U· S· DEPARTMENT OF THE 1rn •R•nR SubjectNumber: 

OFFICE OF SURF ACE MINING INE - 4 - 1 • 

RECLAMATION AND ENFORCEMENT ; ... 764 Number. 

DIRECTIVES SYSTEM 'l"tt:i 5 1993 

••· Notice ofl'" H~l T.hhility for an Individual Civil,;. Pena~ll.;,;;...ty---------1 

Approval: ~c.J/ /7 rl"" J Title: Director"llll 

Directive TN~, dated March 1, 1990, contained Appendix 1, which 

is a form letter entitled Notice of Potential Liability for an 

Individual Civil Penalty Assessment. This Change Notice revises 

and supersedes Appendix 1, replacing it with Appendices 1A and 

1B, each respectively referencing failure to abate orders and 

imminent dangerfharm cessation orders. The substantive change· 

reflected in the new appendices consists of clarified language 

informing the corporate official to whom the notice is being sent 

that unless documentation is provided concerning his or her 

personal attempts to cause abatement of the condition, practice, 

or violation cited in the cessation order, "plain indifference" 

may be attributed to that person in considering whether an 

individual civil penalty should be assessed against her or him. 

Minor revisions in format have also been made for clarity. 

·---------------------------------------------------------, I CHANGE NOTICE I 

OSM/104 ... -----------~------------------------------------------· 7/22/8€ 

' 

Appendix 1A 

[For FTACOs] 

NOTICE OF POTENTIAL LIABILITY FOR AN INDIVIDUAL CIVIL PENALTY ASSESSMENT 

UNDER SECTION 518(F) OF THE SURFACE MINING CONTROL AND RECLAMATION ACT 

OF 1977,30 U.S.C. 1268(f) 

Name of Corporate Official Title of Corporate Official 

Name of Corporate Permittee Citation Number 

Permit Number 

As [Corporate Title) of the above-referenced corporate permittee, you are hereby notified 

that the corporation has been issued Cessation Order (CO) No. , a copy of which is 

attached. The CO was issued for failure to abate violation(s) No. _of Notice of 

Violation No. issued on __ _ 

The Office of Surface Mining Reclamation and Enforcement (OSM). pursuant to Section 

518(f) of the Surface Mining Control and Reclamation Act of 1977 (SMCRA), 30 U.S.C. 

1268(f), may assess an Individual Civil Penalty (ICP) against a director, officer, or agent of 

a corporate permittee which has violated a condition of its permit or fails or refuses to 

comply with a cessation order. Section 518(f). in pertinent part, provides that: 

[A)ny director, officer, or agent of such corporation who 

willfully and knowingly authorized, ordered, or carried out such 

violation, failure, or refusal shall be subject to the same civil 

penalties that may be imposed upon a person under [Section 

518(a)] .... 

You will be subject to assessment of an Individual Civil Penalty if you willfully and 

knowingly fail or refuse to take all reasonable steps within your authority to bring about 

abatement of the violation(s) contained in the cessation order within 30 days after the 

issuance of the cessation order. 

This notice is being sent to you because, in your position as [Corporate Title) of the 

corporate permittee, OSM considers you to possess the legal authority to bring about 

abatement of the violation(s) described in this cessation order. For any violation cited in 

the cessation order that is not abated within the time prescribed above, you may submit, 

for OSM's consideration, written documentation that describes with specificity all 

reasonable steps you took in your corporate capacity to bring about abatement. Such 

documentation should be submitted to [enter assessment office and address). within 45 

days after the issuance of the cessation order. 

Unless OSM is made aware that you personally attempted to resolve the violation(s). it 

may conclude that you failed to act out of "plain indifference" to the legal requirements of 
the cessation order. OSM would then consider that factor in determining whether your 

failure or refusal to abate the violation(s) is willful and knowing, and hence subjects you to 

assessment of an Individual Civil Penalty. 

Assessment of an Individual Civil Penalty does not affect OSM's authority to assess civil 

penalties or take other enforcement actions against the corporate permittee or other 

directors, officers, or agents as well. 

This notice does not constitute an assessment, but rather advises you that you are 

potentially liable for an Individual Civil Penalty. Because a Notice of Potential Liability for 

an Individual Civil Penalty Assessment is neither a notice of violation nor a cessation order 

under section 521 of SMCRA, nor a modification, vacation, or termination of such notice 

or order, no administrative review by the Office of Hearings and Appeals is provided for 

under the provisions of 43 CFR 4.1160. However, in the event that a Notice of Proposed 

Assessment for an Individual Civil Penalty is issued, you may then appeal under the 

provisions of 30 CFR 846.17, 30 CFR 846.18, and 43 CFR 4.1200 et seq. 

If you have any questions concerning this matter, you may contact: 

OSM ID Number · Authorized Representative Telephone Number 
CERTIFICATION OF SERVICE OF ICP NOTIFICATION 

FOR CO#------

Signature of Individual Served Date Served 

I certify that a copy of ICP notice was served upon --------------

Print Name of Server Signature of Server 

If not personally served, enter certified mail receipt number: ______ _ 
---------------------------------------------------------------------------------------
Appendix 18 

(For 10/HCOsl 

NOTICE OF POTENTIAL LIABILITY FOR AN INDIVIDUAL CIVIL PENALTY ASSESSMENT 

UNDER SECTION 518(F) OF THE SURFACE MINING CONTROL AND RECLAMATION ACT 

OF 1977, 30 U.S.C. 1268(f) 

Name of Corporate Official Title of Corporate Official 

Name of Corporate Permittee Citation Number 

Permit Number 

As [Corporate Title] of the above-referenced corporate permittee, you are hereby notified 

that the corporation has been issued Cessation Order (CO) No. , a copy of which is 

attached. As indicated on the cessation order continuation page, the CO was issued 

because either a condition, practice, or violation is creating an imminent danger to the 

health and safety of the public or a condition, practice, or violation is causing or can 

reasonably be expected to cause significant, imminent environmental harm to land, air or 

water resources. 

The Office of Surface Mining Reclamation and Enforcement (OSM), pursuant to Section 

518(f) of the Surface Mining Control and Reclamation Act of 1977 (SMCRA), 30 U.S.C. 

1268(f). may assess an Individual Civil Penalty (ICP) against a director, officer, or agent of 

a corporate permittee which has violated a condition of its permit or fails or refuses to 

comply with a cessation order. Section 518(f). in pertinent part, provides that: 

[A]ny director, officer, or agent of such corporation who 

willfully and knowingly authorized, ordered, or carried out such 

violation, failure, or refusal shall be subject to the same civil 

penalties that may be imposed upon a person under [Section 

518(a)J .... 

You will be subject to assessment of an Individual Civil Penalty if you willfully and 

knowingly fail or refuse to take all reasonable steps within your authority to bring about 

abatement of the violation(s) contained in the cessation order within 30 days after the 

abatement date set forth in the cessation order. 

This notice is being sent to you because, in your position as [Corporate Title] of the 

corporate permittee, OSM considers you to possess the legal authority to bring about 

abatement of the violation(s) described in this cessation order. For any violation cited in 

the cessation order that is not abated within the time prescribed above, you may submit, 

for OSM's consideration, written documentation that describes with specificity all 

reasonable steps you took in your corporate capacity to bring about abatement. Such 

documentation should be submitted to !enter assessment office and address]. within 45 

days after the abatement date set forth in the cessation order. 
· .. 

Unless OSM is made aware that you personally attempted to resolve the violation(s), it 

may conclude that you failed to act out of "plain indifference" to the legal requirements of 

the cessation order. OSM would then consider that factor in determining whether your 

failure or refusal to abate the violation(s) is willful and knowing, and hence subjects you to 

assessment of an Individual Civil Penalty. 

Assessment of an Individual Civil Penalty does not affect OSM's authority to assess civil 

penalties or take other enforcement actions against the corporate permittee or other 

directors, officers, or agents as well. 

This notice does not constitute an assessment, but rather advises you that you are 

potentially liable for an Individual Civil Penalty. Because a Notice of Potential Liability for 

an Individual Civil Penalty Assessment is neither a notice of violation nor a cessation order 

under section 521 of SMCRA, nor a modification, vacation, or termination of such notice 

or order, no administrative review by the Office of Hearings and Appeals is provided for 

under the provisions of 43 CFR 4.1160. However, in the event that a Notice of Proposed 

Assessment for an Individual Civil Penalty is issued, you may then appeal under the 

provisions of 30 CFR 846.17, 30 CFR 846.18, and 43 CFR 4.1200 et seq. 

If you have any questions concerning this matter, you may contact: 

OSM ID Number Authorized Representative Telephone Number 
• 

CERTIFICATION OF SERVICE OF ICP NOTIFICATION 

FOR CO#------

Signature of Individual Served Date Served 

I certify that a copy of ICP notice was served upon --------------

Print Name of Server Signature of Server 

If not personally served, enter certified mail receipt number: ______ _