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CHAPTER 4-120

STATE EMERGENCY AML RECLAMATION PROGRAM

4-120-00 What is an AML emergency?

4-120-10 What is the objective of the AML emergency program?

4-120-20 How does state emergency funding work?

4-120-30 What are our responsibilities?

4-120-40 What are your responsibilities?

4-120-50 What are the grant funding procedures for the state emergency program?

4-120-60 What should your initial investigation procedures include?

4-120-70 What must you include in your request for an emergency declaration?

4-120-80 How will we review your request and process an emergency declaration?

4-120-90 What are the emergency project progress reporting requirements?

4-120-100 What do you do if the emergency project needs a scope change?

Exhibit 1 AML Emergency Program Guidelines

Exhibit 2 Compliance with the National Historic Preservation Act

Exhibit 3 Compliant Information Gathering Guide

Exhibit 4 AML Compliant Investigations

Exhibit 5 National Pollution Discharge Elimination System Storm Water Discharge

Permits

4-120-00 What is an AML emergency?

We, the Office of Surface Mining Reclamation and Enforcement (OSMRE), define an 

Abandoned Mine Land (AML) emergency as a sudden danger or impairment related to coal 

mining that presents a high probability of substantial physical harm to the health, safety, or 

general welfare of people before the danger can be abated under normal AML program operation 

procedures. 

4-120-10 What is the objective of the AML emergency program?

The objective of the emergency reclamation program is to stabilize the emergency aspects of the 

problem by eliminating the immediate danger to public health, safety, and welfare. Any 

remaining reclamation should then be accomplished as part of a regular non-emergency AML 

project. 

4-120-20 How does state emergency funding work?

A. Only states who are eligible for minimum program funding and who have an approved

emergency reclamation program are eligible to receive and expend funds for AML

emergency projects provided that funding is available. If funding is not available, all

states or tribes may only use their other funding sources to address and pay for the

emergency problem. You may not transfer funding to the emergency cost category from

non-emergency cost categories. You must submit reports for the emergency projects

within the non-emergency cost categories.
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B. Sites must be eligible for AML funding. See FAM Chapter 4-100 for more information 

on site eligibility.

C. You can only use emergency program grant funds for emergency hazard abatement. 

Emergency funding is limited. To be fair to other programs, we cannot allow you to use 

emergency funds for any additional work beyond what is necessary to abate the hazard.

D. A major consideration of the emergency program is determining the proper split between 

the use of emergency, and non-emergency AML funds to fully reclaim a problem area 

when the use of emergency funds is required to address the problem quickly. We will 

monitor your use of emergency funds in the same manner as we monitor your use of 

other AML funds. When you determine that a problem should be reclaimed using both 

emergency and non-emergency project funds, use the following procedures.

1. Consult with us before we define the extent and scope of the emergency. If we 

agree that a problem should be reclaimed using both emergency and nonemergency funding, we will make the final determination concerning how much 

of a project should be funded with emergency funds.

2. You will determine the extent and scope of non-emergency work.

3. You are responsible for managing the emergency funds to ensure that funding 

limits are not exceeded.

E. You cannot use emergency program funds for any of the following types of high priority 

projects.

1. Exploratory and design work for projects which have the potential to deteriorate 

into emergencies. 

2. Projects which need prompt attention but require considerable evaluation efforts.

3. Projects which will require more than six months to complete. 

4-120-30 What are our responsibilities?

Our regional or field office will perform the following functions.

A. Receive and review applications and awarding assistance agreements.

B. Declare emergencies. We will determine whether the problem meets the definition of 

emergency under 30 CFR 700.5, and our emergency program guidelines (see Exhibit 1 at 

the end of this chapter). We also approve the scope of work necessary to abate the 

emergency.
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C. Work with you to ensure appropriate use of emergency funds. 

D. Assure compliance with National Environmental Policy Act, P.L. 91-190, (NEPA) and 

OSMRE REG-1, Handbook on Procedures for Implementing the National Environmental 

Policy Act (NEPA Handbook) (Revised 2019). 

E. Assure compliance with the National Historic Preservation Act, P.L. 89-665, (NHPA). 

(See Exhibit 2 of this chapter for more information.) 

F. Assure that you have met the requirements of the Endangered Species Act, P.L. 93-205, 

the Clean Water Act, P.L. 92-500, and any other applicable Federal, state or tribal, and 

local laws imposed for the protection of the environment.

G. Monitor performance of reclamation activities and expenditure of emergency grant funds.

4-120-40 What are your responsibilities?

You must perform the following functions.

A. Respond to emergency complaints, tracking complaints and individual reclamation 

project progress, and monitoring all emergency program costs.

B. Ensure that emergency abatement activities are conducted in accordance with your 

approved reclamation plan, and the guidelines in Exhibit 1 of this chapter.

C. Ensure that project funds are properly allocated and expended when projects contain both 

emergency and non-emergency work.

A. Assist us in complying with NEPA, our NEPA Handbook, and the National Historic 

Preservation Act (NHPA).

E. Comply with the Endangered Species Act, the Clean Water Act, and any other applicable 

Federal, state or tribal, and local laws imposed for the protection of the environment.

F. Award and manage contracts for services necessary to abate emergency conditions, 

including rights of entry, appraisals, and other realty requirements.

4-120-50 What are the grant funding procedures for the state emergency program?

A. If you require emergency project funding, you may submit an amendment application for 

specific emergency project costs.

D. We normally approve emergency program funding for a period of one year.
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E. We will deobligate any funds unexpended at the end of the one year performance period.

4-120-60 What should your initial investigation procedures include?

A. You perform initial investigations of AML citizen complaints. However, we encourage 

you to contact us to determine if a joint inspection is practical. 

B. You should normally use the following procedures for your initial investigation.

1. Visit the problem site within two working days after receipt of the complaint. If 

the problem appears to be of an emergency nature, promptly notify our regional or 

field office. We can provide assistance if needed. 

2. Your field investigation should obtain all pertinent information. See Exhibit 3, 

Complaint Information Gathering Guide, and Exhibit 4, AML Compliant

Investigation,” for guidance on the information needed.

3. Note any procedures required by NEPA (see the NEPA Handbook for more 

information), NHPA, Endangered Species Act, Clean Water Act, or any other 

Federal, state or tribal, or local requirements imposed for protection of the 

environment.

4. If appropriate, notify emergency assistance organizations and local authorities of 

conditions at the site so that they can take immediate protective steps such as 

fencing or street closing.

5. Determine if local or other state or tribal institutions, such as the county highway 

department, can and will correct the problem.

6. If you should need non-emergency funds to complete reclaiming the site, you 

should discuss the situation with us. If non-emergency funds are needed, you 

should take action to get the necessary funds, or to include the problem in your 

AML inventory. 

7. If required, get information necessary for an appraisal.

4-120-70 What must you include in your request for an emergency declaration? 

Regardless of funding source, you must submit the following materials to us for each proposed 

emergency before we can declare it. However, in certain situations we may agree to declare an 

emergency with only the information we need immediately, and allow you to provide the 

remaining information afterward. The size of the project usually determines how much 

discussion you need about abatement alternatives.
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A. Your investigation report. You may use an optional OSM-51 form, a state form, or any 

narrative or bullet-type description to provide the following information.

1. Project objective: Describe the project objective in relation to the definition of an 

emergency (a sudden danger or impairment that presents a high probability of 

substantial physical harm to the health, safety, or general welfare of people before 

the danger can be abated under normal program operation procedures). Show 

how the project will abate the danger. Evaluate alternative abatement methods if

there are any, to show that the most effective, and cost efficient method is being 

used. 

2. Approach: Briefly describe the project schedule, scope of work, and expected 

accomplishments.

3. Bonds: Identify the existence or absence of any bonds or other financial 

guarantees associated with the disturbed area, and provide specific details on 

those which have been released, forfeited and expended, or are otherwise 

unavailable. If a bond or other financial guarantee has been forfeited but not 

expended, it must be applied to the work to be done. A commitment to do that 

from the holder of the bond is required. This commitment may initially be verbal, 

documented in a telephone log, but a written commitment must follow. If the 

amount of the unexpended bond funds or other applicable financial guarantees is 

inadequate to complete emergency reclamation, you can use emergency funds. 

4. Non-emergency work: Estimate the cost of any non-emergency work associated 

with the emergency project. You may not use emergency funds to complete the 

non-emergency portion of a project. Indicate whether non-emergency funds will 

be available to complete the reclamation, or whether the non-emergency portion 

will be included in your inventory for future funding.

5. Maps: Include maps showing location of the problem and of any active mining in 

the area. 

B. Approval. An authorized official of your organization must sign or approve your 

recommendation for emergency action.

4-120-80 How will we review your request and process an emergency declaration?

A. Upon receipt of your request for emergency declaration, we will review the information 

and ensure that the project meets the requirements listed below. We may visit the site to 

verify the information contained in your report.

1. The project meets the criteria for an emergency.

2. The scope of work is reasonable to abate the emergency hazard. 
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3. An authorized official of your state or tribe signed or approved the emergency 

recommendation and scope of work.

4. If the project is in proximity to any active mining or mined area, or we may 

reasonably expect that reclamation activities could impact such an area, we will 

contact the appropriate Federal and/or state or tribal Mine Safety and Health 

Administration agency to determine if site conditions or probable reclamation 

activities could affect the health and safety of mine workers. We have discretion 

to apply the "proximity" and "reasonably expect" criteria based on the specific 

site conditions.

5. The project will comply with NEPA and NHPA. The state or tribe will comply 

with the Endangered Species Act, Clean Water Act, and any other Federal, state 

or tribal, and local requirements imposed for the protection of the environment.

6. The request includes the information on the status of any bond(s) or other 

financial guarantee(s) associated with the disturbed area as required in the 

previous section.

7. If part of the site will be referred to or funded by the non-emergency program, 

there is documentation of planned coordination with the non-emergency AML 

program. 

B. We will process the emergency declaration as follows.

1. We declare an emergency by signing a Finding of Fact/Authorization To Proceed 

(ATP). The Finding of Fact certifies that the problem meets the criteria of an 

emergency, and qualifies for available emergency funding. It also serves as the 

point of Federal action, authorizing you to proceed with reclamation work on the 

site. 

2. Our authorized official must approve the Finding of Fact. We should complete 

this approval within two working days of receiving your information.

3. We may approve a limited emergency response based on verbal information when 

we determine that delaying issuing a Finding of Fact until all required information 

is available could result in substantial physical harm to the health, safety, or 

general welfare of people. Before doing so, we must assure that you or we have 

met the environmental compliance requirements applicable when emergency 

circumstances at the site require immediate abatement action. We can later 

approve an expanded scope of work after receiving and reviewing more complete 

information. 

4. The Finding of Fact must include the following information:
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a. Project name and other identifying information. Include the Problem Area

(PA) number if the problem is in the Enhanced Abandoned Mine Land 

Inventory System (e-AMLIS).

b. Project location should be specifically stated and detailed as to street,

township, and county.

c. Condition which requires emergency abatement.

d. Declaration that the project meets the definition of an emergency using the

criteria given in Exhibit 1.

e. Scope of work, including the following:

(1) A description of actions to be taken, and an explanation why those

actions are necessary to stabilize the emergency aspects of the

problem by eliminating the danger to public health, safety, and

general welfare.

(2) Documenting planned coordination with the recipient's nonemergency AML program if a portion of the problem is to be

reclaimed using emergency program funds and the remainder

reclaimed or funded under the recipient's non-emergency AML

program.

f. Documented compliance with NEPA and our NEPA Handbook. If there is

an immediate threat of substantial physical harm, and the emergency

action must be completed before the required NEPA document can be

completed, you may submit environmental and other information to assist

us in making the required determination.

g. Documented compliance with NHPA. 

5. If the project appears to be an emergency, our reviewer prepares and signs the

Finding of Fact/ATP, and forwards it to our authorized official for approval and

signature. We will notify you immediately that the emergency has been

approved; we will send you a copy of the signed Finding of Fact/ATP.

C. Emergency Denial. If we determine that a complaint does not constitute an AML

emergency, we must give you a written determination within two working days. If you

determine it to be an eligible high priority AML problem, we may assist you in

submitting timely NEPA documentation. Special consideration should be given to those

problems which do not currently meet the criteria for emergency declaration but which

may deteriorate into emergencies if not reclaimed promptly. As appropriate on a case-
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by-case basis, this assistance could include help with the documentation to enter the 

problem in e-AMLIS, preparation of the Environmental document, or other 

technical assistance as needed. Contact our regional or field office to request 

assistance. 

4-120-90 What are the emergency project progress reporting requirements?

A. You must include emergency projects in your annual and final AML performance reports

(see Chapter 4-230 for information on reporting). Your performance report narrative

must include the following information on emergency projects.

1. Name of project.

2. Date work started on project.

3. Discussion of abatement measures and their success or failure.

4. Original contract(s) cost estimates.

5. Final project cost.

6. Date work was completed on the project. (Do not include final revegetation if it

was delayed awaiting proper weather conditions)

B. You must enter AML inventory information into e-AMLIS for all approved emergency

projects at project completion to show your accomplishments.

4-120-100 What do you do if the emergency project needs a scope change?

Generally, our approval is not necessary for changes to the scope of an emergency project. 

However, you must address the impact of the scope change on the environmental documents 

using the appropriate alternative below.

A. If you prepared the NEPA related documents and conducted the required consultations,

you must prepare any necessary revised documents to address additional environmental

impacts from the proposed scope change, and submit those documents to us.

B. If we prepared the NEPA related documents and conducted the required consultations,

you must notify us prior to making changes in the scope of work. We will review the

existing NEPA document and findings, and change the existing documents as necessary.

Additional findings must be made to ensure that the proposed changes are in

conformance with applicable requirements.
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Exhibit 1

AML EMERGENCY PROGRAM

GUIDELINES

1. Emergency Criteria

As defined in 30 CFR 700.5 an emergency is a sudden danger or impairment that presents a high 

probability of substantial physical harm to the health, safety, or general welfare of people before 

the danger can be abated under normal program operation procedures. For an AML problem to 

be declared an emergency the answers to the following three questions must be yes.

a. Was there a sudden event?

b. Is there a high probability of substantial physical harm to the health, safety, or 

general welfare of people?

c. Does the emergency condition need to be abated in a time frame that is not 

possible under normal state/tribal program procedures in order to protect the 

health, safety, or general welfare of people?

2. Proper Response to Declared Emergencies

The proper amount of emergency reclamation is the amount necessary to stabilize the emergency 

aspects of the problem by eliminating the immediate danger to public health, safety, and general 

welfare. Any remaining reclamation should then be accomplished as part of a regular, nonemergency AML project. 

Emergency reclamation must be sufficient to stabilize conditions and eliminate the hazards until 

the remaining non-emergency reclamation can be undertaken. When non-emergency 

reclamation is needed after abatement of the emergency, the project should be classified as a 

high priority if the remaining reclamation needs to be done expeditiously. This action will help 

prevent deterioration of the emergency work already completed. 

It is not appropriate to use emergency program funds for exploratory and design work for high 

priority projects which have the potential to deteriorate into an emergency situation. The design 

work should be done as part of the normal AML program.

3. Specific Guidance for Selected Types of AML Problems

a. Surface Burning (SB). Surface Burning is an emergency when it threatens to burn 

occupied dwellings or when it is producing poisonous or dangerous gases, (e.g., 

carbon monoxide, hydrogen sulfide, etc.) and suddenly begins to threaten people. 

The presence of poisonous gases must be confirmed through the collection and 

laboratory analysis of ambient air samples or the use of a hand held monitor. 
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Most refuse pile fires are characterized by noxious fumes, smoke, and open fires. 

While these conditions may be annoying, they do not normally constitute an 

emergency and should be considered under the regular AML grant program.

When non-emergency fires suddenly expand and threaten any inhabited 

structure(s) or poisonous gases suddenly begin to threaten people, emergency 

action will be considered to eliminate the threat.

Refuse fires are easier and cheaper to extinguish if discovered early. Therefore, 

notwithstanding the criteria for emergency definition discussed above, fires which 

are discovered at an early stage may be treated as emergencies.

b. Gases/Underground Burning (GUB). Underground mine fires are considered 

emergencies when they threaten to burn occupied dwellings, either directly or by 

starting surface fires, or when they produce poisonous or dangerous gases (e.g. 

carbon monoxide, hydrogen sulfide, etc.). The presence of poisonous gases must 

be confirmed through the collection and laboratory analysis of ambient air 

samples or the use of a hand held monitor.

Normally, inventoried underground mine fires are not sudden occurrences and do 

not present an immediate danger to the public. The states/tribes will, generally, 

conduct abatement or control procedures through normal program operations. 

However, emergencies may be declared when these fires suddenly break to the 

surface or where poisonous gases generated by the fire suddenly begin to threaten 

people.

As with Surface Burning, underground mine fires are easier and cheaper to 

extinguish if discovered early. Therefore, notwithstanding the criteria for 

emergency definition discussed above, fires which are discovered at an early stage 

may be treated as emergencies.

c. Dangerous Slides (DS). Dangerous slides are emergencies when there is 

immediate danger to the occupants of dwellings which are, or could be, 

endangered by the slide. In some cases, a slide may be considered an emergency 

when it blocks a stream, threatening upstream or downstream flooding. Blockage 

of roadways and driveways may be considered an emergency if access for 

emergency vehicles is prevented and no highway maintenance agency can act to 

clear the roadway.

Where these situations occur, emergency AML work will address only the 

emergency portion of the landslide. Permanent reclamation of the entire slide 

area may be considered when the emergency cannot be stabilized without it or it 

is clearly demonstrated that it is not cost effective to delay full reclamation. 

Where emergency work abates the emergency but achieves less than permanent 
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reclamation, the remaining work should be considered under the regular AML 

grant program.

d. Portals (P) and Vertical Openings (VO). Vertical Openings are emergencies 

when there is a risk of falling into the opening. A portal can be an emergency 

when there is a substantial danger of entering the opening and being subjected to 

either fall material (e.g., roof rock or mine timbers) or an inhospitable mine 

atmosphere, such as methane and /or low oxygen conditions. The possibility of 

mine explosions from methane buildup would also create an emergency situation.

Historically, mine openings were often capped or sealed at the conclusion of 

mining with no provisions for continuous maintenance. Subsequent surface 

activities or vegetation may have covered or hidden these openings. The sudden 

uncovering of a previously unknown shaft or other mine opening in a populated 

area will generally be considered an emergency. Open shafts, although 

previously detected, which are now considered to be in or near populated areas 

may be treated as emergency work.

An opening which exposes persons to poisonous gases should be declared an 

emergency. The presence of poisonous gases should be confirmed when this can 

be done safely and conditions allow meaningful sampling. This may be 

accomplished through the collection and laboratory analysis of ambient air 

samples or the use of a hand held monitor.

e. Subsidence (S). Emergencies resulting from subsidence involve the danger of 

falling into the opening and/or the risk of damage to occupied dwellings, 

threatening the safety of occupants. Subsidence damage that significantly affects 

the structural integrity of occupied dwellings or adversely affects gas or electric 

lines is usually an emergency. Subsidence beneath a roadway may be treated as 

an emergency only when a roadway maintenance agency cannot act to correct the 

problem.

f. Other Problem Types. While the five problem types above represent those most 

commonly associated with emergencies, this Directive does not preclude other 

problem types from being declared an emergency. The problem must meet the 

emergency criteria as set forth in Section 1 of these guidelines and follow other 

guidance provided in this Directive.
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Exhibit 2

COMPLIANCE WITH THE NATIONAL

HISTORIC PRESERVATION ACT

The Advisory Council on Historic Preservation’s (ACHP) regulations at 36 CFR Part 800 

established procedures to protect historic and archeological resources and implement Section 106 

of the National Historic preservation Act (NHPA). NHPA requires a review of Federal 

emergency projects to determine the effect on historic properties.

Under the Federal Reclamation Program, the Office of Surface Mining Reclamation and 

Enforcement (OSMRE) is responsible for all the activities set out below. Under state-managed 

emergency programs, the state is responsible, except that OSMRE decides when immediate 

action must be taken to protect the public and must document findings in the Finding of Fact.

This appendix sets out the steps to follow when emergency construction can be initiated within 

30 days of OSMRE declaring the emergency. If construction cannot be initiated within 30 days 

of OSMRE declaring the emergency, the regular NHPA procedures must be followed. In no 

event will an emergency action necessary to prevent substantial physical harm to the health, 

safety, or general welfare of people be delayed in order to meet NHPA requirements.

The first step in the review process is to determine whether any historic properties might be 

affected by the emergency project. Historic property includes any prehistoric or historic district, 

site, building, structure, or object included in, or eligible for inclusion in, the National Register of 

Historic Places (NR). For the purpose of this directive, the term also includes artifacts, records 

and remains that are related to and located within such properties. The term “eligible for 

inclusion in the NR” includes both properties formally determined as such by the Secretary of 

the Interior and all other properties that meet NR listing criteria at 36 CFR 800.2(e).

While few emergency projects potentially affect historic properties, the following steps should 

be taken for each emergency project.

1. If no historic properties are found that may be affected by the emergency abatement 

project you will document this in the Finding of Fact for state/tribe managed emergency 

projects. You must send a copy of the documentation to the state Historical Preservation Officer 

(SHPO) or tribal leaders. No further steps in the Section 106 process are required.

Please note that, within the context of this appendix, the term SHPO includes tribal leaders if the 

project is on tribal lands and briefing paper includes the Finding of Fact for state/tribe projects.

2. If a historic property is found that may be affected by the emergency abatement project, 

whoever declares the emergency will contact the SHPO. In consultation with the SHPO, you 

will use the Criteria of Effect, pursuant to 36 CFR Part 800.9(a), to determine if the historic 

property will be affected. If all parties are satisfied that the historic property will not be affected 
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this will be noted in the briefing paper. OSMRE/state will photograph the property. No further 

steps in the Section 106 process are required.

3. If there are concerns that the emergency abatement may adversely affect a historic 

property, all parties will make a reasonable attempt to resolve the concerns before work begins. 

If the concerns are resolved the briefing paper will:

(a) describe the historic property and explain how it will may be affected; and

(b) specify the concerns of the SHPO and explain how they were resolved.

After the abatement has been accomplished, any agreed upon information will be sent to the 

SHPO and a copy will be included with the emergency project’s final report.

4. If the SHPO has concerns which cannot be resolved and OSMRE determines that 

immediate action must be taken, the briefing paper must include:

(a) a description of the SHPO’s concerns;

(b) an explanation of why emergency abatement must be initiated immediately to prevent 

substantial physical harm to the health, safety, or general welfare of people; and

(c) a description of the emergency work to be done, its impact on the historic property(s), 

and the measures to be used to avoid or minimize harm to historic properties.

OSMRE/state will photograph the property and then take only that emergency action required to 

prevent immediate substantial physical harm to the health, safety, or general welfare to people.

When the emergency has been stabilized, OSMRE/state will provide the SHPO with 

photographs, maps, and a description of the actual impact on the property. A copy of this 

information will be included with the emergency project’s final report. If additional work is 

required to complete reclamation, the regular NHPA procedures must be followed.

5. If it is not possible to contact the SHPO (for example, on a weekend) and OSMRE 

determines that immediate action must be taken. Photograph the property, and then take only 

that emergency action required to prevent immediate substantial physical harm to the health, 

safety, or general welfare of people. Note in the briefing paper that an unsuccessful effort was 

made to contact the SHPO and notify him/her at the first opportunity.

Guidelines for Photographs of Historic Properties
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It is recommended that the SHPO be contacted beforehand to determine what is required of 

photographs of historic properties. In lieu of specific guidance from the SHPO, the following 

guidelines should be followed.

Photograph Type: You may use digital photographs, or color or black and white film. Polaroid 

type photographs are not acceptable.

Buildings or structures:

Environment: Photograph should show the environment in which the property is located.

Exterior: Photographs must include views which show the entire length and/or width of the 

building or structure. These can be used to identify the style of the building and the type of 

construction.

Elements: Photographs should show the elements of the building or structure, such as wall and 

roofs that contain repeated features such as doors, windows and large decorative details. 

Additional photographs should be taken of the individual features of the elements, such as 

porches, entryways and large significant decorative aspects. Machinery should be photographed.

Details of the Features: Close-up photographs of unusual windows, doors, and repeated designs 

and motifs should be taken. Also, include views of typical work methods and materials.

Historic and archeological sites: Photographs should document the condition of the site and 

present features. If relevant to the evaluation, photographs may also show artifacts that have 

been recovered from the site. Photographs must show the physical environment and land 

configuration of the site.

Identification: Identification of photographs should contain the following:

• The name of property/site.

• The location, including the State, county, city and address (if relevant).

• The emergency project name and number.

• The date of photograph.

• The role and negative number. 

• Location where the negative is stored.

• A description of what the photograph is showing.
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Exhibit 3

COMPLAINT INFORMATION GATHERING GUIDE

1. Was there a sudden event? When did it occur, if known?

2. Is there a high probability of substantial physical harm to the health, safety, or general 

welfare of people?

3. Does the problem have to be addressed immediately to protect health, safety, or general 

welfare of people?

4. How many people are endangered and to what extent?

5. How soon does the problem need to be addressed? (What is the urgency?)

6. What is the history of mining in the area?

7. If the mining operator is known, does he/she have continuing reclamation responsibility?

8. Are there any bonds associated with the disturbed area? 

9. What is the source of the problem and where is it located?

10. How does the problem relate to past coal mining practices?

11. Is access to the property safe?

12. If needed, have the residents secured alternative housing within the commuting area?

13. Have photographs of all aspects of damaged property been taken (including inside of 

houses).

14. Is there a potential for any emergency abatement to impact the environment (NEPA), historic 

properties (NHPA), public utilities, private water supplies, or water waste disposal systems?

15. Does the current problem indicate a seasonal or other periodic (non-random) fluctuation that 

may change at a later date?

16. What can the landowner, mineral owner, and/or municipal agencies do?

17. What is the state’s or tribe’s regular AML program willing to do and when?

18. What is the local community willing to do and when?

19. What are the utility companies willing to do and when?

20. What are other state/tribal and Federal agencies willing to do and when?

21. Is an insurance company responsible?

22. Was the owner involved in or benefited from mining?

23. Are active mines operating in the area?
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Exhibit 4

AML COMPLAINT INVESTIGATION

Type of Complaint: ___________________________Reported by: _____________________

Address: ____________________________________________________________________

Telephone: ___________________________________________________________________

Date OSMRE Received Complaint: _______________________________Time:____________

Date OSMRE Field Office Received Complaint: _____________________Time:____________

OSMRE Person Receiving Complain_______________________________________________

Address of Complaint: __________________________________________________________

City: _________________________County:_____________________State:_______________

SITE INVESTIGATION

Date: ________Time:________ OSMRE Investigators: ________________________________

State representative(s) Present: _________________________________________________

____________________________________________________________________________

Others Present: _______________________________________________________________

____________________________________________________________________________

Name of other agencies contacted (local, state or Federal): ____________________________

____________________________________________________________________________

LOCATION OF SITE

Directions to Location (Describe Route): ____________________________________________

____________________________________________________________________________

____________________________________________________________________________

USGS Quadrangle Name: _______________________________________________________

Coordinates: _________________________________________________________________

____________________________________________________________________________

AREA MINED

Mined by: ____________________________________________________________________

Address: _________________________________________City: _______________________

State: __________________Zip Code: ____________Telephone Number: ________________

Permitted Operation: No___ Yes ___ Permit Number(s) ______________________________
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Was the property owner involved in the mining? Yes ___ No____ If yes, explain: ___________

____________________________________________________________________________

____________________________________________________________________________

Duration of Mining: From________________________ Until ___________________________

Type of Mining: _______________________________________________________________

Field Elevation: _______________Coal Elevation: _____________Seam Name: ____________

BOND (Optional)

Amount Received: ____________________________________Date_____________________

Amount Returned: ____________________________________Date_____________________

Amount Forfeited: ____________________________________Date_____________________

Amount Available: ____________________________________Date_____________________

PRESENT OWNERS

Surface Owners: Name: ________________________________________________________

Address: ____________________________________________________________________

City: __________________State: _______Zip Code: _________Telephone: _______________

Mineral Owner’s Name: _________________________________________________________

Address: ____________________________________________________________________

City: _________________State: ________Zip Code: _________Telephone: ______________

AFFECTED PARTIES

Name: ______________________________________________________________________

Address: ____________________________________________________________________

City: ________________________State: ____Zip Code: __________Telephone: ___________

Land Owner: __________________________ Adjacent Owner: _________________________

Name: ______________________________________________________________________

Address: ____________________________________________________________________

City: ________________________State: ____Zip Code:_________Telephone: ____________

Land Owner: __________________________Adjacent Owner: _________________________

SITE INFORMATION

Date problem began or was first noticed:____________________________________________

Are there any active mining or related activities in or around the area? No____ Yes____

Name of Operators(s) __________________________________________________________
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Nature of Problem: Source of Problem:

_____ Water Discharge _____ Underground Mine

_____ Sedimentation _____ Surface Mine

_____ Flooding _____ Processing Area

_____ Air Pollution _____ Refuse Pile

_____ Slide _____ Treatment Facility

_____ Void, Shafts, Slope, Entries, etc. _____ Other, Specify _________________

_____ Mine Fire ___________________________________

_____ Subsidence ___________________________________

_____ Other, Specify __________________

Potentially Affecting:

_____ Persons . . . . . Estimated Number______________________________________

_____ Streams . . . . . Name________________________________________________

_____ Public Road . . Name________________________________________________

_____ Housing . . . . . Number______________________________________________

_____ Building . . . . . Number______________________________________________

_____ Schools . . . . . Name________________________________________________

_____ Utility . . . . . . . Power Line_____________________Treatment Plant__________

Sewer Line_____________________Gas Line_______________

Water Line__________________________________________ 

_____ Historic or archeological site(s) Number_______________________________________

_____ Other, Specify___________________________________________________________

Estimate acres Affected_________________________________________________________

NATURE OF PROBLEM

Describe the problem (details: i.e., size shape; is problem spreading, expanding; first noticed, 

etc.): ________________________________________________________________________

____________________________________________________________________________

____________________________________________________________________________

OTHER INFORMATION

Describe what other information is available and its location (i.e., maps, inspections, etc.):

____________________________________________________________________________

____________________________________________________________________________

____________________________________________________________________________

ELIGIBIITY (Optional)

State legal officer Notification

Name:_______________________________________________________________________

Address:_____________________________________________________________________

City:____________________ State:________ Zip Code:__________Telephone:____________

Method Used

Oral______Date______ Written______ Date______
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Declaration of Eligibility from state

Name:_______________________________________________________________________

Address:_____________________________________________________________________

City:_____________________State:_________Zip Code:__________Telephone:___________

Method Used

Oral______ Date______ Written______ Date______

Eligible: Yes______No______Explain_____________________________________________

____________________________________________________________________________

POTENTIAL NEPA PROBLEMS

Note any potential National Environmental Policy Act Related problems. See REG-1, Handbook 

on Procedures for Implementing the National Environmental Policy Act (NEPA). Actual 

responsibility for complying with NEPA rests with the RD.

REMARKS

INVESTIGATOR: ______________________________________________________________

______________________________________________________________________________

Name: ______________________________________________________________________

____________________________________________________________________________

Address: _____________________________________________________________________

____________________________________________________________________________

City: _________________________________State: ________________ Zip Code: _________

Telephone:____________________________
G-34

Exhibit 5

NATIONAL POLLUTION DISCHARGE ELIMINATION SYSTEM 

STORM WATER DISCHARGE PERMITS

Background

The 1987 amendment to the Clean Water Act required the United States Environmental 

Protection Agency (EPA) to regulate storm water discharges in the National Pollution Discharge 

Elimination System (NPDES). Final regulations for permit applications for storm water 

discharges were published on November 16, 1990. The NPDES regulates storm water 

discharges from municipal and industrial activities, including mining, inactive mines, and 

construction sites. Also, for those states and Indian lands where they are responsible for issuing 

Storm Water Discharge Permits, EPA published NPDES general permits in the September 9, 

1992, Federal Register, 57 FR 41176.

States and Indian tribes may apply to EPA for approval to issue permits and administer their own 

pollution Discharge Elimination System. Most states have done so and are responsible for 

regulating storm water discharges with EPA providing guidance and oversight. However, in 

those states or Indian tribes that do not have the authority to issue permits, EPA remains the 

authorizing agency.

Storm Water Discharge Permits

The agency responsible for abandoned mine land reclamation (OSMRE, state, tribe) must ensure 

that all applicable permits are obtained.

When obtaining a permit from EPA a Notice of Intent must be submitted two days prior to the 

commencement of construction and a storm water pollution plan must be developed and 

implemented. See 57 FR 41176 for detailed instructions.

Specifics for storm water discharge permits will vary by state or tribe. Check with your state 

agency or EPA representatives to determine the permit requirements for the proposed 

disturbance. 

Emergencies

Emergency action necessary to prevent substantial physical harm to the health, safety, or general 

welfare of people must not be delayed by procedures for obtaining a storm water discharge 

permit. After the emergency is stabilized, if a storm water discharge permit is required, that 

permit must be obtained before any additional work is begun.