_operator is engaged in 

activities inherently dangerous, and requires a greater degree of 

care to insure safety. 

Knowing or willful conduct is when the permittee is aware 

there is, or wi 11 be, a violation of the regulations and fai Is to 

correct or avoid the situation. A permittee is considered to be 

knowing or willful when: 

<al A specific permit condition is violated. 

<bl The State has previously warned or cited regarding the 

same situation on the same site and there is documentation of the 

warning or citation. 

(3) OSM has previously warned or cited regarding the same 

situation on the same site and there is documentation of the 

warning or citation. 

The point levels for knowing/willful violations are strictly 

delineated. Specific permit condition violations are assessed at 

twenty-one (21l to twenty-two <22) points depending on the 

seriousness of the violation. If there were State warnings or 

citations, twenty-three <23> points are assessed. If there were 

prior OSM warnings or citations, the point total should be 

twenty-four <24l. When a wildcatter <an operator without a 

permitl is involved, the maximum assessment of twerity-five <25l 

points should be made. 

3.6 Good Faith 

The Conference Officer 

person to whom the notice or 

sha 1 1 consider 

order was issued 

58 

good faith of the 

in attempting to 
\ 

achieve rapid complia~ce after notification of the violation. 

Rapid compliance means that measures were taken to abate the 

violation in the shortest possible time and abatement was 

achieved before the time allowed for abatement. Normal 

compliance is when the person to whom the notice or order was 

issued, abated the violation at the time given'for abatement. 

Points for good faith may be awarded as follows: 

(a) Normal compliance or lack of abatement 

(bl Rapid compliance +extraordinary measures 

0 

-1 to -10 

Considerations of good faith would be the examination of 

initiative, consistency, and commitment of resources, to 

determine if extraordinary measures were employed in addition to 

the rapid abatement. Initiative would be how quickly or 

thoroughly the operator began work to abate the violation. 

Consistency would measure or examine the degree of effort or 

completeness employed to eliminate the problem or violation. 

Commitment of resources would involve the securement of 

additional equipment or personnel, interrupting coal removal, 

expending extra manhours and resources, or other special measures 

taken to remedy the situation in the fastest available means. 

The following shall be used as a guide in awarding good 

faith points; recognizing, to award good faith there must be 

documentation that extraordinary measures were used, in addition 

to rapid compliance. ln calculating the time set for abatement, 

include any extension of time given by the inspector for 

extenuating circumstances. Extraordinary measures must be fully 

documented by either obtaining actual documents reflecting the 

efforts taken or an affidavit from the operator sworn and 

notarized outlining the measures employed ( a sample affidavit is 

presented under Exhibit 18). 

Good Faith Determination Points 

(a l Abatement occurs immediately or within 10 

percent of time set -10 

(b) Abatement occurs within 11 to 20 percent Of time set -9 

(c) Abatement occurs within 21 to 30 percent of time set -8 

(d) Abatement occurs within 31 to 40 percent of time set -7 

( e l Abatement occurs within 41 to 50 percent of time set -6 

( f ) Abatement occurs within 51 to 60 percent of time set -5 

( g ) Abatement occurs within 61 to 70 percent of time set -4 

( h) Abatement occurs within 71 to 80 percent of time set -3 

( i ) Abatement occurs within 81 to 90 percent of time set -2 

( j ) Abatement occurs within 91 to 98 percent of time set -1 

59 
TABLE A: 

CONVERSION OF POINTS 

Under Notices of Violation or imminent harm Cessation Orders 

the chart below is a conversion of the number of assigned points 

to a dollar amount which will dictate the civil penalty to be 

asses·sed. 

CHART 1 

Do I I ar Do I I a r 

Points Assessment Points Assessment 

1 20 36 1,600 

2 40 37 1,700 

3 so 38 1,800 

4 80 39 1,900 

5 100 40 2,000 

6 120 41 2,100 

7 140 42 2,200 

8 160 43 2,300 

9 180 44 2,400 

10 200 45 2,500 

11 220 46 2,600 

12 240 47 2,700 

13 260 48 2,800 

14 280 49 2,900 

15 300 50 3,000 

16 320 51 3,100 

17 340 52 3,200 

18 360 53 3,300 

19 380 54 3,400 

20 400 55 3,500 

21 420 56 3,600 

22 440 57 3,700 

23 460 58 3,800 

24 480 59 3,900 

25 500 60 4,000 

26 600 ·61 4, 100 

27 700 62 4,200 

28 800 63 4,300 

29 900 64 4,400 

30 1,000 65 4,500 

31 1,100 66 4,600 

32 1' 200 67 4,700 

33. 1' 300 68 4,800 

34 1,400 69 4,900 

35 1,500 •70 or more 

5,000 

*maximum to be assessed 

60 
\ 

TABLE A: (Continued) 

For a Cessation Order a civil penalty of $750 shall be 

assessed for each day which failure to abate continues and for 

each separate violation within the order. Pena\tY for the failure 

to abate shall not be assessed for more than 30 days nor less 

than 1 day for each violation, unless the citation was vacated. 

1 

2 

3 

4 

5 

6 

7 

8 

9 

10 

11 

12 

13 

14 

15 

16 

17 

18 

19 

20 

21 

22 

23 

24 

25 

26 

27 

28 

29 

30 

CHART 2 

Dollar Assessment 

61 

750 

1,500 

2,250 

3,000 

3,750 

4,500 

5,250 

6,000 

6,750 

7,500 

8,250 

9,000 

9,750 

10,500 

11,250 

12,000 

12,750 

13,500 

14,250 

15,000 

15,750 

16,500 

17,250 

18,000 

18,750 

19,500 

20,250 

21,000 

21,750 

*22,500 

*maximum to be assessed 
TABLE B 

ASSESSMENT GUIDELINES 

These guidelines are extracted and general in nature; the 

specifics are contained in the Assessment Manual. If there are 

questions on assessments they should be addressed to the Branch 

of Civil Penalty Assessments <BCPAl through the appropriate 

channels. 

1. History <Threshhold 10 points) 

•1 point for each separate NOV at the same 

site within previous 12-month period 

•S points for each separate violation in the CO 

at the same site within previous 12-month period 

*must have been finalized and not vacated. 

2. Seriousness <Threshhold 21 points - combination of a&b bela~! 

a. Probability of Occurrence: 

(1) occurred 

(2) likely to occur 

<3> unlikely to occur 

(4) insignificant 

(5) none 

b. Extent of Damage 

<1) extends off-permit 

<2> confined within permit area 

15 points 

10-14 points 

5-9 points 

1-4 points 

0 points 

8-15 points 

0-7 points 

3. Obstruction <Threshhold 10 points) - see appendix A 

a. 

b. 

actual 

potential 

4. Fault <Threshhold 13 points) 

a. no negligence 

b. negligent 

c. recklessness 

d. knowing/wi II ful 

(1) specific permit violation 

(2) previous State warning/citation 

( 3) previous OSM warning/citation 

( 4) wildcat operation 

62 

10-15 points 

1-9 points 

0 points 

1-12 points 

13-20 points 

21-25 points 

21-22 points 

23 points 

24 points 

25 points 

' '· 
\ 

~. 

c Good Faith CRapid Compliance + Extraordinary Measures) 

a. immediate abatement or within 10 percent of 

time -10 points 

b. within 11 to 20 percent of time -9 points 

c. within 21 to 30 percent of time -8 points 

d. within 31 to 40 percent of time -7 points 

e. within 41 to 50 percent of time -6 points 

f. within 51 to 60 percent of time -5 points 

g. within 61 to 70 percent of time -4 points 

h. within 71 to 80 percent of time -3 points 

i. within 81 to 90 percent of time -2 points 

j • within 91 to 98 percent of time -1 point 

Criteria of Extraordinary Measures 

To demonstrate employment of extraordinary measures the 

following criteria can be used as a measurement: 

Initiative - how quickly operator began to abate violation? 

Consistency - once work for abatement began how consistently did 

the operator work? 

Commitment of Resources - was additional help or equipment hired 

to abate violation? Was coal removal interrupted? Were 

additional hours worked? ·was at least 1/3 of the operators 

equipment placed on abatement of the citation? 

•SAMPLE WORDING FOR AWARDING GOOD FAITH 

------~oints good faith awarded for rapid abatement plus 

extraordinary measures employed. NOV was issued on 

served to operator on , with abatement date of 

thus giving days for abatement. Violation was abated on 

Number of days from date of service until the NOV was 

abated was Abatement occurred within ercent of the 

time set for abatement. Extraordinary measures consisted of: 

•NOTE: To award good faith there must be documentation provided 

that will confirm or display both the rapid abatement and the 

extraordinary measures that were employed. The rapid abatement 

is normally displayed or documented by the inspector's citation 

and the termination or abatement document. Exhibit 18 is a 

sample affidavit that may be used by the operator to attest to 

the extraordinary measures that were employed. 

63 
APPENDIX To TABLE B 

OBSTRUCTION POINTS GUIDELINE 

This list is only a general category of problems encountered 

under obstruction and is not totally encompassing. Other 

categories may develop or be encountered and will be assessed as 

they occur. 

1. Permit Sign Violations 

a. No Sign Posted 

b. Sign posted but incomplete data 

2. Failure to Provide Mine Maps 

8 points 

2 points 

for each 

missing item 

a. Lack of map obstructed inspector's inspection 10 points 

b. Lack of map but no actual obstruction 8 points 

c. Lack discovered during administrative check 8 points 

3. Failure to Submit Surface or Groundwater Monitoring Plan 

a. 

b. 

Failure to submit- obstructed 

Failure to submit -no obstruction 

10 points 

6 points 

4. Failure to Implement Surface or Groundwater Monitoring Plan 

a. 

b. 

Failure obstructed inspector 

Failure did not obstruct inspector 

5. Failure to Maintain Proper Blasting Records 

a. 

b. 

c. 

No blasting records exist and blasting has 

occurred 

Missing information and could not be 

extrapolated from records 

Missing information but can be extrapolated 

from records 

10 points 

8 points 

11+ points 

10 points 

8 points 

6. Failure to Have All Applicable Permits at Mining Office 

a. All necessary information not provided 

b. Necessary information provided by operator 

c. Actual permit made available before inspection 

completed 

64 

10 points 

8 points 

was 

8 points 
\ 

7. Failure to Have a Prime Farmland Survey 

a. All failur-es to have a survey or negative 

determination 10 points 

8. Failure to Have Structures Certified by a Registered Engineer 

a. 

b. 

A problem is observed 

no problem observed 

9. Failure to Post Perimeter Markers 

10 points 

8 points 

a. Off-site damage has occurred - change to event and 

assess under seriousness 

b. No off-site damage 8 points 

10. Failure to Post Blasting Signs 

a. Potentially Dangerous 8-15 points 

65 
TABLE C 

GENERAL PROCEDURAL GUIDELINES 

These guidelines and the attached flow-chart ,depict the outline 

of events and activities normally encountered in the conference 

procedure. Deviations may occur and will require modification or 

decisions by the Conference Officer to resolve the issues. 

1. Inspection is held and the operator is served with a 

Notice of Violation <NOVl or a Cessation Order <COl. Operator 

can exercise any of the appeal rights outlined in Chapter 1, Part 

1. 2. 

2. Assessment office receives a copy of the citation, 

normally within ten <10) days of the inspection uncovering the 

violation. 

3. Assessment office within thirty <30l days, prepares a 

Notice of Proposed Assessment <NOPAl and sends the NOPA to the 

operator along with a blank request for informal conference. 

4. ~ithin thirty <30l days of the receipt of the NOPA 

package, tt1e operator may submit a request for informal 

conference and return it to the assessment office. 

5. If a request far informal conference is submitted, the 

request is evaluated and, approval or disapproval, is granted by 

OSM within five (5) days. 

6. The approved requests far conferences are dispatched to 

the office having jurisdiction of the mining site and t·he request 

is further issued to the Conference Officer for scheduling of 

conference. The conference is to be concluded within sixty <60> 

days of receipt of the approval letter or from the date of 

abatement, whichever is later. Under special conditions, this 

sixty (60l day period may be waived. 

7. Conference Officers must review the request package and 

assure the citation is valid and the NOPA is in order. Any 

questions or discrepancies should be resolved prior to contact 

with the operator. All appropriate internal documentation should 

be secured relating to the citation which would include but is 

not 1 imited to: 

a. Copy of the citation 

b. Copy of all modifications 

c. Copy of termination or vacation, if appropriate 

d. Inspector's statements and narratives 

8. ~hen a 1 1 documents are secured and in order, the 

66 

·:_ ',,_. ~ 

'-;./ 
\ 

operator should be contacted and a conference scheduled. The 

Conference Officer discusses any possible revision of assessment 

points, and documentation required for the proposed revisions, 

\o.lith reviewer. 

9. The Conference Appointment Letter w\11 be sent to the 

operator and a copy posted in the office having jurisdiction over 

the mine site, at least five (5) days prior to the scheduled 

conference. 

10. The conference site is scheduled and necessary seating 

and equipment arranged. 

11. The Conference Officer introduces self and explains the 

conference process. <If the operator fails to appear and does 

not call to request another conference appointment, the 

conference may be concluded and conclusion of conference letter 

sent to the operator.) 

12. The Conference Officer asks attendees at the conference 

to complete the sign-in sheet, including signature and title. 

13. The conference is conducted, and the Conference Officer 

either obtains documents to support any proposed revision of the 

assessment, or in the absence or relevant documentation, proposes 

to affirm the penalty. 

14. The Conference Officer 

testimony given by the operator, 

reviewer and/or manager for rendering 

evaluates documents and 

and gains concurrence with 

a final assessment. 

15. If the operator does not agree to settle, the 

Conference Officer explains the hearing process and prepares the 

conclusion of conference. 

16. 

prepared, 

check for 

If operator agrees 

and the operator 

the penalty amount. 

to settle, a consent agreement is 

signs the agreement and submits a 

17. If operator agrees to settle but needs to pay the 

penalty in installments, a consent agreement and payment plan 

agreement are prepared, and the operator signs the agreements, 

and submits a check for a down payment of a minimum of 10% of the 

pena I ty amount. 

18. Prepare Conclusion of Conference Report and appropriate 

conclusion letter. (See Table D for index of formsl 

19. Document the statistics of the conference and send the 

concluded case to Washington D.C. 

67 
-

Inspector ) 

vrites 

cita'tion 

Operator ia served the 

citation and a copy ia 

aent to Branch of Civil 

Penalty ~seaament (!CPA) 

BCPA aenda Notice of 

Proposed Aaaeaameat (NOPA) 

to Operator vith a form 

to request informal 

conference 

Doea Operator request 

informal conference~ 

Yea 

BCPA approves request, 

if applicable. and sends 

letter to the Operator 

Copy of approved 

conference request and 

NOPA aant to Regional 

office 

Regional office reviews 

request package and 

NOPA - aec~rea necea&&r) 

documents end clarifies 

noted d~crepanciea 

Exhibit 15 

Conference ia scheduled 

and Appointment Letter 

ia aent to Operator -

A copy of the letter 

1a aent to the appropriate OSM office 

Exhibit 1 

Continued 

CONFERENCE PROCEDURE 

No Aaaeaament ia 

finaliud 

(Operator may file for 

an appeal) 

Thia ia the 

beginning of 

Conference Officer 

involvement 

Package !s held until 

termination or resolutian 

of the citation is 

accomplished. 

Schedule of conference 

must be posted five days 

prior to conference. 

68 

FLOW-CHART 

C.•• -

is 

cloaed 

-

-; 
I § P~epare Concluaion Send Cae.ference 

Does Operator or No of Conference Report Coc..cluaion Letter 

lepreacntative appear 

(See Note 1) Clio -""ow) • for conference? (ke Mote 2) 

Yu ~hibit 2 Exhibit 3 

Have participant& dgnJ.D and conduct the 

con.fercnec. 

Exhibit 14 

Prepare Coneluaion Send Conference 

Waa Clou the citation of Conference leport Co~Lnter 

va.c.ated? Yu (lk> M"'Aetat - Case 

(See Note I) -·d) 

(SU Jiote 2) 

No Exhibit 2 £xhibit 4 

Prepare Coneluaion 5eJ::I.d Contcrcnce ----- la there pcnalti No of Conference Report Concluaion Letter Close 

aaacaament remain n& (Me .Pen.alty I c ... after conference? (See Note 1) A,.cued) 

(See Note 2) 

Yu Exhibit 2 Exhibit 5 - Prepare Conclusion Send Conference - Doca Operator or No of Conference Report Conclusion Letter Cloae 

le"Prcacntativc acre• to (See Nou 1) ) (No Settlement) C.:u;e 

acttle? 

(ke llote 2) 

- Eothibit 2 Exhibit 6 

Yu 

Will Operator or Prepare Conaent Pr&p&ra ~lnaion 

Yu Agreement and aecure of Goatarence leport lepr••eutative render full pay full pay at the (See Note 1) 

conference'! 

No !xhibit ' Zlthib1t 2 

Send Collfft~e 

Concl~ion Le~ter 

(Full PayM"') 

(Sao llote 2) 

Zxhibit 8 

Continued Clost 

c ... 

\ 

69 

APPENDIX TO TABLE C (CONTINUED) 

I 

-· Operator or No 

lapr••antat1va &&rae to 

f\O.ll pay? 

Yoa 

Prepare Coceeut A&ree- .. at and Par--ut Letter 

(-.11 £o Operator) 

ExhJ.bitl 7 ' g 

Waa Canaant Acree• No -~t aimed acd paym&~t 

randared1 

Yu 

Prepare Concluaion 

~f Coufaraucc Japert 

(So• liotl 1) 

E.lr.hibit 2 

Send Cou!uanee 

~lusion Letter 

(1..11 Pa,....nt) 

(Su Nou 2) 

E.lr.hibit I 

j 

Clo .. 

c.u l 

-

\ 

PTepara Paywent Pl.a, 

Will the Operator Yu Canlant A&raa .. nt 

pay by 1uatall.Mnu7 &Dd Pay.eut Latter 

( .. 11 to Operator if 

appropriate) 

No !xhibiu 10 • 1 1 

No Wa1 CoDIIDt Actll• 

a1snad and dOVD pa,-.ut 

rauclerad 1 

Yoa 

Prepare Conclyaion Prepare Conclusion of Conference ~eport of Conference laport 

(S.a Note 1) (Sea Note 1) 

Exhibit 2 Exhibit 2 

Send Ccnf anne a 

Couclu1iou L-ttar 

Sand Ccnhranee (Jia,...nt Plan) Coneluaion Latter 

(No Sntlec:rent- (Sea Note 2) 

Full Pay or Pay Plan 

Not lcturDad)(Saa Nota ~) Exhibit 12 

I 

E.lr.hibit 6Aor 61 

(AI Approprioto) 

/Clo .. 

t Can Close l 

Cue ) 

- '-

NOTE 1 - Exhibit 2 (Concluaion of Confer ence 

Jteportl will be uae~ for every 

conference concluaion. Pa 9 • 4 Of 

thia report 11 a narrative continuation an~ uae~ only if nee~ed. 

NOTE 2 - Prior to aending out the Conference 

concluaion Letter the case must be 

reviewed an~ accepted by the Progr~ 

Manager. The Concluaion of Conference 

Report and the Conference Conclusion 

Letter will be left undated until 

approval ia granted. Once approval il 

rendered the date will be entered and 

necessary distrib~tion accomplished. 

71) 
Table D .. EXHIBIT INDEX 

The attached exhibits are the forms and letters normally used in 

the conference procedure. Requests for deviations or 

modifications of these exhibits should be forwarded to the 

Conference Program Manager. 

Exhitd t !. 

l. 

2. 

3. 

4. 

6. 

6A. 

68. 

7. 

8. 

9. 

10. 

11. 

12. 

13. 

14. 

15. 

Name !2.f. Form 

Appointment Schedule Letter 

Conference Conclusion Report 

Conference Conclusion Letter -

No Show 

Conterence Conclusion Letter -

No Assessment - Vacated 

Conference Conclusion Letter -

No Penalty Assessed 

Conference Conclusion Letter -

No Settlement 

Conference Conclusion Letter -

Pay Plan not returned-No Settlement 

Conference Conclusion Letter -

Full Pay not returned-No Settlement 

Consent Agreement- Full Pay 

Conference Conclusion Letter -

Full Payment 

Letter sent for Ful I Pay 

Consent Agreement - Pay Plan 

Letter sent for Pay Plan 

Conference Conclusion Letter -

Payment Plan 

Conversation Record 

Conference Sign-in Sheet 

Pre-Conference Notes 

71 

Page 

73 

74 

78 

80 

81 

82 

84 

86 

88 

90 

91 

92 

94 

95 

96 

97 

98 
16. 

17. 

18. 

19. 

20. 

\ 

Conference Status Report 

History Sheet 

Sample Affidavit - Documentatiori 

For Extraordinary Measures 

Conference Officer Audit Report 

Computerized Payment Plan 

72 

100 

101 

102 

103 

106 
EXHIBIT 1 - Appointment Letter 

* * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * 

Mr. Bert L. Jones, President 

Jones & Smith Fuels Inc 

102 N. Broadway, Suite 7 

Anytown, Arkansas 72301 

Subject: Jones & Smith Fuels Inc 

C86-099-099-006<1l Permit: 2280000 

Dear Mr. Jones: 

You have been scheduled an assessment conference on the above 

referenced citation for February 11, 1987 at 1:30 p.m. at the 

following address: 

Department of the Interior 

Office of Surface Mining 

530 Gay Street, S.W., Room 408 

Knoxville, Tennessee 37902 

Please be prepared to submit any material for consideration 

before or during the conference which concerns the violations or 

the penalties. You should be prepared to finalize the case at 

the conclusion of the conference which may include making payment 

for the agreed penalties. This conference can be held in person, 

by telephone, or by submitting any written material received by 

the scheduled conference date. Any person has a right to attend 

and participate in the conference. 

If it is necessary to reschedule the conference due to 

circumstances beyond your control, please contact me at <615l 

673-1234. Only one rescheduling will be considered. 

Sincerely, 

<namel 

Assessment Conference Officer 

* * * * * * * * * * * * * * • * * * * * * * * * * * * * * * * * * 

NOTE: lf contact is made 

conference, this letter may be 

unable to be established, this 

assure receipt. If the letter 

time must be allowed in the 

letter prior to the scheduled 

with the person requesting the 

sent regular mail. lf contact was 

letter should be sent certified to 

is to be sent certified sufficient 

scheduling to:allow receipt of the 

conference. 1 

(7::1) 

' .; 
\ 

EXHIBIT 2 - Conference Conclusion Report <Page 1 ot 4J 

* * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * ASSESSMENT CONFERENCE REPORT 

Page 1 of 2 

Knoxville Field Office 

Company Name: Jones & Smith Fuels Inc 

Permit No; 2280000 

Citation No: C86-099-099-006<1) 

Type of Conference: ___ in person _x_ telephone letter. 

Date of Conference: February 12, 1987 

Persons in Attendance 

Bert L. Jones 

Violation No. 

1 of 1 

Title 

President 

Amount of Assessment 

As Revised 

$22 500.00 

$22,500.00 

Approved: tS~i~g~n~a~t-u~r-e~-o~f~C~o-n~f-e_r __ e_n_c __ e~O~f~f~l~.-c-e-r~)---

Date: ______________ __ 

* * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * 

(74) 
* * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * ASSESSMENT CONFERENCE REPORT 

(Continued) 

Page 2 of 2 

Company Name: Jones & Smith Fuels Inc 

Permit No: 2280000 

l. Citation No: C86-099-099-006(l) 

Violation 1 of 1 

(a) Nature of Violation: Failure to abate N86-099-099-022(1) 

Failure to post a sign at the access point of the designated 

permit area. 

(b) Date For Abatement: FTA Date Served: 10-16-86 

Date of Termination: Not terminated 

2. Conference Result 

(a) History/Prev. Violation 

(b) Seriousness 

(1) Probability of 

Occurrence 

Extent of Damage 

(2) Obstruction to 

Enforcement 

(c) Negligence 

(d) Good Faith 

TOTAL POINTS 

TOTAL AMOUNT 

ASSESSMENT 

Proposed 

~!!!!!i!!!!!!!!!i!!!! 

------------- 30 days @ _7§2 ________ _ 

$££ ... §22.:.22 __ _ 

as of conference 

Conference 

~§g§!!!!!~!!! 

----------- 30 days @ _7§2 ______ _ 

* * * * * * * * * * * * * * * * * * •* * * * * * * * * * * * * * 

75 

.,··. 
EXHIBIT 11. Letter Sent to Secure Payment Plan 

* * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * 

Mr. Robert E. Hoops, Vice President 

American Federal Mining Co 

P.O. Box 140000 

Anytown, Tennessee 37777 

Re: Assessment Conference for: American Federal Mining Co 

Violation No. 1 of 2 N88-099-111-000<2J 

Permit: 88-107 

Dear Mr. Hoops 

In accordance with our Assessment Conference of May 20, 1987, 

I am enclosing a Consent Assessment of Civil Penalty <Payment 

Plan) in two copies for your signature. This consent agreement 

settles the assessment conference for the Notice of Violation 

88-099-111-000<2> and provides for an installment agreement of 

$2,200.00. A down payment of $220.00 is to be returned within 

five (5) days of the date of this Jetter with both signed copies 

of the Consent Assessment of Civil Penalty <Payment Plan), 

to the following address: 

Office of Surface Mining 

530 Gay St., S.U., Suite 408 

Knoxville, Tennessee 37902 

The monthly payments of $173.17 will be due by the first day of 

each month beginning July 1, 1987. Your Conference Conclusion 

and one copy of the Consent AssesSment of Civil Penalty <Payment 

Plan) acknowledging receipt will be forwarded with your monthly 

Civil Penalty Remittance Forms upon receipt of the above 

mentioned check and signed copies of the consent agreement. 

If you have any questions in reference to this matter, please 

call me at (615) 673-1234. 

Sincerely, 

Assessment Conference Officer 

Enclosure: 

2 copies - Consent Assessment of Civil Penalty <Payment Plan) 

* * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * 

94 
personal checks timely clear 

they are written. 

the financial institution on which 

4. So long as the Operator complies with the terms of this 

agreement, OSM wi II forego collection of .any late payment 

penalties and administrative costs that may accrue because of the 

Operator's failure to pay the final penalty assessment in ful I 

within 30 days of the date of the final assessment, and OSM wil I 

take no action to deny, suspend, ·or revoke a permit on account of 

such failure. 

S. If at any time the Operator shall fai I to comply with 

the terms of this agreement, the entire unpaid balance of the 

final penalty assessment, together with any interest and all late 

payment penalties and administrative costs accrued thereon, shal I 

become immediately due and payable. If said amount is not paid 

thereafter, OSM may exercise any and all remedies available to 

it, including but not limited to the initiation of court 

proceedings and the taking of action to deny, suspend, or revoke 

a permit. 

6. Failure of OSM at any time to require performance of any 

provision of this agreement shall not affect OSM's right to 

require full performance thereof at any subsequent time. The 

waiver by OSM of any default shall not constitute the waiver of 

any subsequent default; and the exercise or non-exercise of any 

remedy by OSM shall not bar the exercise of any other remedy that 

may be available to OSM. 

Operator 

By: ______________________________________ __ 

Signature 

Name <print or typel 

Title 

Company Address 

City/Town, State, Zip Code 

Telephone to include area code 

OFFICE OF SURFACE MINING 

By: ------------~---------------------- Signature 

Assessment Conference Officer 

* * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * 

93 
EXHIBIT 10 Consent Agreement Pay Plan 

* * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * 

RE: Veterans Coal Inc- NOV 86-099-276-334(1! 

Operator 

CONSENT ASSESSMENT OF CIVIL PENALTY 

<Payment Plan) . 

THIS AGREEMENT is made and entered into this 7th day of 

November, 1986, by and between Veterans Coal Inc <"the 

Operator") and the Office of Surface Mining Reclamation and 

Enforcement, U.S. Department of the Interior <"OSM"I. 

WHEREAS, pursuant to its authority under the Surface Mining 

Control and Reclamation Act of 1977 <"the Act"l and regulations 

promulgated thereunder, OSM has issued to the Operator Notice of 

Violation <"NOV"l No. 86-099-276-334(11, charging the Operator 

with one or more violations of said Act and regulations at the 

Operator's surface coal mining operation in Anderson County, 

Tennessee, operated under Permit No. 88-107; and 

WHEREAS OSM has proposed a civil penalty assessment 

amount of $2,400.00 for said violation; and 

in the 

WHEREAS the parties wish 

arising out of the issuance of 

to settle all outstanding issues 

said NOV and proposed assessment; 

NOW, THEREFORE, in consideration of the above premises and 

the conditions set forth herein, the parties agree as follows: 

1. A civil penalty in the amount of $2,200.00 is 

hereby assessed for the violation cited in the above referenced 

NOV. This assessment is now final, and any rights the Operator 

may otherwise have had to contest the proposed penalty 

assessment are expressly waived. 

2. The Operator shall pay $220.00 as down payment, 

and the balance of said amount, together with interest thereon at 

the rate of seven (7) percent per annum, in equal monthly 

installments of $173.17 each, payable on the first day of each 

month, beginning January 1, 1987, and continuing until said 

amount has been paid in full. <The amount of the final 

installment payment shall be adjusted to equal the amount of 

unpaid balance, plus any interest accrued thereon.). 

3. All payments required und•r this agreement 

shall be made by personal check, certified check, or money order, 

made payable to "Office of Surface Mining" and mailed to: 

Office of Surface Mining 

Reclamation and Enforcement 

P.O. Box 360292 M 

Pittsburgh, PA 15251 

Payments shall be deemed made when received, provided any 

(92) 
EXHIBIT 9 -Letter Sent For Full Pay 

* * * * * * * * * * * * * * * • * * * * * * * ~ * * * * * * * * 

Mr. Timothy J. Elf, Superintendent 

Some Creek Mining Company Inc 

PO Box 48000 

Someplace, Tennessee 37777 

Re: Assessment Conference for: Some Creek Mining Co Inc 

Violation No. 2 of 2 N86-099-099-099<2> 

Permit: 2222 

Dear Mr. Elf: 

This confirms our conference of February 10, 1987 and settlement 

of above reference citation. 

Attached is a Consent Assessment of Civil Penalty <Full Payment> 

for signature in two copies. The signed agreements should be 

returned within five (5) days from receipt of this letter to: 

Office of Surface Mining 

530 Gay St., S.~ .• Suite 408 

Knoxville, Tennessee 37902 

A check or money order in the amount of $500.00 should 

accompany the signed agreements. Upon receipt of the signed 

agreements and the full payment, acknowledgment will be made and 

one copy will be returned to you as receipt of full payment. 

If you have questions, please call me at <615> 673-1234. 

Sincerely, 

Assessment Conference Officer 

Enclosure: 

2 copies Consent Assessment of Civil Penalty <Full Payment> 

* * * * * * • • * * * * * * * * * * * * * * * * * * * * * * * * 

91 
EXHIBIT 8 -Conference Conclusion Letter -Ful 1 Pay 

* * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * 

CONCLUSION OF CONFERENCE 

Mr. W. H. Boatman, Owner 

W H Boatman Coal Company 

Route 1, Box 8444 

Anytown, Tennessee 37777 

Re: Assessment Conference for: W H Boatman Coal Company 

Violation No. 1 of 1 of NSS-099-087-099(1) 

·Permit: OSM ij25555 

Dear Mr. Boatman: 

This letter formally concludes the conference relating to the 

above violation. 

After reviewing all of the information supplied to me at the 

conference and all other information available to me concerning 

the above violation, pursuant to 30 CFR Part 723, 1 am affirming 

the assessment for the above mentioned violation as shown on the 

attached Assessment Conference Report. 

The Assessment Conference Report shows the dollar amount of the 

civil penalty associated with each violation for which the 

conference was held and reflects changes, if any, resulting from 

the conference. It also shows the point values assigned for the 

proposed assessment and the point values assigned as a result of 

the conference. 

As you chose to resolve this matter through a Consent Assessment 

of Civil Penalty <Full Payment) and payment was received, this 

matter has been settled. If you have any questions which are not 

answered by this letter, you may call me at <615l 673-1234. 

Sincerely 

Assessment Conference Officer 

Enclosure 

cc: C. Carter 

Branch of Assessments 

* * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * 

90 
EXHIBIT 7 - Consent Agreement - Ful I Pay <Continued> 

* * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * 

2. Receipt of check no. in the amount 

of $______________ is hereby acknowledged in full 

payment of said final penalty assessment (provided any personal 

check timely clears the financial institution on which it is 

written). 

Black Rock Mining Co inc 

Operator 

By 

Signature 

Name <print or typeJ 

Title 

OFFICE OF SURFACE MINING 

By: __________________________ __ 

Signature 

Assessment Conference Officer 

* * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * 

89 
EXHIBIT 7 - Consent Agreement - Ful I Pay 

* * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * 

E: Black Rock Mining Co ln.£ ' ' ' ' NOV 86-099-100-099<2l 

Violation 2 of 2 

Operator 

CONSENT ASSESSMENT OF CIVIL PENALTY 

<Full Payment) 

THIS AGREEMENT is made and entered into this 10th day of 

February, 1987, by and between Black Rock Mining Co Inc <"the 

Operator") and the Office of Surface Mining Reclamation and 

Enforcement, U.S. Department of the Interior <"OSM"l. 

WHEREAS, pursuant to its authority under the Surface Mining 

Control and Reclamation Act of 1977 <"the Act"l and regulations 

promulgated thereunder, OSM has issued to the Operator Notice of 

Violation <"NOV"l No. 86-099-100-099(2), charging the Operator 

with one or more violations of said Act and regulations at the 

Operator's surface coal mining operation in Anyole County, 

Tennessee, operated under Permit No. 2222; and 

WHEREAS OSM has proposed a civil penalty assessment in the 

amount of $1,500.00 for said violation; and 

WHEREAS the parties wish to settle all outstanding issues 

arising out of the issuance of said NOV and proposed assessment; 

NOW, THEREFORE, in consideration of the above premises and 

the conditions set forth herein, the parties agree as follows: 

1. A civil penalty in the amount of $500.00 is hereby 

assessed for the violation cited in the above referenced NOV. 

This assessment is now final, and any rights the Operator may 

otherwise have had to contest the proposed penalty assessment are 

expressly waived. 

88 
EXHIBIT 6B -Conference Conclusion Letter -<No Settlement -

Fu I I Pay Not Returned l (Cant i nued l 

* * * * * * * * * * * * • * * * * * * * * * * ~ • * * * * * * * 

The proceeds of your check or money order will be held in escrow 

and if, after administrative or judicial review, it is found that 

there was no violation or that the proposed penalty was too high, 

the balance will be refunded to you with interest at the rate of 

6 percent or at the prevailing Department of the Treasury rate, 

whichever is greater. 

LL ~do not make ~timely request for ~ hearing with respect to 

a violation, the proposed assessment for that violation will 

become final and will be due and payable within 30 days from the 

receipt of this letter. Payments should be made by check or 

money order payable to "Assessment Office--OSMRE" and sent to: 

Office of Surface Mining 

Reclamation and Enforcement 

P.O. Box 360292 M 

Pittsburgh, PA 15251 

To assure proper credit Q_f_ your payment. m must note ~the 

check ~money order the violations for which payment ~being 

made. 

Please read this 

is not answered 

673-1234. 

Enclosure 

cc: C. Carter 

letter carefully. 

by this letter, 

Sincerely 

It you have a question which 

you may call me at (615l 

Assessment Conference Officer 

Branch of Assessments 

* * • * * * * * * * * * * * * * * * * * * * * * * * * * * * * * 

87 
EXHIBIT 68 -Conference Conclusion Letter -<No Settlement -

Full Pay Not Returned! 

* * * * * * * * * * * * * • * * * * * * * * * .• * * * * * * * 

CONCLUSION OF CONFERENCE 

Mr. John D. Sunders, Engineer 

Outplace Coal Corporation 

P.O. Box 555 

Anytown, Tennessee 37870 

Re: Assessment Conference for: Outplace Coal Corp 

Violation No. 1 of 1 of N86-099-171-020(1) 

Permit EWN 86-86-86 

Dear Mr. Sunders: 

Reference is made to the letter to you dated January 8, 

As the Consent Assessment of Civil Penalty <Ful I Payment) 

above violation has not been signed and returned to this 

this letter formally concludes the conference relating 

above violation. 

1987. 

tor the 

office, 

to the 

After reviewing all of the information supplied to me at the 

conference and all other information available to me concerning 

the above violation, pursuant to 30 CFR Part 723, I am revising 

the assessment for the above mentioned violation as shown on the 

attached Assessment Conference Report. 

The Assessment Conference Report shows the dollar amount of the 

civil penalty associated with the violation for which the 

conference was held and reflects changes, if any, resulting from 

the conference. It also shows the point values assigned for the 

proposed assessment and the point values assigned as a result of 

the conference. 

LL YQg wish ~ formal hearing to contest the revised or affirmed 

assessments, you must submit a petition for review within 15 days 

after the date you receive this letter to: 

U.S. Department of the Interior 

Office of Hearing and Appeals 

4015 Wilson Boulevard 

Arlington, Virginia 22203 

Your petition must be accompanied by a check or money order 

payable to ffAssessment Office--OSMREff in an amount equal to the 

total of the revised or addressed assessments for which you are 

requesting a hearing. If you fail to submit the check or money 

order with your petition, or if the check is returned for 

nonpayment, or if the check or money order is written for an 

amount less than the proposed assessments, you may forfeit your 

right to a hearing. To assure proper credit for your payment, 

you must note on your check or money order the violations for 

which the contested assessments are being made. 

86 
EXHIBIT SA-Conference Conclusion Letter -<No Settlement -

Pay Plan Not Returned, Continued) 

* * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * 

check or money order the 

assessments are being made. 

violations for which the contested 

The proceeds of your check or money order wil I be held in escrow 

and if, after administrative or judicial review, it is found that 

there was no violation or that the proposed penalty was too high, 

the balance wil.I be refunded to you with interest at the rate of 

6 percent or at the prevailing Department of the Treasury rate, 

whichever is greater. 

If you do not make a timely request for a hearing with respect to 

a violation, the proposed assessment for that violation will 

become final and will be due and payable within 30 days from the 

receipt of this Jetter. Payments should be made by check or 

money order payable to "Assessment Office--OSMRE" and sent to: 

Office of Surface Mining 

Reclamation and Enforcement 

P.O. Box 360292 M 

Pittsburgh, PA 15251 

To assure proper credit ~your payment. you must note on the 

check £L money order the violations for which payment ~being 

made. 

Please read this 

is not answered 

673-5126. 

Enclosure 

cc: C. Carter 

letter carefully. 

by this letter, 

If you have a question which 

you may call me at (615! 

Sincerely 

Assessment Conference Officer 

Branch of Assessments 

* * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * 

85 
EXHIBIT SA - Conference Conclusion Letter -(No Settlement -

Pay Plan Not Returned) 

* * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * CONCLUSION OF CONFERENCE 

Mr. John J. Jones, President 

ABC Coal Company 

Route 1, Box 343 

Someplace, Tennessee 37777 

Re: Assessment Conference for: ABC Coal Company 

Violation No. 1 of 1 of N86-099-099-099(1) Permit: 88-888 

Dear Mr. Jones: 

Reference is made to my letter to you dated November 31, 1986. 

As the Consent Assessment of Civil Penalty (Payment Plan) for the 

above violation his not been signed and returned to this office, 

this letter formally concludes the conference relating to the 

above violation. 

After reviewing all of the information supplied to me at the 

conference and all other information available to me concerning 

the above violation, pursuant to 30 CFR Part 723, am affirming 

the assessment for the above mentioned violation as shown on the 

attached Assessment Conference Report. 

The Assessment Conference Report shows the dollar amount of the 

civil penalty associated with the violation for which the 

conference was held and reflects changes, if any, resulting from 

the conference. It also shows the point values assigned for the 

proposed assessment and the point values assigned as a result of 

the conference. 

lL ~wish ~ formal hearing 

you must submit a petition 

date you receive this letter 

to contest 

for review 

to: 

U.S. Department of the Interior 

Office of Hearing and Appeals 

4015 Wilson Boulevard 

Arlington, Virginia 22203 

the affirmed assessment, 

within 15 days after the 

Your petition must be accompanied by a check or money order 

payable to "Assessment Office--OSMRE" in an amount equal to the 

total of the affirmed assessment for which you are requesting a 

hearing. If you fail to submit the check or money order with 

your petition, or if the check is returned for nonpayment, or if 

the check or money order is written for an amount less than the 

proposed assessment,you may forfeit your right to a hearing. To 

assure p~oper credit for your payment, you must note on your 

84 
requesting a hearing. If you fail to submit the check or money 

order with your petition, or if the che9k is returned for 

nonpayment, or if the check or money order is written for an 

amount less than the proposed assessment, you may forfeit your 

right to a hearing. To assure proper credit for your payment, 

you must note on your check or money order the violations for 

which the contested assessments are being made. 

The proceeds of your check or money order will be held in escrow 

and if, after administrative or judicial review, it is found that 

there was no violation or that the proposed penalty was too high, 

the balance wil 1 be refunded to you with interest at the rate of 

6 percent or at the prevailing Department of the Treasury rate, 

whichever is greater. 

If you do not make a timely request for a hearing with respect to 

a violation, the proposed assessment for that violation will 

become final and will be due and payable within 30 days from the 

receipt of this letter. Payments should be made by check or 

money order payable to "Assessment Office--OSMRE" and sent to" 

Office of Surface Mining 

Reclamation and Enforcement 

P.O. Box 360292 M 

Pittsburgh, PA 15251 

To assure 

check Q.£. 

made. 

proper credit of your payment. you must note on the 

money order the violations for which payment ~ being 

Please read this 

is not answered 

673-1234. 

Enclosure 

cc: c. Carter 

letter carefully. 

by this letter, 

If you have a question which 

you may call me at <615! 

Sincerely, 

Assessment Conference Officer 

Branch of Assessments 

* * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * 

83 
EXHIBIT 6 - Conference Conclusion Letter <No Settlement! 

* * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * CONCLUSION OF CONFERENCE 

Mr. Bert L. Smart, President 

Lazy River Fuels Inc 

1028 N. Broadway, Suite 7 

Anytown, Arkansas 72301 

Re: Assessment Conference 

Violation Nos. 1 & 

Permit: 2222222 

tor: Lazy River Fuels Inc 

2 of 2 of C86-099-099-006<2l 

Dear Mr. Smart: 

This letter formal Iy concludes the conference relating to the 

above violations. 

After reviewing all of the information supplied to me at the 

conference and a! I other information available to me concerning 

the above violations, pursuant to 30 CFR Part 723, I am affirming 

the assessment for the above mentioned violations as shown on the 

attached Assessment Conference Report. 

The Assessment Conference Report shows the dollar amount of the 

civil penalty associated with each violation for which the 

conference was held and reflects changes, if any, resulting from 

the conference. It also shows the point values assigned for the 

proposed assessment and the point values assigned as a result of 

the conference. 

If you wish a formal hearing to contest the revised or affirmed 

assessment, you must submit a petition for review within 15 days 

after the date you receive this letter to: 

U.S. Department of the Interior 

Office of Hearings and Appeals 

4015 Wilson Boulevard 

Arlington, Virginia 22203 

In your petition, you may include a request for a formal hearing 

on the tact of the violation if you have not previously been 

granted or denied such a hearing. 

Your petition must be accompanied by a check or money order 

payable to "Assessment Office--OSMRE" in an amount equal to the 

total of the revised or affirmed assessment for which you are 

82 
EXHIBIT 5 - Conference Conclusion Letter <No Penalty Assessed! 

* * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * CONCLUSION OF CONFERENCE 

Mr. Michael w. Boats, Attorney 

Ships & Boats 

600 Time Building 

Anytown, Tennessee 37405 

Re: Assessment Conference for: Rich Energy Inc 

Violation No. 1 & 2 of 2 of N86-099-179-021<2J 

Permit: 2222 

Dear Mr. Boats 

This letter formally concludes the conference relating to the 

above violations. 

After reviewing al of the information supplied to me at the 

conference and all other information available to me concerning 

the above violations, pursuant to 30 CFR Part 723, as shown on 

the attached Assessment Conference Report, no penalty is being 

assessed for the violations. 

Enclosure 

cc 

Sincerely 

Assessment Conference Officer 

William H. Rich, President 

Rich Energy Inc 

147-C N. Myrtle Street 

Anyton, Tennessee 37405 

C. Carter 

Branch of Assessments 

* * * * * * * * * * * * * * * * * * • * * * * * * * * * * * • * 

81 

.~.·. 
EXHIBIT 4 - Conference Conclusion Letter <Vacated -

No Penalty Assessed) 

* * * * * * * * * * * * * * * * * * .• * * * * * * * * * * * * * 

CONCLUSION OF CONFERENCE 

Mr. Frank T. Martin, President 

Seven Dwarfs Coal Sales Inc 

302 M i I Is Road 

Anytown, Florida 33480 

Re: Assessment Conference for: Seven Dwarfs Coal Sales Inc 

Violation No. 1 of 1 of C86-099-012-004<1J 

Permit: 88-A28 

Dear Mr. Martin: 

This letter formally concludes the conference relating to the 

above violation4 

After rev-iewing all of the information available to me concerning 

the above violation, pursuant to 30 CFR Part 723, I am revising 

the assessment for the above mentioned violation, as shown on the 

enclosed Assessment Conference Report. As the violation was 

vacated, there will be no civil penalty. 

If you have any questions which are not answered by this letter, 

you may call me at <615) 673-1234. 

Sincerely, 

Assessment Conference Officer 

Enclosure 

cc: C. Carter 

Branch of Assessments 

* * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * 

80 
EXHIBIT 3 - Conference Conclusion Letter <No Showl-<ContinuedJ 

* * * * * * * * * * * * * * * * * * * * * * * ~ * * * * * * * * 

amount Jess than the proposed assessment, you may forfeit your 

right to a hearing. To assure proper credit for your payment, 

you must note on your check or money order the violations for 

which the contested assessments are being made. 

The proceeds of your check or money order will be held in escrow 

and if, after administrative or judicial review, it is found that 

there was no violation or that the proposed penalty was too high, 

the balance will be refunded to you with interest at the rate of 

6 percent or at the prevailing Department of the Treasury rate, 

whichever is greater. 

lL you do not make ~timely request for ~hearing with respect to 

a violation, the proposed assessment for that violation will 

become final and will be due and payable within 30 days from the 

receipt of this letter. Payments should be made by check or 

money order payable to "Assessment Office--OSMRE" and sent to: 

Office of Surface Mining 

Reclamation and Enforcement 

P.O. Box 360292 M 

Pittsburgh, PA 15251 

To.assure proper credit of your payment, you must note on the 

check or money order the violations for which payment is being 

made. 

Please read this 

is not answered 

673-1234. 

Jetter carefully. 

by this Jetter, 

If you have a question which 

you may call me at (615) 

Sincerely 

<name> 

Assessment Conference Officer 

Enclosure 

cc: c. Carter 

Branch of Assessments 

* * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * 

79 
EXHIBIT 3 -Conference Conclusion Letter <No Show> 

* * • * * * * * * * * * * * * * * * * * * * * * * * * * * * * * CONCLUSION OF CONFERENCE 

Mr. Bert L. Jones, President 

Jones & Smith Fuels Inc 

1028 N. Broadway, Suite 7 

Anytown, Arkansas 72301 

Re: Assessment Conference for: Jones & Smith Fuels Inc 

Violation Nos. 1 & 2 of 2 of C86-099-099-006<2> 

Permit: 2280000 

Dear Mr. Jones 

Since you did not appear at the conference as scheduled, this 

letter formally concludes the conference relating to the above 

violations. Pursuant to 30 CFR Part 723, I am affirming the 

assessment for the above mentioned violations, as shown on the 

attached Assessment Conference Report. 

The Assessment Conference Report shows the dollar amount of the 

civil penalty associated with each violation for which the 

conference was held and reflects changes, if any, resulting from 

the conference. It also shows the point values assigned for the 

proposed assessment and the point values assigned as a result of 

the conference. 

lL ~ wish ~ formal hearing to contest the revised or affirmed 

assessment<sl, you must submit a petition for review within 15 

days after the date you receive this letter: 

U.S. Department of the Interior 

Office of Hearings and Appeals 

4015 Wilson Boulevard 

Arlington, Virginia 22203 

In your petition, you may include a request for a formal hearing 

on the fact of the violation if you have not previously been 

granted or denied such a hearing. 

Your petition must be accompanied by a check or money order 

payable to "Assessment Office--OSMRE" in an amount equal to the 

total of the revised or addressed assessment for which you are 

requesting a hearing. If you fail to submit the check or money 

order with your petition, or if the check is returned for 

nonpayment, or if the check or money order is written for an 

78 
EXHIBIT 2 - Conference Conclusion Report <Page 4 of 4J 

' 

• * •••••••• * •••••• ·* * * •• * • * • * •• * * * 

Page __ of 

Company Name: 

Permit No. 

Citation No. 

CONFERENCE CONCLUSION REPORT 

<Continued> 

Violation of 

3. Narrative: <Continued) 

* * * * * • • • • • • • • • • • • • • • • • • • 

NOTES: Page 4 wi I I be used only if needed. 

than one violation in the citation the pages 

• • • • • • • • 

I t there i 5 more 

should be numbered 

to reflect the additional violations. The narrative pages w i I I 

normally not be sent to the operator. 

77 

EXHIBIT .2 - Conference Conclusion Report <Page 3 of 4! 

* * • * * * * * * * * * * • * * * * * * * * * * * * * * * * * * 

ASSESSMENT CONFERENCE REPORT 

CContinuedl 

Page 2A of 2 

Company Name: Jones & Smith Fuels Inc 

Permit No: 2280000 

Citation No: C86-099-099-00611l 

Violation 1 of 1 

3. Narrative: 

<Brief explanation of 

assignment of points and any 

presented at the conference.) 

reasons 

additional 

for any changes 

information that 

in 

was 

As the violation was unabated there was no settlement possible. 

Operator was apprised of his options and Operator stated the 

unabated violation was being resolved. Operator wil I either file 

an appeal or will work with Collection in reference to a 

settlement for the penalty. 

* * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * 

76 
\ 

EXHIBIT 3 to Table E (Continued) Page 4 of 11 

This is the inspector'• verbal report of what occurred. Look for the who, 

what, where, when and bov D.Jch. llead the report and read even in betveen 

the lines to determine the extent of damage or potential damage. Evaluate 

this report against the Assessment package and the other documents vithin 

the Enforcement package. 

••~'•Stceer 

f'ere:lt ao.t 

!!!! !! 1••r•ct:loD: 

~!! J~&!eCifOD! 

1••pector: 

6ct:lot~~ Ta\eD: 

£ partial laapcctioa 

Tbc pcraittcc vas 

iaapectioo .. 

J!IPICTJOJ !ltOIT 

......... _1.,_.., 

P. O. loz· 

Jellico. Tl 17762 

I I·ADl 

12/10/16 

Jeff 

Paae I ef Z 

laaued lOY 16-091-000-001 

co•tatalac oae •tolatlon for 

fallu~e co acct ·efflucut 

11a1tat1oa• 

(E-ll) 
EXHIBIT 3 To Table E (Continued) Pase 3 of 11 

This is the second page of the citation. A page ia .. de for each separate 

violatior. vithin the citation. The infor..tion shoul~ be cro .. -checked 

asainst the data in the useasment package to assure the tvo are conaiatent. 

c I OF TH. 

c:::.- "'"· <J:l ~ ~ ('J:Q ~ -,--, lYl <:.:1 AJ <:I 

I OF THE 

ACT OR PERMIT 

ON TO WHICH 'APPL 

What vas the violation 

What provision was 

violated 

r-~~~~~_Q~~j2~.U.~---------------------------~~=----t----1Whlllt< s~ho: ·~ bA,_.;,., Cr> I ..- portion or ext. 

does the violation . 

. ,..,_ ... 

-r'u• ,,.,..,~ ;. h~~.:. ""'I A~ NE<'.I!.•<:AI'<. ;..., •& .~ 

- •~-L:. ·'- .~1; -· .·.l.l .11 aMI: .• LI;I ~1*1 .. ~ .~ I; ·I j I • 

. 

Tl :FOR ABA1 

1----.,. '.,--:,: ;:-- ~·!!::' y 

, ., 

Tim• for fnf•rlm Sf•Ds. II A••l 

·- I~ t<HH ....... ID:OO A.-<\ 

~ 

-.. 

·--- ____ ..:.__ _______________ -J 

•••• ··- .......... ~ ......... C)f ...... --·"-··---·--'-· ......... 1 

(E-10) 

cover 

What remedial action 

is required 

What period of time 

was allowed for 

abatement 
\ 

EXHIBIT ' to Table E (Continued) Page 2 of 11 

'Ibis is the front page of the citation. 

ascertain that the correct organization 

been executed. and anyotber diacrepancy 

Careful review ahould be .. de to 

is identified, proper aervice has 

that mght be UnCOVered. 

OSfY'I. 

lolou.is RIILII ORi'<L 

'P.o. 'Box 17'l N~i s 1

Tu."' E.:>S££ 

37s;18 

UNDER THE AUTHORrrY OF THE SURFACE MINING CONTROL AND RECLAMATK)N ACT OF 

1877 (P.L -7; 30 U.S.C. 1201~ THE UNDERSIGNED AUTHORIZED ~NTAnVE OF THE 

: SECRETARY OF THE INTERIOR has c:onclucted an Inspect lOft ol the i:bOWe mint on the abotoe date 

and hu found -Uon(s) ol.lho,Aol, Chi rogutationo or,rwqulrwd ~~IJ·btod In the ••· 

ladvnent(S). This Notice COftltiCutel: • Mpa~ate Notice of VIOII!tioft-for NCft ftol.atlon listed. 

You must abate eadl of these 9iotation(s) wHhin lhe desigf\l.t.cf abal.m.nt lima. You are ruponalbfe fOJ Going au won. In a safe and wortmenlikc m.~nner. 

THE UNDERSIGNED AUTHORtZ£0 REPRESENT AnY£ HERESY FINDS THAT THIS NOTICE 

e!" DOES NOT B:llliB REQUIRE CES$A TION OF MINING EXPRESSLY OR IN PRACTtCAL EF· 

FECT. ThetefOfe, you - Q""are not enliUed to an informal public hNting on NQUat.. wllhin 30 

curs after aerwice ot lhis notice PD CFA 843. 15). 

This Notice .,.,, NtMin in effect until II npltes a proricled on the ....,_ cw is ModUiecl', ter· 

lftinated, Of wac.ated c,y written AOtice ol an •uthOrizec:l' repraenc•thre of lhe Secrel8r)'. TN lime tOt 

conecUon. INIJ' be extended bf M avlhOriled repesent•ti--e for good c.8UH. If rou fteecf ..:ldittonal 

lime to correct lhe ftollltion(s). ,...._ eoncact the field office MIMd attowe. 

. (E-9) 

Data should be 

cross-checked 

against that 

shown on the 

Assessment Package 

Verify chat service 

was executed and 

citacion is valid 

Note the name of the 

inspector in case 

questions arise 
I 

ED!IBIT 3 To Table E (Enforc.-nt Package) Page 1 of 11 

Thia 1a a log &beet uaed by aome anforcement offices to .anitor citations. 

A form of this type C&D be extremely useful io identifying the DUmber 

of .adificstions aod also the dates tavolved. If this' type of document 

1a 11ot available, other ....,. have to be daveloped to verify service date, 

abatement dates after .adificationa and etc. 

I I I I t ~ .. .. 

• .. I 8 

b .. :;: 

!;' 

- I -

.. 

N 0 

• -• 0 0 

= .. v ,_ 

:I 

... 

~ . ~ ..... :.· 

.. }! 

u [/ ! ~ 

~ 

, 

r~ ~ ~~ 

~ ..... ' .......... ~ 

... 

I 

it-t( ~~ ~ 

--

(E-8) 

§ 

-I 

l 

;: 

~ !l' 

1a -. 

.. •

• i !I ~ .. • 

n 

c 

~ 

• !~ • ':' .-~ 

~ .. 0 

-• 

:::! 

~ 

~ • 

~· ~ : 

~ . ~ 

~ ~ 

~ 

! 

~~ r, 

a 

t 

Do the dates and 

ctions correspond 

o the citation and 

ssessment package 
\ 

EXHIBIT 2 eo Table E (Riaeory Sheee) 

Thia form iA co be uaed co record aetivities and eventa occurring during 

Che conference process. In che event of transfer of responsibility it vill 

allow continuation vichout repeating actions. The notations should be brief, 

concise and legible co allow .anitorin& of case actions. 

HISTORY SHEET 

ea.p..ny: ctuct-(a) 

NITOU: cnAI. CDPci'ANl' --·---co• (I) 

O.Lc Act. ions 

2·19~7 leceived aaaea...at paclr.aae fr- ICPA .. rackaae reviewed 

aftd appoan to be 1n onler. rr 

2-20-87 Aaaicned to SS - to aecure citation doc~ntation t( 

2-20-87 Contacted Norrta Office to aecure .odification and ~. -

Mtion vhic.h ,...re Mit 1ft enforc-nt file. ~aheet and 

NOV ~re found in eaforce.ent file. ~~ 

3-3-17 locchecf copy of ~lfiution and teraiMUon ... A Har• 

r .. dy for conference. C..ae retul'fte!d to PT for aaai•nMent 

to a Conference Officer -~ l-3-87 Caae aa.tana4 to U: t( 

l-4-87 14vi~d aa .. aa~nt and citation ,.ckaae - no noted 

~iacrep~nciea - C..n be tcheduled for conference £-<:" 

l-4-87 TC - lk. S.ieh 1a avare of conference procedure- Conference 

tcheduled for 3-11-17 at 10:00 •·•· _r!L 

Appoiat.nt lette'r Mnt to Mr. S.itl~. copy post.C!'d on 

bulletin ~'I'd and a copy v~• ~t to No'r'riS fO'r PDStin~ on 

their ~rd. ~~~ 

3-11-17 Ope'rato'r appoa"red fo'r conCe'l'efteo. Pr.aeatad affida•it and 

8V:l'l'de4 lood C.f.th. Operator aar .. d to 're¥isod ••••••.ent. 

atcnH ronMftt aar...ent atul renderH full ,..y~~ent. 

Case va~ c~leted and ~~ltted for (Jn~l f"e'lj'f.ftf. ~!I( 

-------- ~- ------· 

(E-7) 
EXHIBIT 1 to Table E (Continued) Page 6 of 6 

Thi.JI page i.JI not Hilt to the operator but i.JI included 1n tbe aaaea11111ent 

package aent to tbe Couferenea Officer. Evaluation abould be .. de to 

aee 1f tbe aaaeaament package and thia rationale correaponda vitb tbe 

1napector'• atateDent(a) and 1a 1n line vitb aeneral aaaeaament au1de11nea • 

• - 'UJ-6(al ~1/27/7t 

...... .-at. b:'Pl••'t.J.a 

•CJOI • ~t.-"11-oco • \ 

co tt_ ______ _ 

au.ora.pmr~A.:~:Lr~o~-~~E~~GP~-~(~~~-~~~~~~~r~--------------

w.oJau- t I of-..!'---

ain.ot'7 of pr...,J.oea Wolet.lCDu 

Sertoo.a.eau (eh.ber A or a) 

.r.. Ul lPI"ol>ab!Utl' of ~-ee• ' . \'5' '"~---------------- Do tbe points 

{PAT"« Po~~ • r,;.., HA'.S Qo::o~;etf'e'E>. C~,r~ ..,;;,.s correspond to 

- r ;'l..,,;..r..f.:J~ 1> '1>•~oeN',.,~t;4 ~ ~.Z...:..c..,- j5..,.s.:.V. those reflecte. 

on page 5 

-p,st:I'I .. ~&E ,Ab . A I>H -~ "'73. VI':S71t~ _s,_< ~ u_,.S. 

&.19 i>t( 7:1..._,..,s~~_, """""" ~-~0 PH , . . 

(2) bt.eDt. o.f ac-to~l or pot.cnt.tel .... ,.,., 

~,~ • • -rl'lt: Ft:>~,., oF ))A..., .. ~ "'"" -rc../1>~ DF-F ..-~-.,_,- -

wAre.< ;p., .. ~ .. ,.,;, ..... P;/ •""· ·S-rLc .. ,., ..,,.,.s. /{...,c~l!ib. 

a. G»at.niC'tJGD'"t.o afore t.• 

(E~) 
\ 

EXHIBIT 1 to Table E (Continued) 

C81 7Zl-i 

~·i••d 09/l~/79 

~•,••se~~ ~~·~··~ ,.._. hr':. 74-li 

Page S of 6 

Aaseasor'a ~d~nti!ing numberIn ca.ae of qu.,.~tiona or problems the 

peraon -.king th~ useaament can be 

contacted 

• .., • 11.-"U -90~- I 

co.----------

PEIKlT • 1i 1- Ap a 

•-=- o! Cclllpany _...;~'-'-"'-.f....o.6_~_E __ .::C.;..;o:;.;;..""c.';;c_.cC.,;:.;;._-_I';....""';_-'-'Y _________ _ 

Violau ... t ----''---- of ----'::......--

~. 111at.ory of prevloua •iolat.iona 

2. Seriou.,.eaa (either A or •> 

.A. 

(2) Ertent. of p!)t.et~t.ial or 

ec-t.ual .s ... ge 

•· C:»atn~ct.ion to c.f'orecacnt. 

s. lle9119 .. .,.. 

_'\_ 

•· Goo4 Faith (Will ~ cena14ered after ca.plet.e 

.infonaatica ia rec•i•ed) 

TO'tAL POlSTS 

· ASSESSKDn' 

'\lioladan t -------of -------

1. IIS.at.ory o~ preTiooa •iolat.iona 

2. S.rioam••• ( ei t.her A or a) 

.A. Ul Probal>llitr of oecarr .. .,. __ _ 

(21 zn.,t of pot..U&l or 

act.11al daaage 

a. ctllat.roc:t.ian. to •1'orc:•~r~t. 

~al .. rioa.neaa· 

~. •vuv-ee 

.C. - l'aith.(Vill 1>e ccaaide;..S after -lata 

illfonuUaa J.a recci,.d) 

-

··--- (E-5) 

Are these points iri line 

with assessment guidelines 

the mathmatical 

calculation correct and 

does the point count 

correspond to the 

assessed dollar amount 
--.;._~ 

EXHIBIT 1 to Table E (Continued) 

CIVIL PDIAt.Tf SECTION 

OFFICE OP SURFACE KINING 

IIECUHATION AND ENP'ORCEHEN1' 

V.S. l)EPART!mll' OP nl£ 1117'£1\IOR 

VASRlNaTON, P.C. 202-0 

JIO"I'ICE OP PROPOSED ASSESSMEIIT 

Mot1ce of Violation 1 __ ~ __ ,_·~---~ ___ 1 ________ __ 

~e C1Y11 Penalt7 Section baa reviewed tbe notice or •1olat1on 

1nd1cated above. 1nConaat1on turn1ahed b7 ~e author1&ed 

repreaentat1Ye or the Secretar7, and &n7 1ntoraat1on auba1tted 

b7 the permittee or operator purauant to 30 CPR S 8-5.17. 

a&aed on th1a review. &be C1T11 Penalt7 Section hal deter.lned ~hat tbe Y1olat1ona cited appear to hawe occurred and propoaea &he tollov1nc penalties: 

•ov recei'fed: 12/I0/16 

Aaount of' 

Violation No. Pr0201td Aaaeaaaent 

or • 1.600.00 ooE: 

or 

or 

or 

or 

or 

_'lr_ 

1'Dtal Propoaed Al&ea•ent • 1,600.00 '!" 

•ote: It '&he attactaed aaaeaa•ent worltaheet abowa 'tb&t 1ood f"U'th waa not eona1dered 1D aaJciD& 'th1a ••••••eot. (due k '&be leoctb or the abat.-ent period). ~ou .. , requeat • 80d1J'1eat10D .... d on COnl1der&t1on or &OOd J'&1th. 70 Obt.&1n A reductiOn or the 

penaltl on ~· baa1a or cood J'a1th 1a att. .. pt1D& to aeb1e•e 

co•pl1ance, ~ou .uat ahow that 70u took eat.raordinarr .. aaurea to abate the •Solation 1n the aborteat poaa1ble t~e and that 

abate.ent waa achieved berore that date aet ror abat ... nt. Your 

request J'or a •o•U11cat1on ahollld be aade 111 wr1t1q, al'ter the 

•1olat1on baa been abated, and ahould be addreaaed to the C1Y1l 

PenaltJ Section at the above addreas. 

(E-4) 

Page 4 of 6 

-Does this amount 

agree with page 5 

-Is tht! total correct 
\ 

EXHIBIT 1 ~o Table E (Con~inued) Page 3 of 6 

This form 18 unt blank ~o ~he operator and if a conference 18 desired 

~he form is completed and returned to BCPA. 

~U-4 

........ 2•10-14 

Ctwll Peaalcj lactlaa 

etttca at •• rt.ca •••••• a.s. Dapart•aat ef t~a latartar 

IISI Caaatltattaa •••••• •• v. 8ae~tactaa. D.C. 20240 

a.ar Sires 

FEB '·% 1187 

(Due) 

••~••••t ta 30 CFI I14S.II, I r•••••t • caafareaca ta ra•tav 

... prep•••• •••••••••' far •talactaaa af aactca at Ylalat'••Cil 

•·--~86-~t~l~~~~-~~~---- ••• /ar Caaaactaa Or4ar(a) '----------~-----

117 calor .. •• •••~u h cJt.r">_;!$;:,;S:~?"E..=-17~2.~:Z.~~!....---'~----------;....------·Telephone number of the 

555-lr& 7'i': requestor 

. . -0~ ~ _J__:._c.e . ~P'r·> 

l•••• ••4 rscla) ~~-

,;w ( o Lc a.-1 c:A> · (Maae •.f Paraltt.ee ar Operatol') 

·. 

Name and title of the 

person requesting conference 

..~~--Mailing address of the 

~~:;..::~~=~;T<~e~/?.11:..;. c~o~~~:..:7?t: 2.....; requestor 

IT .. t••• 7••r ~•••••c 1• racct••• wtc•t• IS ••7• •• •r•••••• Ia 4(~----­ SO era ti4S.JI, 7•• will •• ceacacce4 •r • ceefereece effie•~ t• •r••~ &e •rreace ••• ct•• ••4 tl•c• ef c•• ceafereece. 

••~••••t ce 31 era •••s.ti(.)(Z), et ••••t S 4•7• trier t• c•• •••f•reece, •• ,, •• •f , •• tl•• ••4 •l•c• ef c•· •••f•reece •••t •• ~~.---­ ... , •• at tile OIN lte1•· efftce tllac ••• Jerte41cttee ••er c•e •1••• ~J'. ••r••• ... tile l'tchc ce ••n.lc't,ate -'• t•• •••f•r••c•• 

15 day graee period has been 

added thus allowing 30 days 

to request conference 

This re-emphasizes the 

requirement for posting 

- Company name •nd date of ini~ial let~er 

(E-'3) 
EXHIBIT 1 to Table E (Continued) Page 2 of 6 

Thia letter ia aent after the Branch of Civil Penalty Aaaeasmenta (BCPA) 

receives a copy of the citation aud baa completed the,Hotice of Proposed 

Aaaeaament (HOPA). With thia letter and the HOPA (paaea 4 & S), there 

ia a bl.aDlr. request for conference fona (aee pase 3). U the operator 

requests a conference. thU 1.a retumecl. evaluated and acc:eptanc.e or 

denial 1a &i ven. 

United States Department or the IDterior 

CfnCE Of IUU'ACZ JomaN0 

...,..1• Cod ~7 

•.o. lox . 

.hllico. 'Ill. l77 62 

._.__,,.,__ __ _ WASHINOTQI(, ID.C. -

~ .... rJ 21. 1917 

~ 

~ 

cvn.-= IPI1 VUL\1lal cr 1IIE ID!F.Aa: IIIKilG CDma. I6D 

IJCl a Jm, (IKZA), 3D v.s.c. 1Zil «-

ID:loooc! ia a -s... of • cbil poaltJ "'"1 vS.th nopoct co GOrtalz> vlolotloo& 1m J;icl;. -b of vlolatlaD OU? •• -laD 

- (Q))-- &!>,.... : 

J'J-

~ 

nad t!>la Jottar W<]' -.fully. 'It Cauiz>a -laD 

nq.tt 1 6>r,...,....,. of cbil'poaltJ •= • *l<:h 

- be loll-t.o ..... ld ad41tl.oool -· .,., -~ far ...... llllq Jdomol - -1 ~ of t.ho -ltJ.' If.,... - .., ..... loci& • .,... -t call the I<Gd> of Chil 1\ocaltr ... 1 I & (202) ~· 

L P.Al!EIII' !'NlCillml; 

(E-2) 

-\ 

' 
\ ' 

EXHIBIT 1 ~o Table E (Aaaeaament Package) 

Ia thia the operator or 

peraon requeat1D' the 

conference (See page 3) 

United States Department of the Interior 

0171CE OF SUUACZ 1GND10 

,... . llo,.t -th 

Mlnager 

-1· Coal "-""• 

P.O. lo11: 000 

~111oo, T• J7762 

........... oo4 !<!*"'"-· 

WASIUNGTCH. D.C. -

FEB 131987 

RECE!'!Ef.' 

Page 1 of 6 

Is the cita~ion number 

consistent throughout 

this package 

"87 FIB 19 NO :39 .,.o(~--~'l"he conference must 

U: 11116-91- 000.1( 1) 

nt. t. ta .... ,.... te ·~r lecc.er(d ._, .. february 2. 1!£7 

.. ftlclt. 7'" ... ~ •• , ... ...tu.ce. '1-r ...... , ... .._ crnte4 

..,. ill "et•c f.rvar4e4 te tltc a"repr1atc OSM •fftc. f• ... s.,-u. 

be held within 60 day• 

of da~e received or 

the ~ermination date 

of the citation which-· 

ever is later 

A c.t•~ Officer trtU .uact ,.. t• eclle .. lc Clac. -tcnacc. ~-------- · Note that it is specified 

u ,.. ..,. • .., ..-u. ... - ......... , ..... •leu• -.11 De contac~ will be made to 

~date c:.aterace Offi.C.I' ll.ete4 - G. et~ te ala Lat.ter • 

... :1 at 

schedule the conference 

..... " •. c.., .. u. Q1ef 

er-a. et Clftl P ... llJ ....... , • 

NOTE: Thia let~er 1a aent to the requeator and a copy ia aent to the 

appropriate office that will conduct the conference. 

(E-1) 
pages or documents. 

be discarded. 

The original pages or documents are not to 

Case files should be numbered or labeled in a.manner that allows 

ease of access. A computer tracking system or other means should 

be developed to allow ready research or identification of 

conference cases. The tiles are to be secured and available only 

to persons authorized to access the files. A sign-out system 

should be developed and used so the location of conference files 

is known at all times. 

117 
\ 

TABLE E 

Case File 

This table is to depict documents and procedutes in a conference 

and to reflect documents contained in a typical case file. The 

case file must be complete and documented for all actions and 

events that occurred during the informal conference process. It 

should be noted that each cage ig unique and therefore the 

documentg and procedureg will vary depending on the circumstances 

of the particular case. The documents shown have been reduced 

and notations made on the sides to explain steps or events. 

Throughout the informal conference, Conference Officers must 

scrutinize and clarify noted discrepancies or questionable 

aspects. While the Conference Officer is neither Assessor nor 

Inspector a careful review should be made to ascertain that 

errors in procedure or guidelines were not made. If an error or 

questionable procedure is noted the appropriate person should be 

contacted and the problem resolved without creating animosity in 

the relationship between branches. 

Exhibit 1 is the Conference Approval Letter and the Notice of 

Proposed Assessment <NOPAJ and is the initial phase of a case. 

Thi.s will be referred to as the assessment package. 

Exhibit 2 is a history sheet, prepared and made a part of the 

case file. Brief notations of all actions should be made. 

Exhibit 3 will be referred to as the enforcement package. Once 

the assessment package has been reviewed and appears in order, 

copies of the citation, modifications, termination and othe~ 

enforcement documents need to be secured. A rapport needs to be 

established with each office within the Conference Officer's 

jurisdiction so that copies or documents can be readily obtained. 

This should be done by contacting the chief or official in charge 

of the office and establishing a liaison person to be contacted 

to obtain future documentation. This will preclude having to go 

through all the channels in future needs but will allow going 

directly to the person that can furnish requested materials. 

Exhibit 4 contains the documents generated in the conference 

process and will be referred to as the conference package. When 

all necessary documents of the enforcement package are received 

and reviewed the Conference Officer is ready to start the 

conference procegs and generate conference documents. 

All of the documents in exhibits 1 through 4 constitute items 

found in a typical case file. The case file must be complete and 

self explanatory without having to research multiple sources or 

file components. Once completed the case file will not be 

modified or changed unless the rationale for modification or 

change is fully noted and explained. In case of a modification 

or addendum additional documents should be prepared clearing 

outlining that the new documents supersede or replace original 

116 
CIVIL PENALTY REMITTANCE SLIP (1) 

COMPANY NAME: ABC COAL COMPANY 

REMITTER NAME(If Different): 

FIRST PAYMENT DUE DATE: APRIL 1 

PAYMENT AMOUNT: $196.78 

TO BE APPLIED TO PRINCIPAL: $194.47 

TO BE APPLIED TO INTEREST: $2.31 

PRINCIPAL BALANCE REMAINING: $2,055.53 

115 

:i 

' 

CITATION NUMBER: C86 
\ 

CIVIL PENALTY REMITTANCE SLIP (4) 

COMPANY NAME: ABC COAL COMPANY 

REMITTER NAME(If Different): 

FOURTH PAYMENT DUE DATE: JULY 1 

PAYMENT AMOUNT: $196.78 

TO BE APPLIED TO PRINCIPAL: $186.37 

TO BE APPLIED TO INTEREST: $10.41 

PRINCIPAL BALANCE REMAINING: $1,502.31 

CITATION NUMBER: C86 

-------------------c!v!i-PENAirt-REMirrANcE-si!?-(3)-------------

coMPANY NAME: ABC COAL COMPANY CITATION NUMBER: C86 

REMITTER NAME(If Different): 

HIRD PAYMENT DUE DATE: JUNE 1 

PAYMENT AMOUNT: $196.78 

TO BE APPLIED TO PRINCIPAL: $184.85 

TO BE APPLIED TO INTEREST: $11.93 

PRINCIPAL BALANCE REMAINING: $1,688.68 

CIVIL PENALTY REMITTANCE SLIP (2) 

COMPANY NAME: ABC COAL COMPANY 

REMITTER NAME(If Different): 

SECOND PAYMENT DUE DATE: MAY 1 

PAYMENT AMOUNT: $196.78 

TO BE APPLIED TO PRINCIPAL: $182.00 

TO BE APPLIED TO INTEREST: $14.78 

PRINCIPAL BALANCE REMAINING: $!, 873·. 53 

114 

CITATION NUMBER: C86 
CIVIL PENALTY REMITTANCE SLIP (7) 

COMPANY NAME: ABC COAL COMPANY CITATION NUMBER: C86 

REMITTER NAME(If Different): 

SEVENTH PAYMENT DUE DATE: OCTOBER I 

PAYMENT AMOUNT: $!96.78 

TO BE APPLIED TO PRINCIPAL: $189.83 

TO BE APPLIED TO INTEREST: $6.95 

PRINCIPAL BALANCE REMAINING: $936.87 

-------------------c!v!i-PENALTY-REMITTANCE-sirr-(6)-------------

coMPANY NAME: ABC COAL COMPANY CITATION NUMBER: C86 

REMITTER NAME(If Different): 

SIXTH PAYMENT DUE DATE: SEPTEMBER 1 

PAYMENT AMOUNT: $196.78 

TO BE APPLIED TO PRINCIPAL: $188.40 

TO BE APPLIED TO INTEREST: $8.38 

PRINCIPAL BALANCE REMAINING: $1,126.70 

CIVIL PENALTY REMITTANCE SLIP (5) 

COMPANY NAME: ABC COAL COMPANY 

REMITTER NAME(If Different): 

FIFTH PAYMENT DUE DATE: AUGUST 1 

PAYMENT AMOUNT: $196.78 

TO BE APPLIED TO PRINCIPAL: $187.21. 

TO BE APPLIED TO INTEREST: $9.57 

PRINCIPAL BALANCE REMAINING: $1,315.10 

113 

CITATION NUMBER: C86 
\ 

CIVIL PENALTY REMITTANCE SLIP (10) 

COMPANY NAME: ABC COAL COMPANY 

REMITTER NAME(If Different): 

TENTH PAYMENT DUE DATE: JANUARY I 

PAYMENT AMOUNT: $196.78 

TO BE APPLIED TO PRINCIPAL: $193.25 

TO BE APPLIED TO INTEREST: $3.53 

PRINCIPAL BALANCE REMAINING: $360.63 

CIVIL PENALTY REMITTANCE SLIP (9) 

COMPANY NAME: ABC COAL COMPANY 

REMITTER NAME(lf Different): 

NINTH PAYMENT DUE DATE: DECEMBER 

PAYMENT AMOUNT: $196.78 

TO BE APPLIED TO PRINCIPAL: $192.18 

TO BE APPLIED TO INTEREST: $4.60 

PRINCIPAL BALANCE REMAINING: $553.88 

CIVIL PENALTY REMITTANCE SLIP (8) 

COMPANY NAME: ABC COAL COMPANY 

REMITTER NAME(lf Different): 

EIGHTH PAYMENT DUE DATE: NOVEMBER I 

PAYMENT AMOUNT: $196.78 

TO BE APPLIED TO PRINCIPAL: $190.81 

TO BE APPLIED TO INTEREST: $5.97 

PRINTCIPAL BALANCE REMAINING: $746.06 

l.l2 

CITATION NUMBER: C86 

CITATION NUMBER: C86 

CITATION NUMBER: C86 
Note: This print-out is to be furnished to ihe Operator and the Operator 

advised to cut out and attach one of these slips to each payment 

so that the payment will be correctly applied. 

* * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * 

PLEASE CUT OUT AND ATTACH TO YOUR PAYMENT THE 

APPROPRIATE PENALTY REMITTANCE SLIP TO ASSURE 

CORRECT APPLICATION A~D POSTING OF PAYMENTS 

MAKE CHECKS PAYABLE TO 'Office of Surface Mining' AND 

SEND TO : Office of Surface Mining 

Reclamation and Enforcement 

P.O. Box 360292 M 

Pittsburgh, PA 15251 

SPECIAL NOTE: PAYMENTS RECEIVED AFTER THE DUE DATE WILL 

BE SUBJECT TO ADDITIONAL INTEREST CHARGES. 

-------------------c!v!i-PENAirv-REMrrrANc£-si!r-(12)------------

coMPANY NAME: ABC COAL COMPANY CITATION NUMBER: CB6 

REMITTER NAME(If Different): 

TWELVTH PAYMENT DUE DATE: MARCH 

PAYMENT AMOUNT: $167.11 

TO BE APPLIED TO PRINCIPAL: $166.15 

TO BE APPLIED TO INTEREST: $0.96 

PRINCIPAL BALANCE REMAINING: $0.00 

-------------------clvli-PENAirv-REMirrANCE-si!r-(11)------------

coMPANY NAME: ABC COAL COMPANY CITATION NUMBER: C86 

REMITTER NAME(If Different): 

ELEVENTH PAYMENT DUE DATE: FEBRUARY 1 

PAYMENT AMOUNT: $196.78 

TO BE APPLIED TO PRINCIPAL: $194.48 

TO BE APPLIED TO INTEREST: $2.30 

PRINCIPAL BALANCE REMAINING: $166.15 

lll 
~ote: The print-out below should be given to the Operator to monitor payments 

~nd to have for record keeping purposes. 

* * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * 

COMPANY NAME: ABC COAL COMPANY CITATION NUMBER: C86 

DATE SETTLED: 02-25-1987 TOTAL AMOUNT SETTLED: $2,500.00 

DOWN PAYMENT AMOUNT RENDERED: $250.00 PRINCIPAL BALANCE DUE: $2,250.00 

PAYMENT DUE DATES PAYMENT AMOUNT APPLIED TO INTEREST APPLIED TO PRINCIPAL PRINCIPAL BALANC£ 

APRIL 1 

196.78 2.31 

MAY 1 

196.78 14.78 

.JUNE 1 

196.78 II. 93 

.JULY 1 

196.78 10.41 

AUGUST 1 

196.78 9.57 

fEMBER 1 

196.78 8.38 

OCTOBER I 

196.78 6.95 

NOVEMBER I 

196.78 5.97 

DECEMBER 1 

196.78 4. 60 

.JANUARY 1 

196.78 3.53 

FEBRUARY I 

MARCH I 

NOTE: 

\ 

196.78 2.30 

167. II 0.96 

Payment plan is computed using current annual percentage 

rate of 7.5 ~and interest commences 30 days after the date 

settled. Interest is co•puted by multipling the number of 

days in the payment peiiod by the interest rate divided by 365 

(number of days in a calendar year) tiaes the principal 

balance. 

(llO) 

194.47 2,055.53 

182.00 1,873.53 

184.85 1,688.68 

186.37 1,502.31 

187.21 1,315.10 

.;,-::y.·· 

188.40 1,126.70 

189.83 936.87 

190.81 746.06 

192. 18 553.88 

193.25 360.63 

194.48 166.15 

166. I 5 0.00 
SEVENTH PAYMENT DUE: OCTOBER I 

PAYMENT AMOUNT $196.78 

AMOUNT APPLIED TO INTEREST 

AMOUNT APPLIED TO PRINCIPAL 

PRINCIPAL BALANCE AFTER SEVENTH 

$6.95 

$189.83 

PAYMENT 

EIGHTH PAYMENl DUE: NOVEMBER I 

PAYMENT AMOUNT 

AMOUNT APPLIED TO 

AMOUNT APPLIED TO 

PRINCIPAL BALANCE 

$196.78 

INTEREST 

PRINCIPAL 

AFTER EIGHTH 

NINTH PAYMENT DUE: DECEMBER I 

PAYMENT AMOUNT $196.78 

AMOUNT APPLIED TO INTEREST 

AMOUNT APPLIED TO PRINCIPAL 

PRINCIPAL BALANCE AFTER NINTH 

TENTH PAYMENT DUE: JANUARY I 

PAYMENT AMOUNT $196.78 

AMOUNT APPLIED TO INTEREST 

.AMOUNT APPLIED TO PRINCIPAL 

PRINCIPAL BALANCE AFTER TENTH 

ELEVENTH PAYMENT DUE: FEBRUARY 1 

PAYMENT AMOUNT $196.78 

$5.97 

$190.81 

PAYMENT 

$4.60 

$192.18 

PAYMENT 

$3.53 

$193.25 

PAYMENT 

AMOUNT APPLIED TO INTEREST $2.30 

AMOUNT APPLIED TO PRINCIPAL $194.48 

PRINCIPAL BALANCE AFTER ELEVENTH PAYMENT 

$0.96 

$166.15 

$936.87 

$746.06 

$553.88 

$360.63 

$166.15 

TWELVTH PAYMENT DUE: MARCH 1 

PAYMENT AMOUNT $167.11 

AMOUNT APPLIED TO INTEREST 

AMOUNT APPLIED TO PRINCIPAL 

PAYMENT PLAN.WILL BE PAID IN FULL AFTER THIS PAYMENT 

109 
\ 

Kotc: The print-out below should be filed with the case file. It reflects the 

payments and the application of the funds. 

* * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * 

COMPANY NAME: ABC COAL COMPANY 

STREET ADDRESS: BOX 123 

TOWN/CITY, STATE, ZIP CODE: ONEIDA,TN 37841 

PERSON TO BE CONTACTED: JOHN JONES 

TELEPHONE NUMBER: (615) 777-8888 

CITATION NUMBER: C86 

TOTAL AMOUNT SETTLED: $2,500.00 

DOWN PAYMENT AMOUNT RENDERED: $250.00 

DATE SETTLED: 02-25-!987 

PRINCIPAL BALANCE: $2,250.00 

INTEREST RATE OF THIS PAY AGREEMENT: 7.5% 

FIRST PAYMENT DUE: APRIL I 

PAYMENT AMOUNT $!96.78 

AMOUNT APPLIED TO INTEREST $2.3! 

AMOUNT APPLIED TO PRINCIPAL $194.47 

.PRINCIPAL BALANCE AFTER FIRST PAYMENT: $2,055.53 

SECOND PAYMENT DUE: MAY I 

PAYMENT AMOUNT $196.78 

AMOUNT APPLIED TO INTEREST 

AMOUNT APPLIED TO PRINCIPAL 

PRINCIPAL BALANCE AFTER SECOND 

THIRD PAYMENT DUE: JUNE I 

PAYMENT AMOUNT· 

AMOUNT APPLIED TO 

AMOUNT APPLIED TO 

PRINCIPAL BALANCE 

$196.78 

INTEREST 

PRINCIPAL 

AFTER THIRD 

FOURTH PAYMENT DUE: JULY I 

PAYMENT AMOUNT 

AMOUNT APPLIED TO 

AMOUNT APPLIED TO 

PRINCIPAL BALANCE 

$196.78 

INTEREST 

PRINCIPAL 

AFTER FOURTH 

FIFTH PAYMENT DUE: AUGUST I 

PAYMENT AMOUNT $196.78 

AMOUNT APPLIED TO INTEREST 

AMOUNT APPLIED TO PRINCIPAL 

PRINCIPAL BALANCE AFTER FIFTH 

SIXTH PAYMENT DUE: SEPTEMBER 1 

PAYMENT AMOUNT $196.78 

AMOUNT APPLIED TO INTEREST 

AMOUNT APPLIED TO PRINCIPAL 

PRINCIPAL BALANCE AFTER SIXTH 

$14.78 

$182. 00 

PAYMENT 

$II. 93 

$!84.85 

PAYMENT 

$10.41 

$186.37 

PAYMENT 

$9.57 

$187.21 

PAYMENT 

$8.38 

$188.40 

PAYMENT 

(108) 

$1,873.53 

$1,688.68 

$1,502.31 

$1,315.10 

$1,126.70 
May 28, 1987 

1. Date settled (julian date) 

m. I~terest rate 

n. Twelve (12) payment dates (inpu~ using julian dates -

see 2. below). 

2. Government calendars normally reflect the julian dates. 

For input into the computer the settlement and payment dates must 

be converted to julian date. Progressive payments should be 

input with successively larger julian date numbers. Below is a 

list of the julian dates for the first day of each month. 

a. J'anuary 1 1 or 366 or 731 

b. February 1 32 or 397 or 762 

c. March 1 60 or 425 

d. April 1 91 or 456 

e. May 1 121 or 486 

f. J'une 1 152 or 517 

g. J'u1y 1 182 or 547 

h. August 1 213 or 578 

i. September 1 244 or 609 

j. October 1 274 or 639 

k. November 1 305 or 670 

1. December 1 335 or 700 

3. The following is a computer print-out for a typical payment 

plan. The plan was for an amount settled of $2,500.00 and a down 

payment of 10% or $250.00- (see Appendix). 

(107) 
May 28, 1987 

A program has been designed to compute and print payment plans. 

A copy of the ·computer program can be obtained by contacting the 

Conference Program Manager. The payment plan is designed to use 

the current applicable interest rate when the payment plan is 

executed. There are input items required and ~hen the data is 

input the computer will compute payments and print the payment 

plan. The program is designed to compute the number of days 

between payments and the resultant interest due. Julian calendar 

dates are to be used for the date the assessment was settled and 

the payment d~tes. 

Payments are aiways to be made on 

order to allow necessary time for 

should allow at least thirty (30) 

-date and the first payment date. 

rendered than the initial payment 

following ~onth regardless of the 

the first day of each month. 

processing of paperwork you 

days between the settlement 

If no down payment is to be 

should be the first of the 

number of days involved. 

In 

Once the required data is input the computer will print three 

separate print-outs. The first is for the case file and will 

reflect payments and their application to principal, interest, 

and the unpaid balance after payment. The second print-out is a 

spread sheet for the operator's records to monitor the payment 

plan. The third print-out is also for the operator and is the 

remittance slips to accompany each payment. 

1. The data listed below has to be input into the computer 

for the payment plan: 

a. Company name 

b. Company street address or post office box 

c. Town or city 

d. State (Use two letter designation) 

e. Company zip code 

f. Name of the contact person for the payment agreement 

g. Telephone number to include the area code 

h. Citation number 

i. Total amount settled 

j. Down payment amount rendered 

k. Date settled (actual date) 

~- (106) 
Company Name citation i Conference Officer 

II. If the penalty was reduced, answer the following questions: 

1. Penalty reductions follow guidelines outlined in the Assessment 

Manual: 

1-lanager 's 

Concurrence 

Rater's Comments: 

Yes No Rater's 

Concurrence 

(Initials) 

2. Doeurrentation is presented in the Conclusion of Conference 

Report to justify penalty reductions: 

Manager's 

Concurrence 

Rater's Comments: 

Yes No Rater's 

Concurrence 

(Initials) 

3. The Conference Officer's file contains sufficient information 

and documentation to support the justification presented in the 

Conclusion of Conference Rep:>rt. 

Manager's 

Concurrence 

Rater's Comments: 

(105) 

Yes No Rater's 

Concurrence 

(Initials) 
\ 

Ccmpany Name Citaticn i 

The following questions apply to ~1ose conferences in whic~ ~~e ope~ator 

paid t.'le revised penalty in full or signed a pay:r>e!1t agr~'llent. If t.'lese 

did not ~~= relative to L~e conference, do not include ~,is sheet. 

Manager's 

Concurrence 

9. A cnpy of the check and/or 

abst:: act and the signed 

Consent Asses~~t of Civil 

Penalty Agreement (FUll Pa~~t) 

are included in t.'le report when 

t.>oe penalty has been paid as the 

result-of the conference. 

10. A cnpy of t.>oe payment plan 

agreement and dO\o/!1 payment (if 

required) and the signed 

Consent Assessment of Civil 

Penalty (Payment Plan) are 

· included in the reoort when the 

operator has agreed to this 

agreement. · 

11. Company name, citation and permit 

numbers are consistent between the 

Conclusion of Conference report 

and the Consent assessment of 

Civil Penalty agreement. 

12. The interest rate on t.~e Cons~~t 

of Civil Penalty Agreement is 

listed at 7 % and the payment 

arount and due date for payments 

are consistent with those in the 

payment plan c'lart and the 

Civil Penalty Remittance forms. 

(104) 

Yes No Rater's 

Conc.J.r=ence 

(Initials) 
Exhibit 19 - Conference Officer Audit Report 

CONFERENCE OFFICER AUDIT REPORT 

Company Name Citation t 

Date of 

Review 

Date of Conf. 

Terrn1nat1on Date $: NOPA $: ReVlsed Penalty 

$: Collected $: Payment Plan Conference Officer 

I. Answer the following questions regarding your Conclusion of Conference 

RefOrt. 

Manager's 

Concurrence 

Date 

1. Proper company name and citation 

nunt>er (s) appear on relevant sheets 

of the refOrt 

2. The type of letter (i.e.- full payment 

or no payment required) is · appropriate to the conclusion of 

conference. 

3. NOPA amount is transferred accurately 

to the conference refOrt. 

4. Additions to or reductions in the 

penalty are accurately computed. 

5. Narrative is clearly and accurately 

written. 

6. Narrative is free of spelling and 

grammatical errors. 

7. A refOrt for each violation conferenced 

is included in the refOrt. 

B. A copy of the vacation of the 

violation(s) is attached if it 

has been vacated. 

(103) 

Yes No Rater's 

Concurrence 

(Initials) 
\ 

Exhibit 18 - Sample Affidavit 

SAMPLE AFFIDAVIT 

STATEMENT OF JOHN DOE 

I, John Doe, Engineer for ABC Coal Company, Inc. make the 

following statement to demonstrate extraordinary efforts taken by 

ABC Coal Company, Inc. to achieve rapid abateme-nt of violation 1 

of 2, citation number NOV 86-091-016-002<3>, mine 124 in Scott 

County, Tennessee. ·· .. ' 

11> I pulled eight men from active production mine 126 in 

Fentress County, Tennessee to inactive mine 124 in Scott Count~, 

Tennessee, approximately 25 miles away. 

<2> pulled one dozer, one front end loader, and two 

trucks from active production mine 127, Whitley County, Kentucky, 

approximately 75 miles away. 

<3l All equipment was hauled from mine •27 by contract 

carrier, XYZ Haulers, of Wi II iamsburg, Kentucky at a cost of 

S2,500.00. <Copy of invoice and/or payment is attached>. 

(4) Contracted with JOB Consulting, 

Tennessee at a cost of $1,800.00 <copy of 

design and assist in the installation of 

required to abate the violation. 

Inc., of Oak Ridge, 

invoice attached) to 

the treatment system 

<5l personally supervised and directed the work to 

achieve abatement of this violation for approximately 12 hours. 

<6l Abatement was achieved at 10:00 a.m. on June 30, 1986. 

<7> Jack Labor called Inspector Jake Q, Smith at 10:15 

a.m., June 30, 1986, advising him that abatement had been 

achieved and effluent limits were in compliance. 

<8l Inspector Smith returned to the site of violation July 

1, 1986 at 11:00 a.m. and issued termination for the violation. 

State of 

County of 

I hereby affirm, under oath, that the foregoing is correct and 

true to the best of my knowledge. 

Sworn to before me 

day of 

John Doe, Engineer 

and subscribed in my presence this 

19 __ . 

Notary Public 

(Include country, state and 

expiration date of commission> 

(102) 
Exhibit 17 - History Sheet 

HISTORY SHEET 

Company: Citation(s) 

. 

Date Actions 

-· J" 

I 

(101) 
\ 

United States Department of the Interior 

OFFICE OF SURF ACE MINING 

Reclamation and Enforcement 

530 Gay St., S.W., Suite 500 

Knoxville, TN. 37902 

To: Evelyn Freeman Con~erence O~~icer Task Force 

Thru: Pete Thompson 

Knoxville Field O~~ice 

From: Billy R. Kneisley, Conference Officer 

Knoxville Field Office 

Subject: Status Report 

COMPANY: _______________________ CITATION: __________________ _ 

YlQb.HlQ!U!Q.:. 

Reason(s) for delay: 

DATE FOR 

Ml~!~M!H!r 

If you have any questions, please contact me at (615) 673-

5126. 

cc: C. Carter 

Branch of Assessments 

(100) 
Pre-Conference Notes, cont. 

History __________________ _ History-----------------~-

Probability ______________ _ Probability ______________ _ Extent ___________________ _ Extent ___________________ _ 

Total Seriousness ______ _ Total Seriousness ______ _ 

Obstruction _____________ _ Obstruction ______________ _ 

Negligence ______________ _ Negligence _______________ _ 

Good Faith ______________ _ Good Faith _______________ _ 

Total Points Total Points _____________ _ 

$ _______________________ _ $ ________________________ _ 

Conference Notes: 

Documents to Support Revision: 

Pg ___ of ____ pgs 

(99) 
\ 

EXHIBIT 15 - Pre-Conference Notes 

This form may be used by the ConferenceOfficer to summarize data to be 

addressed during the conference 

Pre-Conference Notes 

Permittee Name=------------------~------Phone: ______________ _ 

Area: Permit ______ ·----------------------------------------------------- County: ______ Mine Type: __________________________ _ Operator: _______________________________ Phone: ______________ _ 

Citation #: -------------------------------------------------- Date Issued•---------------------------------------------- Date Served: ___________ By: Mail Hand 

Person Served: --------------------~-----------------------

Viol. # of # 

Date for Abatement ________________________________________ _ 

Date of Modification ______________________________________ _ 

Date of Abatement ___________________________________________ _ 

Vacation Date------------------------------------------------

FT ACO Issued--------------------------------------------------

FTACO #------------------------------------------------------

Inspector Name: Phone: 

Days for Abatement_~---------------------------------------­

Days to Abatement--------------------------------------------

Good Percent of Time---------------------------------------------- Faith Points Available _________________________________ _ 

Sworn Statement Received ____________________________________ _ 

Pre Conference Remarks•--------------------------------------

Pg ___ of ___ pgs 

(98) 
* * * * * * * * * * * * * * * CONFERENCE * * * SIGN-IN * * * * SHEET * * * * * * * 

Conference Date: -----------------------------~ 

Name of Company: 

Citation Number(s) Permit Number(s) 

THOSE IN ATTENDANCE: 

Name: 

Title: 

Company=---------------------------------------------------

Address=---------------------------------------------------

Telephone No=----------------------------------------------

Name: 

Title: 

Company=---------------------------------------------------

Address=---------------------------------------------------

Telephone No=----------------------------------------------

Name: . --------------------------------------------------- Title: 

Company=---------------------------------------------------

Address=---------------------------------------------------

Telephone 

* * * * * No=---------------------------------------------- * * * * * * * * * * * * * * * * * * * * * * * * * 

(97) 

* 

* 

* 

* 

~ 

I 
\ 

EXHIBIT 13 ~ Conversation Record 

NOTE: This is not a mandatory form but the use of this form or some other 

equivalent form should be used to record and document verbal 

c9nversations or discussions. 

CONVERSATION RECORD 

TYPE IIOimHC 0VlSIT 0 CONFERENCE 0 TELEPHONE NAME/SYMBOL 0 INCOMING 

location o1 Visrt/Conferena: 0 OUTGOING 

NAME OF' ~ti:SON(S) CONTACTED OR IH CONTACT I ORCAHIZAfiOH (Oft"'oc-. .-.. ....,..u. TU£f'HONE NO. 

WITH YOU ~.., 

SUBJECT 

SUMMARY 

ACTION REQUIRED 

fiiAM[ Of' P£R$0fl OOCUirlll(NTIHG CONVVtSATION StCHATURE 

ACTION T AK£N 

SIGNATURE I fiTLE 

IKT 

S0'211-101 CONVERSATION RECORD Of'TTONAL FORfrot 271 ttl 761 

DEPARTMENT OF DEfENSE 

(96) 
* * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * CONCLUSION OF CONFERENCE 

Mr. John J. Jones, President 

ABC Coal Co Inc 

P.O. Box 123 

Someplace, Tennessee 37777 

Re: Assessment Conference for: ABC Coal Co Inc 

Violation No. 1 of 1 of N88-099-099-099(1) 

Permit: 88-888 

Dear Mr. Jones 

This letter formally concludes the conference relating to the 

above violation. 

After reviewing all of the information supplied to me at the 

conference and all other information available to me concerning 

the above violation, pursuant to 30 CFR Part 723, I am revising 

the assessment for the above mentioned violation as shown on the 

attached Assessment Conference Report. 

The Assessment Conference Report shows the dollar amount of the 

civil penalty associated with each violation for which the 

conference was held and reflects changes, if any, resulting from 

the conference. It also shows the point values assigned for the 

proposed assessment and the point values assigned as a result of 

the conference. 

As you chose to resolve this matter through a Consent Assessment 

of Civil Penalty (Payment Plan) and down payment was received, 

this concludes the above assessment conference. If you have any 

questions which are not answered by this letter, you may call me 

at (615) 673-5126. 

Sincerely 

Assessment Conference Officer 

Enclosure 

cc: E. Freeman 

Conference Officer Task Force 

C. Carter 

Branch of Assessments 

* * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * 

95 
EXIIIBIT .3 to Table E (Continued) Page S of 11 

This is a continuation of the inspector'& report. Look for discrepancies 

1n commen~a versus aaaeaamen~a. 

OV;aaartacd •• 

••• ,. 001 

4111acbara• 

•••1• 001 .,.,,. ... ••ala 001 

4ovaac.rcaa 

AnJOle C.O.l to.p.n7 

11-AOl 

follow&: 

21! AcUitt 

l.ll ,,_., 

6.19 6.12 

6.60 7.01 

P•a• Z of 2 

Alt.lllliti 

0 

12.t4 

u.,. 

Ser"wicc of •ov lfo. 16-091-000-001 

at cbe tipple facllltJ to MorlcJ. 

accept ocr•ice· vas Uord s.tch 

vaa effective oa 12/l0/16 

Prcaaat to 

tipple ••••&•r 

llr. Uoyd S.lth •••· ao1'orae4 ••••t cbc J.aaoaace of cbta 

aov. t'bta 4tacaaa.~O!I'·:.s.,!clu4c4 tbc aatara of cbc •lolattoa. 

, ...... , •••• , ...... ,..-•• , •• •••1• 1•••1•••· ••• , ... abatcocat tlae. 

••rforaaace ataadarda oot so4tcatc4 as Ia coapllaacc arc 

•uaaartacd aa follows: 

25F: Ef.Uoeat •lolaU.oo addreucd to WOt 16-0U- 000-001. 

ltca 21 ta oot 1• c•aplia•c« •• ••14e•c•4 •1 •ov 

a6 •Ot 1...000 •00 1 • 

(E-12) 
EXHIBIT . 3 to Table E (Continued) Page 6 of 11 

This ia the inspector'• atatement and used by the Aaaeaaor'a to determine 

the :evel of aaaea.-ent vithin the varioua cateaoriea; 

,.."a-•a r.a-:&~~Cn 

•••• r.•• •••••••-• Cte u ••·• u .......... ~.,..,, ... M ...,..,.._... ... let.S..J ~ , .. , .... : •• ·-·· .............. .,_ c ........ "' ..,_,.,, ..... ,., """ ..... , u ..... .. ,, .... , ~ht .., r.--..r , .. , 1ile •-• •• ..c ...,. .......... ,,.,,,,..., -- lo)'ITU. poll.,~to.._, event or '2 

•AEE------ obstruction e 

?:•~·· e: •••!• c~lp - -t--••••• ••Jill•• .. •act: a&ehtl••• Uut ... , .. -&eli .._,,,.,,. ... ,..,.,,. •· ,, ,. .. ,,,.,. ,,,, ••••••'- ,..,, _ .. ....,. ''''' •r ..... ,..,,, ... , .. ,~Wre c- .. ••'-'dt•• er •• a:t a:~. ltl' ••••-plel. ••~1•1• ... P<t-.r _.,., IJie .. ft.1tttt It f'-li4•r...C .,,,.... •••• :ar 

&a. .:t.:-• a: ~!1 .. n-• -•"•-...: - , .. at-tlta. 

t. ~tt ,..,,. c,_tH.tl' If' •&c:etftll tf I l,.tlflt' .. tail • ...,ttla"'': •11 ........ , ••• 

:::•: ••t:.:.., •: eu:.,,,., •: ..... S~tlt •t ., C' ... c-•••1-c talt tlf'hlt-7 I! M t •• •- ••:•o -= ,. .. ,,_ -~ ..... ,.,. 

, •• t '• .... 

... . •• ,,,., •• ·-· ~·· c-' : .. ,,, ••• ·-rtl•-c• .. ,,~ •• toe"'" •• rc. •• • ....,. •• . ••·•• ••••-••'"·•:• •·••••••• ,. •••:•r •• r•p:~IJ' •• ..... , ..... -:-- •••=••••• ...... . .. ·- :. ................. ·~········ :t ,.. -~··· ••••• ,.:;~•··· c ..... , ... ..,.~ ...... ·- ...... -~ -··· ••• 1 .. ,:,·.~: ...... : •• ................. - ... 

1.")/ •. , lrtt. 

(E-13) 

probability of 

occurrance 

prior warnings 
EXHIBIT 3 to Table E (Continued) Page 7 of 11 

'lbi.a ta a cbeck-aheet aaed for atat1aUca vith1D enforc....,t aanagement. 

'lbia fora 1.a llOt alvay• 1Dcluded 1D the anforcemeDt package. Solie of the 

1DforaaUon mght be uaeful but explaDation of the block& vill have to be 

expla1Ded by anforcemeat. 'lb1a 1a a tvo page report • 

...... .._ 

. United - .. Depart- of ... lnlorlot Fot Otfloo - Only Office ol Sur1..,. Mining .. .. .. Mine Slto &atuatlon lnopecllon ..._, DJJJ []] []] 

•••• -..... .__ 

- .. .._ ......... ·-- ~·ou~ ~l~rH+t EEI-·EIIcH-·1~~111 I ~ld-bld~o~H Ill L{lr6J,] 

·-- ., _______ 

~ bl fl~l k!oG;: lllllllll ~lg lalcl~ 11111111111111 . .., ·- u. ...... MIIw 

6tdd 

.. za,c.. dd!;~llllllll ,_--c... .. ""'--fThl .._. ~lole.~E~II Md~IJd~llllllll ~-@I- rn t;Lj-- ~bl:zl,l~ ~ . klsl51-17~!=l If. a.M .... 

--- ··- .,,...,....,_.. .._ __ .. -. .. -... -... rn:tJ mm •• .. .. . 

ld9l [i] Q{J ~- --- ... , ................ ___ ...... • £WJ _._ ........ '..!;~ •.• or~~ •D.~~ •m .. : .. _ . -~~ ..... ·~ ~- ::.-. 

• BED J • "-'~',.:...' 1,, '·· • . 0~'---- • 0 .;..-..-

• o-·- •0 • k)IQ lcOIQI· ~I ---- ...................... • o--- -~ c f)t:)!OIO!BI·@ ......... .,......_,_ "'"lopple. 

·-

• ......_ ......... -=--- .___ ....... ___ .................. .___ ......... _... .. _. ... . ................... --.a. .. - ........ ....,_,....__~ .................. ·m_;_- ·o-- •rn-....-

c [j] ............ ..... ~ ·o--- ·o·--. .................. • [i] ...... c:......__ ·m- . o .......... c.---. •0 ......... ._ .... 

-- . o ............................ ·~--- • 0 ..... ---. ·o-- .. D .................. •D....._. .......... 

·o-- . 0 .............. .,.. ., 0 ~-a.--. ._.,. 4 m .--... a....-... --- -o- ·o- .. 0 o-r . ._.., 

(E-14) 
EXHIBIT 3 ~o Table E (Con~inued) 

This t. ~be con~iDuation paze. 

IS! a! !<! 10 !:!?! 1 I I I I I I I I I I I I I 

.................... ,......... .. ,.,.. .............................. .,....-.: ~ rn-· ..... m~-

J\. ............. _... ~ .... / ~ 

.... DO az. f"'EE)8W. &iF<i ....... EHT ...-oNM'nOfr(.l(:fiWII ~ ........... ~ ................ 

T...O., ...._ ..._ . ---~ HL c-.u- ClriWMe. 

II A I H I I H I II ltHCi!tf?DkJJ£3?6'j! II 1-1 I H II H I II 

.. 0 ..................... 0 ..................... 0 ....................... . •0 ..................... 0 ..................... 0 ....................... . co ..................... o ..................... o ....................... . •O ..................... 0 ..... , .. : ............ 0 ....................... . 

EQ••••-••••••••••••••0 ••••••••••••••••••••• 0 ••.••••••••••••••••••••• 

•0 ..................... 0 ..................... 0 ....................... . •0 ·--··············· 0 ..................... 0 ························ "0 ..................... 0 ..................... 0 ....................... . 

• o ..................... a _,_iQI.,J_,_fL •.•• o ....................... . •0 ..................... 0 ..................... 0 ....................... . "0 ..................... 0 ..................... 0 ....................... . •0 ..................... 0 ·················-··· 0 ....................... . 

"0 ..................... 0 ..................... 0 ........................ . •0 ..................... 0 ..................... 0 ....................... . 0 0 ····················· 0 ..................... 0 ................ ········ •0 ..................... 0 ..................... 0 ....................... . 

0 0 ····················· 0 ..................... 0 ....................... . •0 ..................... 0 ..................... 0 ....................... . •O ..................... 0 ..................... 0 ······················'· 

•0 ..................... 0 ..................... 0 ....................... . uo ..................... 0 ..................... 0 ......... ·············· 

--,_, =•a.--. 

---

-----

--- --'J 

_ ·:··~ ...... _._. 

·--

---

-

-.... --~ 

E--. ---....... UMil• 

Oiii.-Pwl 'r • 

·--

-·-

• 1001·51 ............. .._.. • lQJbl!fJ] '~ , .. ........... 

c ld:ar::::&J ~" .... ,._.., • k5.Lil!l2J ..., ........ , .... ......., 

--..r-- •···- •• ... , .. Oil). 

(E-15) 

Page 8 of 11 · .. '· 
EXHIBIT 3 t:o Table !: (Cont.imled) Page 9 of 11 

This is a .odifieat:ion of a .c:it:at:ion. It: should be carefully renewed to 

see if the original rtolat:ion vao ..ended and whether the aoaeaament: should 

aleo be amended. · 

U.S. DEPAIITIIENT OF lM£-

Otta of SutfK41 MWnQ ftedamatloft .,., Entocw&~Ant 

MODIFICAnON OF NOnCE OF VIOLATION OR CESSATION ORDER 

•. a.. ....... _ •. 

~ 

a. .... ~-

17,198(. 

110.~ ....... _ ... ......, 

8 -A03 

AuthOrity: Under the authofity of the Surface Mining COftttot and Reclamation Act 

ol1977 (P.L r..-17; 30 U.S.C. 1201).1he folLowing Ktton is laken: 

M ..... _ _,VtO&III_...,...... 

BC. -09J-~COI 

- (E-16) 

changes the 

abatement: date 

Note the good 

faith comment and 

also the consistent 

effort 
EXHIBIT 3 to Table E (Continued) Page 10 of 11 

This 15 the termination or '9&ULI.on notice whichever is applicable. 

Document should be renewed f<K atate111ents and dates. Only if & 

'91olation has been satisfactorily resolved is aettle.ent possible. 

U.S. DEI'AflTMENT OF"''IIE WTEIUOR 

Office ol Surlace utn~no ReclefNUon ..- En........,1 

VAc.t.nON OR TERMINAnON OF NOTICE OF VIOLAnoN OR CESSAnON OROER 

··-ll~fPU c,,. c.-,.,. ... J' ....... ---

~m. 

, ............. N01<~"s A-. oFF.tL ~0. ~DJ( 17f>0 l -::J£1/i C.O ,fcHIU'fZC(; l:j77~ P.c.a.,,.. ~~ ~ . .._ .. .._ :-.~ ~-"7 tJ011.~~ I ,.NNE$.:££. 

f'llot!. £ /.p,.Jc u ........ • =ripp/<-- ;s?s.:ze 

-;-,;;;..;;,;......,.. ; 1,' c-wr ...... ( ~,::; )?tj</ -7.:J:J5 c "'"pbdl :Ji:~E~.LE (1.15)(,3::1.-1718 

·-- . ~ .... -, .. - ·-a.-.-~-

~~"'-<en 

l:J..c<m~U IB, /9~ 

......... ........,. ... 110. s.&.te ,..._ .,. ........... 111.WOE5..--.. II%. MSHA 10.......,.. 

·-~~ Ill. OSM .._ ..._.... ··~ eB-IIC3 /:.1 co£. ~ss "10-oooo o I 

ACTIONS TAKEN 

Al.llhOtity; UMer lhe authOrity of lhe Sut1.u Mining Control and Reclamation Act 

of 1971 (P.L IS-87; lO U.S.C. 1201JIM loCtow;ng action is taken: 

... .... _ ........... _ ...,...... 1 0.1..:1 1 '!$.. <:e.Mtiofl Ore.. .,..,..,.... t0.1..:1 

8" -cFII-oa:>- oo/ w•l,o/et.. - - - • : 

tl. WIOI,.AttOM __ ,_Of:_j_IS I( .............. ow-. ... ..... ,..._........._: 

p~._.,;.J!u/~IM1b<o. #,~:. ~e.i;..,.,£b R~~-'r l'l'OSVU!S. "E-os,,_, 

001 h .. s bu.., :a.-=.c.t:~£ f\.. ~ '"'1""'1U-(T£b ,....,'b i 3 ;-.~ Go,., p/· , ..... CL. ....,, fl.. 

tt::l>lu., .... -r l;,.,<f-A~oo"". 

t1'. WtOI.AII()N ---"'---1$~ r .. -. .... ... .. ,....... ""'"""'; r: W.cateo 

tl . ..,._AUON ·---·Of' ••··-- G LJ ......... __ ,.............._. It WKMee~ 

I 

111:~1.-ot- -- ·--. . . -

I( A IIC S. r . .tCb ~f.!/e.;.9 1 ... _ ... _ _.._., ... ~eM'II'I-- ......... C41. __ ....,... 

. --. r• .. \ ;:- .. : 000 ~ :· '\' ... _ .. dt......_ __ ... ~ .. ;.;.;- -..... -· . ----------·-.. ·-:it~~~ - • . -

(E-17) 

Termination 

vacation '? 

• 

, '• .. ~. 

) 

.".' 
EXI!llliT 3 to Table E (Continued) 

7cratttcc: 

.Coaety 

Operator: 

Anyole C:O..l eo.p.ny 

P. o. Box 000 

Jellico, TH 37762 

campbell 

88-AOl 

~ !i tacrcct1oa: 

!I£!!! Jacp•cttoa: 

Deceaber 17 and 18, 1986 

JfOV Follow-up 

teepee tor: 

.Act1o11 Ta\eo: 

~Sccaccton: 

.Jeff 

Modified NOV 86-091- 000-001, violation 1 of 1 for 

effluent liaits to extend abatement date from 

12/19/86 to 12/22/86. Terftinated NOV 86-091-000-001 

violation 1 of 1 on 12/18/86 

Page ll of 11 

A follow-up inspection was conducted on this tipple site 

12/17/86 and 12/18/86. The permittee was represented on 

durin9 these inspe.:tions by ~r. Lloyd S.ith 

on 

site 

On 12/10/86 ~sin 001 vas found to be disehar9ing water with a rn below a.ini•u• e!llucnt li•itations. 'n'lis resulted in the 

iasu:ince of lrmV 86-091 .. 000-001. Abate.ent date was initi•ll)• 

set. for 10:00 a.•. on 12/ ltf8G. The initial t:ov follow-uc 

ins,~ction was conducted on 12/ 17/86. This inspection reVealed 

thAt b.l5in 001 hold been treated with aCJricultural li,.c with 

again comments on 

/

good faith efforts and 

eonsistentey of effort. 

lat attempt did not 

resolve so an 

1 i•i Led success. nu: basin plf had incre•sed frOCI approxi ... tely 

3.7 to 4.7. Jn-flow into the ~sin was ~ina treated and vas in 

co.!•l i.:~m:C". At this point. the penaittce req.:.eated •dditional time 

lk.~ •J•·.:~ntcd in order to try a different trcau.cnt Method •nd •chicvf.: 

•:-.,...J•Ii.:~ncc wilh effluent. li•its. As the pc,...iltcc w..ts aal:int; a 

-·J•k..kl f.tiU•• effort Lo comr•ly. -.ddition.ll dlllys w.ss c:!r•nted 

•-•ki''"l Lhc nc"' .,1).3tc...:nt doll&: 12/22/86. Thi~ -.odification w~s 

ll.ln.:l-:•ct·vcd on 12/18/66 at which tiii!C it v.,. deterMined th.lt 

•~•sin OOJ had been successful Jy trc.,ted •nd "'"liS i11 C"O!IIJ,liancc 

""ith effluent Ji•il.,tion~. As a result., viol01t.ion J uf 1 in 

JOOV N4,-0')1-000-00) w,,:o t.ern~in.,trd. A COJ'Y O( the tCI"t"liU.:JliOn 

.,..,,~; h.uul !Ot."I""Vt'tl It' t11". Llay,J ~Lth .,I lhc• CUtft!dCl hln t.\f tiH! 

(E-18) 

alternate method was 

employed 
EXHI:BIT 4 to Table E (Conference Package) Page 1 of 15 

Thia package contains the forma and depict• the procedures that are employed 

by the Conference Officer and ataff. Once the conference ia held, deciaiona 

are rendered, conference cooeluaion 1a prepared and accepted, the caae is 

concluded. The case file is retired and retained in the permanent file. 

CONFIIINCI •oTIS 

••t• •f" C••f•r••c•: ~·,•~en /~ rf'l'7 

.. 

~--------------- This form can he used to evaluate the assessment 

St.: Tn 

Citation •-!§~:9~J:2QQ:QQ! ____________ !~ll !i2lt!i!~ _l __ ~! -1-

Cauae of Problea: Failure to aeet effluent liaitalions for wat~r 

4iacllarce. 

eate to Abate: 12-19-SG 12-22-86 •Da)·s to Abate: 12 II) 

Ter.ination Date: 12·18-86 I C:! J 

lapid abateaent points available: Fout" ('~ 

E•traordinary aeasurea eaployed: &...<#~ .s...,,/-;..J. • 6-1.~ --

1-..,.tlt;9 ~~_, - C....,..lrr~t-c.r...., ~-J Y"f/fC_.,.. ~r ~rro&"-,. 

Oriciaal Aaaeaaaent: 

atsroRr aJo 

PIOIA8lLITY -1~--­

CITE~T -·'---

IERlOliS~ESS 

USTRUCTIO~ 

•ECLICENCE 

GOOD FAITII 

TOTAL 

• 

••tea: 

_;~---- ·~· 

•JO 

and enforcement packages. 

The typed data was extracted 

from these two packages and 

used to determine if the 

conference vas ready for 

scheduling and to determine 

problems if any. It was notec 

that potential good faith was 

available. 

Once the conference is held 

notes can be added and then 

studied ao as to arrive at 

a conclusion • 

7"• ...,._,•'r#l'-< rA'•<If-""9£-'> s, .. ~~_,. ~b A'Svl't~ 

~ ·- _.... e-,""-:...b A C.....,~.~, .. .'#9-l c.iZ. O,C .. A7'0-<. ~-._c.. r,. .... - ~ - 17 

~ The decision should be made 

-'E:""'.__--- and rendered to the Operator. 

(E-19) 

Settlement ahould be achieved 

if possible. 
EXHIBIT 4 To Table E (Con~iDued) Page 2 of 15 

'l'hito fora ito uaed to achedule the COilference, and ito alao uaed u a poat:l.Dg 

copy to c0111ply vith poat:l.Dg raquiremeDta. llor.ally • copy ito poated at the 

Conference Officer'• loc:atiOD and alao iD the office that vaa :l.Datl"UUIental 

ito iaau:l.Dg the citatiOD. 'lbe peraOD requeat:l.Dg the cODference ahould be 

contacted and a wutual agreeable date and time eatabliahed to bold the 

conference. 'l'he conference abould only be ac:heduled af~er the aaaeaamen~ 

and enforcement packages are reviewed and no~ed discrepancies ei~her clarified 

or elilllinated. · 

United States Department of the Interior 

OmCE OF SURFACE IIIINING 

Wr. ~loyd Saith, Manager 

Aayole Co•l Coarany 

P.O. low 000 

~ellico, Tenae•••~ 37762 

Jted&mat.ioo ud Ealon.na~L 

uo Go1 s~ s.w. Sui .. lOCI 

Kooni11c. TN. 87102 

MAR 

Subject: Anrole Coal Coapany 

•BG-09J•000-00l(l) Per.it: 88-A03 

'lbe Conference Officer should 

assure that the requestor of the 

conference is apprised of ~he 

procedure and documentation 

required at the conference. 

Jt-.---------:------:------- The appointment letter is to be You ha•e been acheduled an aaaeaaaent conCerencc on the above 

referenced citation for March 11, 1187 at 10:00 a.a. at the mailed regular mail if COntaCt 

Collowinc address: was established. If unable to 

lepartaent of the Interior 

Office of Surface Hiainc 

530 Cay Street. s.v .• looa 408 

~noxville. Tcnneaaee 3190~ 

Pl•••• be prepared to aubait anr aatcrial for coaaideration ~afore or durin£ the conference which concern• the wiolation or the penalty. You ahould be prepared to finalize the caae at the 

coacluaion of the conference whic~ ••r include aakint payaent for 

the acreed penalty. Thia conference can be bald in peraon. by 

telerhone. Or by aubaittinc any written aaterial receiwed by the 

scheduled conference date. Any peraon baa a richt to attend and 

participate in the conference. 

Jf it Ia aeceaaary to reschedule the coaferaace due to 

circuaataacea beyond your control. please eoatact •• at (615) 

673-5126. Only o•• react&edulinc .,ill be coaaidere.d. 

SiacerelJ. 

t;A. /..,e( -v; li~t'a. lnei•l•y 

•••eaa•ent Conference OffJcer 

(E-20) 

contact ~he Operator the appoint 

ment should be sent certified 

to assure receipt. Additional 

time should be allowed before 

the scheduled conference to 

assure receipt of mail. 
EXRillrr 4 co Table E (ConUnued) Page 3 of 15 

Aa it 1& .. aent1al to document the peraon. attending l:he coaference a a1gn-in aheet 

ahould he uaed. The conference reporc v1ll reflect the -• of pereo.,. attending 

and this information 1• aoaett.ea needed for ocher future raquireaenca. 

Coaf'ereace 8ate: ___ t[J!,~t:,!:,__!(_ /9.:...:1_7 __ _ 

•••• of Coapaar: ___ .f!!',/-~:-€--U!~L ~-L..!!-r:------

Citatioa •uaber(a) 

_L'f1.f_:._ ~~-~.£:_£~!.._0.L~ rs· "'oJ 

TBOSI Ia ATTIKDAKCI: 

'f.t. 

••••• 

t 1 e: ---~~-'!_ti.£_'5"_ 

_.t{!.c.;-../.; __ :2.<=~~d ___________________ __ _as.f? ~ _ 

Co•p••••--:!..f-{1-_£ __ c:e..-(_~-------·-----

A4dreaa: ___ ~!~-~~~---~~--~~=~~~-~~~?-f.l 

1'elcpboae ••=--£€!_€) ___ ~-~- ~ :._?_~ .::;, 5" -----------

····= 

Title: 

Coapaor! ___________ ·-------------------

Addr•••=------------·---

,. ........... :----------------------------

····= --------------------------·-- Title: 

Coapaar: ___________________ _ 

Addr•••=----------------- ·-------- 1'clcphoac ••: --------------------------------

(E-21) 

All persons attending the 

conference should sign-inc 

If more pages are needed 

they should be prepared and 

numbered accordingly 
EXHIBIT 4 To Table E (Continued) Page 4 of 15 

This 1a only one of ..uy coneluaioo of ccmference lettera. Tbe one appropriate to the aituatioo abould be uaed. 

United States Department of the tnterior 

omCE or SllliF ACE IIINING 

J.,ed&ma1ioe and Elld'arcmMt~t 

130 Cay SL, S.W .. Suita: 500 

Kncnill<, TN. S'I002 

liAR 11 1987 ~----------

CONCLUSION OF CONFIRF.NCt 

Mr. L!oyd S•ith, Maaacer 

Anyo)e Coal Co•Pany 

r.o. lo• ooo 

.Jell t.~o. Tenneaaee 37762ft·11 

Jl~: •••••••ent Conferen~e for: Anyole Coal Coapanr 

Violation Mo. 1 of l of ~R6-091-000-001(1) rerait: 88-A03 

Thia letter foraalty·concludes the conference reletial to the 

a~ovc violatiun. 

After reviewinllf ftll or· the: inforaatic;,n suprlied to •• at the 

coaCereaee and all other inforaation availa~le to ae concernin& 

the above violation, pursuant tu 30 CFR Part.723, I •• reviain( 

the •••••••ent for the above aenti.oned violatioD as abown on the 

attached Aaaeaaaent Conf~reuce Reror\. 

The •••••••en\ Conference Reports abow the dollar ••ount of the 

tivil penalty associated with each violation for which the 

cooference was held and reflects chances, if any. reaultinc fro• 

the conference. It aJsc.t showtt tlte point values wsai.t(nC"d for thtc" 

prorosed asaessaent and the roinl Yaluea asaicnea •• • result uf 

the conference. 

As you C'hase to rC'aolvC' tld.a aatter throuch a Consent Aaaeaaaent 

of Ci1110il Penalt,_· (Full ra:¥•entJ and r•yo•eot waa reeetved. this •;~Iter baa b,.en settled. lf you have.• any ._uestt..,.• vlllch are ftut 

answered by this letter. ,.-ou aa)' call •e at l61S1 673-51~6. 

Sino:-,.rr.t,-

ffiff .(;SO~.~ Aase•••~nt Confere•a:-C" O!!icet· 

Encloaut·e 

r.c: E. rr~~•an 

Conference P'rocra• Manac••r 

C. Carte:•· 

Mraurh of Aas~ssa~nts 

(E-22) 

The date will be inserted 

after the case is reviewed 

and approved by the Program 

Manager. 
EXRIBIT 4 to Table ! (Continued) Page S of 15 

Conference report t. prepared to reflect actions of tbe conference. The 

report vi.ll ahow peraona attending, and tbe reviaed or affir.ed aaaea.-nt 

after a conference t. beld. 

Pa(e J of 2 

Enoxvill~ Field Offic~ 

Co•pany tfa•e: Anyole Cv•l Co•J•an)' 

Per•i t No: Hti'·A03 

Citation No: W86-09J -000-001 c J) 

T,.pe of Conference: -~- in persttn 

Date"of Confer•nce: Marcl1 11, l9R7 

frr~~n! 1~ ~t!!n~!~S~ 

,1~%~-~!ilb---------·-----------

-----------------·--------------~-

Yi!!l!U!!'I ~2.:. 

-----l.!f.l ________________ _ 

----------------------------

telephone letter. 

Ii!lt 

~~~~·~!----------------

••ount of A••••••ent 

d! 8~!11!~ 

•.I.lQQ~QQ ____________ _ 

--------------~----------

•-J~Z!I!I.: 29---------···--

,._ ·•·. ). ' 

"AR l? ~The date ia not inserted until 

""'"'-~------_l~?I review and acceptance by the 

Program Manager 

(E-23) 
EX!!UIT 4 to Table E (CoDU..Uec!) l'qe 6 of ·15 

'lhitl paze reflecu the cauae of the eitati.oc, tbe 1Dit1.al propoaec! uaea._,t 

-c! the f!.Dal uau,._,t u e result of the e011fereace. In ac!c!1t101l it 

ahova the elates u nflactac! ill the anforu.eat pack.qe •. 

&ISISINEIT COIFI.JICI aJPOif 

(Coott•••d) 

1. Citotioa lo: •16-081-000-001(1) 

fiolotioa 1 of 1 

Pore 2 of 2 

(a) lotare of fiolatioa: Fallare to •••t offluaot lioitotlooa 

for water 41ocborl•· 

(b) Date For £botooeot: 12-22-86 Dote Served: 12-10-86 

24 Cooforeace 8oault 

(o) lietor.r/Pre•.· t'iolaU.oD 

(b) Seriouooeos 

(1) Probability of 

Occurroace 

(2) Obotractioa to 

laforcooeat 

(c) lecliraoce 

(cl) Good Faith 

roru roars 

rGTAL AIIOORT 

AUISSNEOT 

Dote of faroioation: 12-18-86 

Propoood 

41auuunl 

_u __ 

__ ,_ 

_u __ _ 

(E-24) 

Coafarooee 

411Uit1Ul 

-1~--

_, __ 

_u __ 

_:!_ __ 

_u_ 
IXRIBIT 4 co Table E (Concinued) 

The narrative page 1a not furniahed to che operator. mm~>erin& 1a ltllch u to not identify the a:iatance to 

ASSfSSMEWT co•rtRfNC[ I!PORT 

ICoatinwed) 

¥io!atioa I of 1 

rau lA or :! 

J'age 7 of 15 

Rote that the page 

the operatc.r. 

2. ••rrat J w1r: 

t~riet ~xrlanation of reasons r~r anv chanaea in •••i&naent at Full explanation or 

rniah and an)' addi t ioeal hfnraation that waa presented at .• /rationale should be made fo1 

Uae coohrvnc•. l / any changes or modification: 

f'our Ul p~inla 100d faith award•d tor ropid ai.Jateaent cnabined of assessment. In addition 

with •~traordinar~ aeaaur••· Citation wu ha11d aerved on 1:!-10- documents ahould be attache( 

8r. with ahat•••nt date of 12·22-,.G. after ~~di.ficaUon. T~.ia or identified that constitut 

allowed 12 dara tu reaolvC' tbe rl'oldea. CltatJ.on wa11 terauated ea J~·li•IG; within 1 cf•n or h Gs.s·n or the tl•f! alletwed for the basis for change. ~••olweaent. lna~e~tor'a atateoeat cooaented on •ood faith 

effnrla ond u ... o.,erator (uraiahed 1 eworn affidavit (af't.: 

at lacbed), 

(E-25) 

A brief statement of 

settlement or non-settlemen: 

ahould be made 
EXHIBIT 4 To Table E (CoDtiDued) Pase 8 of 15 

All 80<11Uut:I.OD8 or rrna:I.ODtl of aaa .. nenta aboulcl 1>e cloe.....,tacl ac1 

.. cle a part o£ the c:aaa f:l.la. Svom atat-Dta eaD 1>e obtaillacl or cop:l.ea 

of actual doe.....,ta. there Macla to be juat:l.f:l.cat:l.oll :1.11 a•ery :I.Dat&Dce 

that cauaecl a re•:l.e:I.OD, .raduct:I.OD or aff:tr-t:I.OD of aaaea....,t. Subllittecl 

doc...aDta 11eecl to be rev:l.evecl &lid naluatacl aa to whether tbe aaaea....,t 

aa propoaecl can b* .,cl:l.f:l.ecl. Suff:l.c:l.e~~t t~ .. y 1>e allovecl for tbe 

Operator to eupply cloc.-..tat:I.OD but fino deacll:I.Dea aboulcl 1>e eatabl:l.ebed. 

•••• 1 .r z 

STITIMIIT OF LLOTD IMIT• 

1, tloyd Saitb, Naaa1er of Aarola Coal Coapaar, aake tbe 

followioc otataoeBta to deoooatrato oxtroordloarr offorta 

tekoa br Aarole Coal Coopaar to ocbi••• rapid roaol•••••t of 

tbo •lolotioe cltod aoder •ot 16-011-000-001(1), Mora Tipple, 

located 1• Coapboll Couoty, ~·•••••••· 

(1) Tboro wore tbroo ••• pullo4 troa actt•• production 

atao •2, &aderaoa Couoty, To••••••• wktcb ta appro•taatolr lS •11•• ••• ,.. (2) I aaod two of tbe ••• to laaodlotolr atart troattoc 

tbo •••1• wttb acrtcultural ltaa. Tbe etbor aaa waa 

4iopatcbod to Latollatte approxiaat&17 I alloa ewa7 to aoc•r• add1tloaal cboalcala. for tb1a purpoao, I atili&od tbe track 

ao~allr uaad at tbc actl•• •1•• alto to traaaport tbo ••• ... to purcboao tbe cbaaicola. 

(2) £fter troattac aad aoattoria& tbo boola it ••• 4otora1ood tbat ooae iapro•oaaat bod ~••• accoaplio~od ~ut 

tbo ~aaia ••• ati11 aot witbia accoptablo 11aita. 

(4) &a oaclaoorlac fir• ••• cootacted aad • 

r.prooontott•o coao to tbo alta. It ••• raco .. aadcd • 

~iftoroat trcotaeat orataa ~. oaplorod aad tbe eaciaoer.drow 

• ap ploaa aad apcctticotloaa. Tbe apociftcattoaa wore 

4ol1•orod to a we1d1ac obop ta 3ackaboro oad tbo ••• 07otoa 

••• aooafoctured •. Wbea coapleted two ••• wore dlapatcbod to 

aoc•r• tbe aow arataa aad rotura it to tba tipple alta for 

ta•tallotloa. Tbe coat of tbe aactaoar. coaatraettoa of tbe 

aow oratoa. deli•or7 aad iaotollotioa ••• •3,121,71. Coot ol 

tbo cbeaicalo waa •• eddltioaol *223.14. 

(5) Wbea tbe aew aratfta ••• taatolled aad it ••• 4eteraiaed tbe booia waa ia coapltonco, a call •aa aade to 

tbe laapector. Tbe laapoctor caao to tbo alto, aa4e aa 

aaot,.t. or tbe diae~arfe ead 1••••• toralaatt•• .r t•• 

Yiolatioo oa lecaaber 18, 1186. 

(6) tbe roool••••et ol tbe •lolatloa tacerrad t•o ••• of 

tbr•• ••• for oicht (I) dar• aed t•• oaclMai•e ••• of the 

trMck for tb• ••tire period. Tbia alao ta•ol•od t•• balk of 

ar ttae to auper•1•• aad aoaitor tb• octt•ltiea to roaolwe 

t~e •iolat.ioa. 

(E-26) 
\ 

EXHIBIT 4 to Table E (Continued) Page 9 of 15 

Sutementa ahould be 8VDrn, nouri&ed and· furniahed prior to or at the 

acbeduled conference. If the atatement vaa uot prepa~ed in advance it .. y be rendered at a later date or taken during the conference proceas. 

Conference Officer• have been delegated the authority to administer oaths 

and the Operator ahould be aaked to confira that the atatementa rendered 

are true and accurate •. 

Pale 2 of 2 

~lord laitb, baiol dulr awora ••r• tbat tbe atataaeat aade to 

tbe ~oracotac ia true to tbe beat of •t• kaowlad&•· 

State of Taoaaaaee 

Couatr of Caapball 

~-~-------------------­ Lloyd Saitb, 

~ Maaacer 

·Swora to before •• aod aubacrtbed ia ay preaeace tbia tbe 

·lOth 4aJ" of March. 1987. 

(E-27) 
EXHIBIT 4 ~o Table E (Con~inued) Page 10 of 15 

Se~tlement abould be 8CMeved if at all po .. ible. A conaent agree2211t 1a 

aaed to affino aettl..emo.nt. The aettlement agreement abould be axecuted 

and aigned at the acheduled conference unl~a the representative can not 

sign and render ueceaury payment. The conaeut agreement can be prepared 

and furuiahed to the representative to be returned by a given date. 

United States Deparbnent of the Interior 

OmCE OF SUIIP'ACE lmiiNC 

&.c:J.ama1icla • w-.t uo Cay SL, s. w ..... loOO 

~. T>l. 11902 

~2~~[!r ~~~~~~~~~! 2r '1~1~ r(~~~!! Crull Pay•e11t l 

THIS ACREF.HENT ia aad~. and entered into thia lltb day of 

Mareh, 1987, by and between 6n!~!~ £~!! ~!Pe!~r c•the 

Operator•) aad tbe Office nf Surface Hinioc Recla•ation and 

£aforceaent, U.S. J•partaent of the Interior c•osH·). 

WNEHEAS, purauaat to ita authority under tbc Surface MiaiDI 

Control an~ leelaaAtion Act of 1977 c•tbe Act•) aad retulationa 

proaultated thereunder, OSH baa iaaued to tbe Operator Notice of 

Violation t•NoY•) No. 86-091-000-001(1), cbar(iDI the Operator 

with one or aore •iolatioaa of aaJd Act and reculatioaa at the 

Operalor•a aurface coal eiaina operalion ia Caapbell County, 

reone••~•. operated under Perait No. 88-A03; and 

WHEREAS OSH boa proroa~d • civil renalty •••••••ent ia the 

-uunt or SJ ,600.00 (or aaid violation: and. 

WHF.REAS the rartiea wiah to aettle all outataadin( iaaues 

eriainc out of the iaauance or aaid NOV aod propoaed asaeaaaeat~ 

•ow, ~REREFOA£. in conaideration of the a~ove preaiaea and 

the eonditiona aet forth ••rain, the parttea aaree aa followa: 

I. A ci•11 penalty in tb• aauunt or 11.~00.00 t• ~ereby 

••••••~·d far the violation cUed tn the above referenced JIO\'. 

Thja •••~•••ent ia ouw final, and any richla the Operator aay 

oth~rwta~ have bad lo coateat th~ rroroaed rAaalty •••••••ent are 

••rreaaly waived. 

(E-28) 
\ 

EXHIBIT 4 ~o Table E (Conciuued) Page 11 of lS 

TWo original consent agreements abould be prepared. ODce payment La rendered 

the payment is identified and one copy 1a given to ~be Operator or repreaenca~ive as a receipt. the Conference Officer vill never aign ~his 

fora uu~il paymen~ 1a rendered as tbia conati~u~e• receipt~ettleaent. 

l!t!l! ~!!l '!~Pt~r Oper•t.ar 

--~(2~--!'~:-:'.!!T..~--------- Na•e lprinl or trre\ 

/?.,_<'-~·( 

-rtti;----~-----------------

OFFICE OF SURFACE MINING 

"''-~~~~-:-~---- Sicneture 

lilly 1. Eneieley Aa•~•••enl Conf~rence Officer 

(E-29) 
EXI!Il!IT 4 to Table E (Cont:iDued) Page 12 of 15 

Payment:& are immediately tranamittad to the appropriate office. Payments are 

not to be retained overnight or delayed in transmission. If the office has a 

designated eolleetion offieer the payment: should be logged and tranamit:t:ed by 

this person. 

O.,arweot of t .. lotorlor 

Off let of S..rfau lltolot ~tract of a .. ttllftels 

1~ Trans•ctton 

lo. Nuftlb~r 

ltme or ... ttter 

I. Cht:ck MUCiber 

Anyole Coal Co. 

Oledt Ho. 300 

Dated 3/11/87 

..,...It Ticket lo.:. ____ _ 

Date of De~>oslt:. ______ _ 

De-scrtotton 

Civll IW\<.ia:s ._.., aqainst 

""><>le Coal Q>. 

101 IH1-Q00-1 

NL PA:M>fr 

Anyole Coal eo.pany 

(61~) ~~~-122~ 

r.o. lo• ooo ~ellico. Tn 37762 

Acct. 

W..-ber 

141099 

'-ount 

$1,200-

... lOO 

Jellico. Tenn••••• 37762 

'ra1 P-c-?..t:, (>...;1'_,.. ¢ R.P'-..f' ~ ~s $NOO~ 

Anyole Coal CO.,any 

L?,L .L....A( 

The abo•• listed nalthnce(s) recehed ''' it .. <-~. &";'fflf?ffi"&", Date :r-u-tz 4 tOI ectton Officer 1e d ftice) 

The •bowe listed reelttance(s) received ~d deposited by: .,.===,...,==,.,==.---- Dote, ___ _ tOIIect1on blltcer (Denwer) 

(E-30) 
\ 

EXHIBIT 4 to Table E (Continued} Page 13 of 15 

The audit report ia to be attached to each completed conference case. Items 

ahould be reviewed and each part examin.ed to assure that accuracy and 

completeness has been achieved. Only the appropriate pages of the audit report 

ahould be attaehed to the completed cases. The audit· report will be completed 

by the Rater and the Program Manager. 

/,:?- ,.,_,, 

Date of 

..Ill·#'/--· --r-) .3-//-17 

- clut.~.cn 1 Date of D:Jnf. 

/'-0.0 /~00 

-,.cwln.&tlon Date s, NPA ,, MV 1iled PeN.ity 

/..:Joo r-.-,s;~{i. i: CDlietted ,, Pa)"'IL!!\t Plan c:anterence Otleer 

I. Ar\SWt'r the following questims regarding your Conclusion of COnferenoe 

Aepo<t. 

1. 

2. 

3. 

•• 

s. 

6. 

7. 

e. 

Proper Cl::liZpMY n.1111e _, citation 

IU.IIber (s) a~a' on relevant sheets 

of ttw report 

~ type of letter (i.e.- full ~yment 

or no py.ent required) is 

appcopciate to t:M o::nclusion of 

CXJn terence. 

NCFA. ...::u\t is transferred .o::urat.ely 

to the CD'Iference cep:.rt. 

Additions to oc reductiau in the 

penalty are accurately ~ted. 

Narrative is clearly and accurately 

vrittc:n. 

Nlrrniw is free of spelling Md 

9r-.tial enors. 

A report Cor e.cn vioUtion CD'Iferenced 

is incll.ded in the report. 

A Cllp)' o( the v.-eation of the 

violation(s) is att.ched if it 

Ns bcrcn vac.tcd. 

Yes 

(E-31) 

Rater's 

Clncurt"""" 

(Initials) 
EXHIBIT 4 to Table E (Continued) 

This page of the audit report only needs to be submitted if there was a 

payment or pay agreement executed. 

AJ>~'TI• DM~"W(.) ::JO/,ft-f.~ 

~:.a~ t c:nte:.nc:w O:!i=e:' 

~c ~i.":; Ci'oo"tS~ a;:?J.y to t."'.oae c:n!uenc:as in whiC:::. ~e cpua=r 

paid t."'le revisE ;ren&ley in !:U.l or si~~ a pio:fl*'l~ a~eec::.. I! t:.se 

did no~ oc:-.:: rel&:.ive to t:'le c:="1le:~~n.C:e, do r.o: inc:!.uee Cia .nee~. 

f".ana;e: 's 

C:n==~ 

9. A ~ o~ t."'le OeCo; ar.C/or 

a:s-:: ae:. L"''d t.":e sic::1.ed 

C::Ue.":;t .usess:nc::: 0:! c:.vil Pt.~':}' Al;!~t {!\:..U Payml!-"1':) 

an i."\C.!.udeci in ~• n-::=r: vhe.."!. 

t..~e pen.a.lty bu bee.."'l p&id u tbe 

ruul: ·of the ccn!t:e.~. 

lO. A ~ o! t.~ pi.ym&!."'lt pl.L"'l 

&li!HI!Imt: and down peyme.."l't (if 

tec;uired.} ~ tt1e sic;ned 

~:~~"'ltCf~vU 

Pe.oa.ley (rayme...,:. Pl&n) are 

inc!.ude:! in ~· re;or: ..me !he 

Yes 

ope:&'tOt bu a;nC ;c Cis 1 

•;=.....,~ .J!i!i 

ll. ~name, dutic:n and ;a.."":it 

n1:::,:.e.n: &re c::nsistant b4:t:W'~Mn c."'le 

C::lne!usiO'I. of Conference :r-:or-:. U'.C tne C::\se:"it &SSUS:.."'l':. Ct 

Civil ?en.&.l-::y ~ne:aen:... ~ 

Nc Jta:e:'s 

c.::nc.:=:e."'lee 

{11'1. i :i.&l.s l 

.2L. 

12. _ . ~ ·-- Interest is detet:~ined by the U, s. ·••• lnte:u: rate en ,... .... ._._.,.e:r,.•/D of evil Ptnl.l:y .t.t;:eeMn't. is epartment of the Treasury; it has 

lis~ed •~7a AnC 1:he ~~ flucuated annually. Any rate changes. 

W!CI:1.t. ~ d~.:e ~u fo: pe~:o~-:s which are posted in the Congressional are c::::l&U~e.'1~ Vl ':!1 t."'W:ISe lJ\ t."lt -

pa~-:. ?!an c::-.ar-:. w t.""e Record~ must be re~lected in agreements. 

Civil ,_lty JIO:Oi:unce for.:... .tile __Q.. 

(E-32) 
\ 

EXHIBIT 4 eo Table E (Coneinued) Page 15 of 15 

This page of the audit repore ie only applicable vben there has been a 

revision of proposed uaeument. Aa noted there .,at be justification 

and documentation aufficient to allow the revision. · 

JI. If the peMltr ..as ce:iuoed • . ~r t:he follodng questions: 

1. Penalty rcdl.l:'ticns follow 9Uidelina ouUtn.:! in t.he ,.. •t 

~l! 

Hanac}er's 

Ooncunence 

lfater 's o:--tts: 

... lUter's 

Concurrence 

(lniti.ds) 

2. tloc\allene:.tion ia p-esented in the o:nclu:sion of O:nference 

JRport to justify pen&l.ty reduetions: 

Manager's 

O:n:urrenoe 

a.ter •s o-wents: 

Yes tt.ter's 

Concurr"""" 

(Initials! 

l. 'The Cbnference Officer's file CD'IUins sufficient infor.ation 

.-ItS ~ution to suppoct the iuatific::ation pc'esented in the 

O:n:lusion o! CDnference Mpxt. 

~r·s 

Q:lncur renee 

a.tet•s o:-.ents: 

(E-33) 

a.ter•s 

CD'Icurrenee 

(lniti&ls)