GENERAL PROCEDURES

Effective Date: 1/15/2024 

1. Special Assessment Penalty Targets

Penalty points for a violation correspond to a dollar value. MSHA converts the 

total number of special assessment penalty points to a target penalty between 

$164 and $88,354. The table below summarizes the penalty point and dollar 

assessment ranges for non-flagrant special assessments.

Total Number of 

Special Assessment 

Penalty Points

Proposed Target Penalty

60 or fewer Points $164

61 - 139 Points

Penalty Conversion Table 

from Table 14, 30 CFR 

100.3(g)

140 or more Points $88,354

(Also see Table 14-Penalty Conversion Table, in 30 CFR 100.3(g) 

https://arlweb.msha.gov/regs/30cfr/)

For violations that are designated as flagrant, the target penalty increases by 

$1,745.23 per penalty point up to a maximum of $323,960 for 275 points. A 

flagrant violation is defined as a reckless or repeated failure to make reasonable 

efforts to eliminate a known violation of a mandatory health or safety standard 

that substantially or proximately causes, or reasonably could have been 

expected to cause, death or serious bodily injury. The following table shows the 

penalty conversion schedule for flagrant violations.

Special Assessment Penalty Conversion Table for Flagrant Violations 

Penalty 

Points

Dollar 

Amount

Penalty 

Points

Dollar 

Amount

Penalty 

Points

Dollar 

Amount

Penalty 

Points

Dollar 

Amount

141 $90,099 175 $149,437 209 $208,775 243 $268,113

142 $91,844 176 $151,182 210 $210,520 244 $269,858

143 $93,590 177 $152,927 211 $212,265 245 $271,603

144 $95,335 178 $154,673 212 $214,011 246 $273,348

145 $97,080 179 $156,418 213 $215,756 247 $275,094

146 $98,825 180 $158,163 214 $217,501 248 $276,839

147 $100,571 181 $159,908 215 $219,246 249 $278,584

148 $102,316 182 $161,654 216 $220,991 250 $280,329

149 $104,061 183 $163,399 217 $222,737 251 $282,074
150 $105,806 184 $165,144 218 $224,482 252 $283,820

151 $107,552 185 $166,889 219 $226,227 253 $285,565

152 $109,297 186 $168,635 220 $227,972 254 $287,310

153 $111,042 187 $170,380 221 $229,718 255 $289,055

154 $112,787 188 $172,125 222 $231,463 256 $290,801

155 $114,532 189 $173,870 223 $233,208 257 $292,546

156 $116,278 190 $175,615 224 $234,953 258 $294,291

157 $118,023 191 $177,361 225 $236,699 259 $296,036

158 $119,768 192 $179,106 226 $238,444 260 $297,782

159 $121,513 193 $180,851 227 $240,189 261 $299,527

160 $123,259 194 $182,596 228 $241,934 262 $301,272

161 $125,004 195 $184,342 229 $243,679 263 $303,017

162 $126,749 196 $186,087 230 $245,425 264 $304,762

163 $128,494 197 $187,832 231 $247,170 265 $306,508

164 $130,240 198 $189,577 232 $248,915 266 $308,253

165 $131,985 199 $191,323 233 $250,660 267 $309,998

166 $133,730 200 $193,068 234 $252,406 268 $311,743

167 $135,475 201 $194,813 235 $254,151 269 $313,489

168 $137,220 202 $196,558 236 $255,896 270 $315,234

169 $138,966 203 $198,303 237 $257,641 271 $316,979

170 $140,711 204 $200,049 238 $259,387 272 $318,724

171 $142,456 205 $201,794 239 $261,132 273 $320,470

172 $144,201 206 $203,539 240 $262,877 274 $322,215

173 $145,947 207 $205,284 241 $264,622 275 $323,960

174 $147,692 208 $207,030 242 $266,367

2. Special Assessment Penalty Adjustments

The Office of Assessments (OA) may adjust the computed target penalty amount 

by +/- 25% within the penalty range of $164 minimum and $88,354 maximum 

($323,960 maximum for flagrant violations). An adjustment of more than +/- 25% 

may occur at the discretion of OA based on the unique facts and circumstances 

surrounding a violation. 

ASSIGNMENT OF SPECIAL ASSESSMENT PENALTY POINTS

MSHA assigns special assessment penalty points to most violations for five of 

the six statutory criteria used in determination of regular assessment penalty 

points in 30 CFR 100.3(a), sections I-VI. Additional procedures are used for 

assigning special assessment penalty points for violations pertaining to training 

violations not contributing to an accident or injury, miner smoking violations, 
discrimination violations issued under section 105(c) of the Act, and agent 

violations issued under section 110(c) of the Act.

1. Size of Business

MSHA assigns assessment penalty points for the Size of Business based on 

mine size and controller size during the previous calendar year. A coal mine 

operator’s size is based on the tons produced at the mine and the tons produced 

at all mines under the controlling entity. A metal/nonmetal mine operator’s size is 

based on the number of hours worked at the mine and the hours worked at all 

mines under the controlling entity. An independent contractor’s size is based on 

annual hours worked at all mines. MSHA does not consider the controlling entity 

for independent contractors.

For most special assessments, MSHA assigns the regular assessment penalty 

points for size derived from Tables I – V, 30 CFR 100.3(b). 

2. Violation History

Mine operators are assigned penalty points from Tables VI and VIII, 30 CFR 

100.3(c), based on the number of violations per inspection day and on the 

number of repeat violations of the same standard per inspection day at the mine 

during the previous 15-month violation history period. 

Independent contractors are assigned penalty points from Tables VII and IX, 30 

CFR 100.3(c), based on the total number of violations and on the total number of 

repeat violations of the same standard at all mines. Assessed violations that 

became final orders of the Federal Mine Safety and Health Review Commission 

(FMSHRC) during the 15-month violation history period are used in determining 

violation history.

The violation histories for all mines and independent contractors are available on 

MSHA’s web site at https://arlweb.msha.gov/drs/drshome.htm. 

For special assessments, MSHA assigns the regular assessment penalty points

for Violation History from Tables VI and VII, 30 CFR 100.3(c). For Repeat 

Violation History, MSHA assigns the regular assessment penalty points from

Tables VIII and IX, 30 CFR 100.3(c), except for flagrant violations. 
For flagrant violations, MSHA assigns special assessment penalty points for 

Repeat Violation History as follows:

Number of 

Repeat 

Violations

Points

Number of 

Repeat 

Violations

Points

None 0 11 16

2 7 12 17

3 8 13 18

4 9 14 19

5 10 15 20

6 11 16 21

7 12 17 22

8 13 18 23

9 14 19 24

10 15 >=20 25

3. Negligence

For negligence, MSHA adds the following special assessment penalty points to 

the regular assessment points from Table X, 30 CFR 100.3(d):

- 5 points for a violation not contributing to an accident;

- 7 points for Low or Moderate negligence for a violation contributing to 

an accident;

- 8 points for High or Reckless Disregard negligence for a violation 

contributing to a non-injury accident; and

- 10 points for a violation contributing to a lost workdays, restricted duty, 

permanently disabling, or a fatal accident.

MSHA assigns a total of 50 negligence points for a flagrant violation with high 

negligence and a total of 60 negligence points for a flagrant violation with 

reckless disregard negligence.

4. Gravity

Gravity is evaluated through a combination of the likelihood of an occurrence of 

an event against which a standard is:

- Directed; 

- The severity of the illness or injury if the event occurred or was to 

occur; and

- The number of persons potentially affected by the event. 
MSHA assigns special assessment penalty points for Gravity as follows:

(a) Special Assessment Penalty Points for Likelihood of Occurrence of 

Event

MSHA assigns the following special assessment penalty points for a violation not 

contributing to an accident:

Gravity - Likelihood 

of Occurrence

Special Assessment 

Penalty Points

No Likelihood 0

Unlikely 15

Reasonably Likely 35

Highly Likely 45

Occurred 55

MSHA assigns the following special assessment penalty points for a violation 

contributing to a non-injury accident:

Gravity - Likelihood 

of Occurrence

Special Assessment 

Penalty Points

No Likelihood 0

Unlikely 15

Reasonably Likely 35

Highly Likely 45

Occurred 55

MSHA assigns the following special assessment penalty points for a violation 

contributing to an accident with injury or a flagrant violation:

Gravity - Likelihood 

of Occurrence

Special Assessment 

Penalty Points

No Likelihood 0

Unlikely 15

Reasonably Likely 35

Highly Likely 45

Occurred 55
(b) Special Assessment Penalty Points for Severity of EXPECTED Injury or 

Illness

MSHA assigns the following special assessment penalty points for severity of 

expected injury or illness for violations not contributing to an accident:

Gravity - Severity of 

Injury or Illness

Special Assessment 

Penalty Points

No Lost Workdays 0

Lost Workdays 10

Permanently Disabling 15

Fatal 25

MSHA assigns the following special assessment penalty points for severity of 

expected injury or illness for violations contributing to a non-injury accident:

Gravity – Severity 

of Injury or Illness

Special Assessment 

Penalty Points

No Lost Workdays 0

Lost Workdays 10

Permanently Disabling 15

Fatal 25

MSHA assigns the following special assessment penalty points for severity of 

expected injury or illness for violations contributing to an accident with injury: 

Gravity – Severity 

of Injury or Illness

Special Assessment 

Penalty Points

No Lost Workdays 0

Lost Workdays 10

Permanently Disabling 20

Fatal 30

MSHA assigns the following special assessment penalty points for all flagrant 

violations:

Gravity - Severity of 

Injury or Illness

Special Assessment 

Penalty Points

No Lost Workdays N/A

Lost Workdays N/A

Permanently Disabling 40

Fatal 50
When a serious injury accident has occurred, MSHA adds up to 12 special 

assessment penalty points to account for the severity of the actual injury. See 

table below for the number of special assessment points added for actual injuries 

or illnesses.

Severity of ACTUAL Injury or Illness 

(Permanently Disabling)

Special Assessment 

Penalty Points

Lost Workdays or Restricted Duty 2

Partial - to one limb or organ 5

Full - to one limb or organ 7

Full or Partial - to multiple limbs or organs, 

or to torso, neck, or head 10

Fatal 12

(c) Special Assessment Penalty Points for Number of Persons 

POTENTIALLY Affected

MSHA assigns the regular assessment penalty points in Table XIII, 30 CFR 

100.3(e), for special assessment violations contributing and not contributing to an 

accident. 

MSHA assigns the following special assessment penalty points for a flagrant 

violation:

Gravity - Persons 

Potentially Affected

Special Assessment 

Penalty Points

0 0

1 10

2 11

3 12

4 13

5 14

6 15

7 16

8 17

9 18

>=10 25
5. Unwarrantable Failure

Citations and orders issued under section 104(d) of the Mine Act are issued for 

violations caused by an “unwarrantable failure” to comply.

- MSHA adds 3 special assessment penalty points for a 104(d) violation 

not contributing to an accident

- MSHA adds 5 special assessment penalty points for a 104(d) violation 

contributing to an accident or designated as flagrant.

The minimum penalty for any citation or order issued under Section 104(d)(1) of 

the Mine Act is $2,945 and the minimum for any order issued under Section 

104(d)(2) of the Mine Act is $5,888. 

6. Abatement & Good Faith

In general, if an operator abates a citation within a reasonable period of time, as 

prescribed by the citation, the total number of special assessment penalty points 

is reduced by 2 points. There is no penalty point reduction for an order of 

withdrawal, citations issued in conjunction with orders, flagrant violations, and 

any citation contributing to an accident or any violation of the Mine Act.

When a citation is not abated within the time allotted, MSHA may assess a daily 

penalty of up to $9,571 for each day the citation remains unabated.

7. Imminent Danger

MSHA adds 2 special assessment penalty points for violations contributing to an 

imminent danger situation.

8. Citations for Working in Defiance of an Order

MSHA adds 3 penalty points for a citation issued for working in defiance of a 

withdrawal order. MSHA adds an additional 5 points (for a total of 8) if the 

violation contributed to an accident.

9. Citations for Immediate Notification Violations

The minimum penalty for any citation issued for failure to provide timely 

notification to the Secretary under section 103(j) of the Mine Act (30 CFR 50.10) 

is $7,364, the maximum is $88,354.