Section 4201 - Considerations to Assess Sanctions(a) All of the following shall be considered to determine whether to assess a sanction for a violation of the Act or this division, and if so, the appropriate sanction for the violation: (1) Type of violation and its gravity, such as risk of or actual injury, death, or environment or property damage.(2) Degree of culpability, which may be measured in part by whether there were intervening acts or omissions by other persons.(3) Respondent's history of violations.(4) Respondent's history of work conducted without violations.(5) Efforts taken by the respondent to prevent the violation and, once the violation occurred, the efforts taken to mitigate the safety consequences of the violation.(b) In determining whether to assess a sanction for a violation of the Act or this division, and if so, the appropriate sanction for the violation, the Board must consider evidence that is relevant to any of the following matters: (1) Respondent notified the appropriate regional notification center, the Board, or other state agency with jurisdiction over the respondent under Government Code section 4216.6, if possible, of the violation immediately after detecting it and before the respective state agency learned of it by other means. This consideration does not apply when the respondent is required to report violations related to damages that must be reported under section 4100, or violations under any other law to the appropriate regional notification center, the Board, or other state agency with jurisdiction over the respondent under Government Code section 4216.6.(2) Cooperation with state agencies during the investigation.(3) Appropriateness of the sanction to the size of the business of the respondent, including any effect on the respondent's ability to continue doing business.(4) Economic benefit gained from the violation without any reduction because of subsequent costs.(5) Respondent had received one or more information letters from a Board investigator.(6) Other factors in consideration of the facts, evidence, and violation.(c) In determining whether to issue an order for corrective action instead of monetary penalty, the Board must consider evidence that is relevant to any of the following matters: (1) Respondent is willing and able to comply with an order for corrective action.(2) Respondent notified the appropriate regional notification center, the Board, or other state agency with jurisdiction over the respondent under Government Code section 4216.6, if possible, of the violation immediately after detecting it and before the state agency or the Board learned of it by other means. This consideration does not apply when the respondent is required to report violations related to damages that must be reported under section 4100, or violations under any other law to the appropriate regional notification center, the Board, or other state agency with jurisdiction over the respondent under Government Code section 4216.6.(3) Cooperation with state agencies during the investigation.(4) Violation did not cause death or substantial injury, environment or property damage, or pose significant risk of death or substantial injury, or environment or property damage.(5) Respondent did not act willfully or knowingly, which includes recklessly.(6) Respondent does not have a history of the same or similar violations, and has not failed to comply with an order for corrective action.(7) If the respondent has a history of engaging in excavation or excavation related work, the respondent has a history of conducting this work without a history of the same or similar violations.(8) Respondent took immediate action upon discovery to mitigate the safety consequences of the violation.(9) Other factors in consideration of the facts, evidence, and violation.(d) When the Board issues an order for corrective action, Respondent must provide the Board with access to respondent's records, sites, and facilities to verify compliance with the order for corrective action. The Board has discretion to impose a monetary penalty upon a respondent that fails to timely comply with an order for corrective action if the Board determines that the failure to comply was willful.Cal. Code Regs. Tit. 19, § 4201
1. New section filed 8-27-2020; operative 10-1-2020 (Register 2020, No. 35). Note: Authority cited: Section 4216.22, Government Code. Reference: Sections 4216.6, 4216.12 and 4216.19, Government Code.
1. New section filed 8-27-2020; operative 10/1/2020 (Register 2020, No. 35).