and Performance Information

Fiscal Year 2021

BUDGET

JUSTIFICATIONS

The United States

Department of the Interior

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NOTICE: These budget

justifications are prepared

 for the Interior, Environment 

and Related Agencies 

Appropriations 

Subcommittees. Approval for 

release of the justifications 

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the public record of the 

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Department of the Interior.

OFFICE OF

SURFACE MINING

RECLAMATION AND

ENFORCEMENT
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Table of Contents

Office of Surface Mining Reclamation and Enforcement i

TABLE OF CONTENTS

EXECUTIVE SUMMARY..............................................................................................................1

Overview........................................................................................................................................1

Budget Highlights..........................................................................................................................6

Appropriations Language...............................................................................................................9

Summary of Requirements ..........................................................................................................14

Justification of Fixed Costs and Internal Realignments ..............................................................15

GOAL PERFORMANCE TABLES ............................................................................................17

BUDGET AT A GLANCE............................................................................................................23

ENVIRONMENTAL RESTORATION.......................................................................................29

1. State Program Evaluation.................................................................................................34

2. Federal Reclamation Program..........................................................................................35

a. Federal Reclamation Projects.......................................................................................................36

b. Program Staff (Operations)...........................................................................................................39

3. Program Development and Maintenance.........................................................................39

a. AML Inventory.............................................................................................................................40

b. Grants Management......................................................................................................................41

c. State Program Amendments.........................................................................................................41

2020 Planned Program Performance ...........................................................................................43

2019 Program Accomplishments.................................................................................................44

ENVIRONMENTAL PROTECTION .........................................................................................45

1. State and Tribal Funding..................................................................................................50

a. State Grants...................................................................................................................................50

b. Tribal Regulatory Development and Regulatory Program Grants ...............................................51

2. State Program Evaluation ................................................................................................51

a. Oversight Policy and Procedures..................................................................................................51

b. Oversight Inspections...................................................................................................................52

c. Identifying and Correcting Violations of SMCRA.......................................................................53

3. Federal and Indian Lands Program..................................................................................54

a. States.............................................................................................................................................54

b. Tribes............................................................................................................................................57

c. OSMRE Responsibility on Federal Lands....................................................................................59

4. Program Development and Maintenance.........................................................................60

a. Rulemaking...................................................................................................................................60

c. Grants Management......................................................................................................................61

d. Special Projects.............................................................................................................................62
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Office of Surface Mining Reclamation and Enforcement ii

2020 Planned Program Performance ...........................................................................................63

2019 Program Accomplishments.................................................................................................64

TECHNOLOGY DEVELOPMENT AND TRANSFER............................................................65

1. Technical Assistance........................................................................................................69

a. Technical Policy Assistance .........................................................................................................69

b. Site-Specific Technical Assistance...............................................................................................72

c. National Mine Map Repository ....................................................................................................76

d. Coal Information Management System (CIMS)...........................................................................77

e. Technical Innovation and Professional Services (TIPS) ..............................................................77

f. Applicant/Violator System (AVS)................................................................................................79

2. Technical Training ...........................................................................................................80

a. National Technical Training Program ..........................................................................................81

b. TIPS Software Application Training............................................................................................82

c. Regional/Site Specific Training....................................................................................................83

3. Technology Transfer........................................................................................................83

a. Technology Development.............................................................................................................84

b. Technology Transfer and Publications.........................................................................................84

c. Educational Outreach and Partnerships........................................................................................86

2020 Planned Program Performance ...........................................................................................88

2019 Program Accomplishments.................................................................................................90

FINANCIAL MANAGEMENT....................................................................................................93

1. Fee Compliance................................................................................................................97

a. AML Fee Collection.....................................................................................................................97

b. AML Fee Audit ............................................................................................................................98

2. Grant Financial Management.........................................................................................103

3. Revenue Management....................................................................................................105

4. United Mine Workers of America Health Benefit Plans (UMWAF) Transfers............105

2020 Planned Program Performance .........................................................................................108

2019 Program Accomplishments...............................................................................................108

EXECUTIVE DIRECTION AND ADMINISTRATION.........................................................109

1. Executive Direction........................................................................................................113

a. Office of the Director (DIR).......................................................................................................113

b. Office for Equal Opportunity (OEO)..........................................................................................113

c. Office of Communications (OC) ................................................................................................114

d. Office of Planning, Analysis and Budget (OPAB).....................................................................115

e. Information Resources Office (IRO) ..........................................................................................115

2. Administrative Support..................................................................................................116

a. Administration............................................................................................................................116

b. Human Resources (HR)..............................................................................................................117

c. Administrative Financial Management.......................................................................................118
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Office of Surface Mining Reclamation and Enforcement iii

d. Information Management and Technology (IMT)......................................................................118

3. General Services ............................................................................................................119

2020 Planned Program Performance .........................................................................................120

2019 Program Accomplishments...............................................................................................121

PERMANENT APPROPRIATIONS.........................................................................................123

BUDGET EXHIBITS ..................................................................................................................129

Exhibit A: Section 403 Compliance .........................................................................................129

Exhibit B: Employee Count by Grade (PER-4)........................................................................130

Appendixes....................................................................................................................................131

AML Reclamation Accomplishments........................................................................................131

By State and Tribe Funding Data...............................................................................................133

Organizational Chart..................................................................................................................134

Abandoned Mine Land Program States.....................................................................................135

Regulatory Programs and Office Locations...............................................................................136
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Office of Surface Mining Reclamation and Enforcement iv

TABLE INDEX

Table 1 – State, Tribal, and Federal Responsibility for the AML Program...............................................34

Table 2 – Inspections Conducted in Primacy States in FY 2019...............................................................53

Table 3 – Permit and Permit Revision Workload – OSMRE as Regulatory Authority .............................58

Table 4 – Inspections Conducted by OSMRE in the Federal and Indian Lands Program.........................59

Table 5 – Mining Plan Decision Document Workload on Leased Federal Coal, by Fiscal Year..............60

Table 6 – FY 2019 State Program Amendment Activity...........................................................................61

Table 7 – Deposits to the AML Fund and AML Production Fees...........................................................100

Table 8 – Summary Status of Abandoned Mine Reclamation Fund........................................................101

Table 9 – AML Unappropriated Balance.................................................................................................104

Table 10 – UMWA Transfer Requests.....................................................................................................107

Table 111 – Estimated General Services Costs........................................................................................119

Table 12 – Permanent Appropriation Estimates ......................................................................................124

Table 13 – Mandatory Funding for States and Tribes, FY 2019-2021 ....................................................128
TAB

Executive Summary
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Executive Summary

Office of Surface Mining Reclamation and Enforcement 1

EXECUTIVE SUMMARY

Overview

The mission of the Office of Surface Mining Reclamation and Enforcement (OSMRE) is to carry out the 

requirements of the Surface Mining Control and Reclamation Act (SMCRA or the Act) in cooperation with 

the States and Tribes.

OSMRE’s primary objectives are to:

(1) ensure that coal mine surface activities are operated in a manner that protects 

citizens and the environment during mining,

(2) ensure that the land is restored to beneficial use following mining, and

(3) mitigate the effects of past mining by aggressively pursuing reclamation of 

abandoned coal mines.

Each coal mine operation in the United States must be permitted and regulated under the provisions of 

SMCRA. At publication of this document, there were over 5,000 permits on active and inactive coal mining 

sites covering 2.5 million acres Nationwide. These sites all require regulatory activity for permit approvals, 

monitoring, inspection, enforcement, and bond release approval.

OSMRE has statutory responsibility for administering programs to control the environmental impacts of 

surface coal mining operations pursuant to Title V of the Act, as well as for administering the program for 

the restoration of abandoned and unreclaimed mined areas pursuant to Title IV of the Act. OSMRE 

authorizes States and Tribes, upon approval of their regulatory and reclamation programs, to perform these 

responsibilities subject to OSMRE oversight. With this authority, primacy States directly regulate about 

98 percent of the permitted sites in the Nation. OSMRE oversees the State and Tribal programs and provides 

training, technical assistance, support, and tools to help ensure effective, consistent, and high quality 

regulatory and reclamation programs across the Nation.

OSMRE’s FY 2021 budget supports the Presidential and Secretarial priority of supporting the 

environmentally responsible development of energy. It provides for the oversight of responsible coal

production through the protection, preservation, and restoration of mined lands and the restoration of mined 

lands left unreclaimed from past mining operations. The FY 2021 budget focuses funding on OSMRE’s 

core mission requirements, realigns available resources to support the highest priority efforts, and 

eliminates redundancies in funding for other programs and activities.
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Office of Surface Mining Reclamation and Enforcement 2

Environmental Restoration

Title IV (Abandoned Mine Land Reclamation)

OSMRE supports the Department of the Interior’s (DOI) goal of Providing Stewardship of Land, Surface 

Water, Stream, and Shorelines under the mission area of “Conserving Our Land and Water” in its Strategic 

Plan for Fiscal Years 2018-2022 through its Environmental Restoration activities. SMCRA requires that all 

operators of coal mining operations pay an Abandoned Mine Land (AML) Reclamation fee, based on tons 

of coal produced, into the Abandoned Mine Reclamation Fund in order to hold producers and users of coal 

responsible for reclaiming lands mined for coal and left abandoned prior to August 3, 1977. OSMRE 

collects the AML fee, and then annually distributes the fee receipts to States and Tribes for reclamation 

activities based on a statutorily prescribed formula.

The Tax Relief and Health Care Act of 2006 (Public Law 109-432), which included amendments to 

SMCRA (2006 Amendments), extended the fee authorization through September 30, 2021, made 

reclamation grants from the AML fund mandatory, and created new mandatory and unrestricted payments 

to States and Tribes that certified they had completed their coal reclamation work.

In 2012 and 2013, additional amendments to SMCRA limited the amount of funding available to the 

certified States and Tribes. The Fixing America’s Surface Transportation (FAST) Act (Public Law 114-

94), enacted in December 2015, however, lifted the limitations provided by the earlier amendments, and 

also provided for $241.9 million in payments to certain eligible certified States and Tribes. These funds 

were distributed in FY 2016.

As of September 2019, an estimated $9.7 billion of reported Priority 1, 2, and 3 unfunded coal abandoned 

mine land problems remain. OSMRE will concentrate its discretionary resources on State Program 

Evaluation and Federal Reclamation Program operations. These programs work directly on reclaiming 

abandoned mine lands and fulfill OSMRE’s Title IV obligations. The FY 2021 budget does not request 

funding for the discretionary AML Economic Development Pilot program, established in the Consolidated 

Appropriations Act, 2016 (Public Law 114-113) and continued in the Consolidated Appropriations Act, 

2017 (Public Law 115-31), the Consolidated Appropriations Act, 2018 (Public Law 115-141), the 

Consolidated Appropriations Act, 2019 (Public Law 116-6), and the Further Consolidated Appropriations 

Act, 2020 (Public Law 116-94). The budget does not request funding for this program because the program 

exceeds OSMRE’s mission and overlaps with existing mandatory AML grants.

With its mandatory appropriations authority, OSMRE will continue to collect reclamation fees from 

operators1

, allocate and distribute reclamation grant funds to States and Tribes, and make payments to the 

United Mine Workers of America (UMWA) health benefits plans and the 1974 UMWA Pension Plan, in 

accordance with the provisions of Title IV of SMCRA, as amended.

(See the Permanent Appropriations Section for more details)

 1 Section 1232 of SMCRA authorizes OSMRE to collect reclamation fees from operators of coal mining 

operations through September 30, 2021.
Executive Summary

Office of Surface Mining Reclamation and Enforcement 3

Environmental Protection

Title V of SMCRA (Active Mining)

OSMRE supports DOI Secretarial priorities to “sustainably develop our energy and natural resources” and 

to “strike a regulatory balance” through its Environmental Protection activities. OSMRE’s statutory role is 

to promote and assist its partner States and Tribes in establishing and maintaining a stable regulatory 

environment for coal mining that is consistent with SMCRA and administered through primacy State 

programs, or directly by OSMRE as the regulatory authority. That regulatory stability enables all parties, 

including operators, regulators and citizens, to have a common understanding of applicable requirements 

and rights so that each can make informed decisions affecting their economic and personal interests with a 

minimum level of controversy.

It is important for coal to be responsibly mined and to ensure that the land is reclaimed in accordance with 

land use plans established during the permitting process consistent with the law. Annual performance 

agreements developed for each State, with stakeholder input, outline the responsibilities and activities of 

both the State and OSMRE. Among other things, the agreements contain program evaluation goals and the 

technical or programmatic assistance that OSMRE may render to the States to address identified problems, 

for both new issues and those remaining from prior years. With greater technical skills, OSMRE anticipates 

improved performance regarding permit-related actions and resolution of issues.

To assist primacy States with their regulatory programs, OSMRE provides technical assistance and training, 

and funding in the form of regulatory grants. These grants provide up to 50 percent of a State’s operating 

costs for regulating private coal and up to 100 percent of a State’s operating costs for regulating mining on 

Federal lands within the State. OSMRE also provides grants to Tribes to assist them in developing 

regulations and programs for regulating surface coal mining and reclamation operations on Indian lands. 

The budget includes grants to States and Tribes consistent with their actual expenditures over the past few 

years.

Review of State permitting actions and inspections of mine sites are among the most effective ways to 

determine if a State’s mining law is being properly implemented. In FY 2019, States performed 23,530

complete and 38,242 partial mine inspections. OSMRE completed 562 partial and 404 complete inspections 

in its Federal and Indian Lands Programs. Nationwide, 89.2 percent of permitted sites inspected were free 

of off-site impacts. Off-site impacts are those that occur outside the permitted area and have the potential 

to harm the environment or the public as specified under the existing regulations. The off-site impacts 

associated with active sites are addressed through the inspection and enforcement processes. It is also 

important that the land is reclaimed properly and in a timely manner to return the land to its intended postmining land use.

Training and Technological Advances

OSMRE supports the coordination of science activities across bureaus which help achieve the DOI’s 

mission objectives, and has identified several key areas for investment where coordination with other 

Department bureaus will leverage results to more effectively achieve mission outcomes. The FY 2021 

budget facilitates this coordination by supporting integrated efforts to achieve management efficiencies.
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Office of Surface Mining Reclamation and Enforcement 4

OSMRE uses emerging technologies, tools and methodologies to elevate the understanding of resources 

related to coal mining on a landscape-level. OSMRE’s Technology Development and Transfer business 

line will focus on the training and technical innovation that directly supports OSMRE’s Environmental 

Protection mission of regulatory oversight and its Environmental Restoration mission of abandoned mine 

land reclamation.

The 2021 budget provides the resources required to meet the demand from States, Tribes, public interest 

groups, and internal customers for OSMRE to provide technical support on coal mining activities. Activities 

include development of policy/guidance documents for technical issues, such as blasting, as well as onsite 

review and guidance on the application of regulations to specific permits and mine sites.

Management and Efficiencies

OSMRE supports the DOI’s and the Administration’s initiative to improve programs through an evidencebased approach, while holding program managers accountable for improving performance. OSMRE’s

Performance Management Workgroup continues to monitor and comprehensively evaluate established 

performance measures. These efforts improve OSMRE’s efficiency by providing better quality information 

for managers to make informed decisions and provide a better understanding of performance data. OSMRE 

is also embracing the provisions of the Foundations for Evidence-Based Policymaking Act of 2018, 

engaging with multiple actors within the Department of the Interior and key external stakeholders to build 

on longstanding policies supporting information quality, access, protection, and evidence building and use.

The budget request supports the President’s Management Agenda Workforce Cross-Agency Priority Goal 

#3, Developing a Workforce for the 21st Century. The Department will support strategic recognition 

throughout the year, address workforce challenges, and recognize high performing employees with talent 

critical to mission achievement. The budget assumes agency pay for performance efforts increase one 

percentage point for non-Senior Executive Service (SES)/Senior Leader (SL)/Scientific or Professional 

(ST) salary spending. 

The 2021 budget supports needed reforms to strengthen the culture of ethics within Interior. Over the 

last two years, Interior has taken several steps to enhance the emphasis on ethics in the Department, 

including increasing the number of ethics officers and vigilance regarding the obligation of the 

Department’s leaders and employees to hold themselves and their colleagues accountable for ethical 

conduct. Ethics is a top priority in all decision making and operations.

This past summer, Secretary Bernhardt advanced his commitment to transform Interior’s ethics program 

by signing Secretarial Order 3375, which restructures the ethics program by unifying disparate bureau ethics 

programs into a centrally-managed office under the Solicitor. The Order streamlines the reporting structure 

for ethics personnel, establishes the Departmental Ethics Office, and clarifies roles and responsibilities for 

the Department’s employees. The FY 2021 budget implements this reorganization to restructure the ethics 

program by transferring bureau ethics funding and FTEs to the Departmental Ethics Office in the Office of 

the Solicitor budget.
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Office of Surface Mining Reclamation and Enforcement 5

The Good Accounting Obligation in Government Act (GAO-IG Act, P.L. 115-414) enacted January 3, 

2019, requires that Agencies report the status of each open audit recommendation issued more than one 

year prior to the submission of the Agency’s annual budget justification to Congress. The Act requires 

Agencies to include the current target completion date, implementation status, and any discrepancies on 

closure determinations. 

The Department of the Interior leadership takes audit follow-up very seriously and considers our external 

auditors, to include the Government Accountability Office (GAO) and Office of the Inspector General, 

valued partners in not only improving the Department’s management and compliance obligations but also 

enhancing its programmatic and administrative operations. As stewards of taxpayer resources, the 

Department applies cost-benefit analysis and enterprise risk management principles in recommendation 

implementation decisions. The Department’s GAO-IG Act Report is available at the following link: 

https://www.doi.gov/cj
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Office of Surface Mining Reclamation and Enforcement 6

Budget Highlights

The FY 2021 Budget Request for OSMRE is $116.17 million in current appropriations.

2

OSMRE will focus resources on its core mission functions essential to implementation of SMCRA, provide 

technical support and assistance to the States and Tribes for regulatory and reclamation programs, support 

the review and technology transfer of advanced technologies and reforestation of reclaimed mined lands, 

and evaluate the abandoned mine land program. Below is an outline of the requested changes.

In addition to discretionary appropriations, the budget includes $918.18 million in mandatory funding for 

reclamation grants to States and Tribes, and for United Mine Workers of America (UMWA) health benefit 

plans and the 1974 UMWA pension plan, under current law. Mandatory funding is further described under 

the Permanent Appropriations Section.

A summary table of the budget is shown below. Information at the account, activity, and sub-activity level 

is available in the table contained in the Budget-at-a-Glance Section.

Total FY 2020 Budget Request

(Dollars in Thousands)

Budget Authority

2019

Actual

2020

Enacted

2021

Request

Regulation and Technology 115,844 117,768 93,102

Civil Penalties (Indefinite Authority) Permit 

Fees (Offsetting Collections)

[20] [100]

[40]

[100]

[40]

Abandoned Mine Reclamation Fund 139,672 139,713 23,064

Total Discretionary 255,516 257,481 116,166

Total Discretionary (with Offsetting 

Collections) 255,536 257,621 116,306

Payments (or Grants) to States in Lieu of Coal 

Fee Receipts (Treasury Funds) 102,994 42,260 45,200

Mandatory Grants to Non-Certified States 

(AML Funds) 188,302 128,600 136,800

Funds Transferred to UMWA Health Benefit 

Plans and the 1974 UMWA Pension Plan

(Treasury and AML Funds)

279,397 1,962,625 736,178

Total Mandatory 570,693 2,133,485 918,178

Total Discretionary and Mandatory 826,209 2,390,966 1,034,344

Total Discretionary and Mandatory (with 

Offsetting Collections) 826,229 2,391,106 1,034,484

FTEs 376 398 398

2 This amount does not include $140,000 in civil penalty authority or offsetting collections.
Executive Summary

Office of Surface Mining Reclamation and Enforcement 7

The FY 2021 budget provides $43.1 million (37.1 percent) of OSMRE’s total discretionary funds in grants 

to the States and Tribes for regulatory programs. OSMRE will use the balance of the budget to perform its 

statutory oversight responsibilities, administer Federal regulatory and reclamation programs, provide 

technical assistance to the States and Tribes, and carry out its fiscal responsibilities for collecting revenues 

and awarding grants. 

OSMRE executes its mission through five Business Lines. OSMRE’s Business Lines are:

• Environmental Restoration,

• Environmental Protection,

• Technology Development and Transfer,

• Financial Management, and

• Executive Direction and Administration.

The budget aligns discretionary funding and FTE across business lines to optimize fulfilment of 

OSMRE’s statutory responsibilities and support administration priorities. 

Implementing SMCRA – Effective Partnerships

In implementing its mission responsibilities, OSMRE works closely with the States and Tribes in 

administering their regulatory and reclamation programs. OSMRE also recognizes the importance of 

working with industry, other stakeholders, and citizens in implementing SMCRA. The budget supports 

using effective partnerships by communicating, consulting, and cooperating with these constituent groups 

to achieve SMCRA’s objectives.

OSMRE continues to emphasize the importance of protecting the environment during and after coal mining 

operations. OSMRE oversees SMCRA’s implementation in 24 primacy States by, among other things, 

assisting the States in the administration, implementation and maintenance of their approved regulatory 

programs. This process is detailed further in the Environmental Protection section of this document.

OSMRE, in cooperation with the 25 States and three Tribes that have reclamation programs, will continue 

to clean up land and waters degraded by past mining practices. The funding provided will assist in the 

removal of existing health and safety hazards and restoration of areas to productive use. The cooperative 

process for restoring land and water affected by past mining is detailed further in the Environmental 

Restoration section of this document.

OSMRE will continue its efforts to establish partnerships to improve and increase outreach efforts that 

allow full participation from its stakeholders in addressing common problems. These initiatives will assist 

OSMRE in forging an enduring bond and partnership with its stakeholders.

To better serve its partners and the public, OSMRE continues to improve its abandoned mine land databases 

to include all eligible abandoned mine sites. In addition, OSMRE’s website contains comprehensive 

information on pertinent regulatory and reclamation matters.
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Office of Surface Mining Reclamation and Enforcement 8

As mining and engineering information technology continues to improve, OSMRE continues to provide to 

States and Tribes the most up-to-date information, technical training, technical assistance, and technology 

transfer. These programs greatly assist the States and Tribes in operating their SMCRA programs. This 

process is detailed further in the Technology Development and Transfer section of this document.
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Office of Surface Mining Reclamation and Enforcement 9

Appropriations Language

Regulation and Technology

For necessary expenses to carry out the provisions of the Surface Mining Control and Reclamation 

Act of 1977, Public Law 95-87, [$117,768,000] $93,102,000, to remain available until September 30, 

[2021] 2022: Provided, That appropriations for the Office of Surface Mining Reclamation and Enforcement 

may provide for the travel and per diem expenses of State and Tribal personnel attending Office of Surface 

Mining Reclamation and Enforcement sponsored training.

In addition, for costs to review, administer, and enforce permits issued by the Office pursuant to 

section 507 of Public Law 95-87 (30 U.S.C. 1257), $40,000, to remain available until expended: Provided, 

That fees assessed and collected by the Office pursuant to such section 507 shall be credited to this account 

as discretionary offsetting collections, to remain available until expended: Provided further, That the sum 

herein appropriated from the general fund shall be reduced as collections are received during the fiscal year, 

so as to result in a fiscal year [2020] 2021 appropriation estimated at not more than [$117,768,000]

$93,102,000. (Department of the Interior, Environment, and Related Agencies Appropriations Act, 2020.)

Abandoned Mine Reclamation Fund

For necessary expenses to carry out title IV of the Surface Mining Control and Reclamation Act of 

1977, Public Law 95-87, [$24,713,000] $23,064,000, to be derived from receipts of the Abandoned Mine 

Reclamation Fund and to remain available until expended: Provided, That pursuant to Public Law 97-365, 

the Department of the Interior is authorized to use up to 20 percent from the recovery of the delinquent debt 

owed to the United States Government to pay for contracts to collect these debts: Provided further, That 

funds made available under title IV of Public Law 95-87 may be used for any required non-Federal share 

of the cost of projects funded by the Federal Government for the purpose of environmental restoration 

related to treatment or abatement of acid mine drainage from abandoned mines: Provided further, That such 

projects must be consistent with the purposes and priorities of the Surface Mining Control and Reclamation 

Act: Provided further, That amounts provided under this heading may be used for the travel and per diem 

expenses of State and Tribal personnel attending Office of Surface Mining Reclamation and Enforcement 

sponsored training.

[In addition, $115,000,000, to remain available until expended, for grants to States and federally 

recognized Indian Tribes for reclamation of abandoned mine lands and other related activities in accordance 

with the terms and conditions described in the explanatory statement described in section 4 (in the matter 

preceding division A of this consolidated Act): Provided, That such additional amount shall be used for 

economic and community development in conjunction with the priorities in section 403(a) of the Surface 

Mining Control and Reclamation Act of 1977 (30 U.S.C. 1233(a)): Provided further, That of such additional 

amount, $75,000,000 shall be distributed in equal amounts to the 3 Appalachian States with the greatest 

amount of unfunded needs to meet the priorities described in paragraphs (1) and (2) of such section, 

$30,000,000 shall be distributed in equal amounts to the 3 Appalachian States with the subsequent greatest 

amount of unfunded needs to meet such priorities, and $10,000,000 shall be for grants to federally 

recognized Indian Tribes without regard to their status as certified or uncertified under the Surface Mining 

Control and Reclamation Act of 1977 (30 U.S.C. 1233(a)), for reclamation of abandoned mine lands and 
Executive Summary

Office of Surface Mining Reclamation and Enforcement 10

other related activities in accordance with the terms and conditions described in the explanatory statement 

described in section 4 (in the matter preceding division A of this consolidated Act) and shall be used for 

economic and community development in conjunction with the priorities in section 403(a) of the Surface 

Mining Control and Reclamation Act of 1977: Provided further, That such additional amount shall be 

allocated to States and Indian Tribes within 60 days after the date of enactment of this Act.] (Department 

of the Interior, Environment, and Related Agencies Appropriations Act, 2020.)

Justification for Proposed Language Changes

Appropriation: Abandoned Mine Reclamation Fund

Deletion of the following wording:

[In addition, $115,000,000, to remain available until expended, for grants to States and federally recognized 

Indian Tribes for reclamation of abandoned mine lands and other related activities in accordance with the 

terms and conditions described in the explanatory statement described in section 4 (in the matter preceding 

division A of this consolidated Act): Provided, That such additional amount shall be used for economic and 

community development in conjunction with the priorities in section 403(a) of the Surface Mining Control 

and Reclamation Act of 1977 (30 U.S.C. 1233(a)): Provided further, That of such additional amount, 

$75,000,000 shall be distributed in equal amounts to the 3 Appalachian States with the greatest amount of 

unfunded needs to meet the priorities described in paragraphs (1) and (2) of such section, $30,000,000 shall 

be distributed in equal amounts to the 3 Appalachian States with the subsequent greatest amount of 

unfunded needs to meet such priorities, and $10,000,000 shall be for grants to federally recognized Indian 

Tribes without regard to their status as certified or uncertified under the Surface Mining Control and 

Reclamation Act of 1977 (30 U.S.C. 1233(a)), for reclamation of abandoned mine lands and other related 

activities in accordance with the terms and conditions described in the explanatory statement described in 

section 4 (in the matter preceding division A of this consolidated Act) and shall be used for economic and 

community development in conjunction with the priorities in section 403(a) of the Surface Mining Control 

and Reclamation Act of 1977: Provided further, That such additional amount shall be allocated to States 

and Indian Tribes within 60 days after the date of enactment of this Act.]

The change removes language included in the 2020 appropriation that provides funds to select States and 

Indian Tribes in addition to their mandatory grants from the Abandoned Mine Reclamation Fund under 

Title IV of SMCRA. The additional funds were originally provided by Congress in the 2016 appropriation 

as a pilot program to better understand the programmatic impacts of proposing criteria changes to the 

underlying law (H. Rept. 114-170). OSMRE is proposing to discontinue this pilot program in 2021 because 

the program exceeds OSMRE’s mission and overlaps with existing mandatory AML grants.
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Office of Surface Mining Reclamation and Enforcement 11

Appropriations Language and Citations

Regulation and Technology

For necessary expenses to carry out the provisions of the Surface Mining Control and Reclamation 

Act of 1977, Public Law 95-87, [$117,768,000] $93,102,000, to remain available until September 30, 

[2021] 2022: Provided, That appropriations for the Office of Surface Mining Reclamation and Enforcement 

may provide for the travel and per diem expenses of State and Tribal personnel attending Office of Surface 

Mining Reclamation and Enforcement sponsored training.

In addition, for costs to review, administer, and enforce permits issued by the Office pursuant to 

section 507 of Public Law 95-87 (30 U.S.C. 1257), $40,000, to remain available until expended: Provided, 

That fees assessed and collected by the Office pursuant to such section 507 shall be credited to this account 

as discretionary offsetting collections, to remain available until expended: Provided further, That the sum 

herein appropriated from the general fund shall be reduced as collections are received during the fiscal year, 

so as to result in a fiscal year [2020] 2021 appropriation estimated at not more than [$117,768,000]

$93,102,000.

• 30 U.S.C. 1260, 1268 – These sections provide for the assessment and collection of penalties levied 

for violations of the Act, and for the denial of permits to those with unabated violations or unpaid

penalties.

• 30 U.S.C. 1252, 1253, 1254, 1271, 1272, 1273, 1295, 1300, 1302 – These sections provide for aid to 

all primacy States for maintaining approved regulatory programs and evaluation of the States’ 

performance in doing so; monitoring implementation of the grant programs; small operator assistance 

programs; and for regulatory programs in States without approved programs, on Federal lands and 

on Indian lands; processing of permit applications and mine plans for Federal lands operations; 

designating of lands unsuitable for surface mining through technical reviews; scientific/engineering 

support and technical training for States operating approved permanent programs and Federally 

administered programs; initiation of technical studies; issuance of technical publications; approval of 

experimental practices to meet the needs of approved State programs and Federally-administered 

programs; preparation of environmental assessments and environmental impact statements for 

permits and other actions; and training of OSMRE staff and State staff to enable these agencies to 

more effectively carry out the provisions of the Act.

• 30 U.S.C. 1257, as amended by Public Laws 101-508 and 102-486 - Provide for the regulatory 

authority to designate a qualified laboratory to obtain technical information and prepare technical 

findings required by the operator for the permit application, and for the regulatory authority to 

assume the cost for such services. Further, the Act provides for the Secretary to provide or assume 

the cost of training for regulatory program compliance and permit application preparation for 

eligible small operators.
Executive Summary

Office of Surface Mining Reclamation and Enforcement 12

Abandoned Mine Reclamation Fund

For necessary expenses to carry out title IV of the Surface Mining Control and Reclamation Act of 

1977, Public Law 95-87, [$24,713,000] $23,064,000, to be derived from receipts of the Abandoned Mine 

Reclamation Fund and to remain available until expended: Provided, That pursuant to Public Law 97-365, 

the Department of the Interior is authorized to use up to 20 percent from the recovery of the delinquent debt 

owed to the United States Government to pay for contracts to collect these debts: Provided further, That 

funds made available under title IV of Public Law 95-87 may be used for any required non-Federal share 

of the cost of projects funded by the Federal Government for the purpose of environmental restoration 

related to treatment or abatement of acid mine drainage from abandoned mines: Provided further, That such 

projects must be consistent with the purposes and priorities of the Surface Mining Control and Reclamation 

Act: Provided further, That amounts provided under this heading may be used for the travel and per diem 

expenses of State and Tribal personnel attending Office of Surface Mining Reclamation and Enforcement 

sponsored training.

[In addition, $115,000,000, to remain available until expended, for grants to States and federally 

recognized Indian Tribes for reclamation of abandoned mine lands and other related activities in accordance 

with the terms and conditions described in the explanatory statement described in section 4 (in the matter 

preceding division A of this consolidated Act): Provided, That such additional amount shall be used for 

economic and community development in conjunction with the priorities in section 403(a) of the Surface 

Mining Control and Reclamation Act of 1977 (30 U.S.C. 1233(a)): Provided further, That of such additional 

amount, $75,000,000 shall be distributed in equal amounts to the 3 Appalachian States with the greatest 

amount of unfunded needs to meet the priorities described in paragraphs (1) and (2) of such section, 

$30,000,000 shall be distributed in equal amounts to the 3 Appalachian States with the subsequent greatest 

amount of unfunded needs to meet such priorities, and $10,000,000 shall be for grants to federally 

recognized Indian Tribes without regard to their status as certified or uncertified under the Surface Mining 

Control and Reclamation Act of 1977 (30 U.S.C. 1233(a)), for reclamation of abandoned mine lands and 

other related activities in accordance with the terms and conditions described in the explanatory statement 

described in section 4 (in the matter preceding division A of this consolidated Act) and shall be used for 

economic and community development in conjunction with the priorities in section 403(a) of the Surface 

Mining Control and Reclamation Act of 1977: Provided further, That such additional amount shall be 

allocated to States and Indian Tribes within 60 days after the date of enactment of this Act.]

• 30 U.S.C. 1231, 1232, 1233 and 1240 – Provides for the payment of fees and other monies into the 

Abandoned Mine Reclamation Fund (Fund). The Fund consists of amounts deposited from time to 

time, derived from reclamation fees, donations, audit recoveries, interest charges, and administrative 

collection fees.

The funds collected are used for the reclamation and restoration of land and water resources adversely 

affected by past mining.

SMCRA provides for the use of the monies for the purpose of protecting public health, safety, and property 

from extreme danger of adverse effects of coal mining practices; restoration of land and water resources 

and the environment previously degraded by adverse effects of coal mining practices, and that are adjacent 

to a site that has been or will be remediated. It also provides that monies in the Abandoned Mine 
Executive Summary

Office of Surface Mining Reclamation and Enforcement 13

Reclamation Fund will be used to cover the administrative expenses of the Federal government, accomplish 

abandoned mine reclamation and develop guidelines on the distribution of monies in the Fund.
Executive Summary

Office of Surface Mining Reclamation and Enforcement 14

Summary of Requirements

Office of Surface Mining Reclamation and Enforcement

(Dollars in Thousands)

2019

Actual 2020 Enacted Fixed Costs 

(+/-)

Internal 

Transfers 

(+/-)

Program Changes 

(+/-) 2021 Request

Change from 2020

(+/-)

Amount FTE Amount FTE Amount FTE Amount FTE Amount

REGULATION AND TECHNOLOGY

Environmental Protection 88,602 172 88,562 +505 - -22,748 172 66,319 - -22,243

Technology Development and Transfer 12,801 78 14,765 +229 - -1,706 78 13,288 - -1,477

Financial Management 505 3 505 +9 - -12 3 502 - -3

Executive Direction and Administration 13,936 45 13,936 -34 - -909 45 12,993 - -943

TOTAL, REGULATION AND TECHNOLOGY 115,844 298 117,768 +709 0 - -25,375 298 93,102 - -24,666

Civil Penalties (Budget Authority) 20 - 100 - - - - 100 - -

Permit Fees (Offsetting Collections) - - 40 - - - - 40 - -

TOTAL, REGULATION AND TECHNOLOGY,

with Civil Penalties and Offsetting Collections 115,864 298 117,908 +709 0 - -25,375 298 93,242 - -24,666

ABANDONED MINE RECLAMATION FUND

Environmental Restoration 9,480 35 9,480 +105 - -1,404 35 8,181 - -1,299

Technology Development and Transfer 3,544 15 3,576 +43 - -11 15 3,608 - +32

Financial Management 5,182 29 5,191 +86 - - 29 5,277 - +86

Executive Direction and Administration 6,466 21 6,466 -19 - -449 21 5,998 - -468

AML Economic Development Pilot Program 115,000 - 115,000 - - -115,000 - - - -115,000

TOTAL, ABANDONED MINE RECLAMATION 

FUND 139,672 100 139,713 +215 0 - -116,864 100 23,064 - -116,649

TOTAL, DISCRETIONARY (without Offsetting 

Collections) 255,516 398 257,481 +924 0 - -142,239 398 116,166 - -141,315

TOTAL, DISCRETIONARY (with Civil Penalties 

and Offsetting Collections) 255,536 398 257,621 +924 0 - -142,239 398 116,306 - -141,315
Executive Summary

Office of Surface Mining Reclamation and Enforcement 15

Justification of Fixed Costs and Internal Realignments

(Dollars in Thousands)

Regulation and Technology Account (Net +709)

Fixed Cost Changes and Projections 2020

Total or Change

2020 to 2021

Change

Change in Number of Paid Days +134 -161

This column reflects changes in pay associated with the change in the number of paid days (-1 day) between FY 2020 and FY 2021, 

from 2,096 hours in the FY 2020 to 2,088 hours in the FY 2021.

Pay Raise +0 +648

The President's Budget for FY 2021 includes one quarter of a planned 3.1% pay raise and three quarters of a planned 1% pay raise for 

2021.

Employer Share of Federal Employee Retirement System +70 +388

The change reflects the directed 1.3% increase in the employer contribution to the Federal Employee Retirement System.

Departmental Working Capital Fund +1,462 -63

The change reflects the final FY 2021 Central Bill approved by the Working Capital Fund Consortium.

Worker's Compensation Payments +89 +3

The amounts reflects final chargeback costs of compensating injured employees and dependents of employees who suffer accidental 

deaths while on duty. Costs for the 2021 Request will reimburse the Department of Labor, Federal Employees Compensation Fund, 

pursuant to 5 U.S.C. 8147(b) as amended by Public Law 94-273.

Unemployment Compensation Payments +4 +0 

The amounts reflect projected changes in the costs of unemployment compensation claims to be paid to the Department of Labor,

Federal Employees Compensation Account, in the Unemployment Trust Fund, pursuant to Public Law 96-499.

Rental Payments +3,429 -106

The amounts reflect changes in the costs payable to General Services Administration (GSA) and others for office and non-office space 

as estimated by GSA, as well as the rental costs of other currently occupied space. These costs include building security; in the case of 

GSA space, these are paid to Department of Homeland Security (DHS). Costs of mandatory office relocations, i.e. relocations in cases 

where due to external events there is no alternative but to vacate the currently occupied space, are also included.

Baseline Adjustments for O&M Increases +27 +0 

In accordance with space maximization efforts across the Federal Government, this adjustment captures the associated increase to 

baseline operations and maintenance requirements resulting from movement out of GSA or direct-leased (commercial) space and into 

Bureau-owned space. While the GSA portion of fixed costs will go down as a result of these moves, Bureaus often encounter an 

increase to baseline O&M costs not otherwise captured in fixed costs. This category of funding properly adjusts the baseline fixed cost 

amount to maintain steady-state funding for these requirements.
Executive Summary

Office of Surface Mining Reclamation and Enforcement 16

Justification of Fixed Costs and Internal Realignments

(Dollars in Thousands)

Abandoned Mine Reclamation Fund (Net +215)

Fixed Cost Changes and Projections 2020

Total or Change

2020 to 2021

Change

Change in Number of Paid Days +48 -55

This column reflects changes in pay associated with the change in the number of paid days (-1 day) between FY 2020 and FY 2021, 

from 2,096 hours in the FY 2020 to 2,088 hours in the FY 2021.

Pay Raise +0 +220

The President's Budget for FY 2021 includes one quarter of a planned 3.1% pay raise and three quarters of a planned 1% pay raise for 

2021.

Employer Share of Federal Employee Retirement System +26 +132

The change reflects the directed 1.3% increase in the employer contribution to the Federal Employee Retirement System.

Departmental Working Capital Fund +720 -31

The change reflects the final FY 2021 Central Bill approved by the Working Capital Fund Consortium.

Worker's Compensation Payments +44 +2

The amounts reflects final chargeback costs of compensating injured employees and dependents of employees who suffer accidental 

deaths while on duty. Costs for the FY 2021 Request will reimburse the Department of Labor, Federal Employees Compensation 

Fund, pursuant to 5 U.S.C. 8147(b) as amended by Public Law 94-273.

Unemployment Compensation Payments +2 +0 

The amounts reflect projected changes in the costs of unemployment compensation claims to be paid to the Department of Labor,

Federal Employees Compensation Account, in the Unemployment Trust Fund, pursuant to Public Law 96-499.

Rental Payments +1,689 -53

The amounts reflect changes in the costs payable to General Services Administration (GSA) and others for office and non-office space 

as estimated by GSA, as well as the rental costs of other currently occupied space. These costs include building security; in the case of 

GSA space, these are paid to Department of Homeland Security (DHS). Costs of mandatory office relocations, i.e. relocations in cases 

where due to external events there is no alternative but to vacate the currently occupied space, are also included.

Baseline Adjustments for O&M Increases +13 +0 

In accordance with space maximization efforts across the Federal Government, this adjustment captures the associated increase to 

baseline operations and maintenance requirements resulting from movement out of GSA or direct-leased (commercial) space and into 

Bureau-owned space. While the GSA portion of fixed costs will go down as a result of these moves, Bureaus often encounter an 

increase to baseline O&M costs not otherwise captured in fixed costs. This category of funding properly adjusts the baseline fixed cost 

amount to maintain steady-state funding for these requirements.
TAB

Goal Performance Tables
Page Intentionally Left Blank
Goal Performance Tables

Office of Surface Mining Reclamation and Enforcement 17

GOAL PERFORMANCE TABLES

Performance Overview Table - Environmental Restoration

Mission Area 1: Conserving Our Land and Water 

Strategic Objective Metrics 2015 

Actual

2016 

Actual

2017 

Actual

2018 

Actual

2019 

Actual

2020

Enacted

2021

Request

Strategic Plan Measures

Percent completion of abandoned coal mine lands restored by 

eliminating health, safety, and environmental concerns. 49% 50% 51% 53% 54% 56% 57%

Cumulative Acres Restored 463,118 475,250 487,569 503,707 519,106 534,107 548,107

Total Acres 954,290 954,290 954,290 954,290 954,290 954,290 954,290

Comments: This measure provides a comprehensive status for measuring overall progress of the program and illustrates the efforts in remediation and 

elimination of the high-priority threats to public health and safety that abandoned mine lands pose.

Contributing Programs: Permanent Appropriations for Environmental Restoration

Efficiency or other Bureau-Specific Measures

Number of Federal, private and Tribal land and surface water 

acres reclaimed or mitigated annually from the effects of 

natural resource degradation from past mining.

12,339 12,132 12,321 16,138 15,400 15,000 14,000

Comments: Declining physical area (equivalent acres) is due in part to a greater share of funded projects with complex water-related problems, which tend to 

have higher costs per site but less acres to restore. 

Contributing Programs: Permanent Appropriations for Environmental Restoration

Number of people with reduced exposure potential to safety 

risks from abandoned mine lands annually. 432,304 440,707 566,033 714,574 622,069 330,000 330,000

Comments: This measure covers sites for States and Tribes with approved reclamation programs. The number of people directly affected is calculated using 

Census data of the area surrounding the project. The population in the vicinity of an abandoned mine site largely determines the number of people affected by 

the project. Other population data, such as number of visitors if the area is situated near a national park, community center, or major highway, is also factored 

into the States’ reports on the number of people affected. 

Contributing Programs: Permanent Appropriations for Environmental Restoration
Goal Performance Tables

Office of Surface Mining Reclamation and Enforcement 18

Performance Overview Table - Environmental Restoration (cont.) 

Mission Area 1: Conserving Our Land and Water 

Strategic Objective Metrics 2015 

Actual

2016 

Actual

2017 

Actual

2018 

Actual

2019 

Actual

2020

Enacted

2021

Request

Efficiency or other Bureau-Specific Measures

Number of new active partnering and leveraging agreements 

and amendments. 15 18 5 10 7 11 3

Comments: Watershed cooperative agreements are projects covering abandoned mine sites that would not otherwise be addressed, because they are not listed 

in the Abandoned Mine Land Inventory as priority 1 or 2 projects. In FY 2019 OSMRE experienced delays, such as publishing the Notice of Funding Opportunity, 

that led to fewer WCAPs awarded. Funding was appropriated for the program in FY 2020. OSMRE will continue to support the program in FY 2021 with funds 

carried over from previous years’ appropriations.

Contributing Programs: Watershed Cooperative Agreement Program

The amount of increased funds derived from new active 

partnering and leveraging agreements and amendments. 7,292,730 5,592,239 3,039,599 3,277,070 3,109,949 2,050,000 750,000

Comments: The amount of increased funds derived from active partnering and leveraging agreements indicates the watershed groups’ successes at pooling 

together resources. In FY 2019 the total leveraged dollars were lower due to fewer WCAPs awarded, however are expected to return to previous levels in FY 

2020. It is important to note that the leveraged dollars are significant to the success of the program because without the cooperation of various groups, the 

reclamation projects would not be undertaken.

Contributing Programs: Watershed Cooperative Agreement Program

Provide timely grant funding to States/Tribes upon receiving a 

complete grant application for abandoned mine lands grants. 100% 100% 96% 100% 100% 96% 96%

Comments: This measure includes all States and Tribes that applied for AML grants during the fiscal year. It demonstrates OSMRE’s ability to process all 

complete applications for AML grants within 60 calendar days of receipt. This measure was revised in FY 2019 to separate uncertified states (60 days) from 

certified States and Tribes (30 days).

Contributing Programs: Program Development and Maintenance - Grants Management

Number of people with reduced exposure potential to safety 

risks from abandoned mine lands. 131,905 191,729 223,177 291,687 403,329 100,000 100,000

Comments: This measure covers abandoned sites where OSMRE has responsibilities for AML emergencies for states and tribes without approved reclamation 

programs. 

Contributing Programs: Federal Reclamation Program Operations and Projects
Goal Performance Tables

Office of Surface Mining Reclamation and Enforcement 19

Performance Overview Table - Environmental Restoration (cont.) 

Mission Area 1: Conserving Our Land and Water 

Strategic Objective Metrics 2015 

Actual

2016 

Actual

2017 

Actual

2018 

Actual

2019 

Actual

2020

Enacted

2021

Request

Efficiency or other Bureau-Specific Measures

Percentage of declared emergencies abated within 6 months. 96% 95% 99% 97% 95% 95% 95%

Comments: This measure demonstrates how timely emergencies were abated during the fiscal year.

Contributing Programs: Federal Reclamation Program Operations and Projects

Performance Overview Table - Environmental Protection

Mission Area 1: Conserving Our Land and Water 

Strategic Objective Metrics 2015 

Actual

2016 

Actual

2017 

Actual

2018 

Actual

2019 

Actual

2020

Enacted

2021

Request

Strategic Plan Measures

Percent of active coal mining sites that are free of off-site 

impacts. 89% 91% 90% 90% 89% 90% 90%

Inspectable Units Free of Impacts 6,034 5,995 5,785 5,596 5,390 5,386 5,359

Total Inspectable Units 6,775 6,608 6,414 6,190 6,045 5,985 5,955

Comments: The measure is an indicator of successful mining by minimizing negative impacts to the surrounding area of the site. An off-site impact is reported 

from inspections conducted and recorded in reports indicating if people, land, water, or structures are impacted from mining activity, as well the severity of the 

off-site impact (minor, moderate, major).

Contributing Programs: State Grants, State Program Evaluation, and Federal and Indian Lands Program. 

Percent of coal mine acreage reclaimed to intended post-mining 

land use (acres). 38% 39% 40% 41% 42% 43% 44%

Acres Reclaimed 1,419,963 1,459,792 1,505,975 1,542,877 1,583,356 1,617,404 1,654,291

Total Acres 3,712,704 3,715,854 3,738,306 3,777,619 3,748,611 3,775,611 3,801,611

Comments: This measure represents success of contemporaneous reclamation of current coal mining operations.

Contributing Programs: State Grants, State Program Evaluation, and Federal and Indian Lands Program. 
Goal Performance Tables

Office of Surface Mining Reclamation and Enforcement 20

Performance Overview Table - Environmental Protection (cont.)

Mission Area 1: Conserving Our Land and Water 

Strategic Objective Metrics 2015 

Actual

2016 

Actual

2017 

Actual

2018 

Actual

2019 

Actual

2020

Enacted

2021

Request

Efficiency or other Bureau-Specific Measures

Number of acres released from Phase I and II performance 

bonds. 55,227 80,860 98,911 59,322 54,832 68,093 68,454

Comments: This performance measure is the intermediate acreage released from Phases I & II which is in the process of reclamation. 

Contributing Programs: State Grants, State Program Evaluation, and Federal and Indian Lands Program. 

Number of acres released from Phase III performance bonds. 42,394 39,829 46,183 36,902 40,479 34,048 36,887

Comments: This measure is acreage that is released from the final Phase III bond release where it has achieved its approved post-mining land uses.

Contributing Programs: State Grants, State Program Evaluation, and Federal and Indian Lands Program. 

Provide appropriate grant funding within 60 days of a complete 

grant application for regulatory grants. 93% 100% 96% 93% 100% 96% 96%

Comments: This measure includes all States and Tribes that applied for regulatory grants during the fiscal year. It captures the ability to process all complete 

applications for regulatory grant applications within 60 calendar days of receipt.

Contributing Programs: State Grants, State Program Evaluation, and Federal and Indian Lands Program. 

Completion of the technical review of Federal and Indian Land 

permit actions within 90 days. 88% 100% 100% NA NA -- --

Comments: The measure is an indication of the timeliness of the technical review process to review applications including determination if the application is 

administratively complete and complete the entire technical review within 90 days of submission by the operator. This measure was discontinued and replaced 

with the below revised measure in FY 2018. 

Contributing Programs: Federal and Indian Lands Program 

Identify initial application deficiencies associated with minor 

permit revisions, permit renewals and significant permit 

revisions, and new permits in 30-60-90 in-house days 

respectively.

-- -- -- 56% 62% 70% 70%

Comments: The measure is an indication of the timeliness of the technical review process to review applications including determination if the application is 

administratively complete and complete the entire technical review. This measure divides the applications into categories with three separate completion times: 

(1) minor permit revisions - 30 days, (2) permit renewals - 60 days, and (3) significant permit revisions and new permits - 90 days. 

Contributing Programs: Federal and Indian Lands Program 
Goal Performance Tables

Office of Surface Mining Reclamation and Enforcement 21

Performance Overview Table - Technology Development and Transfer 

Mission Area 1: Conserving Our Land and Water 

Strategic Objective Metrics 2015 

Actual

2016 

Actual

2017 

Actual

2018 

Actual

2019 

Actual

2020

Enacted

2021

Request

Efficiency or other Bureau-Specific Measures

Percent satisfaction with the scientific and technical products 

and assistance. 98% 98% 100% 100% 100% 97% 97%

Comments: This measure is a customer service standard for OSMRE’s efforts towards the Technology Transfer activity. 

Contributing Programs: Technology Transfer/Technology Development

Customer effectiveness rate in the quality of technical training –

National Technical Training Program (NTTP). 99% 95% 93% 90% 100% 93% 93%

Comments: This measure rates the level of satisfaction that customers have with OSMRE-provided technical training. 

Contributing Programs: Technical Training/National Technical Training Program 

Number of students trained - NTTP. 667 649 701 973 601 650 650

Comments: Most training course offering are listed at the beginning of each fiscal year. Trained students are the number who attended NTTP training courses 

during the fiscal year reporting period. 

Contributing Programs: Technical Training/National Technical Training Program

Customer satisfaction rate for Technical Innovation and 

Professional Services (TIPS) training. 100% 99% 99% 98% 98% 96% 96%

Comments: 

Contributing Programs: Technical Training/National Technical Training Program

Customer satisfaction in the quality and timeliness of Applicant 

Violator System (AVS) provided services. 98% 98% 98% 99% 96% 96% 96%

Comments: AVS is a National information database OSMRE maintains to support many types of research and program efforts primarily for supporting permit 

eligibility. 

Contributing Programs: Technical Assistance 

Percent of active Forestry Reclamation Approach (FRA)

compliant acreage planted. 49% 49% 49% 50% 50% 49% 49%

Comments: The measure is applied to active mining on reclamation sites in several Appalachian States for which data is collected.

Contributing Programs: Technology Transfer/Technology Development
Goal Performance Tables

Office of Surface Mining Reclamation and Enforcement 22

Performance Overview Table - Technology Development and Transfer (cont.)

Mission Area 1: Conserving Our Land and Water 

Strategic Objective Metrics 2015 

Actual

2016 

Actual

2017 

Actual

2018 

Actual

2019 

Actual

2020

Enacted

2021

Request

Efficiency or other Bureau-Specific Measures

Percent of target groups attending outreach training sponsored 

by the Appalachian Regional Reforestation Initiative (ARRI). 13% 14% 14% 15% 15% 14% 14%

Comments: Target groups are comprised of landowners, industry representatives, and environmental groups who are deemed key to the success of expanding 

the Forestry Reclamation Approach (FRA). 

Contributing Programs: Technology Transfer 

Customer service rate in the quality of technical assistance. 100% 100% 100% 100% 100% 97% 97%

Comments: Customers include state regulatory and reclamation staff and OSMRE staff that monitor State programs and develop rules or policy. 

Contributing Programs: Technical Assistance 

Performance Overview Table – Financial Management

Mission Area 1: Conserving Our Land and Water 

Strategic Objective Metrics 2015 

Actual

2016 

Actual

2017 

Actual

2018 

Actual

2019 

Actual

2020

Enacted

2021

Request

Strategic Plan Measures

AML fee collection rate. 99.94% 99.90% 99.80% 99.84% 97.84% 99% 99%

Comments: The AML Fee Collection Rate captures the amount of coal fees received versus the amount of coal fees owed, calculated based upon the tons of coal 

produced and sold. 

Contributing Programs: Fee Compliance

Percent of payments processed automatically. 78% 83% 86% 86.11% 83.75% 85% 85%

Comments: The measure, percentage of payments processed automatically, shows the percentage of operators who report coal tonnage in the form of an 

automatic payment from October 1 to September 30 of the fiscal year.

Contributing Programs: Fee Compliance
TAB

Budget at a Glance
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Budget At A Glance

Office of Surface Mining Reclamation and Enforcement 23

BUDGET AT A GLANCE

INTRODUCTION

The following tables provide a snapshot of the cost changes by appropriation, business line and activities 

within those business lines. Below is a summary description.

Regulation and Technology

This appropriation finances the regulatory functions of SMCRA as administered by the States and OSMRE. 

Federal activities related to the administration and monitoring of State regulatory programs and OSMRE’s 

technical training, assistance, and transfer activities related to environmental protection are also financed 

by this appropriation. The request is $93,102,000.

Abandoned Mine Reclamation Fund

This appropriation supports the discretionary reclamation program functions carried out by the States and 

OSMRE. The Fund is derived from a fee levied on coal production sales, use, and transfers. The Fund 

also supports Federal activities related to the administration and monitoring of State programs, as well as 

OSMRE’s technical training, assistance, and transfer activities related to environmental restoration. The 

request is $23,064,000.

Summary of 2020 Enacted and 2021 Request

By Appropriation and Business Line

(Dollars in Thousands)

Regulation and Technology

2020 

Enacted

2021

Request

Change from 

2020

Environmental Protection 88,562 66,319 -22,243

Technology Development and Transfer 14,765 13,288 -1,477

Financial Management 505 502 -3

Executive Direction and Administration 13,936 12,993 -943

Total, without Offsetting Collections 117,768 93,102 -24,666

Civil Penalties (Budget Authority) 100 100 -

Permit Fees (Offsetting Collections) 40 40 -

Total, Regulation and Technology with Civil 

Penalties and Offsetting Collections 117,908 93,242 -24,666

Abandoned Mine Reclamation Fund

2020

Enacted

2021

Request

Change from 

2020

Environmental Restoration 124,480 8,181 -116,299

Technology Development and Transfer 3,576 3,608 +32

Financial Management 5,191 5,277 +86

Executive Direction and Administration 6,466 5,998 -468

Total, Abandoned Mine Reclamation Fund 139,713 23,064 -116,649

Total Appropriation (without Civil Penalties 

and Offsetting Collections) 257,481 116,166 -141,315

Total Appropriation, with Civil Penalties 

and Offsetting Collections 257,621 116,306 -141,315
Budget At A Glance

Office of Surface Mining Reclamation and Enforcement 24

Summary of 2020 Enacted and 2021 Request 

By Full-time Equivalent (FTE)

Regulation and Technology

2020

Enacted

2021

Estimate

Change from 

2020

Environmental Protection 172 172 -

Technology Development and Transfer 78 78 -

Financial Management 3 3 -

Executive Direction and Administration 45 45 -

Total, Regulation and Technology FTE 298 298 -

Abandoned Mine Reclamation Fund

2020

Enacted

2021

Estimate

Change from 

2020

Environmental Restoration 35 35 -

Technology Development and Transfer 15 15 -

Financial Management 29 29 -

Executive Direction and Administration 21 21 -

Total, Abandoned Mine Reclamation Fund FTE 100 100 -

Total FTE 398 398 -
Budget At A Glance

Office of Surface Mining Reclamation and Enforcement 25

Budget at a Glance Table

(Dollars in Thousands)

2019

Actual

2020

Enacted

Fixed

Costs

(+/-)

Internal

Transfers

(+/-)

Program

Changes

(+/-)

2021

Request

Discretionary

Appropriation: Regulation and Technology

Environmental Protection 88,602 88,562 +505 - -22,748 66,319

State and Tribal Funding 68,590 68,590 -25,487 43,103

Regulatory Grant Funding [-25,487]

State Program Evaluation 8,140 8,080 +238 - 8,318

Federal and Indian Lands Program 6,054 6,052 +135 +1,822 8,009

Improve Mine Plan Review Processes [+1,822]

Funded by Offsetting Collections [-40] [-40]

Federal Lands 1,414 1,436 +29 - 1,465

Program Development and Maintenance 4,404 4,404 +103 +917 5,424

Improve Mine Plan Review Processes [+773]

GrantSolutions Enterprise System [+144]

Technology Development and Transfer (TDT) 12,801 14,765 +229 - -1,706 13,288

Technical Assistance 10,232 10,668 +141 -347 10,462

Coal Information Management System [-347]

Training 1,949 2,004 +56 - 2,060

Technology Transfer 620 2,093 +32 -1,359 766

GeoMine/AMDTreat [-889]

Applied Science Projects [-470]

Financial Management 505 505 +9 -12 502

Revenue Management 410 410 +6 -12 404

Grants Financial Management 95 95 +3 98

Executive Direction and Administration 13,936 13,936 -34 - -909 12,993

Executive Direction 2,054 2,054 +44 -128 1,970

Transfer Ethics Program to Solicitor [-128]

Administrative Support 3,575 3,575 +88 - 3,663

General Services 8,307 8,307 -166 -781 7,360

General Program Activities [-781]

TOTAL, Regulation and Technology 115,844 117,768 +709 - -25,375 93,102
Budget At A Glance

Office of Surface Mining Reclamation and Enforcement 26

Budget at a Glance Table

(Dollars in Thousands)

2019

Actual

2020

Enacted

Fixed

Costs

(+/-)

Internal

Transfers

(+/-)

Program

Changes

(+/-)

2021

Request

Appropriation: Abandoned Mine Reclamation Fund

Environmental Restoration 124,480 124,480 +105 - -116,404 8,181

State Program Evaluation 2,662 2,662 +45 - 2,707

Federal Reclamation Programs - Projects 1,548 1,548 -1,548 -

Watershed Cooperative Agreement Program [-1,548]

Federal Reclamation Program - Operations 2,066 2,066 +15 - 2,081

Program Development and Maintenance 3,204 3,204 +45 +144 3,393

GrantSolutions Enterprise System [+144]

AML Economic Development Grants 115,000 115,000 -115,000 -

Technology Development and Transfer (TDT) 3,544 3,576 +43 - -11 3,608

Technical Assistance 1,585 1,617 +20 -11 1,626

Coal Information Management System [-11]

Training 794 794 +20 - 814

Technology Transfer 1,165 1,165 +3 - 1,168

Financial Management 5,182 5,191 +86 - - 5,277

Fee Compliance 5,081 5,081 +83 - 5,164

Grants Financial Management 101 110 +3 - 113

Executive Direction and Administration 6,466 6,466 -19 - -449 5,998

Executive Direction 910 910 +21 -66 865

Transfer Ethics Program to Solicitor [-66]

Administrative Support 1,846 1,846 +42 - 1,888

General Services 3,710 3,710 -82 -383 3,245

General Program Activities [-383]

TOTAL, Abandoned Mine Reclamation Fund 139,672 139,713 +215 - -116,864 23,064

TOTAL, Discretionary Funding 255,516 257,481 +924 -142,239 116,166
Budget At A Glance

Office of Surface Mining Reclamation and Enforcement 27

Budget at a Glance Table

(Dollars in Thousands)

2019

Actual

2020

Enacted

Fixed

Costs

(+/-)

Internal

Transfers

(+/-)

Program

Changes

(+/-)

2021

Request

Total Regulation and Technology* 115,844 117,768 +709 - -25,375 93,102

Civil Penalties 20 100 100

Offsetting Collections - Permit Fees 0 40 40

Total Regulation and Technology (with Civil Penalties 

and Offsetting Collections) 115,864 117,908 +709 - -25,375 93,242

Total Abandoned Mine Reclamation Fund 139,672 139,713 +215 - -116,864 23,064

Total, Budget Resources with Offsetting Collections 255,536 257,621 +924 - -142,239 116,306

* FY 2019 Actual reflects actual Civil Penalties collections of $19,768, $0 actual Permit Fee collections, and $40,000 in appropriated funds for 

Permit Fee activities in Environmental Protection.
Budget At A Glance

Office of Surface Mining Reclamation and Enforcement 28

2019

Actual

2020

Enacted

Fixed

Costs

(+/-)

Internal

Transfers

(+/-)

Program

Changes

(+/-)

2021

Request

Mandatory

Payments to States and Tribes in Lieu of Coal Fee 

Receipts (Treasury Funds) 102,994 42,260 - - +2,940 45,200

In Lieu Payments to Certified States and Tribes 102,994 42,260 +2,940 45,200

Mandatory Grants to States (AML Funds) 188,302 128,600 - - +8,200 136,800

Grants to Noncertified States

State & Tribal Share 25,522 24,458 +1,242 25,700

Historic Coal Fund 145,521 82,291 +5,409 87,700

Minimum Program Make Up 17,259 21,851 +1,549 23,400

United Mine Workers of America Plans (UMWA) 279,397 1,962,625 - - -1,226,447 736,178

Payments to United Mine Workers of America (UMWA) 

Health Benefit Plans (AML Fund Interest) 54,321 37,132 -5,754 31,378

Payments to UMWA Health Benefit Plans and 1974 

UMWA Pension Plan (Treasury Funds) 225,076 1,925,493 -1,220,693 704,800

TOTAL, Mandatory Funding 570,693 2,133,485 - - -1,215,307 918,178

Mandatory Funding: FY 2019 and FY 2020 AML grants and UMWA payments reflect actual amounts paid. FY 2021 estimates are based on the Office of 

Management and Budget's economic assumptions as of November 5, 2019.
TAB

Environmental Restoration
Page Intentionally Left Blank
Environmental Restoration

Office of Surface Mining Reclamation and Enforcement 29

ENVIRONMENTAL RESTORATION

Environmental Restoration Budget Request

(Dollars in Thousands)

2019

Actual

2020

Enacted

2021

Fixed 

Costs 

(+/-)

Internal 

Transfers 

(+/-)

Program 

Changes 

(+/-)

2021

Request

Change 

From 

2020

(+/-)

Abandoned Mine 

Reclamation Fund 124,480 124,480 +105 - -116,404 8,181 -116,262

State Program Evaluation 2,662 2,662 +45 - 2,707 +45

FTE 27 15 - 15 -

Federal Programs - Projects 1,548 1,548 -1,548 - -1,548

Federal Programs -

Operations 2,066 2,066 +15 - 2,081 +15

FTE 6 5 - 5 -

Program Development 

and Maintenance 3,204 3,204 +45 +144 3,393 +189

FTE 8 15 - 15 -

AML Economic 

Development 115,000 115,000 -115,000 - -115,000

Total, Environmental 

Restoration 124,480 124,480 +105

-

-116,404 8,181 -116,299

Total FTE 41 35 - 35 -

Note: 2019 FTE figures reflect actual usage. Fixed Costs of $105,000 in pay related items.

In addition to the discretionary appropriations above, OSMRE will also distribute mandatory funding for 

AML reclamation as outlined in the Permanent Appropriations Section.
Environmental Restoration

Office of Surface Mining Reclamation and Enforcement 30

Summary of 2021 Program Changes for Environmental Restoration

Request Component ($000) FTE

AML Economic Development Pilot Program -115,000

Federal Watershed Cooperative Agreement -1,548

GrantSolutions Enterprise System +144

TOTAL Program Changes -116,404 -

The Environmental Restoration program evaluates State and Tribal AML programs, ensures abatement of 

mining related hazards, and fosters partnerships to address acid mine drainage. In FY 2021, the 

Environmental Restoration program plans to remediate 14,000 acres of abandoned coal mine lands by 

eliminating health, safety, and environmental concerns. These remediation efforts will result in providing 

several thousand people with reduced exposure to safety risks from abandoned mine lands.

Justification of 2021 Program Changes

AML Economic Development (-$115,000,000): No funds are requested for this program, which exceeds 

OSMRE’s mission and overlaps with existing mandatory AML grants.

Federal Watershed Cooperative Agreement Program (-$1,548,000): No funds are requested for this 

program. OSMRE will continue to support the program with funds carried over from previous years’ 

appropriations.

GrantSolutions Enterprise System (+$144,000): Funding supports the allocated share of operating costs 

for the GrantSolutions enterprise system to improve the processing and transparency of grants and 

cooperative agreements across Interior. Cost allocations are based on an algorithm of use factors. 

OSMRE’s share of the Department’s FY 2021 cost for this platform is $288,000, with half funded in the 

Environmental Restoration business line and half in the Environmental Protection business line.
Environmental Restoration

Office of Surface Mining Reclamation and Enforcement 31

OVERVIEW

As stewards of our Nation’s natural and cultural resources, the Department of the Interior is entrusted with 

safeguarding these treasures for future generations. Environmental issues associated with abandoned mine 

sites, such as water pollution, open portals and pits, land stripped of natural vegetation, and refuse piles, 

degrade our natural resources and create public health and safety risks. Through the elimination of these 

problems, our land and water resources are improved so that other partners can make further investments 

in productive uses, such as agriculture, wildlife habitat, or development. Mine site reclamation not only 

improves our environment, but also safeguards people and property, and revitalizes communities by 

creating jobs.

OSMRE’s Environmental Restoration business line funds operations and projects under the Abandoned 

Mine Land Program (AML). As part of its administration of the AML program, OSMRE evaluates State 

and Tribal AML programs, ensures abatement of high-priority coal mining-related hazards through the 

Federal Reclamation Program (where OSMRE has reclamation responsibility), and fosters partnerships 

aimed at addressing acid mine drainage and other water pollution problems.

Since 1977 under SMCRA’s AML program, more than 14,000 equivalent acres per year of abandoned mine 

land problems have been addressed. SMCRA established priorities for AML problems ranging from 

extreme dangers to public health and safety to those associated with environmental related coal problems. 

Details on the types of problems that have been addressed can be found in the AML Reclamation 

Accomplishments section. OSMRE has developed a National inventory that contains information for over 

21,000 problem areas associated with abandoned mine lands, mostly coal. A problem area is a uniquely 

defined geographical area that contains one or more abandoned mine land problems. AML problems are 

classified by priority:

• Priority 1 (protection of public health, safety, and property from extreme danger of adverse effects 

of coal mining practices);

• Priority 2 (protection of public health, safety, and property from adverse effects of coal mining 

practices); or

• Priority 3 (restoration of land and water resources and the environment previously degraded by 

adverse effects of coal mining practices).

The cost of addressing the remaining Priority 1 and 2 coal-related sites is estimated at $7 billion. In 

addition, there is an estimated $2.7 billion of Priority 3 unfunded problems, for a total of $9.7 billion of 

unfunded AML problems.

The authority to collect the mine reclamation fee and distribution of the fee was revised by the Tax Relief 

and Health Care Act of 2006, which included the Surface Mining Control and Reclamation Act 

Amendments of 2006 (Public Law 109-432). This 2006 Act extended the authority for fee collection 

through September 30, 2021, lowered the fee and the amount collected, and changed the way State and 

Tribal reclamation grants are funded, beginning in FY 2008. State and Tribal reclamation grants are 

permanent appropriations. The remaining activities funded under the discretionary appropriation for this 

business line include State Program Evaluation, Federal Reclamation Program Operations and Projects, 

and Program Development and Maintenance.
Environmental Restoration

Office of Surface Mining Reclamation and Enforcement 32

Operational Processes (Program 

Activities): The mission goal of the 

Environmental Restoration business line is 

to provide a cleaner and safer environment 

for the American people by reclaiming and

restoring land and water resources 

degraded by past coal mining. The 

program activities within this business line 

ensure the alleviation of adverse impacts to 

land and water resources caused by past 

mining operations.

Evaluation and oversight of the State and Tribal AML reclamation operations are coordinated by OSMRE 

through the State Program Evaluation program activity. Federal Reclamation Program Projects and 

Operations provide resources to address issues in States and Tribes without an approved AML program, as 

well as for the Watershed Cooperative Agreement Program, which supports cooperative conservation 

through local volunteer non-profit organizations. The Environmental Restoration business line also funds 

the Program Development and Maintenance Program activity, which provides policy direction, support, 

and services to States and Tribes, and ensures that State/Tribal programs are amended as needed.

The Environmental Restoration activities improve natural resources and reduce the risk to public health, 

safety, and general welfare by correcting problems caused by past mining. OSMRE has identified success 

indicators to show accomplishments leading to the overarching mission goal. These goals and measures 

are identified at the end of this business line section.

Actions Required to Achieve Annual Goals: In FY 2021 and beyond, OSMRE will continue to encourage 

partnership participation by working with States and Tribes through their reclamation agencies, and through 

private and grass roots associations. In addition, OSMRE will increase efforts to leverage funding from 

other government and non-government organizations to address abandoned mine sites. This emphasis on 

partnership and leveraging of resources supports cooperative conservation efforts.

Resources, Skills, and Technology Needed: OSMRE will continue to need a diverse and 

multidisciplinary cadre of individuals with scientific and engineering skills. These staff members establish 

reclamation project design and construction criteria, either directly or in conjunction with contractors for 

Federal programs. The staff also review and monitor watershed cooperative agreements, and civil penalty 

and bond forfeiture reclamation projects. Program analysts, grant specialists, and other support personnel 

are needed to implement the State/Tribal grants program and to conduct program evaluations. Information 

technology personnel and contractors are needed to maintain and improve the enhanced-Abandoned Mine 

Land Inventory System (e-AMLIS). OSMRE maintains the system and network by which the States and 

Tribes manage their data.

The following section details, by program activity, the funding and FTE resources required to meet the 

annual performance measures. It also includes examples of the types of efforts used to evaluate programs, 

address emergency and high-priority issues and manage those projects, and provide reclamation support 

services to communities affected by coal mining issues.

ENVIRONMENTAL RESTORATION 

ENCOMPASSES:

State Program Evaluation

Federal Reclamation Program – Projects

Federal Reclamation Program – Operations

Program Development and Maintenance 
Environmental Restoration

Office of Surface Mining Reclamation and Enforcement 33

2021 PROGRAM PERFORMANCE

Abandoned Mine Reclamation Fund

The Surface Mining Control and Reclamation Act (SMCRA) established the Abandoned Mine Reclamation 

Fund (AML Fund) to receive the AML fees and finance reclamation of coal AML sites. Before the 2006 

SMCRA amendments, the reclamation grants to States and Tribes were funded through discretionary 

appropriations. These grants are now funded from permanent (mandatory) appropriations. A discussion 

of AML grant funding in support of eliminating the Nation’s highest priority coal problems can be found 

under the Permanent Appropriations Section. The top of Table 1 identifies which States and Tribes have 

approved AML Programs and receive AML grants from permanent appropriations.

The FY 2021 AML Fund appropriation for Environmental Restoration will cover discretionary spending 

for State Program Evaluation, Federal Reclamation Program Operations, and AML Program Development 

and Maintenance.

Funding appropriated from the AML fund will also cover Federal expenses requested and outlined in 

subsequent business line chapters to cover Technology Development and Transfer, Financial Management, 

and Executive Direction and Administration. Watershed Cooperative Agreements and high-priority and 

emergency coal projects under the Federal Reclamation Program in States and Tribes without approved 

AML programs are proposed to be covered in FY 2021 by the remaining funds appropriated for these 

programs from prior years.

Addressing AML Emergencies

Emergencies are AML problems that occur suddenly and present a high probability of physical harm or 

threaten the health, safety, or general welfare of people. These problems must be addressed immediately. 

The process used for addressing emergencies that develop on AML sites, and allocating needed funds, is 

dependent on whether the State has an AML program. The 2006 Amendments created different sources of 

funding for addressing AML issues by allowing for the appropriation of both discretionary and mandatory 

grants. Prior to 2006, though a State would assume responsibility for addressing the AML issues within its 

borders, unless that State chose to address emergencies, OSMRE had been responsible for emergency 

projects. It was subsequently deemed more efficient and cost effective to combine responsibility for AML 

issues and AML emergencies issues under a single authority with a single source of funding. Thus, 

beginning in FY 2011, the responsibility for addressing emergencies utilizing the mandatory grant funds 

was transferred to States and Tribes with AML programs.

For reference, Table 1 identifies State, Tribal and Federal responsibilities for the AML Program and 

Emergency Issues.
Environmental Restoration

Office of Surface Mining Reclamation and Enforcement 34

Table 1 – State, Tribal, and Federal Responsibility for the AML Program

AML Program Emergency Issues

State and Tribal 

Responsibility

Alabama 

Alaska 

Arkansas 

Colorado 

Illinois 

Indiana 

Iowa 

Kansas 

Kentucky 

Louisiana 

Maryland 

Mississippi 

Missouri 

Montana

New Mexico

North Dakota 

Ohio 

Oklahoma 

Pennsylvania 

Tennessee 

Texas

Utah 

Virginia

West Virginia 

Wyoming 

Crow Tribe 

Hopi Tribe 

Navajo Nation

Alabama 

Alaska 

Arkansas 

Colorado 

Illinois 

Indiana 

Iowa 

Kansas 

Kentucky 

Louisiana 

Maryland 

Mississippi 

Missouri 

Montana

New Mexico

North Dakota 

Ohio 

Oklahoma 

Pennsylvania 

Tennessee 

Texas

Utah 

Virginia

West Virginia 

Wyoming 

Crow Tribe 

Hopi Tribe 

Navajo Nation

Federal 

Responsibility

California 

Georgia 

Idaho

Massachusetts 

Michigan 

North Carolina

Oregon 

Rhode Island 

South Dakota 

Washington

Tribes other than 

Crow, Hopi and 

Navajo*

California 

Georgia 

Idaho

Massachusetts 

Michigan 

North Carolina

Oregon 

Rhode Island 

South Dakota 

Washington

Tribes other than 

Crow, Hopi, and 

Navajo*

*OSMRE has conducted AML reclamation projects on Tribal lands across the Nation, most 

recently on Cherokee Tribal lands in Oklahoma and the Fort Peck Reservation in Montana.

1. State Program Evaluation

SMCRA requires OSMRE to monitor the progress and quality of each State and Tribal program to ensure 

their reclamation programs function effectively. This program area is an integral part of the State and Tribal 

funding. Evaluation of State and Tribal reclamation programs ensures efficient and effective use of program 

dollars for the intended purpose. The FY 2021 budget request includes $2,707,000 and 15 FTE for State 

Program Evaluation activities.

OSMRE analyzes documents submitted by States and Tribes (e.g. grant applications, amendments, reports), 

and conducts periodic drawdown reviews and on-site evaluations of selected reclamation projects. OSMRE 

also provides the States and Tribes with expert technical assistance on reclamation projects. OSMRE, 

States, and Tribes hold conferences and forums to discuss reclamation issues, technology, and solutions to 

reclamation problems.

OSMRE utilizes topic-specific oversight reviews to monitor State and Tribal AML program operations. 

The current evaluation system does not require that the entire program be reviewed each year. Instead, the 
Environmental Restoration

Office of Surface Mining Reclamation and Enforcement 35

system requires the appropriate field office, in consultation with each State or Tribe, to develop a 

performance agreement which addresses the areas to be reviewed, and establishes applicable performance 

measures. Since much of topic-specific oversight is trend analysis, and because the interaction between the 

programs and OSMRE is continual, the performance agreements can be for periods longer than one year. 

However, OSMRE reviews them each year to determine the progress being made.

These agreements first address the overriding goal of the AML program, which is successful reclamation. 

They recognize that if the State or Tribe is permanently reclaiming abandoned mine sites by abating 

hazards, reducing or mitigating adverse effects of past mining, and restoring adversely affected lands and 

water to beneficial use, then it is conducting an effective program.

OSMRE encourages States and Tribes to maintain ongoing programs for post-project monitoring to assure 

that completed reclamation projects receive adequate maintenance until reclaimed lands are stable, and to 

ensure the effectiveness of reclamation designs. OSMRE evaluations of post- construction monitoring 

ensure implementation of these types of State monitoring plans.

One example of how OSMRE and States’ collaboration on AML programs yields positive results is the 

restoration of a mine-impacted watershed in West Virginia. Polluted discharges from historic mining in 

the Muddy Creek watershed (a tributary of the Cheat River, located in Preston County WV) left the lower 

part of Muddy Creek stained orange from iron and devoid of life. Nearly 80 percent of the polluted mine 

drainage in the watershed is caused by pre-SMCRA coal mining and the remainder from post-SMCRA 

mining. Mining conducted under SMCRA requires bonding sufficient to reclaim land and water in the 

event of forfeiture. The West Virginia Department of Environmental Protection (WVDEP) Special 

Reclamation Program is the responsible agency to treat waters at bond forfeited sites and was treating at 

several forfeiture sites in the watershed (starting in 2004) with little improvement to overall stream quality. 

Through collaborative efforts of both State and Federal agencies including OSMRE and the Environmental 

Protection Agency (EPA), an innovative approach to treating acid mine drainage (AMD) was initiated while 

still meeting NPDES permitting requirements. The WVDEP worked closely with EPA to develop the first 

watershed-based NPDES permit allowing for one in-stream permit instead of requiring NPDES permits at 

multiple treatment sites throughout the watershed. This permitting structure allows the WVDEP to treat 

AMD in-stream, thereby addressing both pre and post-SMCRA AMD issues. Monies associated with 

operations of the numerous bond forfeiture AMD sites were reallocated toward in-stream treatment, in 

addition to other private partnership funds.

For decades, the lower section of Muddy Creek was acidic with typical pH readings of less than 4.5. Since 

initiation of this combined treatment approach, the WVDEP has been able to maintain a pH above 7, and 

Muddy Creek is now net alkaline. Most notably, the WVDEP and its partners have been successful in 

reestablishing biological connectivity throughout the entire 15.6 miles of Muddy Creek while saving 

significant funds.

2. Federal Reclamation Program

OSMRE addresses environmental hazards on a priority basis when an emergency occurs in States or on 

Tribal lands without AML programs. It also administers projects funded by Federal civil penalties collected 
Environmental Restoration

Office of Surface Mining Reclamation and Enforcement 36

from operators and projects funded from bonds forfeited by operators of Federally permitted sites; monitors 

watershed cooperative agreement projects; and provides technical assistance to States and Tribes specific 

to the above projects.

a. Federal Reclamation Projects

The request does not include any new funding for Federal reclamation projects. OSMRE will continue 

to administer Federal reclamation projects in FY 2021 utilizing civil penalty funding collected and 

available emergency, high priority project, and Watershed Cooperative Agreement Program (WCAP) funding 

provided in prior-year appropriations, as required.

(1) Watershed Cooperative Agreement Projects

The OSMRE designed the Watershed Cooperative Agreement Program (WCAP) to assist citizens 

affected by coalfields. This program, implemented in 1999, makes funds available directly to not-forprofit organizations, especially small local watershed organizations. These community-based 

organizations undertake local projects to clean streams affected by Acid Mine Drainage (AMD). The 

watershed organizations that apply for the funding, normally receive up to $100,000 for each 

reclamation project. WCAP funds are primarily used for project construction. Agencies are required 

to have other partners contribute either funding or in-kind services. OSMRE’s WCAP funding results 

in improvements of land and water resources and creates beneficial uses such as fish and wildlife habitat 

and recreational areas. Communities are strengthened and capacity increased due to the awareness, 

knowledge, and outreach that this program fosters.

A companion project, the Acid Drainage Technology Initiative (ADTI), is under the Technology 

Development and Transfer business line and contributes to the activities to abate AMD. See that 

business line section for further details on ADTI efforts.

The following are examples of projects that are funded under the WCAP:

Lamberts Run Phase 2: The Lamberts Run Phase 2 project, is located within the Lamberts Run 

basin, which is a tributary to Stonycreek River, in Somerset County, Pennsylvania. The project 

will ensure effective treatment of discharges and continuation of improvements in Lamberts Run. 

The Lamberts Run Phase 2 project will restore the last 1.3 miles of Lamberts Run before it 

converges with the Stonycreek River. The expected results will create the environment and water 

quality suitable for trout and other aquatic life in Lamberts Run and the receiving waters 

downstream. The Lamberts Run Phase 2 project has two deliverables to complete the project. 

Deliverable #1 is the construction of the new passive treatment system and includes all 

construction related activities including clearing grubbing, mobilization, and excavation of 

vertical flow ponds, sediment basins, and installation of limestone, pond liners, access road, 

project engineering design, permitting and any necessary recording of easements. Deliverable 2 

will encompass water monitoring of the system and track the progression of downstream waters 

and the functions and operations of the newly constructed system. The applicant requested 

$80,000 to be used with $581,864 in partner funding.
Environmental Restoration

Office of Surface Mining Reclamation and Enforcement 37

Hartman Run: The Decker’s Creek Watershed drains approximately 64 square miles within the 

Monongahela Watershed throughout Monongalia and Preston Counties in north-central West 

Virginia. Decker’s Creek and its tributary, Hartman Run, are both on the EPA’s 303(d) list of 

impaired waters. The project will target an unnamed tributary to Hartman Run, which leaks 

AMD into Decker’s Creek, further polluting the last few miles of the stream as it runs through 

downtown Morgantown. In order to treat the two AMD sources identified in the proposal, 

Friends of Decker’s Creek watershed association will utilize experienced engineers in AMD 

treatment to ensure the outcome will meet the goals of efficient remediation, operations, and 

maintenance (O&M). This proposal is based on the construction of a passive treatment system 

that will incorporate an auto-flushing limestone pond, two settling ponds, a vertical flow wetland, 

and limestone channels. The applicant requested $100,000 to be used with $208,000 in partner 

funding.

(2) Civil Penalty Reclamation Projects

SMCRA authorizes Federal civil penalties collected under Section 518 of the Act to be used for 

reclaiming lands mined and abandoned after passage of SMCRA on August 3, 1977. These funds are 

derived from monetary civil penalties assessed by OSMRE nationwide, on active coal mining 

operations. The funds are also available for reclamation of bond forfeiture sites. These funds are 

divided among projects proposed by both State and Federal regulatory authorities and used for project 

costs only.

For the Federal Program in Tennessee, funds derived from civil penalties are used by OSMRE to 

reclaim mine sites that have been disturbed after the enactment of SMCRA and have either been 

abandoned or forfeited with insufficient or nonexistent bond funds available to complete the 

reclamation activities on the forfeited site. OSMRE prioritizes these sites by selecting the sites that 

have the most potential to cause environmental harm, if left unreclaimed, and expends the available 

funds on these sites. During FY 2019, no civil penalty funds were made available to OSMRE for 

reclamation work in Tennessee. However, in FY 2017 civil penalty funds were made available to 

OSMRE for reclamation work in Tennessee and four permits were selected for reclamation work. The 

four permits were A & W Auger Corporation, Area 18; Hood Coal Corporation, Tar Gap Mine; Faith 

Coal Company, Mine #1; and Industrial Processing Company, Refuse 1. All reclamation projects were 

completed in FY 2018 and are being monitored for success with the expectation to be released from 

OSMRE jurisdiction in FY 2020.

(3) Federal Emergency Projects 

Federal Emergency Projects provides immediate relief from abandoned mine hazards in States and on 

Indian lands without an approved AML Program. Emergencies in States covered by the Federal 

Reclamation Program usually involve subsidence, vertical mine shaft collapse or sudden exposure of 

mine openings.

The most common emergencies in the States covered by Federal Reclamation Programs are subsidence 

events caused by the caving in of old underground mines. Subsidence events can impact man-made 
Environmental Restoration

Office of Surface Mining Reclamation and Enforcement 38

structures on the surface and may be life threatening when they occur in populated areas. The second 

most common type of emergency event in these States is vertical mine shaft collapse. This may result 

in vertical holes that are hundreds of feet deep and are usually the result of shafts being improperly 

filled or an inadequate cap that was placed over the shaft at the time of abandonment. Often at the time 

of closure the shafts were either filled with on-site material or wooden or concrete caps were placed 

over them to prevent entry. Over time the fill material settles or the cap deteriorates to a point where it 

can no longer sustain the weight of the material placed over it. Other AML problems, including mine 

entries, hazardous/explosive gases, mine and refuse fires, dangerous high walls, landslides and mine 

pool blowouts, may also present life-threatening conditions.

When notified of a possible emergency situation, OSMRE personnel will review available information 

and visit the site as necessary, usually within 48 hours or less, and perform a technical investigation. 

Should OSMRE determine an emergency exists, OSMRE conducts remedial action as quickly as 

possible to abate the emergency. This does not always fully reclaim the site, but does address the 

emergency situation. The remaining reclamation will be completed, as appropriate, after the emergency 

has been addressed.

During FY 2019, OSMRE expended $767,654 to address six AML emergencies in Washington State:

Project WA-18-002, a subsidence feature in a residential driveway located in Enumclaw, WA 

where OSMRE expended $55,485 for Architecture and Engineering and construction services to 

remediate the feature.

Project WA-18-003, a subsidence feature in a residential front yard located in Issaquah, WA where 

OSMRE expended $52,738 for Architecture and Engineering and construction services to 

remediate the feature.

Project WA-18-005, a subsidence feature in a major street located in Renton, WA where OSMRE 

expended $433,923 for Architecture and Engineering and construction services to remediate the 

feature.

Project WA-18-006, a subsidence feature in a residential driveway located in Carbonado, WA 

where OSMRE expended $61,389 for Architecture and Engineering and construction services to 

remediate the feature.

Project WA-18-012, a subsidence feature near an apartment complex located in Issaquah, WA 

where OSMRE expended $64,481 for Architecture and Engineering and construction services to 

remediate the feature.

Project WA-19-001, a subsidence feature located in Black Diamond, WA where OSMRE expended 

$99,633 for Architecture and Engineering and construction services to remediate the feature.

During FY 2020, OSMRE will complete one known emergency project in Issaquah, WA. Based on 

historic trends, OSMRE expects to develop at least three additional AML projects during FY 2020.
Environmental Restoration

Office of Surface Mining Reclamation and Enforcement 39

OSMRE plans to utilize available carryover funding from prior year appropriations for Federal 

reclamation emergencies in FY 2021.

b. Program Staff (Operations)

Federal Reclamation Program Operations funding enables OSMRE staff to administer watershed 

cooperative agreements and address Federal emergencies, high priority projects, and civil penalty 

projects. For emergency projects, OSMRE begins the initial investigation making threshold 

determinations relating to each incident, including, whether the incident is: (1) suddenly occurring, (2) 

life threatening, and, (3) related to a coal mine abandoned prior to August 3, 1977. With emergency 

projects, time is of the essence. In some instances, abatement activities begin within hours of OSMRE’s 

initial investigation. For Federal high priority projects, the process is similar, but begins with the 

determination of whether the condition is related to an abandoned coal mine, and if so, a determination 

of the priority for reclamation.

Once the determination is made that the site is eligible for funding as an emergency or high priority 

project, the Federal Reclamation Program staff obtains approval for project funding and develops the 

abatement plan. This includes:

• Compliance with the National Environmental Policy Act (NEPA), Endangered 

Species Act (ESA), and the National Historic Preservation Act (NHPA);

• Obtaining the right of entry for access;

• Developing engineering plans and specifications needed for abatement;

• Preparing and mailing bid packages to potential construction contractors;

• Conducting pre-bid and pre-construction conferences;

• Awarding contracts;

• Coordinating, managing and inspecting all aspects of the ongoing construction; and

• Reviewing, approving, and paying invoices.

OSMRE staff will address emergencies and high priority projects in non-program States and Tribes as 

described earlier, as well as provide technical assistance to States and Tribes with approved AML 

Programs. OSMRE will continue to provide specialized expertise on various AML problems, including 

subsidence, mine fires, mine gases, and landslides to States that request assistance. OSMRE staff will 

also administer projects funded by Federal civil penalties collected from operators and monitor watershed 

cooperative agreement projects under this activity. The request includes $2,081,000 and 5 FTE for 

Federal Reclamation Program operations.

3. Program Development and Maintenance 

The Program Development and Maintenance activity is an integral part of the State and Tribal funding 

program. The FY 2021 budget proposes $3,393,000 in funding, and provides for 15 FTE for reclamation 
Environmental Restoration

Office of Surface Mining Reclamation and Enforcement 40

program management and programmatic guidance to States and Tribes. OSMRE has an ongoing process of 

reviewing existing policies in the Environmental Restoration business line. Whenever necessary, policies 

are revised to meet the existing need of the programs and to keep abreast of changes to the law.

OSMRE assists States and Tribes to build on their reclamation successes by providing ongoing technical 

assistance on reclamation practices and by continually enhancing the primacy grants process.

An important part of OSMRE’s role in State and Tribal AML program operations is the review and approval 

of State/Tribal AML projects. All AML projects are considered “Major Federal Actions” under the 

National Environmental Policy Act (NEPA). Because of this, every project must be evaluated by OSMRE 

personnel under NEPA regulations prior to approval. While most States and Tribes conduct some or all of 

the consultations and document preparation prior to submission of projects for approval, OSMRE personnel 

must conduct required analyses of these documents, assure that requirements are met, and approve either a 

categorical exclusion determination, a finding of no significant impacts, or an environmental impact 

statement – record of decision, for each project. These reviews require consultations under various other 

Federal laws including the National Historic Preservation Act (NHPA), the Endangered Species Act (ESA) 

and the Clean Water Act.

OSMRE emphasizes State, Tribal, and Federal partnerships in the AML program. OSMRE works directly 

with the States and Tribes, through State and Tribal associations and with other Federal agencies, to 

coordinate and enhance reclamation. Such relationships foster coordination essential to land reclamation. 

New policy, and changes to existing policy, are circulated to the States and Tribes for input prior to being 

finalized, enabling OSMRE to make programmatic decisions in a collegial manner. Examples of activities 

include working with States and Tribes to develop improved strategic plan measurements for the AML 

program; holding meetings/workshops with the State/Tribal grantees to provide employee training and to 

keep them abreast of policies and procedures; and soliciting input from States/Tribes and interested parties 

on AML issues to make informed decisions.

a. AML Inventory

OSMRE manages a national enhanced Abandoned Mine Land Inventory System (e-AMLIS), which 

serves as a planning and evaluation tool for the States, Tribes, OSMRE, and the public. In accordance 

with the requirements of SMCRA, e-AMLIS contains data for known eligible Priority 1 and 2, preSMCRA coal reclamation problems. As required by SMCRA, OSMRE personnel review and approve or 

disapprove each new State/Tribe submitted coal-related problem area, or revision to an existing problem 

area, to maintain consistency and ensure compliance with Federal law and regulations. Each problem is 

classified as unfunded (i.e., remaining reclamation costs), funded (in progress) or completed (i.e., actual 

cost of reclaiming the AML feature after completion). The e-AMLIS also contains information regarding 

funded and completed Priority 3 coal and post-SMCRA coal problems, as well as information on 

completed non-coal problems. Coal projects selected for funding by States or Tribes are contained in eAMLIS prior to funding, except for those emergency sites that may be entered after completion due to 

the immediate need for reclamation.

The States and Tribes use the inventory to assist them in planning, to make funding decisions and to 
Environmental Restoration

Office of Surface Mining Reclamation and Enforcement 41

report program accomplishments. OSMRE uses e-AMLIS to record and report AML program 

accomplishments under the Government Performance and Results Act (GPRA). States, Tribes, and 

OSMRE have access to enter and modify information in e-AMLIS electronically.

e-AMLIS is web based, enabling the public to access this information readily via OSMRE’s website. eAMLIS users can search for information about individual Problem Areas or query the Inventory. The 

results of a query can be shown in preformatted reports, or on a map, and can be downloaded in various

formats.

The two main sources of information for the AML Reclamation Program are the Financial Business 

Management System (FBMS) and e-AMLIS. e-AMLIS contains different information from FBMS and 

serves a different purpose. e-AMLIS only provides information on the direct construction cost to 

reclaim AML features and does not include design, engineering, or administrative costs. This system 

was never designed to be a project management tool. The majority of the data in e-AMLIS represents 

coal AML priorities which include, for example, features such as gob piles, subsidence, and highwalls. 

b. Grants Management

OSMRE supports and participates in Grants.gov, the government-wide electronic grants announcement 

and application system, and in FY 2020 will transition to GrantSolutions with the rest of the Department. 

OSMRE uses the DOI Financial and Business Management System (FBMS) financial assistance module 

for internal processing of all grant and cooperative agreement obligation, deobligation and closeout 

transactions. FBMS is DOI/OSMRE’s system of record that contains comprehensive information on 

AML grant allocations and expenditures for the SMCRA Title IV AML Reclamation Program.

OSMRE has a decentralized grants management organization, with a small policy staff at headquarters. 

Regional and field offices perform day-to-day grants and program management. Accounting and 

reporting occurs under the Financial Management business line activity. OSMRE and the State/Tribal 

grantees cooperate to maximize the use of available funding and operate an effective program. Grantees 

provide input by participating on joint teams and by reviewing and commenting on changes in the 

program. In addition, OSMRE periodically holds meetings/workshops with the State/Tribal grantees to 

provide training for grantees and to keep them abreast of policies and procedures. This cooperative 

working relationship contributes to streamlined application and awards processes, faster obligation of 

Federal funds, program monitoring, and reporting and closeout of grants.

c. State Program Amendments 

OSMRE assists States and Tribes with development, administration, implementation, and maintenance 

of their approved AML programs. Changes to State programs must be reflected in program amendments 

for OSMRE approval. OSMRE evaluates State-initiated program changes (statutory, regulatory, or 

changes in the program’s provisions, scope, or objectives), as well as OSMRE-required modifications 

that are a result of legal interpretations or changes to SMCRA and Federal regulations. In its evaluation, 

OSMRE solicits public comments on State program amendments through proposed rules published in the 

Federal Register, holds public meetings, maintains the administrative record, approves or does not 
Environmental Restoration

Office of Surface Mining Reclamation and Enforcement 42

approve proposed State program amendments, and publishes the decisions as final rules in the Federal 

Register.
Environmental Restoration

Office of Surface Mining Reclamation and Enforcement 43

ENVIRONMENTAL RESTORATION

2020 Planned Program Performance

In FY 2020, the planned activities in the Environmental Restoration program activity include:

 Continue partnerships with not-for-profit watershed groups and related reclamation by awarding 

watershed cooperative agreements (WCAP) to interested groups, as funds are available. At the 

beginning of FY 2020, OSMRE had received several applications for WCAP assistance to abate 

the effects of AMD in local Appalachian watersheds.

 Respond to Federal AML emergencies in non-program States and Tribes within 48 hours of 

reported feature and issue findings within 10 business days.

 Remediate hazardous features within six months of emergency declaration and funding 

approval.

 Provide AML grants to States and Tribes.

 Monitor watershed cooperative agreement projects funded before or during FY 2019.

 Continue to use reclamation grants to eliminate hazards resulting from past mining activities.

 Achieve the goals for performance measures identified on the Performance Overview Table for 

this business line.

 Support the Underground Mine Map Initiative (UGMMI) to minimize future subsidence risk by 

making information available on the location of mined out areas using maps and surface 

overlays that can provide this critical information to local governments to account for risks. 

This initiative has historically been accomplished on a National level through competitive 

cooperative agreements awarded by OSMRE, leveraging matching State funds.

 Provide guidance and assistance in establishing benchmark standards in mine map preservation, 

including digital imaging and rectification, and creating and serving mine maps for safety, State 

and Tribal AML, local government, and public viewing and use.

 Continue monitoring the AML Economic Development Pilot Program projects funded in prioryear appropriations (FY 2016-2019) and complete an updated report on project implementation.

 Complete an AML P1 Project to reclaim a large subsidence feature related to historic coal 

mining at the Black Diamond Mines Regional Park in Antioch, CA. Project construction was 

rescheduled for June, 2020 due to dangerous conditions during the wildfire season in the Fall of 

2019.
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Office of Surface Mining Reclamation and Enforcement 44

 Continue work to implement Office of the Inspector General recommendations to improve the 

oversight and aspects of the AML Program.

2019 Program Accomplishments

In FY 2019, the major accomplishments in the Environmental Restoration program activity include:

 Managed the $291 million in mandatory AML grants provided to the 25 coal-producing States 

and 3 Tribes with an approved AML program.

 Provided $115 million in AML Economic Development Pilot Program sponsored grants to 6 

States and 3 Tribes.

 Improved land and water health by reclaiming, or mitigating, the equivalent of 15,400 acres of 

land from the effects of natural resource degradation from past mining.

 Improved underground discharges of mine water, eliminating uncontrolled discharges, by 

employing horizontal boring techniques.

 Leveraged $990,964 in partner funds for three new watershed cooperative agreements awards 

totaling $331,025 in two States (Pennsylvania and West Virginia).

 Used civil penalty reclamation funds to complete the reclamation on three sites in Tennessee 

that were abandoned and left in an environmentally-degraded state. Work continued on two 

projects in Pennsylvania and one in Maryland.

 Completed the reclamation of one mine site abandoned that was left unreclaimed by the 

permittee in Tennessee utilizing a combination of performance bonds and civil penalty monies.

 The Federal Reclamation Program expended $767,654.00 to address six AML emergencies in 

Washington State.
TAB

Environmental Protection
Page Intentionally Left Blank
Environmental Protection

Office of Surface Mining Reclamation and Enforcement 45

ENVIRONMENTAL PROTECTION

Environmental Protection Budget Request

(Dollars in Thousands)

2019

Actual

2020

Enacted

2021

Fixed 

Costs 

(+/-)

Internal 

Transfers 

(+/-)

Program 

Changes 

(+/-)

2020

Request

Change 

from 

2019 

(+/-)

Regulation and 

Technology 88,602 88,562 +505 - -22,748 66,319 -22,243

State and Tribal Funding 68,590 68,590 -25,487 43,103 -25,487

FTE - - - -

State Program Evaluation 8,140 8,080 +238 - 8,318 +238

FTE 77 81 - 81 -

Federal and Indian 

Lands Program 6,054 6052 +135 +1,822 8,009 +1,957

Offsetting Collections - [+40] [+40]

FTE 42 46 - 46 -

Federal Lands 1,414 1,436 +29 - 1,465 +29

FTE 7 10 - 10 -

Program Development and 

Maintenance 4,404 4,404 +103 +917 5,424 -1,020

FTE 15 35 - 35 -

Total, Environmental 

Protection 88,602 88,562 +505 - -22,748 66,319 -22,243

Total FTE 139 172 - 172 -

Note: 2019 FTE figures reflect actual usage.

FY 2019 Actuals include $40,000 in additional appropriated funds for permitting activities. OSMRE 

did not collect any permit fees in FY 2019.

Fixed Costs of $505,000 in pay related items.
Environmental Protection

Office of Surface Mining Reclamation and Enforcement 46

Summary of 2021 Program Changes for Environmental Protection

Request Component ($000) FTE

State and Tribal Funding -25,487

Improve Mine Plan Review Processes +2,595 -

GrantSolutions Enterprise System +144 -

TOTAL Program Changes -22,748 -

Under the Environmental Protection program, OSMRE works with coal-producing States to ensure the 

environment is protected while there are active surface mining operations. In FY 2021, 90 percent of active 

coal mining sites will be free of off-site impacts, and 44 percent of past mining sites will be reclaimed to 

post-mining beneficial use. On Indian Lands, OSMRE is the regulatory authority and has the responsibility 

to protect Tribal resources. OSMRE works with the Tribes to ensure the protection of their resources while 

implementing SMCRA. OSMRE funds Tribal programs as they pursue SMCRA primacy.

Justification of 2021 Program Changes

State and Tribal Funding (-$25,487,000): The Federal Government provides funding to States and Tribes 

to regulate the coal industry. This request supports $43,103,000 in funding for this activity. Stable 

regulatory programs promote competition, allow for responsible development and protect the safety and 

welfare of citizens and the environment. OSMRE’s statutory role is to promote and assist its partner States 

in establishing a stable regulatory environment for coal mining. The proposed level of regulatory grant 

funding, together with expected carryover funding from FY 2020, provides for the efficient and effective 

operations of primacy programs at a level consistent with the anticipated obligations of State and Tribal 

regulatory programs to account for the Nation’s demand for coal mine permitting and production.

Improve Mine Plan Review Processes (+$2,595,000): The process for reviewing and approving the 

permitting of coal operations is time-consuming and resource-intensive. The proposed level of funding 

will enable OSMRE to align its staff and fiscal resources across activities to better focus on developing 

initiatives that will streamline the NEPA process, enhance and accelerate the permitting process, and ensure 

that coal mine surface activities are operated in a manner that protects citizens and the environment during 

mining and that the land is restored to beneficial use following mining.

GrantSolutions Enterprise System (+$144,000): Funding supports the allocated share of operating costs 

for the GrantSolutions enterprise system to improve the processing and transparency of grants and 

cooperative agreements across Interior. Cost allocations are based on an algorithm of use factors. 

OSMRE’s share of the Department’s FY 2021 cost for this platform is $288,000, with half funded in the 

Environmental Restoration business line and half in the Environmental Protection business line. 
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Office of Surface Mining Reclamation and Enforcement 47

OVERVIEW

The Environmental Protection business line provides resources to administer regulatory programs for 24 

primacy States, as well as for the Federal and Indian Lands Programs which include two States and four 

Tribes where OSMRE is the regulatory authority. These programs address the protection of the public and 

environment from the adverse effects of current mining, and reclamation of land at the conclusion of 

mining. At the end of FY 2019, the surface permitted area of coal mining operations encompassed 2.5 

million acres Nation-wide. During active mining, the potential risks from safety and environmental hazards 

exist both within and outside the permitted site. Effective implementation and enforcement of SMCRA 

minimizes those risks.

OSMRE administers a Federal and an Indian Lands Program in the States of Washington and Tennessee 

and on Tribal lands of the Navajo Nation, the Hopi Tribe, the Ute Mountain Ute Tribe, and the Crow Tribe.

Operational Processes (Program 

Activities): The program activities within 

this business line ensure the environment is 

protected during surface coal mining 

operations, and that coal operators 

adequately reclaim disturbed land after 

mining is completed.

This business line also provides for 

OSMRE’s costs to ensure that State programs 

meet Federal regulatory requirements. The 

State and Tribal Funding activity includes 

grants to States and Tribes to regulate coal 

operations on lands within their borders.

This activity includes grants to Tribes to develop regulatory programs and to assist OSMRE in the 

regulation of surface coal mining and reclamation operations on Indian lands. Additionally, for primacy 

States with Federal lands within their borders, cooperative agreements formalize States’ eligibility to 

receive additional grant funding to cover their full costs to regulate coal operations on those Federal lands 

within their borders.

The State Program Evaluation program activity funds OSMRE’s evaluation and oversight of State 

programs. The Federal and Indian Lands Programs activity funds OSMRE regulatory activities to ensure 

SMCRA compliance in States without their own regulatory program and on Tribal lands. The Federal 

Lands program activity funds OSMRE’s responsibilities and activities in preparing Mining Plan Decision 

Documents for leased Federal coal, as well as any other activities on Federal lands not covered by the 

primacy States with cooperative agreements.

OSMRE’s Environmental Protection mission goal supports responsible coal extraction and addresses the 

protection of public health, safety, and general welfare from the adverse effects of current surface coal 

ENVIRONMENTAL PROTECTION 

ENCOMPASSES:

State and Tribal Funding

• State Grants

• Tribal Regulatory Development Grants

State Program Evaluation

Federal and Indian Lands Programs 

Federal Lands

Program Development and Maintenance
Environmental Protection

Office of Surface Mining Reclamation and Enforcement 48

mining and reclamation operations since the enactment of SMCRA in 1977. The performance measures 

for this goal are the protection of the environment and public from off-site impacts resulting from surface 

coal mining operations and successful reclamation on lands affected by surface coal mining operations. 

This goal is accomplished through the cooperative efforts of the OSMRE and State regulatory offices. The 

following measures are used by OSMRE as indicators of annual performance.

Percent of coal mining sites free of off-site impacts: Impacts are effects resulting from surface coal mining 

activities such as blasting or water runoff that affect people, land, water, or structures outside the permitted 

area of mining operations in violation of the existing regulations. The severity of the impacts is rated as 

minor, moderate, or major. Due to the nature of mining, it is inevitable that some impacts will occur, though 

they should be minimized, and offsite impacts prevented, when feasible.

Acres released from Phase I, and II bond release: This performance measure is the number of acres of land 

that has been approved to complete a phase of reclamation every year by active coal mine operators, and is 

dependent on the operator to file an application for each release phase. This is documented and measured 

through a series of bond releases. The bonds are required to assure that funds are available for reclamation 

in case the operator fails to reclaim the mined land.

Acres released from Phase III bond release: This performance measure shows the number of acres that 

have been reclaimed and approved for final release meeting the performance standards for current mining

operations.

Percent of mined acreage reclaimed: This performance measure is represented as a ratio of the cumulative 

number of acres released from Phase III bond release to the cumulative number of mined acres.

Percent of mined acres reclaimed can also be expressed as an annual measure for each fiscal year. This is 

calculated using acres reclaimed for final release (Phase III) during the fiscal year and current mined acres 

at the end of the fiscal year.

Actions Required to Achieve Annual Goals: OSMRE continues its outreach to interested parties to

address concerns related to impacts from surface coal mining operations, acid mine drainage, other water 

pollution, and slurry and other impoundments. OSMRE also continues to evaluate its rules, advance coal 

re-mining efforts, encourage reforestation, ensure mines are properly bonded; and ensure that 

contemporaneous reclamation is occurring. The timeliness of reclamation must be accurately measured to 

ensure that contemporaneous reclamation is occurring. A measure for contemporaneous reclamation during 

the fiscal year is captured through an annual measure for mined acreage reclaimed.

In addition, OSMRE will continue to practice cooperative conservation through working in partnership 

with States and Tribes to carry out the mission of the SMCRA. OSMRE has refocused its actions on 

mission accomplishment while fostering better working relationships with States.

Resources, Skills, and Technology Needed: Program analysts, reclamation specialists, grant specialists, 

and various support personnel are needed to implement the State regulatory programs and to conduct 

program evaluations. OSMRE and the primacy States also will continue to need a diverse and 
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Office of Surface Mining Reclamation and Enforcement 49

multidisciplinary cadre of personnel skilled in scientific and engineering areas to review mine permits, 

determine whether performance bond coverage and amounts are sufficient to ensure reclamation, conduct 

mine site inspections, and implement enforcement actions when necessary. Computer systems personnel 

are needed to help maintain various data systems, such as the National Inspection and Enforcement 

Tracking System that contains data from OSMRE’s oversight and regulatory program inspections.

For FY 2021, the President’s budget requests $43.1 million to fund up to 50 percent of the costs for 24 

primacy State regulatory programs, and up to 100 percent of the costs of regulating mining on Federal lands 

within their borders for 14 of the primacy States through cooperative agreements. This amount will also 

provide 100 percent of the regulatory program development costs for three Tribes.

The FY 2021 budget request includes $8.3 million to improve implementation of existing laws and to 

support States and Tribes. The request also includes $8.0 million to fund regulatory programs in nonprimacy States, including Tennessee and Washington, and on Indian Lands. Also included in the FY 2021 

budget request is $1.5 million for OSMRE to carry out mine plan reviews for Federal lands, and $5.4 million 

for program development and maintenance to continue to streamline mine plan decision processes and 

ensure that regulatory standards adequately reflect changes in technologies and program needs. 

Appropriation language is requested to supplement this appropriation with $40,000, which will be offset 

with collections for new permit application fees in the Federal and Indian Lands Programs.

The following section details, by program activity, the funding and FTE resources required to meet the 

annual performance measures. It also includes examples of cooperative work between OSMRE, States, 

and Tribes to regulate coal-mining activities that will continue in FY 2021 and support this budget request.
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Office of Surface Mining Reclamation and Enforcement 50

2020 PROGRAM PERFORMANCE

1. State and Tribal Funding

The $43,103,000 requested for FY 2021 for State and Tribal funding recognizes the need to support the 

State regulatory programs and Tribal programs pursuing primacy. This request fully funds the projected 

2021 activity requirements, based on a downward trend in State grant execution and an historical return of 

unobligated appropriated funds at the end of the grant cycle each year. OSMRE will also continue to 

support State regulatory grant requests by re-distributing the available prior year funds as needed for this 

activity. This activity supports responsible coal extraction using technology to minimize the impact of 

operations on people, structures, and the environment.

a. State Grants

The principal means of providing environmental protection within the framework of SMCRA is through 

"primacy" States that receive Federal grant funding. Currently, 24 States have achieved primacy and 

serve as regulatory authorities in the implementation of SMCRA. Primacy States have the most direct 

and critical responsibilities for conducting regulatory operations to minimize the impact of coal extraction 

operations on people and the environment. The States have the capabilities and knowledge to regulate 

the lands within their borders. Providing up to a 50 percent match of State funding in Federal grants to 

primacy States encourages States to take this responsibility, while ensuring that regulations are consistent 

across the Nation.

Cooperative agreements between OSMRE and primacy States with Federal lands allow those States to 

receive grant funding to cover their costs to review permit applications and issue permits, and conduct 

the required inspections of regulated activities on Federal lands. The additional grant funding provides 

for uniform enforcement of State program requirements at all facilities within the State and reduces both 

direct Federal program costs and Federal staff requirements. SMCRA section 705(c) sets the amount that 

a State may receive through a cooperative agreement to an amount approximately equal to the amount 

the Federal Government would have expended to do the same work. The regulations further require no 

grant exceed the actual costs to the State for this activity. Currently, 14 States have entered into 

cooperative agreements with OSMRE to regulate surface coal mining and reclamation operations on 

Federal lands: Alabama, Colorado, Illinois, Indiana, Kentucky, Montana, New Mexico, North Dakota, 

Ohio, Oklahoma, Utah, Virginia, West Virginia, and Wyoming.

Activities that State regulatory authorities conduct with Federal grant and matching State funding include: 

permit review and issuance, including the use of the Applicant Violator System to ensure that permits 

will not be issued to operators with outstanding violations; inspection and enforcement; designation of 

lands unsuitable for mining, and; ensuring timely reclamation after mining. In addition, individual States 

may conduct special activities to address specific needs. These activities may include upgrading 

permitting programs, computerizing systems to improve review of pending permits, and drafting 

regulations that respond to changes in Federal rules.

State regulatory authorities inspect all active and inactive sites, facilities, and areas that support coal 
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Office of Surface Mining Reclamation and Enforcement 51

mining and reclamation within their State for compliance with all program requirements. Federal 

regulations require all active inspectable units under the permanent program to have four complete and 

eight partial inspections per year. Four complete inspections are required annually for all inactive units. 

Inspections conducted by primacy States in any given year depend, in part, on the number of active and 

inactive permits in each State. The primacy States conducted 61,772 inspections in FY 2019 (see Table 

2).

b. Tribal Regulatory Development and Regulatory Program Grants

As allowed by the Energy Policy Act of 1992 and Section 710(i) of SMCRA, OSMRE provides grants to 

the Crow and Hopi Tribes and the Navajo Nation to assist them in developing regulations and programs 

for regulating surface coal mining and reclamation operations on Indian lands. The grant amounts are 

based on each Tribe’s anticipated workload to develop a Tribal program (including Tribal laws, 

regulations and policies), to assist OSMRE with surface coal mine inspections and enforcement 

(including permitting activities, mine plan review and bond release), and to sponsor employment training 

and education concerning mining and mineral resources. These grants fund 100 percent of the Tribal 

primacy development activities.

The Surface Mining Control and Reclamation Act Amendments of 2006 provides for Indian Tribes to 

apply for, and obtain approval of, a Tribal program regulating in whole, or in part, surface coal mining 

and reclamation operations on reservation land under the jurisdiction of the Indian Tribe. The legislation 

also provides for 100 percent funding of the costs of developing, administering, and enforcing an 

approved Tribal program. Discussions on the submission of applications for Tribal primacy began in 

2007. Informal review of the Navajo Nation’s Tribal primacy application is substantially complete, and 

OSMRE is unsure of when a formal application for Tribal primacy may be submitted by the Navajo 

Nation. Two previous attempts to gain approval by the Navajo Nation’s Tribal Council have failed to get 

the required two-thirds vote. The Crow Tribe and the Hopi Tribe continue to pursue Tribal primacy, 

including the development of a statute and regulations, but at this time an anticipated date for submission 

of a formal application for Tribal primacy by those two Tribes has not been determined.

2. State Program Evaluation

State Program Evaluation activities serve two purposes: they determine whether States are effectively 

implementing their regulatory programs as approved, and they provide documentation to the public of the 

work that OSMRE and the States are doing. The $8,318,000 requested for FY 2021 will fund 81 FTE to 

carry out these activities.

a. Oversight Policy and Procedures

OSMRE assumes a monitoring role following approval of a State or Tribal SMCRA regulatory program. 

That role includes both programmatic evaluations and inspections of individual mine sites to determine 

whether States with primacy are properly administering, implementing, maintaining, and enforcing their 

regulatory programs. Detailed guidance is provided and available on OSMRE’s website.
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Office of Surface Mining Reclamation and Enforcement 52

As part of the process, a Performance Agreement is developed for each State annually. OSMRE solicits 

input from all its stakeholders, which include the public, State agencies, Federal agencies, other 

stakeholders, and the coal industry, for relevant issues to review in each State. The Performance 

Agreement is a comprehensive plan that outlines the responsibilities and activities of both the State and 

OSMRE. It provides details about specific program evaluation goals for each State and the plans to 

achieve those goals, the types and number of inspections OSMRE plans to conduct, technical or 

programmatic assistance that OSMRE may render to the State, and the method to resolve any identified 

problems, both new problems and any issues remaining from previous years.

b. Oversight Inspections

SMCRA requires the Secretary to conduct mine inspections to evaluate the administration of State 

programs. Inspections are conducted on a range of sites - from those actively producing coal to forfeited 

bond sites awaiting reclamation. Most OSMRE oversight inspections focus on areas in which there is a 

high level of activity or public concern or where systemic problems have been observed. In States with 

1,000 or more inspectable units, OSMRE also conducts inspections of a random sample of those units to 

provide an objective evaluation of the effectiveness of the State program in ensuring compliance with 

program requirements. The vast majority of oversight inspections are joint inspections, in which the State 

or Tribal inspector accompanies the OSMRE inspector. However, Directive REG-8 provides that, at a 

minimum, OSMRE will conduct complete oversight inspections on 33 percent of the inspectable units 

selected for oversight inspections in each State or on Tribal lands, and that independent oversight 

inspections are permitted when OSMRE determines that such inspections are necessary and appropriate.

In FY 2019, OSMRE conducted 979 oversight inspections in primacy States (see Table 2). OSMRE 

intends to perform oversight inspections in FY 2020 and FY 2021 to assure the integrity of the regulatory 

program, to capture additional data, and to identify more conclusive findings and trends. The actual 

number may change depending on the program areas, the presence or absence of problems, input from 

the public, and the terms of the performance agreements in each State.
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Table 2 – Inspections Conducted in Primacy States in FY 2019

State

State Inspections OSMRE

Oversight 

Partial Complete Total Inspections

Alabama 21 1,936 1,957 38

Alaska 44 33 77 6

Arkansas 54 24 78 3

Colorado 184 115 299 14

Illinois 636 315 951 40

Indiana 553 302 855 21

Iowa 0 0 0 0

Kansas 52 28 80 2

Kentucky 11,259 5,722 16,981 280

Louisiana 24 12 36 10

Maryland 542 256 798 12

Mississippi 16 8 24 6

Missouri 58 31 89 3

Montana 92 80 172 9

New Mexico 24 23 47 3

North Dakota 596 100 696 12

Ohio 1,354 657 2,011 37

Oklahoma 235 247 482 16

Pennsylvania 6,853 4,511 11,364 243

Texas 256 128 384 10

Utah 159 109 268 8

Virginia 2,045 1,330 3,375 64

West Virginia 13,001 7,452 20,453 121

Wyoming 184 111 295 21

Total 38,242 23,530 61,772 979

Footnote: OSMRE inspections in primacy States include oversight inspections of all types, oversight 

document reviews, assistance inspections, citizen complaint site visits, and Federal action inspections, as 

needed. State data is for the time period of July 1, 2018, through June 30, 2019.

c. Identifying and Correcting Violations of SMCRA

In primacy States, SMCRA requires that the OSMRE inspector provide the regulatory authority (RA) the 

opportunity to correct any violations observed during an oversight inspection or alleged by a citizen. On 

most oversight inspections, OSMRE will not issue a Ten-Day Notice (TDN) when it finds that the RA's 

inspector has already taken appropriate action, before the inspection is physically and administratively 

complete, concerning a violation or possible violation observed during the course of a joint OSMRE-RA 

oversight inspection. OSMRE will issue a TDN to the RA whenever the authorized representative has a 
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Office of Surface Mining Reclamation and Enforcement 54

reason to believe, based upon information available to him or her, that a violation of the Act, the Federal 

regulations, the approved regulatory program, or a permit condition (hereinafter violation) exists. This 

requirement applies to all requests for Federal inspections that OSMRE receives from citizens under 30 

CFR 842.12, provided such requests give the authorized representative a reason to believe, based upon 

available information, that a violation exists. The State regulatory authority then has 10 days to take 

enforcement action, initiate other action to cause the violation to be corrected, or demonstrate good cause 

for not taking such action. If OSMRE determines that the State response is not appropriate, an OSMRE 

inspector will conduct a Federal inspection of the site and take any necessary enforcement action. This 

procedure does not apply to situations in which there is an imminent danger to public health or safety, or 

if the observed or alleged violation is causing or can reasonably be expected to cause significant, 

imminent environmental harm. In those cases, the OSMRE inspector must issue a cessation order if the 

violation is observed on an inspection, or conduct a Federal inspection if a citizen complaint alleges that 

a violation of this nature exists.

During Evaluation Year 2019, OSMRE observed 580 violations during oversight inspections. Of these, 

344 were appropriately deferred to States for action either during the joint inspection process or as the 

final resolution of a TDN. OSMRE found the States’ actions inappropriate on 193 violations from 

oversight inspections. OSMRE also received 8 citizen complaints which were transmitted to the 

regulatory authority through the TDN process.

OSMRE will continue to work with the States to resolve any outstanding TDN issues. OSMRE has 

procedures in place to monitor corrective actions when issues are identified as a result of OSMRE 

oversight activities.

OSMRE also has an obligation under section 521 of SMCRA to take steps to ensure that all types of 

violations, including violations of performance standards or permit conditions and violations of 

permitting requirements, are corrected if the State does not take action to do so. Should a State or Tribal 

program not show timely adequate improvements, OSMRE has other tools under the Code of Federal 

Regulations (CFR), 30 CFR Parts 732 (requiring program amendments) and 733 (compelling program 

change or substituting a Federal program), to ensure enforcement or a program change.

In addition to the corrective actions processes described above, OSMRE’s Applicant Violator System 

(AVS) Office promotes the use of alternative enforcement to compel compliance with SMCRA. As part 

of this effort, the AVS Office provides training, investigative services and identifies sites with outstanding 

violations for regulatory authorities to consider pursuing alternative enforcement when primary 

enforcement is not enough. These activities will continue throughout FY 2020 and FY 2021.

3. Federal and Indian Lands Program

The FY 2021 request provides $8,009,000 and 46 FTE to conduct required activities in the Federal and 

Indian Lands Program. The request also includes an additional $40,000 for permitting activities that will 

be offset with collections for new permit application fees in the Federal and Indian Lands Program.

a. States
Environmental Protection

Office of Surface Mining Reclamation and Enforcement 55

OSMRE regulates coal mining in States without approved regulatory programs, ensuring responsible coal 

extraction using up-to-date science and technology.

The permit review process in Federally administered programs consists of review of the permit 

application package for administrative completeness and technical adequacy, preparation of findings and 

supporting documentation, and conducting an environmental analysis. Review timeframes vary 

depending on the complexity of a permit application, the size of the mine, and the response times of 

applicants submitting additional information required to process the permit application.

At the end of FY 2019, the Federal program in Tennessee had 102 permits for coal mining operations, of 

which 58 permits were listed on the inspectable units list (IUL) in active status. There were two permitted 

mine sites for the State of Washington at the end of FY 2019, neither of which is currently mining coal 

by traditional means. One Washington mine site is, however, conducting reprocessing operations of 

previously-mined coal deposited in refuse impoundments, and the other site has submitted a permit 

revision application proposing to reinitiate mining. Permitting actions in Federal Programs are shown in 

Table 3.

The following information highlights key characteristics of the two States whose regulatory activities are 

currently administered by the Federal Programs activity:

Tennessee (TN): At the end of FY 2019, the TN IUL indicated a total of 58 Permanent Program

permits, listed as active. Three of these permits produced coal throughout the year. It also includes 

a total of 33 Inactive permits and eight abandoned permits under the Permanent Program. These 

consist of surface mines, underground mines, coal tipples, preparation plants, haulroads, and other 

ancillary facilities. The Initial Program permits consist of two active, zero inactive and one 

abandoned permit. The IUL Site Status indicates there are three active producing sites, 11 Active 

Non-Producing sites, 18 Mining Complete sites, 21 sites in Temporary Cessation, 20 sites in Phase 

I Bond Released, 12 Phase 2 Bond Released sites, one not disturbed site, seven no mining, four 

abandoned and five forfeited sites, for a total of 102 permits. There are also 8 coal exploration 

notices of intent on the TN IUL. The Lexington Field Office/Knoxville Office (LFO/KO) received 

one new permit application in FY 2019 and has six other applications in various stages of review. 

At the end of FY 2019, LFO/KO had not received any new Successor-In-Interest (SII) applications, 

had eleven SII applications pending submittal of bonds and issued one SII application. Over the 

past ten-year period, Tennessee’s coal production has experienced a decline from 2.2 million tons 

in calendar year 2009 to 0.19 million tons in calendar year 2018. Although OSMRE has been the 

regulator of Tennessee’s coal mining industry since 1984, TN is actively pursuing the promulgation 

of a TN program for the regulation of coal exploration and surface coal mining and reclamation 

operations in TN, i.e., achieve primacy. 

An interagency group comprised of State and Federal agencies, including OSMRE, the Army Corps 

of Engineers, the Environmental Protection Agency, the U.S. Fish and Wildlife Service (USFWS), 

and the Tennessee Department of Environment and Conservation, developed a local interagency 

working agreement (LIWA) in 2010, to improve permit coordination in Tennessee. The group 

continues to meet regularly to review new applications and improve the established processes, 
Environmental Protection

Office of Surface Mining Reclamation and Enforcement 56

resulting in more efficient and effective decisions related to coal mining activities.

As a result of a 2015 lawsuit in Tennessee against USFWS and OSMRE, alleging violation of the 

requirements of the Endangered Species Act (ESA) and the 1996 Biological Opinion, the LIWA 

was modified to include an “effects determination” document. This document was developed by 

OSMRE, in coordination with USFWS, to outline and document the processes and findings used 

to address ESA requirements associated with SMCRA permit revisions, renewals, and mid-term 

reviews. The document contains an assessment of the biological data, an effects determination of 

the impacts to applicable ESA species, and an evaluation of whether the operation will constitute 

jeopardy to the continued existence for each applicable ESA species on or adjacent to a proposed 

permitting action. The effects determination document is included in the overall NEPA analysis 

done for each approvable application and is included in the permit documentation.

Also, as a result of the 2015 lawsuit that was settled, LFO/KO conducted section 7 ESA 

consultations on three permits. Prior to the 2015 lawsuits, LFO/KO relied upon the 1996 biological 

opinion to satisfy its section 7 consultation requirements. However, as a part of the 2015 settlement 

agreement, the decision was made to conduct section 7 consultations in lieu of relying on the 1996 

biological opinion to satisfy the section 7 requirements. LFO/KO made this decision because of 

the settlement agreement and the fact that LFO/KO was already conducting effects determinations 

on every permitting action involving threatened and endangered species since these effects 

determinations were very similar to the biological assessment required under section 7 consultation. 

Therefore, LFO/KO agreed to the section 7 consultation process for these three permits.

In addition, seasonal water quality/quantity data is collected annually at established OSMRE trend 

stations. Data from this effort is used to evaluate and develop cumulative hydrologic impact 

assessments (CHIA) for permitting decisions and to help develop biological assessments to meet 

section 7 consultation requirements in the Tennessee Federal Program. The three sets of samples 

taken include data from 12 trend stations collected during low-flow conditions, winter mean-flow 

conditions, and summer mean-flow conditions. This “CHIA” data supports permitting decisions 

and helps monitor water quality impacts to ESA species.

The LFO/KO did not forfeit any bonds during FY 2019. Bond forfeiture funds are monies collected 

from forfeited performance bonds associated with mining permits. These funds can only be used 

to reclaim lands on the permits for which the bond was posted and cannot be used to reclaim other 

permitted sites. If the bond forfeiture funds are adequate to reclaim the forfeited sites, and surplus 

amounts remaining must be returned to the operator.

In Tennessee, funds derived from civil penalties are used by OSMRE to reclaim mine sites that 

have been disturbed after the enactment of SMCRA and have either been abandoned or forfeited 

with insufficient or nonexistent bond funds available to complete the reclamation activities on the 

forfeited site. Since the availability of civil penalty funds is limited, OSMRE prioritizes these sites 

by selecting the sites that have the most potential to cause environmental harm, if left unreclaimed, 

and expends the available funds on these sites. During FY 2019, no civil penalty funds were made 

available to OSMRE for reclamation work in Tennessee. However, contracts awarded near the end 
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Office of Surface Mining Reclamation and Enforcement 57

of FY 2017 were completed in FY 2018. The sites will continue to be monitored and are expected 

to be released from the IUL in 2020.

Washington: There are two surface coal mines regulated under the Federal Program. The Centralia 

Mine produced coal for the adjacent Centralia Power Plant beginning in 1971 until November 2006, 

when the parent company, Trans-Alta Corporation, halted mining because of the high costs to 

recover the remaining coal. Coal for the power plant now comes from the Powder River Basin. In 

July 2010, OSMRE denied a request to continue temporary cessation at the Kopiah Pit, and the 

decision was upheld on appeal. OSMRE approved Trans-Alta’s operation plan for recovery of coal 

from coal mine waste impoundments in February 2012. Coal recovery operations began in 

November 2014. This operation plan facilitates reclamation of the coal mine waste impoundments 

after coal recovery. The recovered coal is sold to the Centralia Power Plant. Such coal recovery 

is considered active mining. Trans-Alta has committed to payment of all necessary fees (royalty 

and abandoned mine land) associated with the mining of this coal. Trans-Alta has submitted 

revised reclamation plans for five areas of the mine. In October 2012, OSMRE approved the 

reclamation plan for the Central Packwood pit area. OSMRE’s review of the revised reclamation 

plans for the North Hanaford Pit, Pit 7, and the Kopiah Pit and coal mine waste impoundments 3A, 

3B, 3C and 3D are ongoing at this time. OSMRE approvals of the revised plans for Pit 7 and the 

Kopiah Pit are anticipated in 2020.

The Pacific Coast Coal Company (PCC) mine near the City of Black Diamond has not produced 

coal since 2000. After completing an environmental assessment and concluding the NEPA process, 

a significant revision application to re-commence was approved in April 2018. As of November 

2019, PCCC has not resumed mining because it cannot secure a customer. In addition, to the 

significant revision approval, OSMRE renewed the existing permit through December 2019. 

PCCC has submitted a permit renewal application, which is currently under review.

b. Tribes

OSMRE is responsible for regulation of coal mining and reclamation activities on Indian lands. The 

Indian lands program includes permit application review, determination of performance bond amounts, 

inspection and enforcement, bond release, and maintaining a staff to coordinate with the individual Tribes 

and other Federal agencies, as necessary. The proposed budget provides funds for activities to promote 

responsible mineral extraction on Indian lands.

The Crow Tribe, the Hopi Tribe, the Ute Mountain Ute Tribe, and the Navajo Nation have active permits 

on their lands. The mines on Indian lands are among the largest in the United States, with a total of about 

100,500 acres regulated by OSMRE.

Navajo Nation and Hopi Tribe: The McKinley Mine and the Navajo Mine are large surface mines 

on lands within the Navajo Nation. The Navajo Mine has two permits: the Navajo Permit and the 

Pinabete Permit. The Navajo and Pinabete Permits provide coal to the Four Corners Power Plant. 

Mining operations have ceased at the McKinley Mine, and it is currently undergoing final 

reclamation. Activities on the Kayenta Mine involve mining Navajo coal beneath Navajo Tribal 
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Office of Surface Mining Reclamation and Enforcement 58

lands surface, and coal jointly owned by the Navajo Nation and the Hopi Tribe – all of which is 

beneath Navajo Tribal lands surface. OSMRE assisted the Bureau of Reclamation (lead agency) 

on the completion of the Draft Environmental Impact Statement for the Navajo Generating Station 

and Kayenta Mine Complex. The availability of the draft Environmental Impact Statement (EIS) 

for public review and comment was in the Federal Register on September 30, 2016. In early 2017, 

the owners of the Navajo Generating Station (NGS) announced they were no longer going to 

operate the plant beyond 2019. Due to this announcement, the lead agency has suspended the EIS. 

OSMRE prepared an environmental assessment on the Kayenta Mine Permit renewal which was 

noticed for public comment in August 2017. OSMRE then approved the permit renewal on October 

3, 2017. The permit renewal term will end in 2020. The Kayenta Mine ceased producing coal in 

August 2019 to exhaust their current coal stockpiles and NGS ceased operations in December 2019. 

Crow Tribe: There are two surface mines in Montana that mine coal owned by the Crow Tribe. 

One of these mines operates within the boundaries of the Crow Reservation.

Ute Mountain Ute Tribe: Regulated Ute Mountain Ute Tribal lands in New Mexico are limited to 

a haul road that crosses the Ute Mountain Ute Reservation. The haul road is fully reclaimed and 

has gone through the bond release process and OSMRE terminated its jurisdiction in August 2019. 

An underground mining operation in Colorado also extracts Federal coal beneath land owned 

privately by the Ute Mountain Ute, outside of the external boundaries of the Ute Mountain Ute 

Reservation.

The number of permitting actions processed by the Indian Lands Program during FY 2019 is shown in 

Table 3.

Table 3 – Permit and Permit Revision Workload – OSMRE as Regulatory Authority

Activity

Federal Programs* Indian Lands

FY 2019

Actual

FY 2020

Projected

FY 2019

Actual

FY 2020

Projected

In progress (prior FY) 56 57 15 24

Anticipated Submissions (current FY) 32 33 63 65

Total FY workload 88 90 78 89

Completed in FY 31 37 54 70

Balance, end of FY 57 53 24 19

Source: OSMRE Data for States and Tribes system (DST) FY 2019

*These numbers do not include reviews of more than one version of a significant revision or 

environmental assessment.

OSMRE coordinates closely with Indian Tribes through the regulatory process. The Federal trust 

responsibility is a legal obligation under which the United States has charged itself with moral obligations 

of the highest responsibility and trust toward Indian Tribes. OSMRE ensures that the lands and trust 
Environmental Protection

Office of Surface Mining Reclamation and Enforcement 59

resources of federally-recognized Tribes and their members are identified, conserved, and protected. In 

fulfilling these responsibilities, OSMRE operates within a government-to-government relationship with 

Indian Tribes.

Table 4 provides inspection and enforcement data for the Federal and Indian Lands Program during FY 

2019.

Table 4 – Inspections Conducted by OSMRE in the Federal and Indian Lands Program

Inspections Violations

State/Tribe Partial Complete Total

Notice of 

Violations

Cessation 

Orders

Tennessee 493 360 853 20 2

Washington 16 6 22 0 0

States Total 509 366 875 20 2

Crow Tribe 14 8 22 0 0

Hopi Tribe 0 1 1 0 0

Navajo Nation 34 26 60 1 0

Ute Tribe 5 3 8 0 0

Tribes Total 53 38 91 1 0

Source: Inspections from OSMRE Data for States and Tribes systems (DST) FY 2019. Violation data from OSMRE 

Inspection and Enforcement Tracking System (I&E) FY 2019

c. OSMRE Responsibility on Federal Lands

As previously highlighted, mining on Federal lands in primacy States is typically regulated by the 

respective State program through a cooperative agreement between the Governor and the Secretary of the 

Interior. This State regulatory work is financed through the State and Tribal funding program activity. 

OSMRE is responsible for preparing mining plan decision documents recommending approval, approval 

with conditions, or disapproval of all proposed mining plans and mining plan modifications on Federal 

lands under the Mineral Leasing Act. OSMRE also processes valid existing rights claims that involve 

certain Federal lands under this program activity.

As part of the Federal Lands program, OSMRE conducts environmental impact analysis in accordance 

with the National Environmental Policy Act (NEPA). OSMRE consults and coordinates, as applicable, 

with State Historic Preservation Offices, the Fish and Wildlife Service, the Bureau of Land Management 

(BLM), the U.S. Forest Service (USFS), the National Park Service, the Environmental Protection Agency, 

and the U.S. Army Corps of Engineers, as well as with State regulatory authorities.

Processing of mining plan decision documents constitutes the largest part of the workload under this 

program activity. Moreover, OSMRE is the regulatory authority for mining on Federal lands in States 

which have not entered into a cooperative agreement. As an example, BLM is working with a company 

to lease Federal coal for extraction via underground mining methods under a National Forest in Arkansas. 
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Office of Surface Mining Reclamation and Enforcement 60

Currently, Arkansas does not have a cooperative agreement with OSMRE to regulate coal mining on 

Federal lands. Therefore, if BLM issues a lease in Arkansas, OSMRE becomes responsible for issuing 

the Federal lands permit. After permit issuance, OSMRE will conduct regular regulatory inspection 

activities. 

This request includes $1,465,000 and 10 FTE for the Federal Lands program.

Table 5 provides projected mining plan decision document workload data.

Table 5 – Mining Plan Decision Document Workload on Leased

Federal Coal, by Fiscal Year

Mining Plans and Modifications to Existing Mining Plans

Activity

FY 2019

Actual

FY 2020

Projected

In progress (prior FY) 6 8

Anticipated Submissions (current FY) 7 8

Total FY workload 13 16

Completed in FY 5 8

Balance, end of FY 8 8

Under this program activity, OSMRE also provides support to BLM and USFS in leasing activities that 

involve Federal coal resources. OSMRE’s participation in NEPA compliance analyses prepared at the 

leasing stage ensures the consideration of OSMRE mine plan approval concerns. This cooperative effort 

saves mining companies valuable time in the leasing and mine plan approval process; it also may result 

in improved resource recovery. In addition, satisfactory evaluation of the environmental impacts of coal 

mining in the proposed lease area at the time of leasing can reduce the likelihood of the need for a 

subsequent Environmental Assessment or Environmental Impact Statement for mining plan approval 

under SMCRA. OSMRE will continue efforts to implement the recommendations in the joint 

BLM/OSMRE report to the Secretary on efforts to streamline the NEPA process for mine plan decision 

documents for leased Federal coal.

4. Program Development and Maintenance 

Work elements under this program are primarily related to policy actions, such as rulemaking, grants 

management and special studies that support the other program activities in the environmental protection 

business line. This request provides $5,424,000 and 35 FTE.

a. Rulemaking

OSMRE issues Federal rules and prepares the associated information collection clearance packages. 

Functions under this program activity include rule development and preparation of environmental 

assessments, environmental impact statements, and cost benefit analyses for rules prepared by OSMRE. 
Environmental Protection

Office of Surface Mining Reclamation and Enforcement 61

Prior to and during the development of a proposed rule, OSMRE involves the public and interested 

parties. This stakeholder participation results in improved regulatory proposals. OSMRE also maintains 

the administrative record for rules and coordinates rule publication with the Office of the Federal Register. 

OSMRE had several rulemakings in progress at the time the President issued his Regulatory Freeze 

Pending Review memorandum on January 20, 2017. The primary rulemaking activity for OSMRE at 

publication of this document deals with State programs.

Rulemaking Associated with State Programs: OSMRE assists States with development, administration, 

implementation, and maintenance of their approved regulatory programs. Decisions to approve or 

disapprove State program amendments are Federal rulemaking actions. OSMRE evaluates State-initiated 

program changes (statutory, regulatory, or changes in the program’s provisions, scope, or objectives), as 

well as OSMRE required modifications that are a result of legal interpretations or changes to SMCRA 

and Federal regulations. In its evaluation, OSMRE solicits public comments through proposed rules 

published in the Federal Register, holds public meetings, maintains the administrative record, approves 

or does not approve proposed State program amendments, and publishes the decisions as final rules in 

the Federal Register.

During FY 2019, OSMRE completed activity on 17 State program amendments, as summarized in Table 

6.

Table 6 – FY 2019 State Program Amendment Activity

Number of Amendments

Amendment Type Pending

Oct. 1, 2018

Received

FY 2019

Completed

FY 2019

Pending

Sept. 30, 2019

Pre-Submission 

Assistance 5 7 8 4

Formal 41 7 9 39

Total 46 14 17 43

States may be required to amend their programs as a result of changes to SMCRA and Federal regulations. 

When a State program amendment is required, OSMRE notifies the State of the required change and 

reviews the State submission and either approves or disapproves the proposed change.

c. Grants Management 

OSMRE supports and participates in the Administration’s E-Government initiative, and Health and 

Human Services’ government-wide electronic grants application system (Grants.gov). OSMRE is 

currently using DOI’s Financial and Business Management System (FBMS) financial assistance module 

for internal processing of all grant and cooperative agreement transactions. OSMRE and the State/Tribal 

grantees cooperate to maximize the use of available funding and operate an effective program. This 

cooperative working relationship contributes to a streamlined application and awards process, faster 

obligation of Federal funds, innovative program monitoring, less paperwork, and intensive reporting and 

close-out of grants. OSMRE will transition to GrantSolutions in FY 2020.
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Office of Surface Mining Reclamation and Enforcement 62

d. Special Projects

OSMRE’s special projects include interpretation of SMCRA, reports to Congress, legislative analyses, 

and assistance in response to litigation. OSMRE also conducts studies and analyses in response to 

Departmental initiatives, and coordinates with other DOI bureaus and Federal agencies whose activities 

can affect the surface coal mining regulatory program. Such agencies include the Fish and Wildlife 

Service (Endangered Species Act), Advisory Council on Historic Preservation (National Historic 

Preservation Act), EPA (Clean Water Act, Resource Conservation and Recovery Act, and others), Army 

Corps of Engineers (Section 404 of the Clean Water Act permits), Mine Safety and Health 

Administration, and the Small Business Administration (Small Business Regulatory Enforcement 

Fairness Act). OSMRE will continue to streamline the NEPA process for consistency with DOI 

guidelines and policies in compliance with Secretarial Order 3355. In addition, OSMRE will continue 

the development and implementation of a Biological Opinion for Title V of SMCRA by completing a 

formal programmatic consultation with the Fish and Wildlife Service.
Environmental Protection

Office of Surface Mining Reclamation and Enforcement 63

ENVIRONMENTAL PROTECTION

2020 Planned Program Performance

In FY 2020, the planned activities in the Environmental Protection program activity include:

 OSMRE will continue its oversight steering committee with State Regulatory Authorities to discuss 

impediments to meaningful and effective oversight including revising current OSMRE oversight

directions.

 Continued review of the formal Tribal primacy submission from the Navajo Nation and assistance 

to the Navajo Nation Minerals Department with their primacy presentation to the Navajo Nation

Council.

 Continue the review of informal submissions from the Crow and Hopi Tribes.

 Review the formal Tennessee primacy submission and assist the Tennessee Department of 

Environment and Conservation with development of its program.

 Complete six mining plan decision documents on Federal lands including associated environmental 

effects analysis in compliance with the National Environmental Policy Act (NEPA).

 Complete analyses, assembly and submission of 15 information collection clearance packages to 

OMB for renewed approval per Paperwork Reduction Act of 1995 (PRA) requirement.

 OSMRE will monitor the implementation of Kentucky’s program amendments related to its 

bonding program for effectiveness through oversight studies and monitoring.

 Achieve the goals for performance measures identified in the Goal Performance Table for this 

business line, and engage youth by providing educational and employment opportunities to young 

adults in fields associated with surface coal mining regulation and reclamation.
Environmental Protection

Office of Surface Mining Reclamation and Enforcement 64

2019 Program Accomplishments

In FY 2019, the major accomplishments in the Environmental Protection program activity included:

 Implemented the Federal and Indian Lands Programs; conducted 404 complete and 562 partial 

inspections, and completed 63 permit revisions.

 States performed 23,530 complete mine inspections and 38,242 partial inspections to ensure coal 

mines are operated safely and in accordance with environmental laws.

 OSMRE continued to promote utilization of the Forestry Reclamation Approach (FRA), with 70 

percent of all trees planted on FRA prepared areas. A total number of 4,447,721 trees were planted 

during FY 2019 with 3,123,940 utilizing FRA on 5,635 acres.

 Completed five mining plan decision documents recommending approval of the mining plan 

modification including the preparation of eight environmental assessments analyzing the 

environmental effects of the mining plan modification in compliance with NEPA.

 Completed analyses and received OMB approval for 16 information collection clearance packages 

per PRA requirement.

 OSMRE completed a significant review and revision of the Oversight of State and Tribal 

Regulatory Programs (REG-8) and the Ten-Day Notices (INE-35) directives in collaboration with 

IMCC and the state regulatory authorities. The result is more clarity and consistency in how 

oversight is conducted, inspections made, and citizen complaints are received and reviewed.

 Initiated two Action Plans with Pennsylvania Department of Environmental Protection. One is to 

establish a new time table for completion of its responsibilities to have permits forfeited under the 

previous alternative bonding system, reclaimed. Alternative Bonding System permits with land 

reclamation needs, and post mining pollutional discharges are in the action plan, which follows up 

on a program amendment. The other action plan is to establish and update reclamation plans and 

schedules for inactive coal refuse disposal permits. The Action Plans will help assure reclamation 

of bond forfeited permits, and improve Pennsylvania’s coal mining regulatory program, and 

reclamation of dormant permits.

 Completed a joint study of the methods used to predict final elevations of post underground mine 

pool elevations in Pennsylvania. Based on study findings, Pennsylvania Department of 

Environmental Protection modified its methodology to enable more accurate predictions, thus 

improving ability to prevent post mining pollutional discharges, and also enable coal companies to 

mine all the coal reserves they can, without the risk of long term environmental damage requiring 

costly treatment. Based on the results of this study, a TIPS class is being developed for predicting 

final mine pool elevations.
TAB

Technology Development & 

Transfer
Page Intentionally Left Blank
Technology Development and Transfer

Office of Surface Mining Reclamation and Enforcement 65

TECHNOLOGY DEVELOPMENT AND TRANSFER

Technology Development and Transfer Budget Request

(Dollars in Thousands)

2019

Actual

2020

Enacted

2021

Fixed 

Costs

(+/-)

Internal 

Transfers 

(+/-)

Program 

Changes 

(+/-)

2021

Request

Change 

From 

2020

(+/-)

Regulation and

Technology 12,801 14,765 +229 - -1706 13,288 -1,477

Technical Assistance 10,232 10,668 +141 -347 10,462 -206

FTE 52 48 - 48 -

Training 1,949 2,004 +56 - 2,060 +56

FTE 12 19 - 19 -

Technology Transfer 620 2,093 +32 -1,359 766 -1,327

FTE 9 11 - 11 -

Abandoned Mine 

Reclamation Fund 3,544 3,576 +43 - -11 3,608 +32

Technical Assistance 1,585 1,617 +20 -11 1,626 +9

FTE 9 7 - 7 -

Training 794 794 +20 - 814 +20

FTE 5 7 - 7 -

Technology Transfer 1,165 1,165 +3 - 1,168 +3

FTE 1 1 - 1 -

Total, Technology 

Development and 

Transfer

16,345 18,341 +272 - -1,717 16,896 -1,445

Total FTE 88 93 - 93 -

Note: 2019 FTE figures reflect actual usage. 

Fixed Costs of $272,000 in pay related items.
Technology Development and Transfer

Office of Surface Mining Reclamation and Enforcement 66

Summary of 2021 Program Changes for Technology Development & Transfer

Request Component ($000) FTE

Applied Science Projects -470

Coal Information Management System -358

GeoMine/AMDTreat -889

TOTAL Program Changes -1,717 -

The Technology Development and Transfer program supports technical skills that States and Tribes need to 

operate their programs. In FY 2021, OSMRE provides resources for technical assistance, training, technology 

development, and technology transfer.

Justification of 2021 Program Changes

Applied Science Projects (-$470,000): No new funding is requested for this activity. OSMRE will continue 

to invest in applied science projects, or studies, advanced technologies and practices specific to coal mined 

sites for more comprehensive ecosystem restoration in FY 2021 with available carryover funds.

Coal Information Management System (-$358,000): Development and testing of the Coal App application 

within the Coal Information Management System is expected to be completed in FY 2020.

GeoMine/AMDTreat (-$889,000): No new funding is requested for these activities. Enhancements are 

expected to be completed in FY 2020.
Technology Development and Transfer

Office of Surface Mining Reclamation and Enforcement 67

OVERVIEW

The Technology Development and Transfer (TDT) business line (program activity) provides resources for 

technical assistance, training, technology development and technology transfer program sub-activities. 

This program activity supports and enhances the technical skills that States and Tribes need to operate their 

regulatory and reclamation programs. Through support of OSMRE’s restoration and protection goals, TDT 

funds implement effective partnerships with OSMRE’s stakeholders. TDT is a Nation-wide program that 

provides resources to States and Tribes that meet their specific technical and training needs in carrying out 

the requirements of SMCRA.

In FY 2020 and FY 2021, OSMRE will 

continue to promote, to the extent possible, the 

use of Technical Innovation and Professional 

Services (TIPS) in technical decision-making 

processes related to SMCRA. OSMRE will 

address the remediation of acid mine drainage 

through participation in the Acid Drainage 

Technology Initiative and finalize changes 

and provide training and technical assistance 

to meet identified needs of States and Tribes.

In addition, OSMRE’s technology transfer program will continue its support for electronic permitting and 

mobile computing efforts, by sponsoring interactive technical forums and related workshops. In addition, 

OSMRE will continue to provide regional technical service, libraries, and more efficient access to 

COALEX (a computer-assisted library search service).

Operational Process (Program Activities): The TDT program activities enhance the technical skills that 

States and Tribes need to operate their regulatory and reclamation programs in order to more effectively 

implement SMCRA. These program activities are an integral part of accomplishing Environmental 

Restoration and Environmental Protection to achieve OSMRE’s goals and outcomes.

OSMRE provides technical assistance and training to OSMRE staff, and States and Tribes on a variety of 

topics. To solve problems related to the environmental effects of coal mining, OSMRE provides 

multidisciplinary technical assistance, and works with industry, States, Tribes and the public on new or 

unique technical challenges or problems. Other technical assistance efforts include the TIPS, the Applicant 

Violator System (AVS), and Coal Information Management System (CIMS). OSMRE also established an 

intergovernmental team, the National Technology Transfer Team (NTTT), to provide direction, 

communication, and coordination of efforts related to technology transfer and development. This team is 

permanent and will continue throughout FY 2020 and FY 2021. New technologies, changes in regulations, 

and staff turnover necessitate the need for continued technical training. OSMRE provides this required 

training through the National Technical Training Program (NTTP). Technology transfer is a major part of 

OSMRE’s cooperative effort with States and Tribes.

The outcome of TDT program performance is ultimately measured by the success of the regulatory and 

TECHNOLOGY DEVELOPMENT & TRANSFER 

ENCOMPASSES:

Technical Assistance

Technical Training

Technology Transfer
Technology Development and Transfer

Office of Surface Mining Reclamation and Enforcement 68

reclamation programs in carrying out their environmental restoration and protection missions. In addition, 

performance for the business line is measured through the number of staff technically trained (including 

knowledge and skills taught and applied), the utilization of automated technologies (such as TIPS), and the 

quality and timeliness of technical assistance provided by OSMRE, determined via evaluations and 

customer service surveys.

Actions Required to Achieve Annual Goals: In FY 2021, OSMRE plans for continued improvements in 

this business line. The NTTP, TIPS, the National Mine Map Repository (NMMR), and AVS will increase 

access to users by continuing to provide material via the Internet and supporting the Administration’s EGovernment initiative. In addition, the NTTP and TIPS will continue to work with technical leadership to 

provide direction, communication, and coordination efforts related to technical issues and studies.

Resources, Skills, and Technology Needed: An ongoing goal for FY 2021 is to continue ensuring States, 

Tribes, and OSMRE have the best available technical data and information needed to make good sciencebased decisions regarding mining plans, reclamation project design, permit reviews, and acid mine drainage 

remediation and prevention. To implement the surface mining regulatory and reclamation programs, 

OSMRE, as well as the States and Tribes, must maintain multi-disciplinary staffs that are fully competent 

in addressing a wide variety of technical issues that affect these programs.

The total FY 2021 request for this business line is $16.9 million. The request includes $12.1 million for 

Technical Assistance (including the TIPS and AVS support); $2.9 million for Technical Training; and $1.9

million for Technology Transfer efforts to meet the annual goals set forth above.

The following section details by program activity the funding and FTE resources required to meet 

OSMRE’s customer satisfaction performance measures. It also includes examples of the types of technical 

training, assistance efforts, and transfer provided by this business line.
Technology Development and Transfer

Office of Surface Mining Reclamation and Enforcement 69

2021 PROGRAM PERFORMANCE

The following program activities support OSMRE’s goal to strengthen the capabilities of the States, Tribes, 

and OSMRE staff to implement SMCRA effectively through quality technical and scientific information, 

expertise, and training. Skill and knowledge enhancement is critical to the continued success of surface 

mining and reclamation programs. In addition, OSMRE will provide opportunities to students and recent 

graduates, either directly or through cooperative agreements, under various activities described in this 

section to engage young men and women in technical and natural resources activities.

OSMRE’s stakeholders (States, Tribes, the public, and industry) continue to express support for 

Technology Development and Transfer efforts and encourage OSMRE to provide the types of technical 

support needed to effectively and efficiently meet SMCRA, the National Environmental Policy Act, and 

other environmental and safety laws. Helping the States, Tribes and industry achieve up-front compliance 

will reduce the need for additional regulatory resources. The TDT program area described in the following 

pages represents those activities where OSMRE staff provides direct technical support and ongoing efforts 

in other business lines. Many activities not yet conducted in FY 2020 will identify the needs for activities 

in FY 2021. In addition, adjustments in activities may be necessary during FY 2020 and FY 2021 in order 

to focus resources on the highest priority program needs. Therefore, the discussions are representative of 

the types of activities that will be conducted in the future.

1. Technical Assistance

This program activity provides assistance to State and Tribal regulatory and reclamation staff, and to

OSMRE staff that review and monitor State programs, develop rules or policy, litigate SMCRA challenges 

or enforcement actions, or maintain other technical support infrastructure such as TIPS, AVS, and technical 

training programs. The $12,088,000 requested for FY 2021 will fund 55 FTE to carry out these activities.

Technical assistance is provided specific to abandoned mine land projects, civil penalty and bond forfeiture 

projects, and other regulatory matters. These types of endeavors are integral parts of the Environmental 

Restoration and Protection business lines and are not included in this program activity.

OSMRE uses customer surveys, such as those conducted under the Government Performance and Results 

Act (GPRA), to document the responsiveness of OSMRE’s technical assistance to its customers in a timely 

and professional manner. By meeting the technical assistance needs, OSMRE can effectively achieve its 

Environmental Restoration and Environmental Protection mission goals while fostering the efficient use of 

the Nation’s natural resources.

a. Technical Policy Assistance

OSMRE specialists provide technical assistance to State and OSMRE regulatory and reclamation policy 

staffs. The areas of assistance include rulemaking, citizen complaint investigations, review of offsite 

impacts, guideline development, State program amendments, State mining permit evaluation, and AML 

problem evaluation. It also deals with blasting policy, prime farmland reclamation, geomorphic 
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reclamation, soil substitution, placement of coal combustion residue, reclamation bonding sufficiency 

and bond release, threatened and endangered species, restoration of mined land with native vegetation, 

land unsuitability determinations, and participation as technical experts on interagency committees. 

Additionally, the assistance includes acid mine drainage (AMD) prevention and remediation, acid and 

toxic forming materials handling, surface and groundwater dewatering, stream and underground mine 

flooding, mountaintop mining and valley fills; permit findings, remining, impoundment stability, 

subsidence caused by underground mining, and assistance in fostering Tribal primacy by helping Tribes 

develop technical capabilities.

Examples of activities for FY 2020–FY 2021 include:

Blasting: Annually, OSMRE facilitates discussions between State and Federal blasting specialists to 

foster a better understanding of blasting issues and technology that result in consistent defensible 

application of blasting rules, National certification of blasters, and resolution of citizen complaints. To 

achieve these goals in FY 2019, OSMRE conducted State-specific blasting inspection training, utilized 

Excel tools to predict and evaluate the adverse effects of blasting, maintained the OSMRE Blasting 

webpage, hosted monthly Blasting Technical Chat conference calls (15-20 participants monthly), 

facilitated State regulatory discussions at State coordinated workshops, and responded to numerous State 

inquiries for technical information and advice.

OSMRE continues to issue OSMRE Blaster Certificates (recognized by many States for 

certificate/license reciprocity), provide continuing education for blasters, and maintain the Blaster 

Certification Tracking System (BCTS), used to track Federally certified blasters. Currently, 49 blasters 

possess OSMRE Blaster Certificates in the Federal and Indian Lands Program, in the States of Tennessee 

and Washington and in the Navajo and Crow Nations, respectively. In addition, OSMRE facilitates

discussions of the Appalachian Blaster Certification Delegation (ABCD) whose aim is to standardize 

training, experience requirements, and testing of blasters and coordinates the ABCD Blasting Inspectors’ 

Workshop. The goal of the ABCD is to develop consistent certification procedures and enforcement 

actions for blasters, the only other entities besides permit holders that OSMRE and the states regulate.

In FY 2020 and FY 2021, OSMRE will continue to help the States address technology issues related to 

the use of explosives. Included will be support for new products, new design techniques, interpretation 

of seismic and acoustic monitoring information, the proper deployment of blasting seismographs, 

consistent development of blasting plans, blast area security assurances, establishing safe vibration limits, 

control of flyrock, minimization of blast fumes, and proper record keeping. Blaster certification programs 

will continue to be supported to ensure adequate training, improved work experience opportunities, 

consistent testing, and uniform certificate issuance and reciprocity across the Nation. Support will also 

continue at National continuing education events that provide technological and regulatory updates to 

blasters in need of continuing education credits. To ensure that OSMRE continues to promote the best 

technologies currently available, OSMRE will also assist the International Society of Explosives 

Engineers’ Standards Committee develop and maintain performance and field deployment standards for 

blasting seismographs and participate on the National Fire Protection Association’s Technical Committee 

on Explosives that develop standards on the safe use of explosives.
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Dam Safety Program: OSMRE's Dam Safety program has achieved notable accomplishments through 

implementation of newer standards of oversight to help reduce the probability of dam leaking or breaks. 

OSMRE's Dam Safety Team is comprised of Regional Dam Safety Representatives and OSMRE's Dam 

Safety Officer. The team works to review current regulations, directives, guidelines and other 

mechanisms to ensure that current best practices are employed.

The Dam Safety Team meets regularly and is responsible for completing inventory updates and assistance 

in providing data to support the annual DOI Dam Safety Program Performance Report, the biennial 

FEMA report and the annual Army Corps of Engineers report. The dam safety database ranks OSMRE 

dams in accordance with the Hazard classification followed by the U.S. Department of Agriculture, 

Natural Resource Conservation Service Technical Release (TR) No. 60 (2005). The database also 

includes the FEMA 333 hazard classification of High, Significant and Low hazard dams (impoundments).

OSMRE is taking a proactive role in participating in DOI's Working Group on Dam Safety and Security 

(WGDSS) to further delineate more precise language on detailing hazard classification criteria. This will 

facilitate hazard classification characterization schemes within the bureaus. In addition, OSM supports 

joint regulatory activities along with MSHA to review and improve dam safety processes. Team members 

also keep abreast of industry standards through participation in conferences, meetings and work groups 

to maintain the highest standards within the dam safety arena. OSMRE recognizes the importance of the 

dam safety program in providing a mechanism to improve risk reduction in the design, construction and 

maintenance of mining operation activities. 

Acid Mine Drainage (AMD): Surface and underground coal mining activities expose iron sulfide 

minerals in rock to weathering. The interaction of these rocks/minerals with air and water can result in 

AMD, and/or metal-rich drainage, which are the primary water quality problems in Appalachia and to a 

lesser, but still serious, extent in other coal and hard rock mining regions.

OSMRE will continue to participate in the Mine Drainage Technology Initiative (MDTI) (formally 

known as Acid Drainage Technology Initiative (ADTI)) in FY 2020 and FY 2021. MDTI is a 

collaborative effort among Federal agencies, industry, State environmental agencies, academia, and the 

National Mine Land Reclamation Center to promote communication and technology enhancement in the 

fields of emerging mine water issues, particularly AMD, selenium and specific conductance prediction, 

prevention and treatment, and biological impacts.

AMDTreat Software: AMDTreat is a computer application developed by OSMRE that is the industry 

standard for estimating long-term treatment costs for polluted mine water drainage, commonly referred 

to as acid mine drainage (AMD). Users include watershed associations, regulatory and abandoned mined 

land state programs, environmental groups and industry located in over 40 States and across 40 countries. 

As a result, most Appalachian States rely on AMDTreat to help support various aspects of their regulatory 

and abandoned mine land programs. For example, Pennsylvania Department of Environmental 

Protection requires operators and permit reviewers to use AMDTreat to calculate or substantiate treatment 

costs for all 217 long-term discharges covered by 54 bonds and 68 trust funds. The fact that AMDTreat 

has been used to calculate and substantiate in excess of $400 million of treatment liability in Pennsylvania 

is a testament to the importance of the software in supporting State programs.
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Since FY 2016, OSMRE has invested over $614,000 on a cooperative project to update the computer 

coding and enhance treatment modules of AMDTreat, completing all 16 modules in Phase I of the 

project as of the end of FY 2019. Coding for Phase II of the project has been competitively bid and 

awarded. Phase II work includes 6 advanced treatment modules and 17 tools, along with a report utility 

and help function. Phase II work will continue through FY2020 and into FY2021 with an estimated 

completion date of April 2021. The cooperative effort to perform the recoding and enhancement 

includes OSMRE, the United States Geological Service (USGS), and the regulatory authorities of 

Pennsylvania and West Virginia.

Designating Areas Unsuitable for Surface Coal Mining: Section 522 of SMCRA establishes a process 

by which the public may petition the regulatory authority to limit or prohibit all or certain types of surface 

coal mining operations on land areas to protect certain features or environmental values. OSMRE 

receives and processes these petitions for all lands for which it is the regulatory authority. The decisionmaking process includes preparation of an environmental impact statement and a takings implication 

assessment.

OSMRE also is responsible for making valid existing rights (VER) determinations under section 522(e) 

of SMCRA for all Federal lands and all lands for which OSMRE is the regulatory authority. Section 

522(e) prohibits or limits surface coal mining operating within certain areas, subject to valid existing 

rights.

Both unsuitability determinations and VER determinations require substantial technical and 

programmatic resources and are supported by the Environmental Protection business line. They also 

involve litigation support if a takings claim is subsequently filed against the Federal Government.

b. Site-Specific Technical Assistance 

OSMRE specialists assist in the technical aspects of compliance monitoring (including inspection and 

enforcement assistance), experimental practice reviews, reclamation cost estimate calculation, bond 

release application reviews, bond approval reviews, bond forfeiture reclamation designs, land 

unsuitability determinations, surveying, revegetation, geologic sampling, AML designs, subsidence and 

AMD abatement, and any technical assistance on citizen complaints and ten-day notices. The following 

are examples of the types of assistance provided to States and Tribes.

The Wilds Ohio Mine Drainage and Impoundment Assessment, Ohio: OSMRE is working cooperatively 

with The Wilds, a 9,000-acre park that fosters numerous rare and endangered species from around the 

world. The focus of this work is to remove a series of AML impoundments and to develop passive 

treatment systems to treat legacy acidic, metal-laden mine drainage. Encompassing much of the northern 

portion of the park are numerous abandoned, poorly constructed impoundments with degraded mine 

water posing safety hazards. Ohio Department of Natural Resources, Division of Water Resources plans 

to remove several hazardous dams that were created decades ago when the site was surface mined (prelaw). The Wilds requested our technical support to determine the hydrologic impacts (mainly quality) 

that might occur once the dams are removed. Initially, an overall assessment was conducted of the water 
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quality both in the impoundments and in receiving streams. Based on what was learned, OSMRE was 

able to discern the impact removal would cause by the construction of low maintenance passive treatment 

systems developed to manage the numerous mine drainage sources. One of the larger impoundments 

known as “Dead Lake” has been targeted as the first impoundment to be dewatered and a treatment system 

is under design to handle the mine drainage. Several options are being developed to allow The Wilds to 

select the one(s) that best suit their long-term objectives.

West Virginia and OSMRE Cooperative Assistance Plan: OSMRE scientists are working with West 

Virginia Department of Environmental Protection (WVDEP) to gather measurements of turbidity,

temperature, Specific Conductance, and TSS in streams located withinwatersheds of known threatened 

and endangered crayfish presence. Major tributaries will be monitored for sediment-loading

contributions from coal mining activity and other anthropogenic activities. Coal-mining facilities

will be evaluated, directly, by bracketing permitted areas and through direct deployment of monitors

to assess contributions from sediment control structures.

Isabella Mine Complex, Pennsylvania: OSMRE is continuing to provide considerable technical support 

to treat acid, metal-laden mine drainage, reclaim a mine coal refuse and partially dewater an existing 

impoundment for the Pennsylvania Department of Environmental Protection (PADEP). The project 

includes developing a large passive water treatment system for several mine discharges. The existing 

exposed, unreclaimed coal refuse piles will be regraded to afford positive drainage as well as topsoiled 

and vegetated. The effort will improve an existing impoundment with a surface area of over 40 acres that 

presently has no engineered decant system. This has resulted in continued accumulation of water into the 

impoundment from precipitation events and flooding of a nearby township road. 

OSMRE activities conducted in FY 2019 included design and oversight of the construction and operation 

of an emergency dewatering system to prevent catastrophic failure of the impoundment embankment. 

Additional efforts included installation of flow monitoring equipment (flumes) and water sampling of the 

primary mine drainage sources, and hydrologic/hydraulic analysis of the impoundment drainage area to 

enable completion of conceptual designs of the outlet/spillway. As part of the planned actions, it was 

determined that multiple utilities exist within the site including pressurized natural gas lines and a nonpotable water line for nearby gas well pads. Planned activities for FY 2020 include completion of 

conceptual designs of the principal and emergency impoundment outlets/spillways, reclamation of coarse 

and fine coal refuse areas, and design of a complex passive treatment system for the multiple mine 

drainage sources, along with other continued support to PADEP.

Sediment Impacts to Receiving Streams with Threatened and Endangered Crayfish Species, West 

Virginia: OSMRE is working in cooperation with the WVDEP to ascertain the impacts of sediment on 

stream habitat of the recently listed as threatened or endangered Guyandotte and Big Sandy crayfish. 

Water quality and flow measurements are being collected in response to precipitation events and are being 

augmented by continuous in-stream monitoring with data turbidity logging meters. The study will 

determine the origin(s) of the sediment and if existing erosion and sedimentation controls used by the 

mining operations and approved by the WVDEP are effective in protecting these species. The effort will 

assist the WVDEP to better manage mine sites to minimize impacts to habitats where threatened and 

endangered crayfish live.
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The Banning Euclid Project, Pennsylvania: OSMRE is providing technical assistance to the PADEP on a 

hydrologic characterization of a large underground mine complex located in Westmoreland County. 

PADEP oversees the treatment of mine water discharges for this complex as well as the mine drainage 

treatment trust funds, which support the facilities. The project involves collecting multiple data sets 

including water levels in the mine systems, and water quantity and quality data across 28,000 acres of 

mine workings. OSMRE will provide a recommendation to PADEP for the design and location of a water 

treatment facility to pump and treat water from this large mine pool complex. Currently there are two 

outdated water treatment facilities in need of major upgrading or complete replacement. OSMRE will 

provide the needed assistance to develop treatment site selection options, characterize the existing mine 

pool complex and develop a conceptual treatment system with cost estimates. Without this treatment 

complex, a significant portion of the lower reaches of the Youghiogheny River will be severely degraded 

by mine drainage affecting recreational uses.

Old Bevier AML Passive Treatment System Rehabilitation, Missouri: In FY 2019, Missouri Department 

of Natural Resources Land Reclamation Program (MDNR-LRP) requested assistance in preparing the 

engineering design for reconstruction of the Old Bevier passive treatment system in Missouri. The 

original AMD passive treatment system was constructed in 2001, and the treatment’s performance 

declined gradually over time. Following a site investigation and an OSMRE-assisted CAD redesign, 

KDNR-LRP is considering to rebuild two critical components known as vertical flow ponds during the 

fall and winter of 2019/2020. OSMRE will assist Missouri throughout the reconstruction process and 

post-construction evaluation phases.

Germantown AML Passive Treatment System Design and Performance Evaluation, Missouri: During 

FY2019, Missouri Department of Natural Resources Land Reclamation Program (MDNR-LRP) 

requested assistance for the post-construction operation and monitoring of six AMD passive treatment 

systems constructed at the Germantown AML site in western Missouri. OSMRE assisted in the site 

investigation, design and construction of these facilities between 2016 and 2018. Operational 

enhancements are ongoing which will improve AMD remediation in this large 4 square mile site.

Monahan AML Passive Treatment System Design, Kansas: Kansas Department of Health and 

Environment (KDHE) requested OSMRE to review an engineering proposal for the Monahan AML 

project site and for UAS flights over the project site to showcase the project before/during/post 

construction. Water sampling may also be conducted during OSMRE’s next visit as part of a rare earth 

element study.

Illinois AML Emergency Assistance: Technical support was provided to the Illinois Land Reclamation 

Division (LRD) concerning Illinois AML Emergency - Oleander Mine Shaft Collapse 2018 Phase III. 

Substantively, the project involves remediating the partial collapse of a vertical mine shaft having caused 

a large diameter hole to form that threatens public safety including nearby high speed railroad tracks. 

Adding to the complexity of the project is that the manner and completeness in which the shaft was 

previously filled in unknown and, very thick overburden comprised of unconsolidated glacial outwash 

materials that are highly mobile. Under such conditions an extremely large hole can rapidly form with 
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little or no advanced warning. Investigative techniques and stabilization design were established 

collaboratively and implemented successfully.

Mine Water Treatment Systems Efficiency Evaluation: Numerous cases of active and abandoned mine 

water treatment systems exist throughout the Appalachian region. The efficacy of these systems is often 

well below optimum conditions due to a variety of reasons. Abandoned mine water treatment systems 

are generally operated by State agencies or local non-government organizations and require continual 

funding for ongoing operations and maintenance (O&M). Water treatment at active mine sites has the 

statutory requirement of treating to meet National Pollutant Discharge Elimination System (NPDES) 

effluent standards. Sufficient bonding is required to assure that treatment continues until the water quality 

meets effluent standards without treatment; which in many instances lasts for decades. Characterization 

of the mine water treatment systems allows for determination of the estimated time period that treatment 

may be necessary, methods for improvement of the existing treatment system efficiency, and cost to 

construct and operate new or replacement treatment systems as well as the potential for employing new 

innovative technologies to save capital, labor and materials costs. Many existing treatment systems were 

designed and constructed based on technology developed many years ago. New technologies and methods 

(e.g., use of high-strength hydrogen peroxide as an oxidant for iron removal) have been shown to greatly 

reduce treatment costs and diminish the volume of residual sludge created during treatment.

In FY 2019, OSMRE continued evaluating numerous mine water treatment facilities in West Virginia, 

Virginia, Pennsylvania, Kentucky, and Tennessee. Approximately 21 active permit sites in Tennessee 

are being evaluated by OSMRE and technical support has been provided for the long-term treatment 

liability of perpetual mine water discharges. Upon request, operators have provided mapping of the 

permit area including treatment facilities, water quality and flow data, and long-term costs for O&M

of the existing treatment facilities. Based on the information provided by the operator, OSMRE evaluates 

the current treatment approach and provides suggested improvements or new treatment technologies 

along with the associated capital and annual (O&M) costs for each mine discharge. In Tennessee, 

OSMRE uses the establishment of long-term financial assurances financed by the operator to provide 

perpetual funding for the O&M and capital improvements of mine water treatment facilities. OSMRE 

has provided technical assistance in the form of conceptual passive treatment system layouts for four 

different civil penalty sites with perpetual mine water discharges. The passive treatment systems at each 

site either have been constructed or are currently under construction through contracts administered by

OSMRE.

In FY 2019, OSMRE provided technical assistance to Pennsylvania Department of Environmental 

Protection (PADEP) and Virginia Department of Mines, Minerals, & Energy related to existing passive 

treatment systems for mine water discharges that are not functioning as intended. OSMRE personnel 

conducted site visits, sampled waters within each system to evaluate performance, measured flows, 

conducted flow tracer tests, and reviewed information provided by the agencies related to the engineering 

design and historic water quality and flow data. Based on all of this information OSMRE is able to 

provide the respective agency with recommendations and, where applicable, an improvement plan to 

rebuild the entire system or replace specific components of a system to improve the treatment 

effectiveness and minimize future issues. Specifically, OSMRE recommended improvements to an 

existing passive treatment system at the Flight 93 Memorial, Monastery Run and Shade Creek in 
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Pennsylvania in order to improve collection of the mine water and the passive treatment system 

components to improve the receiving streams.

Kittanning Run Image Processing Assistance, Pennsylvania: The PADEP Bureau of Abandoned Mine 

Reclamation requested technical assistance from OSMRE to process existing scanned aerial photographs 

to create a composite aerial image related to the hydrology of Kittanning Run.

Engineering Evaluations, Analyses, and Investigations: OSMRE continues to provide engineering 

support to OSMRE field offices and State regulatory authorities in support of SMCRA. Field 

investigations and recommendations are provided to assist with citizen complaints, Ten-Day Notices, and 

Deficiency Letters. Site investigations are performed to obtain field data to support engineering 

evaluations and analyses for slurry impoundments, oversight studies, and off-site impacts resulting from 

mining activities. Engineering support is provided through evaluations of design calculations, slope 

stability analyses, soil mechanics, surface water hydrology, seepage analyses, erosion and sediment 

control, cost estimating, and the preparation of Engineering Reports. OSMRE is currently providing 

engineering assistance on the following projects in West Virginia, Tennessee, and Kentucky: Slurry 

impoundments requiring engineering assistance to address staging issues and slope stability concerns for 

upstream construction and a proposed downstream buttress. Evaluation of proposed remediation plans 

continued throughout FY 2019. OSMRE also provided engineering support by evaluating engineering 

aspects of two experimental practices involving highwall retention which involve long term rock stability 

concerns.

c. National Mine Map Repository

In FY 2020, OSMRE is celebrating the 50th Anniversary of the National Mine Map Repository (NMMR). 

NMMR was authorized under the former U.S. Bureau of Mines and subsequently transferred to OSMRE 

in the mid-1980s. This repository, located in Pittsburgh, Pennsylvania, maintains the only National 

inventory of mine maps and includes more than 178,000 abandoned coal and non-coal underground mines 

from throughout the United States. These maps, and the associated information, are used to fulfill 

customer requests for unique information that can range from rare maps for small projects to National 

collections for large interstate infrastructure projects such as high speed rail or electricity transmission 

lines. The maps bring great value to any project that depends on knowing the subsurface conditions of

the earth for infrastructure design or public safety projects. Underground voids resulting from past mining 

have the potential to induce subsidence damage to homes, businesses, infrastructure, and to endanger 

underground miners. NMMR customers include State regulatory and reclamation staff, local government 

agencies, developers, engineering and mining companies, architects, universities, law firms, insurance 

companies, environmental consultants, pollution control boards, realtors, law-enforcement agencies, 

historical societies, drilling companies, and homeowners. The NMMR also provides scanning of mine 

maps for its clients; these maps are then placed into the NMMR archives. Receipts from the sale of maps 

and charges for NMMR research services are minimal and support the program.

The NMMR continues to pursue the acquisition, digitizing, geo-referencing and archiving of mine maps 

located throughout the United States. During FY 2019, OSMRE significantly increased collection of 

Texas, Kentucky, Pennsylvania, West Virginia, and Idaho mine map scans. Through this effort, the 
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NMMR increased the archives by scanning 616 new mine maps. New software has been purchased to 

enable timelier scan processing and greater accessibility of maps in the collection. During FY 2019, the 

NMMR received 173 client requests consisting of 5,409 mine maps.

d. Coal Information Management System (CIMS)

Coal mine operations need a convenient, efficient, and cost effective method of applying for, and 

monitoring the status of permit applications issued under SMCRA. While some States have fully 

integrated electronic information systems many, including the Federal Programs administered by 

OSMRE, have not. In FY 2018, as an example of State and Federal collaboration and cooperation, 

OSMRE entered into a cooperative agreement with the Montana Department of Environmental Quality 

(MTDEQ) to upgrade and modernize the Montana and OSMRE electronic permitting systems. The effort 

was undertaken in a manner that provides the ability for other States to adopt the system at no or low 

cost, if they so choose. Under CIMS, mine operators will be able to plan and monitor multiple phases of 

applications and permits in an interactive, geospatial manner not currently possible with traditional, 

paper-based applications and processes. The system will automate the workflow between operators and 

regulatory authorities and provide accountability for all parties at all stages of the review process. The 

system and individual applications are designed so that the SMCRA States, Federal, and potential Tribal 

regulatory programs will have the ability to modify the system to fit their unique needs, realizing 

economies of scale associated with system development costs and improved effectiveness through lessons 

learned during the current effort.

In FY 2018, Release 1 of the electronic permit system (ePermit), an application within the CIMS suite of 

tools, was developed, tested, underwent final development, and was deployed for OSMRE’s Federal 

Programs in the western United States. Release 2 of ePermit was completed in FY 2019, is currently 

operational and provides enhanced capability to meet the needs of the Federal Programs in the western 

United States and the State of Tennessee. In FY 2020, the Coal App, another application within CIMS, 

will be developed and tested. This application will track permitting and enforcement timeframes, issue 

assignments, and report on permit, bond, and enforcement information. The MTDEQ version of Coal 

App is complete and undergoing beta testing. The Federal Programs version of Coal App is currently 

under development and will refine the MTDEQ version to meet the specific needs of the Federal 

Programs.

e. Technical Innovation and Professional Services (TIPS)

The goal of TIPS isto provide State, Tribal, and OSMRE personnel with a comprehensive set of analytical 

tools to aid in technical decision-making related to regulatory and reclamation processes. The services 

provided focus around off-the-shelf scientific and engineering computer software and technical hardware 

supported by OSMRE in partnership with the States and Tribes. This technical assistance has grown 

from a few applications available on a single specially designed shared workstation, to a suite of software 

on each user’s desktop computer. TIPS hardware is available for loan to States and Tribes to advance 

reclamation projects Nationwide.

TIPS is a National program that continues to research and apply emerging technologies to SMCRA 
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workflows. Currently, TIPS assistance consists of providing commercial software applications and 

hardware to State, Tribal, and OSMRE offices at considerable cost savings by sharing the commercial 

licenses for the software via the Internet and OSMRE Wide Area Network. The 27 commercially 

available software applications cover a wide range of regulatory and AML subjects. The customer base 

covers over 90 State, Tribal, and OSMRE office locations throughout the country – about 2,000 users.

The TIPS suite of scientific, hydrologic, and mapping core software aids the technical decision- making 

associated with: (1) permit reviews, (2) performing cumulative hydrologic impact assessments, (3) 

quantifying potential effects of coal mining, (4) preventing acid mine drainage, (5) quantifying 

subsidence impacts, (6) measuring revegetation success, (7) assisting in the design of abandoned mine 

lands projects, and (8) providing the scientific basis for environmental assessments and environmental 

impact statements.

Demand for TIPS tools and support continues to increase, especially in geospatial data, and mobile 

computing tools for field use. TIPS is offering more on-site training to accommodate the use of mobile 

computing devices by inspectors. Mobile computing allows inspectors to be more efficient in the field 

in resolving issues with primacy State staff and industry. TIPS software users in States, Tribes and 

OSMRE logged into TIPS core software servers to check out licenses to aid in the permitting process and 

achieve abandoned mine land reclamation.

Examples of TIPS related activities include: 

GeoMine Project (Geographic Information System): A new web interface for GeoMine was released to 

the public in 2019. This new version of GeoMine integrated new data layers from State and Federal 

governments and was redesigned to work with new web browsers. In FY 2019, OSMRE continued to 

collaborate with the DOI Cloud team to host GeoMine geospatial data services through a secure, 

FedRAMP-approved vendor. 

GIS Mobile Computing: In FY 2019, OSMRE continued the use of tablets and smartphones that can 

display and collect geospatial data while at the mine site. The base data for the systems comes from 

GeoMine allowing field personnel to display data along with their Global Positioning System (GPS) 

location. Data collected in the field is synchronized to the GIS server and was made available to anyone 

in the OSMRE network via a web map.

Emerging Technology Testing (Mobile Computing Devices): Widespread adoption of smartphone and 

tablet technologies within the general population over the past few years has greatly enhanced the 

technical capabilities and adaptability of State, Tribal, and OSMRE staff. Success of previous efforts 

toward testing of mobile devices, and training of inspection field staff in their use was often limited due 

to the steep learning curves associated with those devices. The personal adoption and familiarity with 

smartphones has given field staff more confidence in their ability to learn and productively adopt 

technology associated with smartphones (various apps and Bluetooth connected devices). OSMRE staff 

has been working to test the functionality and effectiveness of various GPS, laser measurement, water 

testing and infrared devices that are smartphone compatible.
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Emerging Technology Testing (Survey123 Forms): Survey123 is a simple and intuitive form-centric data 

gathering application that makes creating, sharing, and analyzing surveys or geospatial dataset possible 

in just few steps. Survey123 forms are designed to answer questions; geo point locations, select from 

prepopulated answers, show more options based on previously answered question, take geo tagged 

pictures, and record other useful attributes. The forms can be submitted as completed in realtime or later 

at the user’s convenience. The data generated from Survey123 can be used in other GIS Apps or software 

platforms such as ArcMap, ArcGIS Pro, Global Mapper, AutoCad, and more.

Emerging Technology Testing (Photogrammetry. Cloud-based Data Processing and Ground-Based 

LiDAR Scanners): Photogrammetry software has been utilized successfully to create fully rendered 

surface models taken from satellites, manned aircraft, unmanned aircraft, and ground- based imagery. 

Cloud-based data processing of data and imagery is being piloted through the DOI GeoPlatform to realize 

efficiencies of server-side processing of large datasets. Ground-based Light Detection and Ranging 

(LiDAR) scanners are also being used in conjunction with these photogrammetric models to allow for 

accurate surface modeling for enforcement and reclamation design. In FY 2019 most SMCRA States 

had adopted or were in the process of setting up programs to make use of these systems and the variety 

of sensors.

ArcGIS Online: In 2019, the ArcGIS Online web mapping system continued to be available to SMCRA 

States. Twenty-seven States are participating in the web mapping system allowing States and OSMRE 

to share geospatial data. In 2019 adoption of this web mapping platform for Title IV and Title V projects 

continued to grow with over 450 individual users.

f. Applicant/Violator System (AVS)

Section 510c of the Surface Mining Control and Reclamation Act (SMCRA) requires all SMCRA permit 

applicants to disclose the ownership and control (O&C), and violation history, of all entities associated 

with a proposed mining operation. The state regulatory authorities (SRA) enter this ownership and 

controller information, and violation history, from the permit applications into the Applicant Violator 

System (AVS). The AVS serves as a warehouse of O&C and violation information for each coal mine 

permit across the U.S. 

Prior to issuance of a permit to mine coal, issue a significant revision, or authorize a contractor on an 

AML project, the SRA is required to conduct a background check of the coal company, its officers, 

operators, and other entities meeting the definition of owner or controller prior to issuing a permit or 

approving AML work. Section 510c of the Act states no applicant will receive a permit to mine coal, or 

conduct AML work, if they have outstanding violations. 

The purpose of the AVS is to serve as a database for all ownership and control, and violation history for 

all owners and controllers of permitted coal operations across the country. The AVS assists the SRAs 

with the required background checks to ensure no owner or controller, or AML contractor, with unabated 

violations receives a permit. The AVS produces a report that outlines the current O&C information and 

violation activity for each owner, controller, and/or entity associated with a coal mine permit. SRAs then 

use these evaluations to assist in their determination of coal mining permit issuance or denial and 
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Office of Surface Mining Reclamation and Enforcement 80

authorities to proceed for AML projects.

During FY 2019, the AVS Office processed over 600 requests for data evaluations from State and Federal 

regulatory authorities and State abandoned mine land program officials to assist in identifying permit and 

AML-project eligibility problems.

In FY 2019, the AVS Office also facilitated the collection of $8,349,896 from entities trying to remedy 

unabated Federal civil penalty and reclamation fee violations tracked in the AVS.

In line with the Department’s intent in pursuing IT efficiencies, the AVS’s virtualized database uses 

Cloud infrastructure services from a third-party contractor. In FY 2020, the AVS office is reviewing 

proposals to continue the cloud-based hosting service for the AVS. This effort will secure a long-term 

environment for the AVS and ensure the hosting environment meets all federal and Department IT 

requirements.

Also in FY 2020, the AVS will begin the process of modernization. An enhancement project in FY 2019 

is intended to increase the system’s functionality, improve reliability, and correct some of the known 

issues of the system. While the enhancement project made certain aspects of the AVS more user friendly, 

it has exposed other system functionality issues. To avoid concerns with system inoperability, the 

modernization effort will continue with an expected contractual obligation in late FY 2020. The 

development and testing team will include OSMRE staff and State users to develop the final product.

The AVS office will continue to work with system users throughout the modernization process to identify 

and implement system improvements during FY 2020. To ensure that customers can continue to rely on 

accurate data, and a stable IT environment, in support of their efforts with implementing section 510(c) 

of SMCRA, OSMRE’s AVS staff will continue to conduct data studies in FY 2020 and FY 2021. These 

studies will ensure data contained in the AVS is accurate, timely, of high quality and in accordance with 

applicable regulations and data standards.

The AVS Office staff provides services to customers, including regulatory authorities, the coal industry, 

citizens groups, and other Federal agencies. Some of the services provided include an ongoing 

notification process for OSMRE and our State regulatory partners in identifying bankruptcies; financial 

analysis of SMCRA actions; assistance in interpreting AVS regulations; updating information in the AVS 

for multi-state coal businesses; providing AVS training to users; and providing investigative assistance 

to regulatory authorities on complex ownership and control issues.

Customer surveys are used to document the responsiveness of AVS services provided to its customers. 

During FY 2019, the AVS Office received a customer satisfaction rating of 98 percent with a returned 

survey rate of 55 percent. OSMRE attributes the high 98 percent customer service rating to a shared 

conviction by all AVS staff that responding to customers’ needs in a timely manner is a high priority

2. Technical Training

Technical Training provides OSMRE, State, and Tribal staff the necessary information and skills to 
Technology Development and Transfer

Office of Surface Mining Reclamation and Enforcement 81

implement the surface mining reclamation and enforcement program. This request includes

$2,874,000 and 26 FTE for this program activity. The various training program components are explained 

below.

a. National Technical Training Program

OSMRE established the National Technical Training Program (NTTP) in 1985, recognizing the need for 

an ongoing educational program to increase the technical competence and professionalism of Federal, 

State, and Tribal personnel. The program delivers training related to permit approval, bond release, 

reclamation, and enforcement. The training serves to build and update technical expertise and fosters 

consistent application of standards. Training is provided in each of the disciplines involved in 

implementation of SMCRA, which include chemistry, geology, engineering, hydrology, blasting, 

agronomy, and botany.

All aspects of the program from identification of needs through course development and presentation are 

cooperative efforts of State, Tribal, and OSMRE offices. There is an economy of scale achieved by the 

pooling of State and Federal resources that allows instruction in a wide variety of subjects each year for 

all State, Tribal, and OSMRE programs.

Meeting Office Specific Needs of Mining and Reclamation Staff through Special Sessions: In addition 

to regularly scheduled FY 2019 courses, NTTP presented a special session on Bonding: Cost Estimation91, held in New Stanton, PA with 25 students.

Course Enhancements: The Bonding: Cost Estimation course was enhanced through the update of course 

curriculum and presentations. Additionally, work was undertaken to update the handbook for calculation 

of reclamation bond amounts. The AML Realty and AML Design Workshop: Dangerous Highwalls 

courses were revised to provide course participants with updated course and presentation materials. The 

Acid Forming Materials: Fundamentals & Applications course underwent an update and eliminated 

redundancy of training materials, creating an improved sequential course addressing the needs of the 

course participants.

Plans for FY 2020 and FY 2021: NTTP received 1,631 requests for spaces in FY 2020, and anticipates 

it will receive additional requests for special sessions during the year. To keep travel costs down and to 

provide the maximum experience of field conditions most like those that students work in, courses will 

be scheduled as close to home offices as possible in both FY 2020 and FY 2021. In FY 2019, courses 

were held in 23 locations in 10 States.

Annual Program Planning to Identify Training Needs: Each spring, OSMRE conducts a Training Needs 

Survey for the upcoming fiscal year to determine the training needs of the almost 2,000 State and Tribal 

regulatory and reclamation staff, as well as over 400 OSMRE regulatory and reclamation staff. NTTP 

analyzes the annual survey results to determine if there is sufficient interest to justify a course, and if so, 

how many sessions of the course are needed. Students are assigned to classes that are closest to their 

office to minimize travel costs and to provide students with field experience most similar to their 

geographic working conditions. The number of requests for courses usually exceeds the number that 

NTTP can offer. Students who are not assigned to classes are put on a waiting list. Those on the waiting 
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Office of Surface Mining Reclamation and Enforcement 82

list are notified 30 days prior to class if space becomes available. To address changing on-the-ground 

needs, NTTP staff continues to work with offices to meet subject specific needs that arise subsequent to 

the annual needs survey. To assure that students are receiving the latest technical and programmatic 

information, NTTP continually reviews courses based on student, supervisor, and instructor feedback, 

and revises or add courses accordingly in consultation with the NTTP Steering Committee.

Course Revisions: FY 2020 and FY 2021 course revisions are planned for Advanced NEPA, Wetlands 

Awareness, Applied Engineering Principles, Erosion and Sediment Control, Passive Treatment and 

Historical and Archeological Resources, Quantitative Hydrology, and SMCRA and ESA.

On Line Program Planning: FY 2020 and FY 2021 planning includes development for on-line 

components of the Coalfield Communication course.

b. TIPS Software Application Training

The tools that TIPS provides to State, Tribal, and Federal offices ensure that all agencies with SMCRA 

responsibilities are using the same advanced software and hardware tools to conduct the business required 

by the Act. TIPS offers more than just software and hardware; the program also provides specialized 

training to use these tools in mining and reclamation. The TIPS Training Program is a collaborative effort 

among OSMRE, States, and Tribes. Course developers and instructors are reclamation experts who use 

TIPS software to solve a wide-range of complex permitting, enforcement and abandoned mine land 

problems. Although most of TIPS tools are off-the-shelf applications, TIPS training is tailored 

exclusively to mining and reclamation uses. TIPS courses are delivered on-site at the customer’s request, 

and in training centers located in OSMRE’s offices in Alton, Illinois; Pittsburgh, Pennsylvania, and at 

vendor training centers in Denver, CO.

In FY 2019, the TIPS training program received a customer satisfaction rating of 98 percent, exceeding 

the annual GPRA goal of 96 percent. Eleven instructor-led classes were held in FY 2019 with 118 

students completing class sessions. Additionally, 32 students attended three on-line self-study training 

classes sponsored by TIPS, bringing the FY 2019 total to 150 students. Two of the 11 on-site training 

classes were conducted at Kentucky State University’s GIS Lab and one was held at a commercial training 

center in Albuquerque, NM to meet the specific training needs of particular groups of students throughout 

the SMCRA community. Additionally in FY 2019 and continuing into FY2020, there was course 

development for a combined NTTP/TIPS class: Mine Pool Predictions Using Global Mapper. In FY 2020, 

TIPS plans to hold 23 instructor-led classes (including several special sessions: Window Rock, AZ; 

Jasper, AL; Austin, TX; Ebensburg, PA; and New Stanton, PA), and one on-line training courses. Also, 

in FY 2020, there are course revisions planned for Aqtesolv, Groundwater Vistas, ArcGIS Pro 200, and 

course development for Remote Sensing Fundamentals.

While many TIPS courses are facilitated by an instructor in a traditional classroom, the TIPS Training 

Program continues to actively expand online opportunities and provide “just-in-time” training resources 

for our customers. Over 100 online courses are available through the TIPS Virtual Campus and ESRI, 

which is the world leader in GIS modeling and mapping. TIPS utilizes its Virtual Campus and continues 

to educate our instructors on techniques to teach in an on-line environment.
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Office of Surface Mining Reclamation and Enforcement 83

c. Regional/Site Specific Training

OSMRE also conducts courses and workshops at OSMRE, State and Tribal locations to address specific 

needs. OSMRE provides specific, on-the-job training on topics such as: technical software applications, 

field equipment, blasting certificate update training, grants management, how to prepare and/or process 

State program amendments, GIS data collection, performance bond cost estimation, and conducting AML 

project design. OSMRE provides these classes on short notice (usually 1 to 3 months) and tailors them 

to the specific needs of the audience.

Kansas GIS Training: Kansas submitted a technical assistance request for basic GIS and mobile 

computing application training for their two new employees. OSMRE agreed to provide the training. 

Training Support staff arranged a training session in December 2018 at Kansas’ state office in Frontenac, 

Kansas. Kansas also requested technical assistance and project design review for Emergency backfilling 

operations intending to remediate pit subsidence having formed in the road surface of a major highway 

and to prevent future subsidence. The Highway 7 has had reoccurring subsidence problems associated 

with an underground coal mine having unknown extent. Geophysical investigative techniques and 

geotechnical solutions were provided the state. 

Statewide Blasting Training: West Virginia and Kentucky received specialized blasting training for over 

150 inspectors. Until recently, designated blasting specialists conducted blasting inspections. These 

duties have been transferred to the general inspection staff as a way to manage dwindling resources. The 

OSMRE-developed State specific training ensures that the inspectors have the knowledge and tools to 

effectively regulate the blasting aspects of coal mining. The classes were delivered at each state regional 

office over a period of three months in a way that required inspection frequencies were not impacted by 

class attendance.

West Virginia Blast Plan Workshop: West Virginia requested a workshop to guide State personnel in 

consistent and clear statewide development of permit blast plans. Nineteen permit reviewers participated 

in the workshop that addressed consistent application of the performance standards: preblasting surveys, 

blasting schedules, warning signals, blast area security, signage, ground vibrations, airblast, flyrock,

fumes and blasting records. Blast plans are the primary guide that blasters and inspectors use in the field 

to achieve safe and compliant blasting.

Site-specific classes allow State, Tribal and OSMRE managers to respond quickly to changing technology 

and workforce. OSMRE plans to continue providing this specific training in FY 2020 and FY 2021. With 

rapidly developing technologies in photogrammetry and terrestrial scanning, OSMRE expects the 

requests for specialized training to increase over the next few fiscal years. As the varying programs 

acquire their own systems in these fields, training on operation, data collection, processing and using the 

results in enforcement processes will be essential to the efficient enforcement of SMCRA in coming 

years.

3. Technology Transfer
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Office of Surface Mining Reclamation and Enforcement 84

Technology Transfer is an integral component of OSMRE’s Restoration and Protection business lines 

providing National support to State and Tribal programs. Technology Transfer is accomplished through a 

variety of activities. This request includes $1,934,000 and 12 FTE for these activities. State technical 

representatives meet frequently with OSMRE regional staff to share resources whenever practicable to 

resolve regional technical issues. OSMRE sponsors or participates in interactive technical forums, 

computer applications workshops, and technical seminars to address mining and reclamation environmental 

issues. OSMRE partners with the States, Tribes and industry to develop technology transfer priorities.

The OSMRE National and regional technology transfer teams evaluate initiatives to encourage networking 

and information sharing that will result in program improvement or enhancement. OSMRE’s Technology 

Transfer activities bring a new approach to nationwide cooperation and customer service. They encourage 

the timely and efficient use of our natural resources while protecting the environment.

In addition to activities between OSMRE and States, Tribes and industry, OSMRE has extended 

Technology Transfer opportunities to other Federal agencies, in particular the Mine Safety and Health 

Administration (MSHA). When seats are available in OSMRE training classes they have been made 

available to MSHA. OSMRE also informs MSHA representatives of funded Applied Science projects, and 

invites their participation in site and laboratory visits; and asks for their comments regarding conduct and 

results of these studies.

2019 American Society of Mining & Reclamation (ASMR) Conference: OSMRE staff attended the 36th

annual ASMR conference held on June 3-7, 2019 in Big Sky Resort, Montana. During the event, staff 

members from several OSMRE offices managed the OSMRE booth. The conference attendance was 

around 200 and included exhibitors.

2019 National Association of Abandoned Mined Lands (NAAMLP) Conference: OSMRE staff assisted 

with the 41st annual ASMR conference held September 9-12, 2019 in Pittsburgh Pennsylvania. OSMRE 

assisted in the planning and execution of this marque event for the technological transfer of up-to-date 

information and techniques of mine land reclamation. The conference had over 400 attendees, attracting 

the largest attendance ever at the yearly event.

a. Technology Development 

One of OSMRE’s most important missions is to advance and transfer technologies that will improve the 

effectiveness and efficiency of the science of mine land reclamation. Advancement of this technology 

will result in better mining and reclamation practices, and provide for better science-based decisionmaking. OSMRE will continue to advance technologies and practices specific to coal mine sites for more 

comprehensive ecosystem restoration, including reforestation and reclamation using native vegetation 

and plant habitat.

b. Technology Transfer and Publications

Technology Transfer is accomplished through a variety of activities including: conducting workshops 

and technical forums; publication of workshop and forum proceedings, handbooks, and other materials; 
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Office of Surface Mining Reclamation and Enforcement 85

maintenance of the OSMRE technical library and various information websites. Examples of activities 

include:

Reforestation: OSMRE continues its effort to encourage proper reforestation practices to increase the 

amount of mined land reclaimed as healthy, productive forests. The reforestation initiative effort has 

resulted in not only increased use of the Forestry Reclamation Approach (FRA), but also technical and 

policy symposia and a reforestation website to explain the methods and benefits of reforestation. The 

Appalachian Regional Reforestation Initiative (ARRI) team members give presentations at professional 

meetings, and the 33-member Science Team (made up of university researchers from across the country 

and members of the American Bird Conservancy, The American Chestnut Foundation, the U.S. 

Geological Survey, and the U.S. Forest Service) publish bulletins on state-of-the-art reforestation 

practices. In August 2019, ARRI brought together landowners, industry representatives, environmental 

groups, researchers, regulatory personnel, and citizens groups to the 13th annual Mined Land 

Reforestation Conference in Cambridge, Ohio, to learn about advancements regarding the use of the FRA 

to reclaim coal mine sites. In FY 2019, ARRI partners organized over 2,600 volunteers to plant 

approximately 319,000 trees on post-bond release mine sites across Appalachia. The volunteers learned 

about planting trees using FRA and the positive environmental and economic impacts of forests in their 

State.

Workshops and Forums: National and regional workshops and forums facilitate the exchange of 

information between technical experts in the mining and reclamation fields, and also communicate that 

knowledge to the wide audience of regulators, citizens and mining company officials. OSMRE plans to 

hold workshops on issues such as bonding, water quality, gas wells in coal mining areas, stream 

restoration techniques, geomorphic reclamation, protection of endangered species, etc. OSMRE has 

formed a team that is working to develop and implement a strategic approach to technology transfer, 

taking advantage of new and emerging technologies in addition to more traditional approaches. In 

particular, OSMRE is currently updating technology development and transfer web pages of the OSMRE 

website to include hosting of webinars; providing access to presentations from conferences, workshops, 

forums, and webinars, and marketing upcoming events using various forms of social media, as well as a 

newsletter. 

Examples of National and regional events that occurred in FY 2019 were OSMRE’s participation in the 

American Society of Mining and Reclamation conference held at Big Sky Resort, Montana and the joint 

National Association of Abandoned Mine Lands Programs and National Association of State Land 

Reclamationists conference held in Williamsburg, Virginia. One example of National and regional events 

that occurred in FY 2019 is OSMRE’s presentation at the 2019 National Association of Abandoned Mine 

Land Program (NAAMLP) conference held in Pittsburgh, Pennsylvania during the week of September 9, 

2019. OSMRE staff presented a paper titled “Abatement of AMD at the Germantown AML site in West 

Central Missouri.” The paper identifies the principle difficulties with implementation of AMD passive 

treatment systems in the Western Interior Coal Field of the Mid-Western U.S. The paper also provides 

several promising technologies that have been successfully implemented in the Western Interior Coal 

Field.

The Appalachian Regions Technology Transfer (ARTT) team sponsored a workshop titled “Water 
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Office of Surface Mining Reclamation and Enforcement 86

Treatment Financial Liability Calculation Workshop.” Thirty-four staff with water treatment 

backgrounds from Appalachian state SMCRA programs attended this workshop held September 24-26, 

2019 at the Mine Safety and Health Administration National Mine Health and Safety Academy in 

Beckley, WV. The workshop centered on the processes States use for identifying and ensuring 

financial security for treatment of post-mining discharges and discussion of best practices. The ARRT 

team is considering holding a follow-up workshop for FY 2020. 

OSMRE held a workshop on June 4 and 5, 2019, at the same location in Beckley, West Virginia. 

Twenty attendees from the various Appalachian States discussed current regulatory changes and 

challenges related to protecting Threatened and Endangered Species (T&E) on active and abandoned 

mine sites. Topics discussed included species-specific protection measures and coordination with the 

U.S. Fish and Wildlife Service.

Reports, Forums and Workshop Proceedings: OSMRE makes available on their website various technical 

publications. The agency publishes proceedings, reports and event notices in paper copy, on CD/DVDs, 

and over the Internet to reach the widest audience possible

c. Educational Outreach and Partnerships

To make the public and students aware of OSMRE’s responsibilities and to create a conservation 

stewardship legacy, OSMRE staff provides educational outreach to science teachers associations, science 

classes, educational fairs, Earth Day events, career days, foreign visitors, grassroots organizations, and 

professional associations and societies. Additional outreach is provided through publications and 

distribution of forum proceedings. Outreach efforts will continue in FY 2020 with OSMRE’s 

participation in local activities supporting such events as college and university seminars, high school 

career days, and primary grade school presentations that provide age-appropriate information and 

workshops about environmental stewardship and promote careers in science, technology, engineering, 

and math to over 10,000 students across the country.

OSMRE actively pursued youth engagement in FY 2019 with 14 separate outreach efforts, all involving 

technical expertise shared with students of all ages from elementary school to college. The number of 

students reached was well over 1,500. A few of the events involved youth outreach at engineering and 

chemistry events, science and technology innovation project judging, science and career days at 

elementary schools as well as Job Shadow days. OSMRE participated in the World Scout Jamboree and

demonstrated stream health, acid mine drainage, field geology, and engineering.

University Partnerships: Minority Higher Education Program: OSMRE works to build mutually 

beneficial partnerships with minority serving colleges and universities under the OSMRE Minority 

Higher Education Program (MHEP). OSMRE provides guidance and direction on these projects to ensure 

that the intended results are achieved. OSMRE also collaborates with our MHEP partners on training 

and educational programs.

In addition to traditional training within the SMCRA community, OSMRE staff regularly attend career 

fairs and National conferences at several Minority Serving Institutions (MSI) including Historically Black 
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Office of Surface Mining Reclamation and Enforcement 87

Colleges/Universities (HBCU) career fairs, and the National conferences of the Hispanic Association of 

Colleges and Universities (HACU), the Minorities in Agriculture, Natural Resources and Related 

Sciences (MANRRS), the White House Initiative on HBCU’s, and the Society of American Indian 

Government Employees(SAIGE).

Student Collaborations: Throughout FY 2019, OSMRE staff conducted an ongoing partnership with 

students from STEM schools providing coursework related to science and engineering activities that are 

located near OSMRE field offices.
Technology Development and Transfer

Office of Surface Mining Reclamation and Enforcement 88

TECHNOLOGY DEVELOPMENT AND TRANSFER

2020 Planned Program Performance

In FY 2020, in addition to activities previously mentioned, the planned activities in Technology 

Development and Transfer include:

 OSMRE will continue to provide technical assistance to States and Tribes, making use of 

emerging technologies for field data collection, and in-house information processing capabilities.

 OSMRE is working with the Pennsylvania Department of Environmental Resources, Bureau of 

Abandoned Mine Reclamation, on the Isabella Mine site to design a passive treatment system to 

remediate mine drainage discharges, reclaim abandoned coal refuse piles, and partially dewater a 

large impoundment to prevent flooding of a nearby road and ensure public safety. This project is 

a combination site with both Title IV and forfeited Title V lands.

 OSMRE is partnering with “The Wilds,” an animal park for rare and endangered species in 

southcentral Ohio. The 9,000-acre park has large areas of surface mined lands with acidic metal 

laden discharges and unsafe earthen dam impoundments that originated prior to enactment of 

SMCRA. OSMRE specialists are working to determine the best means by which to dewater the 

impoundments and passively treat the mine water. This is a multiyear project with geologists, 

hydrologist, engineers and GIS specialists involved.

 The OSMRE Blaster Certificate Coordinator will continue to coordinate blaster certificate 

activities with State personnel, Federal agencies (MSHA, OSHA, and ATF) and professional 

organizations (International Society of Explosives Engineers, Institute of Makers of Explosives 

and National Fire Protection Association).

 OSMRE, States, and Tribes will continue to work on development of e-Permitting solutions for 

their legacy coal permitting systems. Strides have been made on this issue and will continue in 

FY 2020.

 OSMRE will continue to support State and Tribe coal reclamation and AML programs with direct 

technical support. OSMRE has multiple requests for use of the terrestrial LiDAR system to 

develop accurate data models of existing conditions. These data are then used for analysis and 

reclamation planning. OSMRE GIS will continue to support field data collection both internally 

and with States and Tribes by upgrading data collection applications and methodologies so that 

data collected in the field is better used and shared.

 NTTP and TIPS will continue to develop course materials and topics that are relevant, useful, 

technically sound and impressive. Course revisions are planned for six NTTP courses. NTTP and 

TIPS will continue to recruit instructors from the States, Tribes, and OSMRE who are confident, 

knowledgeable, and fluent in the subjects presented, articulate in answering questions, thorough, 

concise, and accurate in presentation methods.
Technology Development and Transfer

Office of Surface Mining Reclamation and Enforcement 89

 Issue a solicitation for Applied Science proposals that will help to use science-based solutions to 

mining and reclamation issues. OSMRE will select the best proposals to achieve the highest 

valued outcomes. Funded proposals will continue to be tracked to verify value of results.

 Continue to expand partnering opportunities for students and recent graduates in science, 

technology, engineering, and mathematics. OSMRE staff plan to attend outreach events at several 

K-12 grade schools and educational organizations. In FY 2020, OSMRE staff will once more 

participate in the Carnegie Science Center, National Engineer's Week and National Chemistry 

Week in Pittsburgh, PA. OSMRE staff will attend and participate in the Junior Achievement 

Career Fair at the Monroeville Convention Center in Monroeville, PA similar to past fiscal years. 

 OSMRE is working with West Virginia Department of Environmental Protection to gather 

measurements of turbidity, temperature, Specific Conductance, and TSS in streams located within 

watersheds of known threatened and endangered crayfish presence. This effort will monitor 

major tributaries for sediment-loading contributions from coal mining activity and other 

anthropogenic activities. Coal-mining facilities will be evaluated to assess contributions from 

SMCRA required sediment control structures and reclamation areas. OSMRE commenced this 

study in 2019 and will continue it during 2020. 

 Serve customers needing information for our National Mine Map Repository (in FY 2019 NMMR 

served 173 clients).

 In FY 2020, the AVS Office is undertaking two contracting efforts; one to provide a cloud-based 

hosting environment for the AVS, a second to modernize the AVS. The modernization effort will 

re-design the AVS due to its outdated IT architecture and programming language.

 OSMRE will host a workshop in the spring of 2020 to provide additional technical assistance and 

technology transfer related to long-term water treatment financial liability concerns. This will be 

a follow up to a similar workshop held by OSMRE in FY 2019.
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Office of Surface Mining Reclamation and Enforcement 90

2019 Program Accomplishments

In FY 2019, in addition to accomplishments previously mentioned, the major accomplishments in

Technology Development and Transfer include:

 Provided blasting technical assistance including:

• State specific blasting inspection training for over 200 employees and continuing education 

training for over 500 certified blasters across the Nation; 

• Maintenance of the ARblast webpage that continues to be one of the most used OSMRE 

webpages;

• Monthly “Blasting Technical Chat” conference calls with 15 to 20 participants per month to 

discuss blasting technology applications in the field; 

• Held a Blasting Inspectors Workshop with participants from six States; 

• Facilitating regulatory discussions at the Appalachian Blaster Certification Delegation 

meeting; and 

• Responding to numerous inquiries for technical information and advice from the public, 

States, and other Federal agencies.

 Supported the Utah Department of Natural Resources (DNR) with a multispectral sensor. The Utah 

DNR has been able to use the sensor to create 3D maps of previously mined areas and monitor 

vegetation growth. Much of the monitoring by the DNR has built on the LiDAR data created in 

previous years by the OSMRE GIS branch.

 Collected LiDAR at the Horizon Mine in Utah, capturing pre-reclamation on the left image (May, 

2018) and post reclamation on the right (September 2019) documenting the removal of the road 

and establishment of drainage and vegetation.

LiDAR images of the Horizon Mine in Utah, before and after reclamation

 Assisted the New Mexico Energy, Minerals and Natural Resources Department (EMNRD) by 

capturing UAS data over the La Plata mine haul road. OSMRE conducted two separate flights 

collecting data and demonstrating UAS capabilities for bond release. OSMRE also continues to 

support the EMNRD with satellite imagery data from both Digital Globe and the European Space 

Agency.
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Office of Surface Mining Reclamation and Enforcement 91

 Appalachian Region Reforestation Initiative (ARRI) partners organized 2,000 volunteers to plant 

approximately 200,000 trees on post-bond release mine sites across Appalachia.

 Developed and piloted a TIPS class to teach a popular updated version of software, ArcGIS Pro.

 Completed software development and initial testing for e-permitting, Release 2, which enhances 

the previous software release by incorporating Federal-specific rules for Federal Program States 

and Tribes.

 Enhanced the National Mine Map Repository (NMMR):

• Completed 616 new map scans;

• Added 5,619 new document numbers to the database consisting of 14,285 mines;

• Updated and improved 22,875 mine map entries;

• Produced aperture card backups for 18,000 mine maps;

• Fulfilled 173 client requests consisting of 1,896 mine maps.

 Conducted a workshop highlighting long-term water treatment financial liability concerns, which 

was attended by OSMRE technical staff and State members from OH, PA, MD, WV, VA, TN, 

and KY.

 Conducted a workshop to discuss Threatened and Endangered (T&E) Species, which was 

attended by OSMRE technical staff and State members from OH, PA, MD, WV, VA, TN, and 

KY.

 Conducted educational outreach opportunities regarding the OSMRE mission, coal mining and 

careers in science, technology, engineering, and mathematics for K-12 students across various 

schools and educational organizations throughout the country.
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Office of Surface Mining Reclamation and Enforcement 92

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TAB

Financial Management
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Financial Management

Office of Surface Mining Reclamation and Enforcement 93

FINANCIAL MANAGEMENT

Financial Management Budget Request

(Dollars in Thousands)

2019

Actual

2020

Enacted

2021

Fixed 

Costs 

(+/-)

Internal 

Transfers 

(+/-)

Program 

Changes 

(+/-)

2021

Request

Change 

From 2020

(+/-)

Regulation and 

Technology 505 505 +9 - -12 502 -3

Revenue Management 410 410 +6 -12 402 -6

FTE 2 2 2 -

Grants Financial 

Management 95 95 +3 98 +3

FTE 0 1 1 -

Abandoned Mine 

Reclamation Fund 5,182 5,191 +86 - - 5,277 +86

Fee Compliance 5,081 5,081 +83 5,164 +83

FTE 34 28 28 -

Grants Financial 

Management 101 110 +3 113 +3

FTE 1 1 1 -

Total, Financial 

Management 5,687 5,696 +95 - -12 5,779 +83

Total FTE 37 32 - 32 -

Note: 2019 FTE figures reflect actual usage.

Fixed Costs of $95,000 in pay related items.
Financial Management

Office of Surface Mining Reclamation and Enforcement 94

Summary of 2021 Program Changes for Financial Management

Request Component ($000) FTE

Operational Efficiencies -12 -

TOTAL Program Changes -12 -

Financial Management provides resources for OSMRE to carry out its responsibilities through fee 

compliance, revenue management and grants management.

Justification of 2021 Program Change

Operational Efficiencies (-$12,000): The FY 2021 budget maintains Financial Management operational 

activities at FY 2020 levels. The requested funding level reflects operational efficiencies that are expected 

to be realized from prior investments in financial management technologies.
Financial Management

Office of Surface Mining Reclamation and Enforcement 95

OVERVIEW

This Financial Management business line provides resources for OSMRE to carry out its financial 

management program responsibilities through three activities: fee compliance, revenue management, and 

grants management.

• Fee compliance covers the collection, accounting, audit and investment of abandoned mine 

reclamation fees, assistance to operators on compliance matters, and regulatory and policy 

development on fee compliance issues.

• Grants management includes accounting for and reporting on grants awarded to States and 

Tribes for Abandoned Mine Land (AML) and regulatory purposes.

• Revenue management involves the accounting and collection of revenue other than 

reclamation fees, such as civil penalties assessed under Federal citations for mining 

violations and Federal performance bonds forfeited by coal mine permittees.

The Financial Management business line also provides for United Mine Workers of America Fund 

(UMWAF) Transfers, which involves reviewing the annual transfer request, supporting documentation, 

audited financial statements, reconciling true-up from prior-year transfers; estimating future interest 

earnings; preparing various budgetary estimates and projections; and planning annual audit procedures for 

the unreimbursed health care expenses for coal miners and their dependents.

Financial Management operations are an integral part of OSMRE’s Environmental Restoration and 

Environmental Protection mission goal areas. State and Tribal grant funding (reclamation and regulatory) 

disbursement for the administration of regulatory activities and reclamation cleanup projects is managed 

through this program activity. OSMRE, States, and Tribes fund reclamation project work through the fees 

collected from current mine operators. The funds are provided through annual mandatory grants provided 

to States and Tribes. The reclamation projects clean up environmental hazards resulting from past mining 

operations that degrade land and water resources. The regulatory grants, which are appropriated annually, 

fund the administration of State regulatory programs that protect people and the environment from adverse 

effects associated with current mining and ensure the land is restored at the conclusion of mining.
Financial Management

Office of Surface Mining Reclamation and Enforcement 96

Operational Processes (Program Activities): As 

previously discussed, OSMRE carries out its 

program financial management responsibilities 

through three program activities: fee compliance; 

grants management; and revenue management. 

Financial management also includes activities to 

support funding transfers to the United Mine 

Workers of America Fund (UMWAF). This 

business line does not include administrative

accounting or reporting for appropriated funds.

The outcome of OSMRE’s Financial Management program performance is measured primarily by the 

success of the Surface Mining Program in carrying out the two major missions of the organization –

Environmental Restoration and Environmental Protection. The Financial Management business line is an 

integral part and supports accomplishment of both missions. Workload indicators identified for this 

business line include the quarterly fee collection reports and fee collection rate for operators reporting coal 

tonnage, internal audits for fee collection and compliance, and accounting and reporting requirements.

Actions Required to Achieve Annual Goals: OSMRE will use technology and customer service 

initiatives to achieve compliance and improve processing of collections. This includes using technology to 

ease the coal companies’ reporting burden, receive quarterly coal production reports, provide information 

to companies, and allow companies to make payments on-line. OSMRE will continue to use new and 

streamlined collection services as they become available and will work with customers and stakeholders to 

ensure fair and consistent policies.

In FY 2020 and FY 2021, OSMRE will continue to improve its Coal Fee Collection Management System 

(CFCMS), which OSMRE uses to process and manage coal reclamation fees, compliance audit findings, 

and civil penalties. CFCMS supports the continued success of the fee compliance program. OSMRE 

continually looks for opportunities to automate processes and streamline coal operating company reporting 

through the consolidated coal data reporting system (Single Source Coal Reporting System). OSMRE will 

also continue to support State and Tribal program operations through the Grants Management activity. 

OSMRE has over 209 grants and cooperative agreements with the States and Tribes, accounting for over 

$999 million.

Resources, Skills, and Technology Needed: To support program activities and to assure the collection of 

appropriate fees, OSMRE plans to maintain a highly trained cadre of fee compliance auditors, program 

accountants, and financial systems personnel. OSMRE will use training to ensure that financial 

management personnel maintain a high level of skill and technical expertise. OSMRE will also continue 

to use contractors to handle billing, data entry, and appropriate collection functions.

The following section details, by program activity, the funding and FTE resources required to meet the 

performance measures.

FINANCIAL MANAGEMENT

ENCOMPASSES:

Fee Compliance 

Grants Management 

Revenue Management

UMWAF Transfers
Financial Management

Office of Surface Mining Reclamation and Enforcement 97

2021 PROGRAM PERFORMANCE

1. Fee Compliance

The fees collected from active coal operators provide the funding used by OSMRE, States and Tribes to 

restore land and water degraded by past mining practices to beneficial uses. OSMRE collects the fee from 

active coal operators based upon tons of coal produced.

OSMRE’s Fee Compliance Program carries out the Surface Mining Control and Reclamation Act’s 

(SMCRA) requirements to ensure coal operators accurately report coal production and pay appropriate 

reclamation fees. The program goal is to maximize compliance by applying policy and collection 

procedures fairly and consistently at a reasonable cost. This request includes $5,164,000 and 28 FTE for 

the Fee Compliance activity.

In FY 2019, OSMRE’s Fee Compliance Program achieved a 97.8 percent collection rate resulting in $147.4 

million in total collections. Collections decreased from FY 2018 due to decreased coal production and 

several coal company bankruptcies. By working closely with the industry, the program achieved a 99.2 

percent compliance rate for operators filing their tonnage reports. OSMRE maintained a high percentage 

of permits that filed Coal Reclamation Fee (OSM-1) Reports electronically, at 84.7 percent in FY 2019. 

During FY 2019, OSMRE also processed 80.6 percent of the coal reclamation fee reports automatically, 

and 83.6 percent of payments automatically. Further automation of payment processing is constrained by 

the inability of some companies to use the Treasury Department’s Pay.Gov system.

The Fee Compliance Program is comprised of two highly integrated components – collections and audits –

that work hand-in-hand to maximize compliance, minimize the burden on industry, and ensure the efficient 

use of resources. For example, key initiatives that these components will pursue in FY 2020 include:

• Maintaining the Single Source Coal Reporting (SSCR) system and the Coal Fee Collection 

Management System (CFCMS). 

• Increasing the use of automation in conducting fee compliance audits to further improve

efficiency.

Details of these and other services provided by the collection and audit components are described in the 

following sections.

a. AML Fee Collection

The collection component assures that the AML Fee payment requirements of SMCRA are applied 

consistently and fairly across the country. In FY 2019, OSMRE collected 97.8 percent of the AML Fees 

due during the year. Total FY 2019 AML Fee collections were $147.4 million.

To assist in managing AML Fee collections, OSMRE utilizes CFCMS. This computerized system 
Financial Management

Office of Surface Mining Reclamation and Enforcement 98

provides subsidiary accounts receivable and management information needed to manage the fee 

compliance program. CFCMS is integrated with the Applicant Violator System (AVS) to track new 

permits from initial permitting through fee reporting. CFCMS tracks AML fee payments by permit 

number of producing coal companies each quarter. In addition, the system issues quarterly OSM-1 coal 

reclamation fee reports for industry coal sale reporting and fee computation. The reports are available 

on-line through OSMRE’s E-filing website. Permit information is pre-filled and the system automatically 

calculates the coal reclamation fees due, based on the data entered by the company. For the permits that 

are not filed on-line, OSMRE mails a paper reporting package.

On average, over 1,076 permits are reported on OSM-1 reports and processed each quarter. OSMRE uses 

an internet-based system to allow coal companies to file their quarterly coal production reports 

electronically. Companies report that the on-line reporting system saves them time and money. The 

efficiency is evidenced by the fact that 333 companies voluntarily use the E-filing system to report on 

approximately 911 permits and over 93.8 percent of the coal tonnage produced nationwide. The system 

significantly streamlines the reporting process, makes it easier for companies to report on time, reduces 

errors, and makes it easier for OSMRE to follow-up with companies that have not reported. The system 

also allows companies to make payments online, using the Treasury Department’s Pay.Gov payment 

method. This feature saves companies time and wire transfer costs, while providing OSMRE with timely 

information about collections for investment purposes.

OSMRE uses CFCMS to provide the ongoing support for the Fee Compliance Program. The system 

enables OSMRE to manage the fee compliance process, from permit issuance to mining completion. 

CFCMS also supports the related financial processes, including fee accounting, payment processing, 

billing, debt collection, and financial and management reporting.

b. AML Fee Audit

SMCRA requires OSMRE to conduct audits to ensure full compliance with the law’s reclamation fee 

requirements, so funds are available for State, Tribal, and Federal reclamation efforts. To meet that 

mandate, the AML Fee Audit program is designed to promote timely and accurate reporting of coal 

tonnage and to ensure correct fee payments. In addition to conducting a comprehensive audit program, 

the audit staff also performs other activities to promote compliance; this includes identifying responsible 

parties for reclamation fee liability on new and transferred permits, providing the information and 

assistance operators need to comply, and taking appropriate enforcement action when non-compliance 

occurs.

The audit staff is strategically stationed in locations which minimize travel costs to coal companies’

recordkeeping locations. Over 75 percent of the audit staff are remote workers, strategically located to 

be responsive to program needs while significantly reducing travel and overhead costs. To ensure quality, 

audits are performed in accordance with Government Auditing Standards issued by the Comptroller 

General of the United States, and the continuing professional education and training of OSMRE’s audit 

staff is conducted in accordance with those standards. The audit program maintains an internal control 

system and monitors it on an ongoing basis to provide reasonable assurance that the policies and quality 

controls are suitably designed and effectively applied. This ensures consistency and fairness in the 
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Office of Surface Mining Reclamation and Enforcement 99

application of SMCRA reclamation fee requirements.

With a highly visible and comprehensive audit presence, the small audit staff serves as an effective 

deterrent to noncompliance. To support the program goal of maximizing compliance, OSMRE auditors 

will conduct more than 150 reclamation fee compliance audits in FY 2021. In addition to deterrence, 

audits afford an opportunity to promote up-front compliance by providing direct assistance to the industry 

on accounting and reporting matters needed to meet their reclamation fee responsibilities. For example, 

when instances of non-compliance are identified, the auditors thoroughly explain the issues and the 

corrective actions needed to avoid recurrences.

Auditors also provide several other services necessary to achieve a high level of compliance. The 

following are a few examples of the work planned for FY 2021.

Increasing audit automation: By using an automated audit package designed and developed in-house and 

applying computer techniques to the data gathering, analysis, and reporting function, the audit staff has 

been able to maintain a high compliance level. To further improve efficiency, OSMRE will continue to 

increase the use of computer assisted auditing techniques and work with coal companies to increase the 

use of electronic transaction files in the audit process.

Examining all permit transactions recorded by regulatory authorities: The audit staff will need to review 

more than 1,200 newly issued coal mining permits and transactions (transfers and amendments), which 

can affect the parties responsible for paying fees. In FY 2019, the staff handled 1,199 permit transactions. 

By continuing these efforts, the program provides significant assurance that all producing permits are 

identified in a timely manner, and operators are informed of their reporting and payment responsibilities.

Developing necessary revisions to the fee requirements and process: The auditors have the most direct 

contact with operators and the subject-matter expertise to identify, develop, test, and implement any 

needed changes. This is part of an ongoing effort to ensure fairness and a level playing field among all 

operators in fee payment.

Promoting E-government: OSMRE’s audit staff has been instrumental in the successful implementation 

of various E-government efforts. During FY 2021, the audit staff will continue to promote electronic 

tonnage reporting and fee payment by demonstrating how the systems work for companies during audits 

and notifying OSMRE’s collection staff of those interested in enrolling in E-filing and Pay.Gov.

Coordinating work with the Internal Revenue Service (IRS): OSMRE will continue working with the 

IRS to ensure the fee compliance and coal excise tax compliance programs function together more 

efficiently. SMCRA requires OSMRE to forward audit results to the IRS and both agencies coordinate 

issues affecting the industry. Overall, there also will be a continued emphasis on improving compliance 

and customer service in FY 2021 and beyond.
Financial Management

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Table 7 shows annual production in tons and fees collected. Table 8 provides a summary of the 

Abandoned Mine Reclamation fund from 1978.

Table 7 – Deposits to the AML Fund and AML Production Fees

(Production in Millions of Tons) (Dollars in Millions)

2019

Actuals

2020

Projections

2021

Projections

Production* EIA OSMRE EIA OSMRE

Underground 267 267 259 244 240

Surface 405 370 379 365 374

Lignite 56 56 52 53 49

AML Fees ** $147.4 $141.6 $137.6

*The projections are based on calendar year (CY) projections made by the Department of Energy’s 

(DOE) Energy Information Administration (EIA) Annual Energy Outlook 2019, Reference Case 

Forecast, Table 67 (Coal Production by Region and Type). OSMRE tonnage uses the last reported 

production (Fiscal Year 2019) and then increases or decreases that value based on the percentage 

increase or decrease in DOE production for each coal type. The OSMRE projections are usually lower 

because AML fees are assessed on the tonnage sold, used, or transferred while the DOE figures are 

based on the tonnage produced.

**AML Fees are calculated based on the OSMRE tonnage estimates multiplied by the applicable 

current fee rate: $0.12, $0.28, and $0.08 for underground, surface, and lignite, respectively. The 

calculations are adjusted for moisture content, reduced coal prices and fees, administrative fees and 

uncollectible fee estimates.
Financial Management

Office of Surface Mining Reclamation and Enforcement 101

Table 8 – Summary Status of Abandoned Mine Reclamation Fund

(Dollars in Thousands)

Fiscal 

Year

Receipts and Interest Income Appropriations

Cumulative 

Appropriated 

Balance

Cumulative 

Unappropriated 

AML Fund 

Amount Balance

Interest 

Earned Cumulative

Amount 

Appropriated 

from

AML Fund Footnote

Appropriations 

from

Other Sources

Transfer To 

UMWA

Health

& Retirement 

Funds

1978-99 4,984,248 472,032 5,456,282 3,819,485 /1,/2,/3 17,363 192,886 4,012,370 1,443,912

2000 274,297 94,369 5,824,949 195,873 /4 108,960 / 4,317,203 1,507,745

2001 284,044 103,496 6,212,489 215,038 /5 182,019 4,714,260 1,498,228

2002 287,066 43,278 6,542,833 203,455 /6 90,179 5,007,894 1,534,939

2003 282,555 23,620 6,849,007 190,499 /7 89,858 5,288,251 1,560,756

2004 287,023 45,695 7,181,725 190,591 14,967 5,493,809 1,687,916

2005 293,604 75,017 7,550,347 188,206 66,533 5,748,548 1,801,798

2006 302,992 95,687 7,949,025 185,248 59,004 5,992,800 1,956,225

2007 304,880 105,818 8,359,723 185,393 114,329 6,292,522 2,067,201

2008 286,272 83,764 8,729,759 139,334 /8 100,394 6,532,251 2,197,508

2009 272,764 55,465 9,057,988 142,977 /9 61,224 6,736,452 2,321,536

2010 251,784 55,193 9,364,964 177,502 /10 63,926 6,977,881 2,387,083

2011 259,935 54,881 9,679,781 185,649 /11 57,246 7,220,777 2,459,004

2012 249,725 54,789 9,984,295 247,595 /12 48,430 7,516,802 2,467,493

2013 213,675 36,634 10,234,603 237,544 /13 54,789 7,809,135 2,425,468

2014 202,872 34,928 10,472,403 206,726 /14 12,359 8,028,220 2,444,183

2015 197,973 29,426 10,699,802 208,403 /15 31,803 8,268,426 2,431,376

2016 158,807 32,175 10,890,784 202,356 /16 29,109 8,499,891 2,390,893

2017 159,499 33,922 11,084,205 171,873 /17 32,140 8,703,904 2,380,301

2018 155,475 49,236 11,288,916 232,436 /18 46,257 8,982,597 2,306,318

2019 147,436 59,335 11,495,687 225,420 /19 54,321 9,262,338 2,233,349

2020 141,625 51,309 11,688,621 153,300 37,132 9,452,770 2,235,851

2021 137,641 12,187 11,838,449 161,500 35,939 9,650,209 2,188,240

/1 FY 1988 total does not include $7M transferred into the fund by supplemental authority, which does not affect the Unappropriated Balance.

/2 FY 1994 total includes $7.2M transferred into the fund by supplemental authority, which does not affect the Unappropriated Balance.

/3 FY 1998 total does not include $3.2M transferred into the fund by supplemental authority, which does not affect the Unappropriated Balance.

/4 FY 2000 total includes one-time $68M emergency appropriation, as well as the annual appropriation of $41M.

/5 FY 2001 total includes annual amount of $102.9M, as well as $81.6M of the one-time $96.7M mandated under PL 106-291.

/6 FY 2002 total includes annual amount of $113.6M, less $23.4M returned by UMWACBF trustees mandated under PL 106-291.

/7 FY 2003 total includes annual amount of $56M as well as $33.8M mandated under PL108-7.

/8 FY 2008 total includes annual amount of $52M as well as $87.4M mandated under PL 109-432.

/9 FY 2009 total includes annual amount of $52M as well as $90M mandated under PL 109-432.

/10 FY 2010 total includes annual amount of $35.5M as well as $141.9M mandated under PL 109-432.

/11 FY 2011 total includes annual amount of $35.5M as well as $150.1M mandated under PL 109-432.

/12 FY 2012 total includes annual amount of $27.4M as well as $220.2M mandated under PL 109-432.

/13 FY 2013 total includes annual amount of $27.4M as well as $210.1M mandated under PL 109-432.

/14 FY 2014 total includes annual amount of $27.4M as well as $179.3M mandated under PL 109-432.

/15 FY 2015 total includes annual amount of $27.4M as well as $181.0M mandated under PL 109-432.

/16 FY 2016 total includes annual amount of $27.3M as well as $175.1M mandated under PL 109-432.

/17 FY 2017 total includes annual amount of $27.2M as well as $144.7M mandated under PL 109-432.

/18 FY 2018 total includes annual amount of $24.7M as well as $207.8M mandated under PL 109-432.

/19 FY 2019 total includes annual amount of $24.7M as well as $200.7M mandated under PL 109-432.
Financial Management

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Notes:

• Annual figures for FY 1978-1999 are displayed in the FY 2015 Budget Justification, Table 9.

• FY 2020 and FY 2021 figures on this table are estimates. Projected interest is based on known investments earnings that will be 

paid out in FY 2020 and FY 2021.

• AML Fund balances in this table are as of September 30, 2019, and do not include the last two months of the AML fee collection 

cycle (i.e. October 1- November 30). The annual AML Grant distribution tables, published separately, will show AML Fund 

balances that will include the collection of AML fees, interest earned, and transactions through November 30, 2019.

• Although the billing cycle for coal produced ends on September 30th each fiscal year, OSMRE allows an extra two months for 

operators to make payments into the AML Fund. This additional collection time, along with interest payments to the UMWA that 

occurs during this two-month period, accounts for the variation in the AML Fund balances shown in Table 8 and the annual AML 

Grant distribution table.

• The AML Fund experiences a spike in fee collections during the final two months of the collection cycle and based on this 

consistent trend, OSMRE established protocols beginning in FY 2008 to ensure that State and Tribal AML programs receive the 

maximum amount of benefit from the AML Fund by calculating the annual formula-based AML grants after November 30th rather 

than at the end of the federal fiscal year. Consequently, the Fiscal Year 2020 AML Grant Distribution reports will vary slightly and 

include the amounts collected and interest earned in the AML Fund as of November 30, 2019, rather than the Federal fiscal year 

end of September 30, 2019.

• Sequestered funds are included in the annual amounts appropriated from the AML fund and not part of the unappropriated balance. 

AML Funds sequestered pursuant to 2 USC 901(a) remain unavailable for distribution and the statute requires those funds be 

accounted for in a separate account.
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Office of Surface Mining Reclamation and Enforcement 103

2. Grant Financial Management

This activity accounts for and disburses reclamation and regulatory grants to States and Tribes under 

OSMRE’s Environmental Restoration and Environmental Protection business lines. The Grant Financial 

Management activity includes the disbursement, accounting, reporting, and recovery of grant funds. This 

request includes $211,000 and two FTE for Grant Financial Management.

Most Abandoned Mine Reclamation Fund (AML) grant activity was made mandatory, and no longer part 

of OSMRE’s discretionary budget, by the amendments to SMCRA enacted at the beginning of FY 2007. 

Starting in FY 2008, OSMRE has calculated grant distribution based on the amendments to SMCRA 

included in Public Law 109-432.

Along with the mandatory AML distributions given to the States, OSMRE also distributes mandatory 

treasury funds to the States as part of the grant distribution. More information is provided in the Permanent 

Appropriations section of this document.

Table 9 on the following page details the AML Unappropriated Balance as of September 30, 2019, by a 

description of its allocation.
Financial Management

Office of Surface Mining Reclamation and Enforcement 104

Table 9 – AML Unappropriated Balance

Office of Surface Mining

AML Unappropriated Balance

September 30, 2019

Prepared by the Division of Financial Management

Description of

Allocation

Balance

as of 10/01/18

LESS: 2019

Appropriation/

Distribution

LESS: 2019

Treasury Funds

LESS: 2019

UMWBF Transfer 3/

Post Appr. &

Trans. Balance

Investment Int.

10/01/18-9/30/19

Collections for

10/01/18-9/30/19

Balance

As Of 9/30/19

Federal Expense 1/ $364,284,714.28 ($43,071,305.00) $0.00 $0.00 $321,213,409.28 $29,517,982.50 $350,731,391.78

Historic Coal 2/ $1,617,047,017.67 ($155,140,159.00) $109,801,804.64 $0.00 $1,571,708,663.31 $44,276,973.75 $1,615,985,637.06

Investment Interest $153,598,554.54 $0.00 $0.00 ($54,321,455.78) $99,277,098.76 $59,335,285.04 $0.00 $158,612,383.80

Total Fed Share 3/ $2,134,930,286.49 ($198,211,464.00) $109,801,804.64 ($54,321,455.78) $1,992,199,171.35 $59,335,285.04 $73,794,956.25 $2,125,329,412.64

Total State Share $171,387,859.81 ($27,208,636.00) ($109,801,804.64) $0.00 $34,377,419.17 $73,641,261.97 $108,018,681.14

Total $2,306,318,146.30 ($225,420,100.00) $0.00 ($54,321,455.78) $2,026,576,590.52 $59,335,285.04 $147,436,218.22 $2,233,348,093.78

3/ $54,321,455.78 is the amount transferred at the beginning of FY 2019 to the United Mine Workers Benefit Fund and the 1992 Benefit Plan for estimated expenses in FY 2019 and for 

 adjustments to actual expenditures in FY 2017.

Total Funds to be Allocated: $2,233,348,093.78

1/ The Federal Expense Allocation is reduced by the annual appropriation in addition to the mandatory grant distribution.

2/ The Historical Coal balance is calculated based on the following: 1) 30% of fees collected increase the balance; 2) the current year mandatory grant distribution reduces the balance, and;

 3) state share funds from certified states are transferred into the Historic Coal share to increase the balance.
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Office of Surface Mining Reclamation and Enforcement 105

3. Revenue Management

The FY 2021 budget request includes $404,000 and two FTE for the Revenue Management program 

activity. The Revenue Management activity involves managing a variety of non-fee revenues and 

receivables that come from the agency’s operations. These include the following:

• Federal civil penalties issued for mining operation violations.

• Bond forfeitures by Federally permitted mining companies.

• Fees for mine permit reviews and administration.

• Other miscellaneous fees and receipts.

Civil penalty collections are used to reclaim post-SMCRA mine sites. During FY 2019, the amount of 

recorded civil penalties more than doubled from FY 2018 (from $1,852,817 to $4,853,552), due largely to 

coal operator bankruptcies.

To maximize the collection rate on civil penalties, OSMRE avails itself of all debt collection tools. 

These tools include demand letters, personal contact with the debtor, use of payment plans,referral to

private collection agencies through the Department of Treasury, litigation through the Department of 

Justice, and referral to the Department of Treasury for payment offset. In accordance with the Digital 

Accountability and Transparency Act of 2014, OSMRE refers civil penalty debt that is more than 120 

days delinquent to the Department of Treasury for collection.

Additionally,delinquent civil penalties are reported to the Applicant Violator System (AVS) to preclude 

violators and debtors from obtaining permits to mine coal until the outstanding debt and violations have 

been resolved. These are the same tools used in the AML Fee collection program. However, because

the majority of the companies that incur AML Fees are viable, the collection rate for AML Feesis higher

than the collection rate for civil penalties.

The bonds and penalties assessed ensure responsible management practices in the extraction of coal 

resources. Levy of penalties and fees help to ensure operators’ compliance with coal mining regulations 

and ensure the land is restored to beneficial use at the conclusion of mining operations.

4. United Mine Workers of America Health Benefit Plans (UMWAF) Transfers

While not considered a separate OSMRE program activity, the transfers to the UMWAF activity are an 

integral and important component of OSMRE’s SMCRA responsibilities. These transfers provide funding 

for the unreimbursed health care expenses of UMWA retired coal miners and their dependents. The process 

involves reviewing the UMWAF annual transfer requests, the annual UMWAF financial statements audit 

reports, and true-up calculations from prior-year transfers. It also entails estimating future interest earnings; 

preparing various budgetary estimates, projections and transfer requests for funding from the Treasury; and 
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Office of Surface Mining Reclamation and Enforcement 106

planning annual audit procedures to provide reasonable assurance that the transfers conform to the 

authorizing legislation and General Accountability Office principles.

The Energy Policy Act of 1992 (Section 9722) amended SMCRA to provide for transfers of interest 

earnings from the Abandoned Mine Reclamation Fund to the UMWAF Combined Fund to pay for the 

unreimbursed health benefit expenses of unassigned beneficiaries. The 2006 SMCRA Amendments 

provided for additional funding for certain beneficiaries of the UMWAF 1992 and 1993 Health Benefit 

Plans, from any excess interest earnings and from the Treasury. On May 5, 2017, the Health Benefits for 

Miners Act of 2017 amended SMCRA to provide funding for additional beneficiaries of the UMWAF 1993 

Health Benefit Plan.

The Bipartisan Miners Act of 2019, enacted on December 20, 2019, further amended SMCRA and 

expanded Federal funds coverage for the Health Benefits of additional beneficiaries whose coverage would 

otherwise be denied or reduced as a result of bankruptcy proceedings commenced in 2018 and 2019. The 

Bipartisan Miners Act also increased the cap on annual Treasury Funds available for payments to certified 

States and Tribes (see Permanent Appropriation section) and for transfers to the UMWA from $490 million 

to $750 million and expanded the use of the Treasury Funds for the 1974 UMWA Pension Plan, in addition 

to the three UMWA Health Benefit Plans listed above. The Bipartisan Miners Act requires that an amount 

equal to the difference between the $750 million cap and the aggregate amount transferred to the certified 

State and Tribes and the UMWA Health Benefit Plans be transferred to the 1974 UMWA Pension Plan and 

specified that the amendments shall apply to fiscal years beginning after September 30, 2016.

During FY 2020 and 2021, OSMRE will process the UMWAF transfer requests for the three UMWAF 

health plans, providing funding for an estimated 53,899 beneficiaries, and to the 1974 UMWA Pension 

Plan. OSMRE will work with the UMWAF’s external auditors to plan the testing of selected internal 

controls and utilize existing audit work where practical. OSMRE will also work to implement 

recommendations from the Department of the Interior’s Inspector General to provide additional assurances 

that transfers conform to the authorizing legislation. The transfer requests for FY 2019, 2020 and 2021 are 

outlined in Table 10 below. The FY 2020 transfers include required retroactive transfers to the 1974 

UMWA Pension plan for FYs 2017, 2018, and 2019
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Office of Surface Mining Reclamation and Enforcement 107

Table 10 – UMWA Transfer Requests

Health Benefit Plan / 

Pension Plan

Fiscal Year Transfer Amounts

(Dollars in Millions)

2019 Actual 2020 Actual 2021 Projected

Combined Fund including the 

Reachback Provision $ 46.8 $ 50.6 $ 49.2

1992 Plan $ 40.0 $ 50.0 $ 62.2

1993 Plan $ 192.6 $ 261.8 $ 296.0

1974 UMWA Pension Plan - $1,600.2 $ 328.8

Total – All Plans $ 279.4 $1,962.6 $ 736.2

Funding Sources

• AML Fund Interest

• Treasury Funds

$ 54.3

$ 225.1

$ 37.1

$1,925.5

$ 31.4

$ 704.8
Financial Management

Office of Surface Mining Reclamation and Enforcement 108

FINANCIAL MANAGEMENT

2020 Planned Program Performance

In FY 2020, OSMRE will maintain a high rate of fee compliance. To help ensure that results continue to 

be achieved efficiently, OSMRE will:

 Look for opportunities to create efficiencies in the fee accounting and collection processes.

 Continue to promote electronic payments and E-filing.

 Continue to support the financing and accounting of the AML and Regulation and Technology 

Grants to States and Tribes.

 Process transfer requests from the UMWAF totaling $283.4 million to provide funding of 

unreimbursed health care expenses for an estimated 40,899 coal miners and their dependents.

 Continue to analyze the reasonableness of the UMWAF transfer and work to implement Office 

of the Inspector General recommendations to improve the oversight of the UMWAF transfer

process.

2019 Program Accomplishments

In FY 2019, the major accomplishments in the Financial Management program activity include:

 Collected $147.4 million in coal reclamation fees resulting in a collection rate of 97.8 percent on 

quarterly coal reclamation fees.

 Maintained an E-filing enrollment rate of 84.7 percent of the active reporting permits, which are 

reported electronically through OSMRE’s internet-based reporting system.

 Processed automatically 83.6 percent of quarterly fee payments, or 2,336 fee payments.

 Processed automatically 80.6 percent of coal reclamation fee reports. 

 Continued to analyze investment opportunities to maximize earnings on the Abandoned Mine 

Reclamation Fund.

 Processed transfer requests from the UMWAF totaling $279.4 million and provided funding of 

unreimbursed health care expenses for an estimated 41,848 retired coal miners and their dependents.

 Implemented seven Office of the Inspector General recommendations to improve the oversight of 

the UMWAF transfer process.
TAB

Executive Direction & 

Administration
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Executive Direction and Administration

Office of Surface Mining Reclamation and Enforcement 109

EXECUTIVE DIRECTION AND ADMINISTRATION

Executive Direction and Administration Budget Request

(Dollars in Thousands)

2019

Actual

2020

Enacted

2021

Fixed 

Costs 

(+/-)

Internal 

Transfers 

(+/-)

Program 

Changes 

(+/-)

2021

Request

Change 

From 

2020

(+/-)

Regulation and Technology 13,936 13,936 -34 - -909 12,993 -943

Executive Direction 2,054 2,054 +44 -128 1,970 -84

FTE 17 15 - 15 -

Administrative Support 3,575 3,575 +88 - 3,663 +88

FTE 30 30 - 30 -

General Services 8,307 8,307 -166 -781 7,360 -947

FTE

Abandoned Mine 

Reclamation Fund 6,466 6,466 -19 - -449 5,998 -468

Executive Direction 910 910 +21 -66 865 -45

FTE 9 7 - 7 -

Administrative Support 1,846 1,846 +42 - 1,888 +42

FTE 15 14 - 14 -

General Services 3,710 3,710 -82 -383 3,245 -465

FTE

Total, Executive Direction 20,402 20,402 -53 - -1,358 18,991 -1,411

Total FTE 71 66 - 66 -

Note: 2019 FTE amounts reflect actual usage.

Fixed Costs changes of -$53,000 include increases for pay related items (+$195,000) and worker’s 

compensation (+$5,000), and decreases in the DOI working capital fund adjustments (-$94,000) and GSA 

rental rates (-$159,000).
Executive Direction and Administration

Office of Surface Mining Reclamation and Enforcement 110

Summary of 2021 Program Changes for Executive Direction and Administration

Request Component ($000) FTE

Transfer Ethics Program to Solicitor -194 -

General Program Activities -1,164 -

TOTAL Program Changes -1,358 -

The Executive Direction and Administration business line provides leadership, policy, program 

management guidance, and support for all areas of responsibility for OSMRE.

Justification of 2021 Program Change

Transfer Ethics Program to Solicitor (-$194,000): The Bureau’s Deputy Ethics Counsellor was 

reassigned to the Department of the Interior’s Office of the Solicitor in FY 2020. The position was funded 

out of the OSMRE FY 2020 budget through a reimbursable support agreement. OSMRE’s FY 2021 budget 

is reduced to offset an increase to the Office of the Solicitor’s budget to allow direct funding of the position 

in FY 2021.

General Program Activities (-$1,164,000): The FY 2021 budget maintains Executive Direction and 

Administration operational activities at FY 2020 levels. The requested funding levels reflects operational 

efficiencies that are expected to be realized in the General Services sub-activity as a result of prior year 

investments to improve service delivery and effectively support high priority work activities in the other 

business activities.
Executive Direction and Administration

Office of Surface Mining Reclamation and Enforcement 111

OVERVIEW

The Executive Direction and Administration business line supports all the bureau’s programs. This 

business line includes the Director’s Office and staff offices, information technology, administration, 

human resources, and internal financial management for the organization. Executive Direction and 

Administration provides internal executive direction and administrative support to programs, regions, and 

field offices through the development and coordination of agency policy, budget, plans, and other guidance 

documents. Additionally, Executive Direction and Administration also oversees the implementation of 

Departmental and Administration initiatives in the Bureau.

The responsibilities for Executive Direction and Administration are accomplished through the efficient and 

effective operations of the two mission critical bureau business lines (i.e., Environmental Restoration and 

Environmental Protection) and the two business lines providing support functions (i.e., Technology 

Development and Transfer and Financial Management). The Executive Direction and Administration 

business line supports the DOI’s strategic plan goals and measures by providing the required leadership and 

administrative support functions for these programs.

Operational Processes (Program Activities): 

The funding request for this business line is to 

support the activities of Executive Direction, 

Administrative Support, and General Services. 

Executive Direction provides executive 

leadership and policy direction for the Bureau, 

which includes the immediate office of the 

Director. Administrative Support provides all 

of the support services for day-to-day 

operations, including human resources 

information technology, procurement, and 

finance and accounting. General Services 

funds bureau-wide fixed costs such as office 

space, telephones, postage, unemployment 

compensation, IT general support, and other 

Department-wide fixed costs assessed to 

OSMRE.

The performance of the Executive Direction and Administration business line’s activities is an integral 

component of OSMRE’s Environmental Restoration and Environmental Protection mission goal areas; and 

the Technology Development and Transfer and Financial Management support functions. OSMRE 

supports the Department’s current Strategic Plan Mission Goal of Conserving Our Land and Water.

Program performance will be measured by the success of OSMRE in carrying out the environmental 

restoration and protection missions and through OSMRE’s contribution to Departmental initiatives and 

high priority goals.

EXECUTIVE DIRECTION AND

ADMINISTRATION

ENCOMPASSES:

Executive Direction

• Director’s Office

• Staff Offices under the Director

Office for Equal Opportunity

Office of Communications

Office of Planning, Analysis, and Budget

Information Resources Office

Administrative Support

• Human Resources

• Administration

• Finance and Accounting

• Information Technology

General Services
Executive Direction and Administration

Office of Surface Mining Reclamation and Enforcement 112

Actions Required to Achieve Annual Goals: OSMRE continuously monitors its programs for 

management efficiencies and savings.

Resources, Skills, and Technology Needed: OSMRE and its State and Tribal partners will continue to 

need a diverse and multi-disciplinary cadre of personnel to accomplish the mission and goals of the Surface 

Mining Control and Reclamation Act (SMCRA). These personnel will guide OSMRE through technical 

and policy decisions to ensure that coal-mining activities, including post-mining reclamation, are carried 

out in such a manner that the safety and health of coalfield citizens is protected and the environment is not 

degraded.

FY 2021 Budget Request: The request is for $19.0 million for Executive Direction and Administration 

activities. Of this total, $2.8 million will be used to provide executive direction and effective policy 

guidance for the overall program and liaison efforts with States, Tribes, coalfield citizens, Congress, and 

other Federal agencies. Administrative support and services for OSMRE will require $5.6 million, and 

basic bureau-wide fixed overhead costs in general services will cost $10.6 million.
Executive Direction and Administration

Office of Surface Mining Reclamation and Enforcement 113

2021 PROGRAM PERFORMANCE

1. Executive Direction

This activity provides executive direction and leadership, and policy and program management guidance 

for all areas of responsibility for OSMRE. The Executive Direction activity includes the salaries and 

operating expenses for the Office of the Director and four immediate staff offices, which include Equal 

Opportunity; Communications; Planning, Analysis, and Budget; and the Information Resources Office. 

The request includes $2,835,000 and 22 FTE for Executive Direction.

a. Office of the Director (DIR)

The Director is OSMRE’s Chief Executive. The Director provides the leadership and direction of 

OSMRE activities as required under SMCRA. The Director’s primary objectives are to aggressively 

pursue the reclamation of abandoned mine lands (AML) and to prevent environmental problems in the 

coalfields during active mining by working collaboratively with the State regulatory agencies and other 

agencies with a role to play in the process. OSMRE makes every effort to ensure full public participation 

in the development and implementation of its regulatory responsibilities. An extensive outreach approach 

stimulates a more cooperative partnership not only with OSMRE’s regulatory partners, but with other 

stakeholders as well, resulting in better and more effective implementation of the objectives of SMCRA.

In FY 2020 and FY 2021, OSMRE will continue outreach efforts, which promote public participation in 

policy making. The arena for such participation includes public meetings on proposed rulemakings and 

conferences, which promote discussion and exchange of information on the current state of the coal 

industry and OSMRE’s evolving role. OSMRE will continue to take positive steps to collaborate with 

States, Tribes, citizens, other stakeholders, and industry and encourage their participation.

The Deputy Director is OMSRE’s Chief Operating Executive. The Deputy Director provides direct 

supervision for the business operations of the Bureau to the staff offices, as well as executive leadership 

to the other programs and offices.

b. Office for Equal Opportunity (OEO)

OEO is responsible for promoting equal employment opportunities for all OSMRE employees. The staff 

advises and assists the OSMRE Director in carrying out the Bureau’s responsibilities relative to Titles VI 

and VII of the Civil Rights Act of 1964, as amended; the Age Discrimination in Employment Act of 

1967; the Rehabilitation Act of 1973; as well as Executive Orders, regulatory guidelines, and other 

nondiscrimination laws within the Federal Government. The Office:

• Provides leadership, direction, and policy guidance for Equal Employment 

Opportunity (EEO) Program development;

• Provides for the prompt, fair, and impartial processing of complaints of discrimination;
Executive Direction and Administration

Office of Surface Mining Reclamation and Enforcement 114

• Provides technical assistance and advice to employees and managers on all equal 

opportunity issues;

• Communicates the Bureau’s equal employment opportunity policy and program and 

its employment needs to all sources of job candidates without regard to race, color, 

religion, sex, national origin, age or handicap;

• Ensures that a reasonable accommodation program is in place and is implemented in a 

fair and timely manner;

• Ensures that an alternative dispute resolution program is available for both the precomplaint process and the formal complaint process;

• Develops, monitors, and evaluates EEOC MD-715 Affirmative Employment Program 

Plans to promote equal employment opportunities;

• Conducts studies on systemic employment problems, assesses the effect of policies and 

practices on equal employment, identifies employment barriers, recommends 

solutions, and develops written guidance for management; and

• Maintains a Civil Rights Complaints and Compliance program for Federally assisted 

and conducted programs.

In addition, OEO is responsible for Special Emphasis programs and assists the Bureau in creating a model 

equal employment program which ensures that all OSMRE employees and applicants for employment 

have equal access. It is responsible for implementing initiatives in response to Presidential Executive 

Orders, which provides for agencies to work more closely with Historically Black Colleges and 

Universities, Hispanic Serving Institutions and Tribal Colleges and Universities in an effort to enhance 

opportunities for minority serving institutions to participate and benefit from programs related to surface 

coal mining and reclamation activities.

c. Office of Communications (OC) 

OC shares information about OSMRE programs, policies, and activities with the public, Congress, State 

regulatory agencies, the coal industry, citizen groups, and the media. OC facilitates requests for 

information from the news media, Congress and the public, and manages official Bureau correspondence. 

OC also coordinates OSMRE’s annual reclamation awards that recognize excellence in reclaiming active 

and abandoned mines.

OC plans, coordinates, produces, and distributes the following products:

• Congressional Testimony

• Exhibits

• Fact Sheets

• News Releases

• Photos

• Publications

• Reports

• Stakeholder Outreach

• Video

• Web and Social Media Content
Executive Direction and Administration

Office of Surface Mining Reclamation and Enforcement 115

d. Office of Planning, Analysis and Budget (OPAB) 

OPAB performs nationwide planning, program analysis, and budgetary functions for OSMRE. The 

Office ensures the integration of organizational performance measures onto the budget process and 

coordination of Bureau-wide efforts supporting the Foundations for Evidence-Based Policymaking Act 

of 2018. OPAB’s major functions include:

• Supports the development of OSMRE’s and the Department of the Interior’s strategic

plans;

• Collects, reviews, and reports annual regulatory and reclamation program 

accomplishment data;

• Analyzes trends in domestic coal production and reclamation progress;

• Carries out formulation, presentation, and execution of OSMRE’s budget; and 

• Coordinates internal control and other program assessment reviews, in accordance with 

Executive Orders and Departmental initiatives.

e. Information Resources Office (IRO) 

The IRO provides Information Management and Technology (IMT) services to OSMRE. The IRO 

provides advice and assistance to the Director, Deputy Director, and other senior OSMRE managers to 

ensure that information technology is acquired, utilized and managed in a manner that is consistent with 

applicable policies, regulations, and industry best practices. The major functions include:

• Providing advice and assistance to management and employees on IT policy, 

applicable laws, regulations, and directives;

• Maintaining a management framework for and coordinating OSMRE’s nationwide IT 

capital planning and investment control activities, including approval of IT 

expenditures within OSMRE;

• Developing and implementing IT strategic planning to ensure that all of OSMRE’s 

information systems are administered and developed in accordance with policies, longrange systems, and strategic planning;

• Managing OSMRE’s General Support System (GSS) and Information Security 

program in support of OSMRE’s SMCRA mission;

• Providing Information Resources Management-related support to OSMRE’s system 

owners to include information system security support; and

• Ensuring integrity of IT systems and databases through cybersecurity programs.

In addition, the IRO manages all aspects of OSMRE’s information management flow to ensure 

government transparency, accuracy, and responsiveness to information requests. OSMRE continues to 
Executive Direction and Administration

Office of Surface Mining Reclamation and Enforcement 116

develop a comprehensive information management capability that includes meeting the requirements for 

a responsive and compliant Privacy Act Program awareness and loss-mitigation strategy, responding to 

Freedom of Information Act requests, and a Federal Records Act (FRA) compliant Records Management

Program.

2. Administrative Support 

This program includes the administrative functions necessary to support the program activities of OSMRE. 

The specific functions are included in four areas: Administration, Human Resources, Administrative 

Financial Management, and Information Technology. This request includes $5,551,000 and 44 FTE to 

support these support activities.

This function is responsible for managing OSMRE’s financial and administrative activities.

a. Administration

The Division of Administration is responsible for development of bureau-wide administrative policy and 

procedures. The Division also implements the following support activities:

• Acquisition

• Property Management

• Vehicle Fleet Management

• Space Management

• Emergency Coordination

• Physical Security

• Employee Safety & Occupational 

Health

• Directives Management

• Printing and Publications

• Employee Transit Subsidy

The Division of Administration also provides administrative support to headquarters offices. These 

support activities include office moves, provision of general supplies and services, and mailroom 

functions.

The Division of Administration is responsible for providing guidance to ensure OSMRE meets its 

competitive sourcing goals. The Division of Administration provides guidance in the completion of the 

annual Federal Activities Inventory Reform (FAIR) Act Inventory to identify all functions throughout 

OSMRE and their designation as either inherently governmental or commercial in nature. The Division 

of Administration also maintains a presence on the Departmental Acquisition Special Interest Group 

(SIG) as an active member to ensure OSMRE acquisition needs and requirements are met.

The Division of Administration provides direction, coordination, and implementation of all aspects of 

OSMRE’s emergency management program. This includes, but is not limited to, internal policy 

development; program guidance and direction as it relates to emergency response/continuity of 

operations/recovery planning, readiness, and, security; and coordination of OSMRE's response/recovery 

role to declared emergencies and/or disasters on a government-wide basis.
Executive Direction and Administration

Office of Surface Mining Reclamation and Enforcement 117

b. Human Resources (HR)

The Division of Human Resources (HR) develops and implements policies, standards and systems for the 

effective use of human resources to accomplish the overall mission of OSMRE. Specifically, the human 

resources program provides managers and employees with advice and technical assistance on the full 

range of human resources programs in accordance with OSMRE, DOI, OPM, and other Federal policies 

and guidelines. HR provides processing and record keeping on recruitment, staffing and hiring; conducts 

position classification and organizational analysis; and administers pay and compensation programs for 

general schedule and senior executive service positions. The Division also advises and processes 

employee and retirement benefits; oversees performance management, awards and recognition programs; 

implements Human Capital initiatives; provides mandatory employee development and training 

assistance; and provides guidance on employee relations and workplace issues including disciplinary 

actions. HR Operations rely on automated systems such as USA Staffing talent management system, the 

Federal Personnel and Payroll System (FPPS), Employee Express, and DOI Talent Learning Management 

System (LMS). These automated systems provide direct online personnel history files, human resources 

information and services directly to the manager, employee, and applicant.

Special ongoing initiatives this office is working on are highlighted below:

Strategic Recruitment: Human Resources, in conjunction and cooperation with OSMRE’s Office for 

Equal Opportunity, continues to expand recruitment of the number of women, minorities, and persons 

with disabilities identified in under-represented occupations. Efforts to hire veterans are an integral part 

of this expanded recruitment effort as authorized under recent Executive Orders as well. OSMRE 

promotes workforce diversity and continues to improve and strengthen human capital process and tools 

to attract highly skilled applicants in support of building a 21st Century workforce.

Strategic Management of Human Capital: OSMRE HR executes strategic position management activities 

with quarterly and annual evaluations that link individual hiring decisions made during the course of the 

year, thus empowering managers to focus on developing competencies and skills needed to accomplish 

OSMRE mission goals. To promote retention in positions where skill gaps have been identified, OSMRE 

can utilize several programs including student loan repayments, relocation allowances, and retention 

incentives. In addition, OSMRE uses honorary, non-monetary, and monetary awards to reward 

employees based on their contributions to the work of the organization. Annual and tri-annual 

accountability audits are conducted to ensure compliance and identify deficiencies for improvement.

Performance Management: OSMRE’s current performance management process is labor intensive for 

supervisors and human resources. DOI plans to roll out an automated performance management tool in 

FY 2020. OSMRE will focus on training supervisors on effective standard development, roles and 

responsibilities, and employee performance awards to increase organization effectiveness.

Employee Relations: OSMRE is committed to preventing harassment in the workplace. This is an agency 

priority. OSMRE’s new Conduct, Accountability, Respect, Employees (C.A.R.E.s) Anti-Harassment 

program will improve accountability, communications, and transparency to ensure a workplace free from 
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Office of Surface Mining Reclamation and Enforcement 118

harassment. OSMRE will deliver targeted training and employee relations consultation service to 

managers and employees.

c. Administrative Financial Management

The Financial Management activity funded in this business line provides OSMRE’s program offices with 

accounting and financial services for operational funds to implement SMCRA. Additionally, such 

services include improved access and presentation of financial data to improve the management of 

operations and allow for more informed decision making. These services include timely bill pay, 

recording of receipts and expenditures, issuing financial guidance and management reports, collecting 

administrative debts, development of financial management operating procedures and tutorials, ensure 

compliance of Federal travel regulations, supporting DOI’s audited financial statements, and maintaining 

financial systems and tools that support these functions.

d. Information Management and Technology (IMT)

OSMRE is dependent upon information technology to provide efficient and accurate management 

information to assist OSMRE’s program managers in accomplishing the agency’s mission. Activities 

span all business lines and are funded under other business lines in the budget as well as Executive

Direction.

As of FY 2016, OSMRE operates a centralized Information Management Technology (IMT) program 

under the direct authority of the Bureau’s Associate Chief Information Officer (ACIO). OSMRE 

leverages IMT shared services and services provided under reimbursable agreements to supplement its 

IMT service offerings. OSMRE will continue to evaluate shared service opportunities and technology to 

meet OSMRE mission needs in order to increase operational efficiencies and harden its cyber security 

posture.

Through its cyber security program, OSMRE ensures the integrity of its systems and data assets. The 

ACIO and the Information Resources Office (IRO) staff provide the Bureau with system assessment and 

accreditation services as well as perform continuous monitoring security controls to ensure security 

compliance. The IRO provides, as a component of its security program, virus filtering and continuous 

traffic monitoring systems which significantly enhance efforts to manage security for its information 

systems. To ensure cyber security hygiene, the IRO also maintains vulnerability, configuration 

management, and incident responses processes to ensure timely installation of software patches and fixes 

while strengthening incident handling responses.

Additionally, employee awareness and compliance are assured through a comprehensive training 

program. In response to the Federal Information Systems Security Awareness (FISSA) training 

requirements, employee mandatory training was expanded to include Privacy, Records Management and 

Rules of Behavior training on an annual basis. OSMRE also provides specialized and role-based security 

training (RBST) to its employees that have significant IT security responsibilities.
Executive Direction and Administration

Office of Surface Mining Reclamation and Enforcement 119

The IRO continues to manage OSMRE’s Capital Planning and Investment Control (CPIC) process to 

ensure the Bureau’s IMT investment portfolio represents the optimal mix of technology and services 

sufficient to support the OSMRE mission. OSMRE works closely with Departmental counterparts to 

ensure the CPIC program is maintaining the desired results of the program.

3. General Services

This funding activity includes essential fixed costs to support OSMRE’s program missions. No personnel 

or operational activities are funded by this component. The costs are estimates for FY 2021 and reflect 

estimated Departmental fixed cost changes from FY 2020 levels and known future plans, including field 

office closures, co-location, space reduction, anticipated contracting efficiencies, and investment in 

technologies and systems to yield additional efficiencies in the future.

Table 11 shows projected the General Services costs by category for FY 2020 and FY 2021.

Table 11 – Estimated General Services Costs

(in Round Dollars)

Line Item 2020 Request

2021

Estimate

Estimated 

Change 

2020 – 2021

Rent and Utilities 5,118,000 4,959,000 -159,000

Telecommunications 300,000 300,000

Postage 10,000 10,000

DOI Working Capital Fund 2,182,000 2,088,000 -94,000

DOI Program Requirements 145,000 145,000

Unemployment Compensation 6,000 6,000

Worker's Compensation 133,000 138,000 +5,000

Bureau-wide Printing/Supplies 272,000 272,000

Service Contracts 170,000 170,000

GSA Work Authorizations 5,000 5,000

Operational Support Contracts/IT Shared 

Services (Quickhire, Quicktime, Enterprise 

Service Network, software licenses, etc.)

3,676,000 2,512,000 -1,164,000

Total 12,017,000 10,605,000 -1,412,000
Executive Direction and Administration

Office of Surface Mining Reclamation and Enforcement 120

EXECUTIVE DIRECTION AND ADMINISTRATION

2020 Planned Program Performance

In FY 2020, planned activities in the Executive Direction and Administration program activity include:

 Initiate a mass website modernization project to consolidate and reorganize content and migrate 

it into a content management system to improve overall OSMRE user experience. 

 Create an online, Plain Language glossary of commonly used OMSRE terms.

 Training - Continue to utilize training as a strategy to increase cultural competencies, reduce the 

number of EEO complaints filed, and conduct civil rights reviews on Federal assisted and 

Federally conducted programs.

 Improve the availability of self-guided videos and instructions through a single application.

 Space – Continue to review opportunities to reduce OSMRE’s leased space footprint and 

expenditures.

 Acquisition – Continue to review opportunities to improve oversight of OSMRE’s acquisition

functions.

 Property – Continue to improve the quality of Financial and Business Management System 

(FBMS) asset record data.

 Demonstrate Acquisition Category Management Capability for OSMRE’s IT Equipment 

Procurement. 

 Budget and Performance Management – Continue to enhance the bureau’s performance 

management program through a newly developed standard operating procedure for collected 

and reporting performance data and by regular review of and improvements to program 

performance measures.

 Support DOI’s Financial Audit Statements for FY 2019 and FY 2020.

 Continue to improve the delivery and accessibility of financial information.

 Capital Planning and Investment Control (CPIC) – Conduct required evaluations for all IT 

programs and major investments.

 Information Management and Technology (IMT) – Continue to provide component-level IMT 

services and mission system support while supporting DOI IMT initiatives to include 
Executive Direction and Administration

Office of Surface Mining Reclamation and Enforcement 121

deployment of DHS Continuous Diagnostic and Mitigation (CDM) capabilities consistent with 

applicable rules and regulations.

 Continue to provide administrative support across the bureau to enable mission success in the 

other four business lines (Environmental Restoration, Environmental Protection, Technology 

Development and Transfer, and Financial Management).

 Develop “Dashboards” to monitor key programmatic and administrative performance metrics.

 Identify OSMRE’s “labor intensive” administrative activities, and evaluate appropriate 

regulatory, policy and technology solutions.

2019 Program Accomplishments

In FY 2019, the major accomplishments in the Executive Direction and Administration program activities 

include:

 Finalized OSMRE Directive IT-3 (Digital Media Policy) to outline official use of digital media

platforms.

 Officially launched a new employee intranet site to improve access to OSMRE and DOI 

information and services.

 Launched OSMRE C.A.R.E.s (Conduct Accountability Respect Employees) program to ensure 

that harassment in the workplace is reported, addressed, and eliminated, timely and 

appropriately.

 Published FY 2018 AML Pilot Project report on the OSMRE internet page.

 Published updated NEPA Handbook and Federal Assistance Manual on the OSMRE internet 

page.

 Exceeded DOI and OSMRE performance goals in the Interior Readiness (I-READ) assessment 

of the Bureau’s Emergency Management Program. 

 Reduced OSMRE undelivered orders by 52% through the deobligation of unused fiscal 

resources and making them available through other priorities. 

 Improved the quality of OSMRE’s Safety and Occupational Health program by enhancing the 

ability of OSMRE managers to identify and mitigate employee risk.

 Scored green in all areas of DOI’s Financial Performance Metrics.
Executive Direction and Administration

Office of Surface Mining Reclamation and Enforcement 122

 Achieved 99.9 percent prompt pay on vendor payments.

 Capital Planning and Investment Control (CPIC) – Completed required evaluations for all IT 

programs and major investments.

 Provided educational and employment opportunities to youth in the areas of communications, 

budget, information technology, auditing, and general administration.

 Supported DOI’s Audited Financial Statements for FY 2018 and FY 2019.
TAB

Permanent Appropriations
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Permanent Appropriations

Office of Surface Mining Reclamation and Enforcement 123

PERMANENT APPROPRIATIONS

ALLOCATIONS TO STATES AND TRIBES

TRANSFERS TO UNITED MINE WORKERS OF AMERICA HEALTH BENEFIT 

PLANS AND THE 1974 UMWA PENSION PLAN

INVESTMENTS TO ADDRESS IMPORTANT LEGACY COSTS IN COAL COUNTRY

OSMRE receives mandatory funding to distribute grants to States and Tribes and transfers to three health 

benefit plans that are part of the United Mine Workers of America Health and Retirement Funds. The three 

health benefit plans that receive funding under the Surface Mining Control and Reclamation Act (SMCRA) 

are collectively referred to as the “UMWA Health Benefit Plans.” These payments are derived from the 

Abandoned Mine Reclamation Fund (AML Fund) and the General Treasury.

The Bipartisan American Miners Act of 2019 (P.L. 116-94, Division M) further amends the SMCRA to 

provide additional health benefits to eligible beneficiaries paid directly by employers in the bituminous coal 

industry defined in section 9701(b)(1) title 26 or a related coal wage agreement that would be denied or 

reduced as a result of bankruptcy proceedings commenced in 2018 and 2019. Additionally, the Act 

increases the annual limitation on funds available from the Treasury from $490 million to $750 million, 

and specifies that any amounts available under the new limitation after making the mandatory payments to 

States and Tribes and the transfers to UMWA Health Benefits Plans will be transferred to the 1974 UMWA 

Pension Plan. The increase to the annual limitation and requirement to transfer balances to the 1974 

UMWA Pension Plan was made effective for fiscal years beginning September 30, 2016 by the Act, 

requiring that retroactive transfers be made for fiscal years 2017, 2018, and 2019.
Permanent Appropriations

Office of Surface Mining Reclamation and Enforcement 124

Table 12 – Permanent Appropriation Estimates

(Dollars in Millions)

Permanent Appropriation

2019

Actuals

2020

Enacted

2021

Estimates

Change 

from 2020 

to 2021

Payment (or Grants) to States in 

Lieu of Coal Fee Receipts (U.S. 

Treasury Funds)

103.0 42.3 45.2 +2.9

• In Lieu Payments to Certified 

States and Tribes 103.0 42.3 45.2

Mandatory Grants to 

Noncertified States (AML 

Fund)

188.3 128.6 136.8 +8.2

• State and Tribal Share 25.5 24.4 25.7

• Historic Coal Share 145.5 82.3 87.7

• Min Program Make Up 17.3 21.9 23.4

Subtotal- Payments to States 

and Tribes* 291.3 170.9 182.0 +11.1

Payments to UMWA Health 

Benefit Plans (AML Fund 

Interest)

54.3 37.1 31.4 -5.7 

Supplemental Payments to 

UMWA Health Benefit and 

Pension Plans (Treasury Funds)

225.1 1,925.5 704.8 -1,220.7 

Subtotal- Payments to UMWA 

Health Benefit and Pension 

Plans**

279.4 1,962.6 736.2 -1,226.4 

Total Mandatory Funding 570.7 2,133.5 918.2 -1,215.3

Subtotal from AML Fund 242.6 165.7 168.2 +2.5

Subtotal from Treasury 328.1 1,967.8 750.0 -1,217.8

* FY 2019 and FY 2020 payments to States and Tribes reflect actual amounts distributed after 

required sequestration reductions. FY 2021 estimates are pre-sequester.

** FY 2020 and FY 2021 costs reflect the estimated increase in payments to the UMWA Health 

Benefit Plans and new payments to the 1974 UMWA Pension Plan as authorized by the Bipartisan 

American Miners Act of 2019 (P.L. 116-94, Division M). FY 2020 costs include $1,220.4 million 

in retroactive transfers to the 1974 UMWA Pension plan for fiscal years 2017, 2018, and 2019 as 

required by the Bipartisan American Miners Act of 2019.
Permanent Appropriations

Office of Surface Mining Reclamation and Enforcement 125

OVERVIEW

One of the basic concepts of SMCRA is to charge a fee on coal production to finance the reclamation of 

abandoned mine lands (AML) across the country. Reclamation fees are deposited into the Abandoned Mine 

Reclamation Fund (AML Fund) and distributed through the annual appropriations process to States and 

Tribes for AML reclamation and to OSMRE for administrative expenses. In 2006, amendments to SMCRA 

extended the authority to collect the reclamation fee and altered the distribution of payments beginning in 

2008.3

Collection of Reclamation Fees

Reclamation fees collected are placed in the AML Fund. The current reclamation fee authorized by 

SMCRA is: 28 cents/ton of surface mined coal; 12 cents/ton of coal mined underground; and 8 cents/ton of 

lignite; or ten percent of the value of the coal (two percent of the value of the lignite), whichever is less. 

Total fee receipts for FY 2019 were $151.1 million. Reclamation fee collections form the basis for 

mandatory grants to the certified and noncertified States and Tribes.

Interest accrued on the AML Fund becomes part of the AML Fund and is available for transfer to the United 

Mine Workers of America Health and Retirement Funds in order to help finance three health care plans 

(collectively referred to as the “UMWA Health Benefit Plans”).

Allocation and Distribution of Reclamation Funds to States and Tribes

Generally, States must have an approved SMCRA regulatory (Title V) program and an approved 

reclamation (Title IV) program to be eligible to receive mandatory AML funding. Three Tribes (Crow, 

Hopi, and Navajo) are eligible for funding through the AML program, and each has an approved 

reclamation program. As part of the 2006 amendments to SMCRA, Tennessee also became eligible for 

AML program funding although it does not have an approved regulatory program. A total of 25 States and 

three Tribes received reclamation funding in FY 2020; of these, five States and all three Tribes have 

certified completion of coal abandoned mine land problems.

a. AML Fund

Noncertified States are allocated mandatory grants from the AML Fund based on the reclamation fees 

collected the previous fiscal year. The amount of the grant for each noncertified State is determined through 

a formula that adds the following allocations:

3 OSMRE published regulations implementing the Act (November 14, 2008, 73 FR 67576), which

became effective on January 13, 2009.
Permanent Appropriations

Office of Surface Mining Reclamation and Enforcement 126

1. Half of reclamation fees collected in that State (known as the State Share);

2. A State’s portion of 30 percent of all reclamation fees collected Nationwide and the amount of 

the State/Tribal Share forgone by certified States and Tribes; each State’s portion is determined 

proportionally based on the amount of coal production in that State prior to 1977 (known as 

Historic Coal Share); and

3. Any amount needed to ensure that each noncertified State receives at least $3 million annually 

(known as the Minimum Program Make Up Funds).

SMCRA specifies the eligible uses of each of specific allocation. All funding provided to noncertified 

States can be used to address hazards and problems on abandoned coal mine lands, such as underground 

fires, subsidence, landslides, open shafts, unstable or burning refuse piles, acid mine drainage, and 

dangerous, unstable highwalls. Some of the allocations are restricted to use on the highest priority coal 

mine sites, i.e., minimum program make up funds, while other allocations may be used to address problems 

such as water supplies adversely affected by coal mining, i.e., State Share. In certain circumstances, State 

Share and Historic Coal Share funds may also be used to reclaim certain non-coal sites, such as abandoned 

hardrock mine lands. Western States, in particular, often use their reclamation funds to address high priority 

hardrock AML sites, for which there is no other source of Federal funding.

In FY 2020, noncertified States will receive $128.6 million after sequestration ($24.4 million in State Share, 

$82.3 million in Historic Coal Share, and $21.9 million in Minimum Program Make Up Funds).

For FY 2021, OSMRE estimates that noncertified States will receive 136.8 million in grants from the AML 

Fund ($25.7 million in State Share; $87.7 million in Historic Coal Share; and $23.4 million in Minimum 

Program Make Up Funds).

b. Treasury Funds

Mandatory payments from the Treasury to certified States and Tribes are also allocated by formula. In lieu 

payments to certified States and Tribes are equal to half of the reclamation fees collected in that State or 

Tribe in the previous fiscal year. Certified States and Tribes will receive $42.3 million, after sequestration, 

in FY 2020. These payments can be used to address the priorities as prescribed in 30 CFR 874 for coal 

reclamation projects that currently exist or that occurred after certification, as well as non-coal reclamation 

projects such as hardrock AML problems and infrastructure impacted by mineral leasing and mining.

Under current law, total mandatory payments to States and Tribes from Treasury funds in FY 2021 are 

estimated to be $45.2 million.

Treasury funds paid to the States and Tribes and transfers to the UMWA Health Benefit Plans and the 1974 

UMWA Pension Plan are subject to an overall $750 million cap on all annual transfers from the Treasury 

under SMCRA, as amended.
Permanent Appropriations

Office of Surface Mining Reclamation and Enforcement 127

Transfers (or Payments) to the UMWA Health Benefit Plans and 1974 UMWA Pension Plan

Sections 402(h) and (i) of SMCRA require OSMRE to transfer funds to three UMWA health care plans that 

are part of the UMWA Health and Retirement Funds: the UMWA Combined Benefit Fund (CBF), the 

UMWA 1992 Benefit Plan, and the Multiemployer Health Benefit Plan (aka, the 1993 Benefit Plan). The 

three plans are collectively referred to as the “UMWA Health Benefit Plans.” Section 402(i) of SMCRA, 

as amended by the Bipartisan American Miners Act of 2019 (P.L. 116-94, Division M), further requires 

OSMRE to transfer the difference between the aggregate amounts transferred to the UMWA Health Benefit 

Plans and the States and Tribes and the $750 million cap to the 1974 UMWA Pension Plan. These transfers 

are as follows:

• Annual transfers of all estimated AML Fund interest earnings to the UMWA Health Benefit Plans, 

to the extent payments from premiums paid by operators and other sources do not meet those 

plans’ expenditure needs, subject to certain limitations.

• Annual transfers from the Treasury to the UMWA Health Benefit Plans and the 1974 UMWA 

Pension Plan, subject to the overall $750 million cap on all annual transfers from the Treasury 

under Section 402(i) of SMCRA.

• In general, the amount of the transfers to the UMWA Health Benefit Plans is dependent on the 

extent that their revenues do not meet their expenditures. When that occurs, OSMRE will transfer 

available funds in the following order as needed:

o Estimated interest to be earned by the AML Fund during the fiscal year in question.

o Transfers from the U.S. Treasury, subject to the $750 million cap on annual transfers from 

Treasury.

o Reserve fund created from existing stranded interest earned by the AML Fund.

In FY 2020, the UMWA Health Benefit Plans will receive $37.1 million in interest payment from the AML 

fund and $246.3 million from the Treasury. The 1974 UMWA Pension Plan will receive $1,220.4 million 

from the Treasury, including $458.8 million for FY 2020 and $1,220.4 million in retroactive transfers for 

FYs 2017-2019. 

For FY 2021, under current law, OSMRE estimates that $31.4 million in interest payments from the AML 

Fund and $299.0 million from the Treasury will be transferred to the UMWA Health Benefit Plans, and 

$405.8 million will be transferred to the 1974 UMWA Pension Plan. 
Permanent Appropriations

Office of Surface Mining Reclamation and Enforcement 128

Table 13 – Mandatory Funding for States and Tribes, FY 2019-2021

(Dollars Rounded in Millions)

State/Tribe 2019

Actual

2020 

Enacted

Hypothetical 

Distribution 

for FY 2021

Alabama 5.1 3.4 3.5

Alaska 2.8 2.8 3.0

Arkansas 2.8 2.8 3.0

Colorado 3.1 2.8 3.0

Illinois 18.7 11.7 12.5

Indiana 8.1 5.7 6.1

Iowa 2.8 2.8 3.0

Kansas 2.8 2.8 3.0

Kentucky 18.3 11.3 12.2

Maryland 2.8 2.8 3.0

Missouri 2.8 2.8 3.0

New Mexico 2.8 2.8 3.0

North Dakota 2.8 2.8 3.0

Ohio 10.3 6.0 6.5

Oklahoma 2.8 2.8 3.0

Pennsylvania 53.9 32.2 34.0

Tennessee 2.8 2.8 3.0

Utah 1.4 1.0 .9

Virginia 5.6 3.6 3.7

West Virginia 35.8 22.9 24.3

Sub-total for noncertified States 188.3 128.6 136.8

Louisiana .2 .1 .1

Mississippi .1 .1 .1

Montana 7.8 3.3 3.7

Texas 2.5 1.0 1.1

Wyoming 87.8 35.8 38.1

Crow 1.2 .5 .5

Hopi .6 .4 .4

Navajo Nation 2.8 1.1 1.2

Sub-total for certified States and Tribes 103.0 42.3 45.2

AML Site Reclamation/Redevelopment

Total for All States/Tribes 291.3 170.9 182.0

Source of Mandatory Funding:

• AML Fund 188.3 128.6 136.8

• Treasury 103.0 42.3 45.2

Notes:

Noncertified States are those that have remaining coal AML problems to address. Certified States and Tribes have certified that there are no 

remaining coal AML problems.

FY 2019 figures reflect a reduction of 6.2 percent due to sequestration. FY 2020 figures reflect a 5.9 percent reduction due to sequestration. 

References:

P.L. 109-432, SMCRA Amendments Act of 2006; P.L 112-141, MAP-21; P.L. 112-175, the Continuing Appropriations Resolution for 2013; and

P.L. 113-40, The Helium Stewardship Act of 2013.
TAB

Budget Exhibits
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Exhibit A

Office of Surface Mining Reclamation and Enforcement 129

BUDGET EXHIBITS

Exhibit A: Section 403 Compliance

Exhibit A: Section 403 Compliance4

Program/Project Support of Bureau, Department, and Government-wide Costs

2021

Request

External Administrative Costs

WCF Centralized Billings $2,088,200

WCF Direct Billing/Fee for Service $1,090,600

External Administrative Costs

OSMRE funds external administrative costs, to include amounts paid to the Department of the Interior 

(DOI) to support Departmental or government-wide costs, in the General Services activity within the 

Executive Direction and Administration business line.

Bureau Administrative Costs

OSMRE does not assess a charge for overhead, deductions, reserves, or holdbacks against the amounts 

requested in each of its business lines; rather, Bureau level administrative costs are identified in the 

Executive Direction and Administration business line in the budget justification. The Executive Direction 

activity provides executive direction in overall leadership and bureau- wide policy and program 

performance management guidance. The Administrative Support activity includes all the administrative 

functions necessary to support program activities including: Administration, Human Resources, 

Administrative Financial Management, and Information Technology. In addition to the DOI Working 

Capital Fund, the General Services activity includes essential fixed costs to support OSMRE’s program

missions such as rent, telecommunications, and service contracts. Further information on specific elements 

of each activity can be found in the Executive Direction and Administration section.

Support functions at the regional and field offices ensure various activities are integrated so the mission is 

accomplished. The majority of these costs are comprised of the salary and benefits for field office directors, 

regional directors and their administrative staff. These costs are not identified under Executive Direction 

and Administration, but rather included in the program funding requested in the respective business lines.

Activity Based Costing allows OSMRE to internally track the indirect costs associated with its various 

organizational units and program activities. This is important in determining the full cost of program 

activities for evaluation purposes. By having employees report and track costs at the lowest work 

breakdown structure level, managers are able to assess both the direct and indirect costs of the Bureau’s 

programs and activities.

4 Department of the Interior, Environment, and Related Agencies Appropriations Act, 2020 (Division D, 

Public Law 116-94)
Exhibit B

Office of Surface Mining Reclamation and Enforcement 130

Exhibit B: Employee Count by Grade (PER-4)

Office of Surface Mining Reclamation and Enforcement

Employee Count by Grade

(Total Employment)

FY 2019

Actual

FY 2020

Estimate

FY 2021

Estimate

Executive Level V .................................................. 1 1 1

SES.................................................................... 6 6 6

Subtotal.................................................... 7 7 7

GS/GM-15............................................................ 23 23 23

GS/GM-14............................................................ 46 55 55

GS/GM-13............................................................ 110 112 114

GS-12.................................................................. 131 146 146

GS-11.................................................................. 18 30 30

GS-10.................................................................. 0 0 0

GS-9.................................................................... 17 17 17

GS-8.................................................................... 5 7 7

GS-7.................................................................... 12 13 13

GS-6.................................................................... 3 4 4

GS-5.................................................................... 1 1 1

GS-4.................................................................... 0 0 0

GS-3.................................................................... 0 0 0

GS-2.................................................................... 0 0 0

Subtotal.................................................... 366 408 410

Total employment (actuals & estimate)........................ 373 415 417

Note: This is employee count projected at the end of each fiscal year and not FTE levels.
TAB

Appendixes
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Appendix – AML Reclamation Accomplishments

Office of Surface Mining Reclamation and Enforcement 131

AML Reclamation Accomplishments

Historical Data through September 30, 2019

Priority 1, 2, and 3 Problems

* Not converted to GPRA Acres Source: The enhanced Abandoned Mine Land Inventory System (e-AMLIS)

** Priority 3 Problems

Notes:

1. The enhanced Abandoned Mine Land Inventory System (e-AMLIS) only provides information on the direct 

construction cost to reclaim AML features. This system was never designed to be a project management tool. EAMLIS is the central electronic database for recording the national inventory of AML priorities for the AML 

Program. The information contained in e-AMLIS is provided by States and Tribes.

2. The AML Reclamation Accomplishments Table only reports on the direct construction costs to reclaim AML 

features expended from the AML Fund and U.S. Treasury Funds (e.g. Certified in Lieu Funds and Prior Balance 

Replacement Funds). These construction costs do not include design, engineering or administrative costs 

necessary for the State and Tribal AML programs to apply that construction cost effectively and efficiently. 

Problem Type Units

Number of 

Units

GPRA 

Acres

Cost of 

Completed 

Reclamation

Remaining 

Reclamation 

Costs

Bench ** Acres 747 745 3,595,878 17,853,242

Clogged Streams Miles 2,697 13,413 95,051,592 78,906,664

Clogged Stream Lands Acres 24,331 38,550 265,279,945 235,373,177

Dangerous Highwalls Feet 5,265,032 76,252 694,470,644 1,291,336,147

Dangerous Impoundments Count 2,465 13,231 82,490,081 35,520,601

Industrial/Residental Waste (Priority 1 & 2) Acres 1,856 1,854 49,185,176 57,107,755

Dangerous Piles & Embankments Acres 27,956 27,899 413,300,318 352,835,965

Dangerous Slides Acres 5,229 5,317 408,210,910 107,827,822

Equipment/Facilities ** Count 830 88 6,842,197 5,209,944

Gases: Hazardous Explosives Count 83 77 23,658,041 2,352,792

Gobs (Coal waste piles) ** Acres 6,646 6,640 82,653,081 65,114,364

Highwall ** Feet 218,621 3,124 17,628,183 1,179,864,138

Hazardous Equipment & Facilities Count 5,787 1,286 39,778,781 34,846,011

Haul Road ** Acres 1,169 1,105 9,219,734 5,317,624

Hazardous Water Body Count 2,297 11,691 84,087,740 96,668,425

Industrial/Residential Waste (P3) Acres 266 265 1,358,251 813,044

Mine Opening ** Count 1,301 131 5,063,611 15,486,423

Other (*)(**) ---- 5,643 N/A 25,538,448 24,607,162

Polluted Water: Agricultural & Industrial Count 587 2,910 53,240,104 79,190,829

Polluted Water: Human Consumption Count 57,379 270,115 436,280,769 3,025,192,617

Portals Count 23,110 2,341 113,210,584 69,937,743

Pits ** Acres 9,729 9,730 61,522,878 46,122,778

Subsidence Acres 9,914 9,849 570,948,994 611,856,196

Spoil Area ** Acres 99,139 96,802 132,473,544 296,756,607

Surface Burning Acres 2,209 2,205 94,896,019 22,627,616

Slurry ** Acres 2,474 2,478 25,789,363 5,973,345

Slump ** Acres 860 840 6,894,494 80,066,302

Underground Mine Fire Acres 9,104 9,303 120,259,176 852,884,650

Vertical Opening Count 21,534 3,894 131,780,578 76,170,713

Water Problems (*)(**) Gal/Min 265,502 N/A 72,233,925 958,912,392

Total 612,134 $ 4,126,943,039 $ 9,732,733,088
Appendix – AML Reclamation Accomplishments

Office of Surface Mining Reclamation and Enforcement 132

3. The two main sources of information for the AML Reclamation Program are the Financial Business Management 

System (FBMS) and e-AMLIS. FBMS is DOI/OSMRE’s official system of record that contains comprehensive 

information on AML grant allocations and expenditures for the SMCRA Title IV AML Reclamation Program. EAMLIS contains different information from FBMS and serves a different purpose. For example, e-AMLIS 

provides information primarily on direct construction cost such as estimates for reclaiming AML features once 

they are discovered and entered into the inventory, as well as completed costs when AML features are actually 

reclaimed in the field at which time the inventory cost is updated.

4. GPRA Acres are non-acre measures (feet of highwall or number of portals) that are converted by formula to acres 

and used to measure program performance.

5. The e-AMLIS inventory is not a fixed target that declines each year by the amount of reclamation accomplished. 

Instead, the inventory is dynamic and updated by States and Tribes on an ongoing basis. New AML problems are 

added to the inventory as they are identified, and cost data on existing AML problems are updated to reflect 

current reclamation costs.

6. Reproducing the data in this table from the public-facing e-AMLIS webpage may be problematic. The publicfacing webpage has limits on the type and amount of query capabilities which affect the ability of the public to 

replicate OSMRE published e-AMLIS tables. An approved e-AMLIS account holder has more query functions 

than what is available to the public. Additionally, the OSMRE e-AMLIS Coordinator performs a rigorous quality 

control and quality assurance process on the data before it is published. This is required due to complexities in 

the coding system of the e-AMLIS program and retrieval of information that was historically entered differently 

(e.g. not georeferenced) and placed on a different system platform within the e-AMLIS program.

7. The dataset used in the preparation of the AML Reclamation Accomplishments table as of September 30, 2019, 

was expanded to include other applicable e-AMLIS programs (Rural Abandoned Mine Program, Federal and 

State Emergency Programs, stand-alone Priority 3 problems and, non-coal priorities). These changes in the FY

2020 reporting of the table account for the overall increase in each reported category. Prior to FY 2019, the dataset 

only included certain coal programs such as Acid Mine Drainage, Coal Interim Site Funding, Coal Insolvent

Surety Site Funding, and Pre-SMCRA Coal State/Tribe Programs, Water Supply Restoration Program, and 

Certified Program Coal Reclamation [411 (h)1 and 411 (h)2]. 

8. The AML Reclamation Accomplishments table does not include completion data for certain AML problems 

reclaimed under SMCRA prior to the 2006 Amendments, including Priority 4 and Priority 5 projects, certain nonmining related activities, and water supply restoration projects not linked to higher AML priorities. Priority 4 is 

designated for the protection, repair, replacement, construction, or enhancement of public facilities such as 

utilities, roads, recreation, and conservation facilities adversely affected by coal mining practices. Priority 5 is 

designated for the development of publicly owned land adversely affected by coal mining practices including 

land acquired as provided in Title IV for recreation and historic purposes, conservation, and reclamation purposes 

and open space benefits. Expenditures on non-mining related activities, such as transportation, education, or 

energy development were also recorded as completed costs in e-AMLIS. Water supply restoration relates to 

protecting, replacing, constructing, or enhancing facilities relating to water supply, including water distribution 

facilities and treatment plants that replace water supplies adversely affected by coal mining practices. This work 

was previously authorized by SMCRA even if there was no health, safety, or environmental priority associated

with the work.

9. The dataset was extracted for the 25 States and 3 Tribes that have an approved AML Reclamation Plan and the 

Federal Reclamation Program administered by OSMRE for States and Tribes that do not have approved AML 

Program 

10. The dataset does not include projects funded under the Abandoned Mine Land Reclamation Economic 

Development Pilot Program (i.e. AML Pilot). 
Appendix – By State and Tribe Funding Data

Office of Surface Mining Reclamation and Enforcement 133

By State and Tribe Funding Data

FY 2019 Obligations for Grants, Cooperative Agreements and Federal Project Spending

(DOLLARS IN THOUSANDS)

STATE/TRIBE Environmental Restoration Environmental Protection (Regulatory)

AML

Funding Federal Reclamation Grants/Agreements TOTAL

Emergency 

Projects

High 

Priority 

Projects

Emergency 

Projects

NonFederal

Lands

Federal

Lands

Alabama 1,280 50 1,330

Alaska 373 373

Arkansas 113 113

California 0

Colorado 1,909 415 2,324

Georgia 0

Illinois 3,327 3,327

Indiana 1,607 1,607

Iowa 44 44

Kansas 78 78

Kentucky 12,587 910 13,497

Louisiana 187 187

Maryland 902 902

Michigan 0

Mississippi 220 220

Missouri 203 203

Montana 2,038 2,038

New Mexico 230 621 851

North Dakota 560 436 996

Ohio 1,776 1,776

Oklahoma 680 507 1,187

Oregon 119 119

Pennsylvania 13,174 13,174

Rhode Island 0

South Dakota 0

Tennessee 0

Texas 2,915 2,915

Utah 258 2,286 2,544

Virginia 3,670 3,670

Washington 700 700

West Virginia 10,476 10,476

Wyoming 273 1,995 2,268

Cherokee Nation 0

Crow 575 575

Hopi 403 403

Navajo 1,800 1,800

N. Cheyenne 0

Total 0 119 700 59,620 9,258 69,697
Appendix – Organization Chart

Office of Surface Mining Reclamation and Enforcement 134

Office of Surface Mining Reclamation and Enforcement

Organizational Chart

Office of Communications

Office of the Director

Deputy Director

Office for Equal 

Opportunity

Office of Planning, 

Analysis and Budget

Information Resources 

Office

Program Support 

Directorate

Appalachian Office 

Regional Director

(Regions 1 & 2)

Division of 

Regulatory 

Support

Division of 

Reclamation 

Support

Division of 

Technical 

Training

Finance and 

Administration 

Directorate

Division of 

Compliance 

Management

Division of 

Financial 

Management

Division of 

Administration

Division of 

Human 

Resources

Field and Area 

Offices

Technical 

Support 

Division 

Program 

Assistance 

Division 

Pittsburgh Field 

Division

Western Office

Regional Director

(Regions 5, 7, 8, 9, 10 &11)

Technology 

Management 

Division

Program 

Support 

Division

Denver Field 

Division

Field and Area 

Offices 

Mid-Continent Office 

Regional Director

(Regions 3, 4 & 6)

Alton Field 

Division

Program 

Support 

Division 

Field and Area 

Offices 
Appendix – Abandoned Mine Land Program Sites

Office of Surface Mining Reclamation and Enforcement 135

Office of Surface Mining Reclamation and Enforcement Abandoned Mine Land Program States

Abandoned Mine Land Program States 

Uncertified State or Tribe: Alabama, Alaska, Arkansas, Colorado, Illinois, Indiana, Iowa, Kansas,

Kentucky, Maryland, Missouri, New Mexico, North Dakota, Ohio,

Oklahoma, Pennsylvania, Utah, Tennessee, Virginia, West Virginia

Certified State or Tribe: Crow Tribe, Hopi Tribe, Louisiana, Mississippi, Montana, Navajo Nation,

Texas, Wyoming

Federal Responsibility State or Tribe: California, Cherokee Nation, Georgia, Idaho, Massachusetts, Michigan,

North Carolina, Oregon, Rhode Island, South Dakota, Washington

US AML Programs

AML Status

Uncertified OSMRE Federal State

Certified Non-AML State
Appendix – Regulatory Programs and Office Locations

Office of Surface Mining Reclamation and Enforcement 136

Regulatory Programs and Office Locations
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