Contests of Proposed Penalties (Petitions for Assessment of Penalties)

A contest of a proposed penalty is an administrative proceeding before the Commission challenging a civil penalty that MSHA has proposed for the violation contained in a citation or order. When MSHA issues a "proposed penalty assessment," the operator has 30 days to file a challenge to that penalty. The operator files a challenge by following the instructions on the printed form on which MSHA lists the penalty. Generally, the operator should designate which penalty it wishes to challenge (the proposed penalty assessment may include more than one penalty if the operator has been issued multiple citations or orders) and mail the form to MSHA at the address provided.

Even though an operator has filed a contest of a citation or order in the manner described in the section entitled, “Contest of Citations and Orders,” it still must respond to any proposed penalty assessment for the violation in the citation or order. The operator must also respond to the proposed penalty assessment even if it is negotiating a settlement with MSHA.

The following chart summarizes the procedures for challenging a proposed penalty assessment. All references to Commission rules are to 29 C.F.R. Part 2700.

Contests of Proposed Penalties (Petitions for Assessment of Penalties)

1. The Secretary must notify the operator of the violation alleged, the proposed penalty assessment, and that the operator has 30 calendar days to contest the assessment
   
   
2. An operator has 30 calendar days from receipt of the proposed penalty assessment to file a notice of contest of the proposed penalty with the Secretary.
   
   
3. The Secretary must file with the Commission a petition for assessment of penalty within 45 calendar days of receipt of the notice of contest. The petition must list alleged violations and proposed penalties and state that the party against whom a penalty is filed has 30 calendar days to file an answer.
   
   
4. Within 30 calendar days of receipt of the petition for assessment of penalty, the operator must file an answer.
   
   
5. In order to settle a proposed penalty that has been contested, a party must file a settlement motion with the Commission. The operator must also respond to the proposed penalty assessment even if it is negotiating a settlement with MSHA.