-2-

1977 (SMCRA) authorizes primacy States and Tribes to exercise exclusive jurisdiction over 

the regulation of surface coal mining and reclamation operations within their borders, except 

as provided in provisions of SMCRA, such as sections 521, 30 U.S.C. 1271 (OSMRE’s 

Federal Enforcement), and section 523, 30 U.S.C. 1273 (Federal Lands), and Title IV, 30 

U.S.C. 1231-1244 (Abandoned Mine Reclamation).

e. Performance Agreement/Evaluation Plan. A written plan for conducting 

oversight activities in a State or on Indian lands during one or more Evaluation Years. 

OSMRE develops Performance Agreement/Evaluation Plans in collaboration with the RA 

to the extent possible with consideration of any input that the public provides. OSMRE and 

the RA are encouraged to sign the Performance Agreement/Evaluation Plan indicating that 

they mutually agree to the content. However, signatures and/or agreement are not 

mandatory for OSMRE to proceed to conduct oversight as specified in the Performance 

Agreement/Evaluation Plan. See also Appendix A, II.E., below.

f. Regulatory Program Problem. An issue OSMRE identifies during its 

oversight of an RA that could result in a State’s or Tribe’s failure to effectively implement, 

administer, enforce, or maintain all or any portion of its regulatory program, including a 

State’s or Tribe’s failure to adopt and implement program amendments that are required 

under 30 CFR Part 732 or 30 CFR Subchapter T. Regulatory Program Problems are 

defined and addressed in Directive REG-23, Corrective Actions for Regulatory Program 

Problems and Action Plans. See also Appendix A, II.H., below.

g. State. As provided under section 710(j) of SMCRA, 30 U.S.C. 1300(j), for

purposes of this Directive and the implementation and administration of a Tribal program

under Title V of SMCRA, any reference to a “State” in SMCRA, 30 CFR Chapter VII, and

this Directive, will also be considered to be a reference to a “Tribe.” Reference to a 

“Regulatory Authority” (or “RA”) will include a State administering a “State program” or a

Tribe administering a “Tribal program,” as defined below.

h. State program. A State-administered program, that the Secretary approved

under section 503 of SMCRA, 30 U.S.C. 1253, to regulate coal exploration and surface 

coal mining and reclamation operations on non-Federal and non-Indian lands within a 

State. A State program also includes the State’s regulatory activities under an OSMREapproved cooperative agreement governing mining on Federal lands pursuant to section 

523 of SMCRA.

i. Topic-specific Oversight Reports. Individual reports (by topic, by program) 

that OSMRE prepares as part of its oversight of each RA that contain the findings and 

details regarding the evaluation of specific elements of State or Tribal programs. See 

Appendix A, II.I., below. The Annual Evaluation Report for the RA contains summaries of 

the topic-specific oversight reports. Each Performance Agreement/Evaluation Plan (see 

3.h., below) for an RA specifies topics that OSMRE will evaluate. Topic-specific oversight 

reports should include, at a minimum, the reports on the National Measurement Elements

identified in section II.D., below:

(1) Off-site Impacts Oversight Report. The report that contains the

findings and details regarding the evaluation of the Off-site Impacts National
-3-

Measurement Element.

(2) Reclamation Success Oversight Report(s). Individual report or 

reports that contain the findings and details regarding the evaluation of each Reclamation 

Success National Measurement Element.

j. Tribal program. A Tribe-administered program, that the Secretary approved 

under sections 503 and 710(j) of SMCRA, to regulate coal exploration and surface coal 

mining and reclamation operations on Indian lands under the jurisdiction of the Tribe.

4. Policy. The fundamental purpose of oversight is to ensure that RAs are effectively 

administering, implementing, maintaining, and enforcing their approved regulatory 

programs. To achieve this purpose, OSMRE will evaluate the administration of each State 

and Tribal program at least annually in accordance with 30 CFR 733.12(a). OSMRE also 

will conduct inspections of surface coal mining and reclamation operations as necessary to 

monitor and evaluate the administration of approved State or Tribal programs in accordance 

with 30 CFR 842.11(a)(1). OSMRE will prepare an Annual Evaluation Report for each RA

in accordance with this Directive. OSMRE will work with the RAs to seek consensus on its 

oversight activities.

5. Responsibilities. In exercising its oversight responsibilities, OSMRE is committed to 

working with RAs to seek consensus, while maintaining its independence and the objectivity 

to carry out its duties under SMCRA.

a. Director/Deputy Director.

(1) Establish national priority review topics (see Appendix B, II.E.VI., 

below) as needed and standardized nationwide evaluation methodologies for specific topics

when desired in consultation with the regulatory authority.

(2) When appropriate, appoint an Oversight Steering Committee (OSC), 

consisting of OSMRE and State or Tribal members, to exchange views and information on

the implementation and results of OSMRE’s oversight policies, standards, and procedures

and to discuss potential national oversight review topics to ensure that the objectives of 

SMCRA are achieved. The Director/Deputy Director will appoint one OSMRE member 

from each of the OSMRE Regions and the Program Support Directorate. In addition, the

Director/Deputy Director, in consultation with national organizations representing RAs, will 

appoint three members to represent RAs in each of the OSMRE Regions and one State 

member at large. 

b. Assistant Director Program Support (ADPS).

(1) Develop, clarify, and revise national oversight policies, standards, and 

procedures in consultation with the Director and Regional Directors.

(2) Coordinate with Regional Directors on oversight issues and activities

affecting their areas of expertise and responsibilities.
-4-

(3) Consistent with national regulatory requirements, procedures, and

standards, provide supplemental guidance to Regional Directors to address issues arising 

from implementation of the national guidance. Do not construe this statement as authorizing 

waivers of any national guidance provisions.

(4) Establish the national oversight database policy and maintain the

database of Regulatory Program Data for States and Tribes (DST).

c. Regional Directors (RDs).

(1) Assist ADPS in developing, clarifying, and revising national

oversight policies, standards, and procedures.

(2) Coordinate with ADPS and RDs on oversight issues and activities

affecting their Regions.

(3) Ensure that oversight activities are planned, conducted, monitored,

and reported in accordance with national and regional policies, procedures, and guidance. 

Develop supplemental standards and procedures for the Region, as needed, in consultation 

with the Field Office Directors.

(4) Provide the technical assistance necessary to support oversight

activities in the Region.

(5) Post the Evaluation Files, including the Annual Evaluation Reports

and Performance Agreements/Evaluation Plans, on OSMRE’s website.

d. Field Office Directors or equivalent (FODs).

(1) Plan and conduct oversight activities, including inspections, reviews,

and technical analyses, and prepare related documents and reports in accordance with the 

approved State and Tribal regulatory programs, SMCRA, OSMRE’s implementing 

regulations, the guidelines in this Directive, and other national and regional policies and

procedures.

(2) Develop day-to-day operational procedures consistent with national

and regional oversight policies.

(3) Coordinate technical and other assistance with the RD when

necessary to properly conduct oversight activities.

(4) FODs will actively solicit, evaluate, and respond to public

participation. At a minimum, each Field Office will provide an email address, phone 

number, and physical address where the public can easily seek information or provide input. 

This contact information will be in a prominent location on the OSMRE website. The Field 

Office will acknowledge receipt and appreciation for public input in a timely manner. 

Additionally, information and data posted on the OSMRE website will include contact 

information that the public can use. Each Field Office is encouraged to maintain a list of 
-5-

“frequently asked questions” (FAQ) on the OSMRE website that would contain brief 

answers for questions often asked of the Field Office.

(5) Prepare a Performance Agreement/Evaluation Plan, cooperatively with 

the RA, to the extent possible.

(6) Assist RAs with resolving identified problems by providing

technical or other assistance as necessary and available and encourage RAs proactively to 

seek OSMRE assistance in preventing problems and issues.

(7) Prepare an Annual Evaluation Report for each RA within his or her

geographic area of responsibility on the schedule prescribed in the RA’s Performance 

Agreement.

(8) Provide electronic copies of the Performance Agreement/Evaluation 

Plans and final Annual Evaluation Reports and significant supporting documents, for 

posting on OSMRE’s website for public access.

e. Oversight Steering Committee (OSC). Analyze and monitor, in consultation, 

with States, Tribes, RDs, and FODs, the implementation and results of oversight policies, 

standards, and procedures – and analyze potential national oversight review topics – to ensure 

that the objectives of SMCRA are achieved. Recommend changes to any standards or 

procedures to the Director/Deputy Director to provide continual improvement of the oversight 

process.

f. Office of Communications (OC). Coordinate with RDs, FODs and ADPS to 

incorporate information from Annual Evaluation Reports into the OSMRE Annual Report,

including electronic documents, as appropriate.

6. Procedures. Oversight activities will be planned, conducted, and reported in

accordance with SMCRA, OSMRE’s applicable regulations, this Directive and its 

appendices, and all other relevant directives and supplemental guidance. OSMRE will also 

fully consider approved State and Tribal regulatory programs when it engages in oversight 

activities.

7. Reporting Requirements. Each FOD will compile the data needed for all core data

tables and prepare an Annual Evaluation Report for each RA within his or her area of

responsibility. OC, in concert with RDs, FODs, and ADPS will incorporate information

from the Annual Evaluation Reports into the OSMRE Annual Report, as appropriate.

8. Effect on Other Documents. Supersedes Directive REG-8, dated January 31, 

2011.

The definitions and provisions contained in this Directive do not alter or modify any 

regulatory definitions or provisions in SMCRA, the Code of Federal Regulations, or 

approved State or Tribal programs in any way. To the extent the definitions and 

provisions in this Directive differ from the applicable statutory and regulatory definitions 

and provisions in any way, OSMRE offices and State and Tribal regulatory authorities are 
-6-

bound by the applicable statutory and regulatory definitions and provisions.

9. References to Other Directives.

a. Directive AML-22, Evaluation of State/Tribe Abandoned Mine Land

Programs.

b. Directive INF-1, OSM Records Management.

c. Directive INF-2, AdministrativeRecords Systems.

d. Directive INF-3, Freedom of Information Act (FOIA).

e. Directive REG-23, Corrective Actionsfor Regulatory Program Problems and

Action Plans.

10. Effective Date. Upon issuance.

11. Distribution. Electronically.

12. Appendices.

a. Appendix A – “Procedures and Guidelines for Oversight and Reporting.”

b. Appendix B – “Annual Evaluation Report Preparation Guidance.”

Contact: Chief, Division of Regulatory Support; 202-208-2895.
A-1

APPENDIX A 

PROCEDURES AND GUIDELINES FOR OVERSIGHT AND REPORTING

CONTENTS

I. BACKGROUND AND PURPOSE ......................................................................... A-2

II. PROCEDURES ......................................................................................................A-3

A. General Approach ................................................................................................ A-3

B. Outreach.........................................................................................................A-3

1. Public Participation and Outreach ....................................................A-4

2. Information Accessibility .................................................................A-4

3. Outreach and Development of a Performance Agreement/Evaluation 

Plan ....................................................................................................A-4

C. Oversight Inspections....................................................................................A-5

1. Determining the Target Number of Oversight Inspections for Each 

State or Tribe .....................................................................................A-6

2. Establishing the Ration of Complete to Partial Inspections .............A-7

3. Selecting Random and focused Inspections .....................................A-7

4. Conducting Independent Inspections.................................................A.8

D. National Measurement Elements and Reporting of End Results ..................A-8

1. Off-Site Impacts ...............................................................................A-8

a. Purpose and Goal .........................................................A-8

b. Definition of Off-site Impact........................................A-9

c. Impacts Not Prohibited under the RA’s Program ......A-10

d. Impacts on Bond Forfeiture Sites ..............................A-10

e. Positive Impacts..........................................................A-11

f. Resource and Type and Degree of Impacts ...............A-11

g. Sources of Information for Off-site Impacts .............A-12

h. Reporting ....................................................................A-13

2. Reclamation Success .......................................................................A-13

a. Land Form/Approximate Original Contour (AOC) ...A-14

b. Land Capability ..........................................................A-15

c. Hydrological Reclamation .........................................A-16

d. Contemporaneous Reclamation .................................A-17

E. Performance Agreements/Evaluation Plans ................................................A-18

F. Data Collection............................................................................................A-20

G. Innovative State or Tribal Actions and Accomplishments .........................A-21

H. Regulatory Program Problems and Issues...................................................A-21

I. Topic-Specific Oversight Reports...............................................................A-21

J. Evaluation Files...........................................................................................A-22
A-2

I. BACKGROUND AND PURPOSE

These procedures and guidelines provide guidance for the development of Performance

Agreements/Evaluation Plans, the conduct of oversight activities, the preparation of Annual

Evaluation Reports, public outreach, and the maintenance and availability of oversight

documents.

The Surface Mining Control and Reclamation Act of 1977 (SMCRA) requires that programs

be developed and implemented to regulate surface coal mining and reclamation operations. 

Section 201 of SMCRA, 30 U.S.C. 1211, established the Office of Surface Mining

Reclamation and Enforcement (OSMRE) to administer and implement SMCRA. Among its 

responsibilities, OSMRE is charged with reviewing and approving State and Tribal

programs for regulating surface coal mining and reclamation operations (SMCRA sections 

503 and 710(j); 30 U.S.C. 1253 and 1300(j)); making those investigations and inspections

necessary to insure compliance with SMCRA (SMCRA section 201(c)(1); 30 U.S.C. 

1211(c)(1)); promoting the achievement of program goals and objectives (SMCRA section 

102(g), 30 U.S.C. 1202(g)). OSMRE also ensures adherence to Federal, State, and Tribal

statutory and regulatory requirements, and maintains minimum nationwide mining and

reclamation standards.

SMCRA encourages States and Tribes to assume the primary responsibility (primacy) for 

regulating surface coal mining and reclamation operations within their borders and on Tribal 

lands. Once the Secretary of the Interior grants primacy to States and Tribes, the role of 

achieving many of the purposes of SMCRA lies primarily with them. Among other things, 

under SMCRA, States and Tribes that have been granted primacy must protect society and 

the environment from the adverse effects of coal mining, assuring that mining is not 

conducted where reclamation is not feasible and that lands are reclaimed in a 

contemporaneous manner. OSMRE’s primary role when a State or tribe has primacy is to:

 monitor the State or Tribe and conduct inspections of surface coal mining and

reclamation operations to ensure that the State or Tribe is effectively implementing,

administering, maintaining, and enforcing its State or Tribal program,

 ensure the State or Tribe maintains its capability to fulfill SMCRA responsibilities,

 assist the State or Tribe in implementing its responsibilities,

 report on the evaluation of the State or Tribal program,

 work with States and Tribes to resolve, in a reasonable and timely manner,

program and implementation issues identified through oversight, 

 provide support to States and Tribes as requested and needed, and 

 pursue corrective actions provided under SMCRA, applicable Federal regulations,

and OSMRE policy if States or Tribes are not meeting program requirements.

This Directive fosters these purposes by establishing procedures and general criteria for

evaluating the States’ and Tribes’ administration of their regulatory programs. In addition, it 

clarifies the respective roles and responsibilities of OSMRE offices, establishes procedures 

for OSMRE’s annual evaluations, and sets forth format and content requirements for

OSMRE’s Annual Evaluation Reports on the status of State and Tribal program 

administration.
A-3

II. PROCEDURES

A. General Approach

OSMRE’s Field Offices and Regions, in consultation and, to the extent possible, 

collaboration with each State and Tribe, will develop a State- or Tribe-specific 

Performance Agreement/Evaluation Plan tailored to the unique conditions of each State

or Tribal program. Each Performance Agreement/Evaluation Plan will incorporate the 

National Measurement Elements (explained more fully below): off-site impacts and

reclamation success. OSMRE will supplement its review of these two National 

Measurement Elements with other oversight activities that OSMRE may conduct in a 

State or on Indian lands, including inspections, national priority topic reviews, and other 

topic-specific oversight reviews that OSMRE may develop in the Performance 

Agreement/Evaluation Plan. The Performance Agreement/Evaluation Plan will identify 

these activities.

OSMRE’s oversight reviews may include review of State- or Tribe-issued permits and 

associated documents (e.g., permit applications, monitoring reports) and the permitting 

process, including associated documents (e.g., findings, documentation supporting 

findings such as cumulative hydrologic impact assessments) and procedural policies and 

guidelines. Such reviews may be associated with evaluation of any other topic of 

oversight.

Two primary objectives of OSMRE’s oversight of State and Tribal programs are to 

identify potential problems and their root cause and to assist States and Tribes in 

resolving any problems or other issues that are identified. OSMRE, in cooperation with

States and Tribes, will focus resources on resolving such problems and issues. The

Performance Agreement/Evaluation Plans will include any Action Plans directed at

resolving Regulatory Program Problems.

OSMRE’s oversight role will not duplicate the State’s or Tribe’s program implementation

responsibilities. Oversight will not be process-driven. Instead, OSMRE’s oversight will 

focus on the end-result success of the State or Tribal program in achieving the purposes 

of SMCRA. Also, it will focus on identifying the need for and providing financial, 

technical, or other program assistance to State and Tribes to strengthen their programs.

While OSMRE is committed to working with States and Tribes and other interested 

parties on oversight methods and evaluations, OSMRE will maintain its independence

and objectivity in implementing its oversight responsibilities under SMCRA. OSMRE

will take appropriate actions to resolve issues or Regulatory Program Problems identified

in oversight in accordance with Directive REG-23, Corrective Actionsfor Regulatory

Program Problems and Action Plans.

B. Outreach

Field Office Directors (FODs) will interact on a routine, periodic basis with relevant

Federal, State, and Tribal agencies, State and local coal associations, citizens, 
A-4

environmental organizations, and other groups to actively seek out and determine their 

areas of concern and suggestions, as well as to provide timely information about OSMRE

activities that may interest such groups. To further this interaction, each Field Office will 

develop and conduct an outreach program within the States and Tribes to solicit comments 

from the public and interested groups regarding the oversight process, views on additional 

review topics for the Evaluation Year, and suggestions for improvements of future Annual 

Evaluation Reports. FODs are encouraged to work with their respective States and Tribes 

in developing such programs and in conducting such outreach jointly with the State or 

Tribe whenever possible. OSMRE may describe outreach efforts in Performance 

Agreement/Evaluation Plans.

1. Public Participation and Outreach

FODs will actively seek out, evaluate, and respond to public participation. At a 

minimum, each Field Office will provide an email address, phone number, and physical 

address where the public can provide input or seek information. This contact 

information will be in a highly visible location on the OSMRE website. The Field 

Office will acknowledge receipt and appreciation for public input in a timely manner. 

Additionally, information and data posted on the OSMRE website will include contact 

information that the public can use. FODS and RDs will work with the Office of 

Communications to maintain one national set of Frequently Asked Questions (FAQs) 

on the OSMRE website.

2. Information Accessibility

Each Field Office will, at a minimum, review annually all public information requests to

identify which information and data are of interest to outside organizations. OSMRE 

will give every possible consideration to placing frequently requested information, 

documentation, and data on the appropriate area of the OSMRE website. Proactively 

providing information via outlets such as the Internet serves to not only keep OSMRE

transparent but also reduces the resources expended responding to requests for 

documents under the Freedom of Information Act (FOIA) concerning routine 

information.

OSMRE will review in advance all information placed on the Internet to ensure that a 

layman can understand it; that it is free of technical jargon and is accessible to those 

with disabilities (i.e., compliant with section 508 of the Rehabilitation Act of 1973, 29 

U.S.C. 794(d)); and that it complies with all Privacy Act of 1974, 5 U.S.C. 552a,

requirements and other legal (e.g., confidentiality) requirements. Where technical data 

and information require precise terminology, the terminology will be fully defined and 

explained so that the public understands its meaning. OSMRE will provide documents 

involving State or Tribal input to the State or Tribe for review prior to posting on the 

OSMRE website. OSMRE will post all appropriate documents (specifically excluding 

the proposed Performance Agreement/Evaluation Plan) within 30 days after the 

document is finalized. OSMRE will not post internal working documents.

3. Outreach for Development of a Performance Agreement/Evaluation Plan
A-5

Each Field Office will conduct an outreach program within each State or on Indian

lands to solicit comments from the public and interested parties regarding the oversight 

process, views on review topics for the Evaluation Year, and suggestions for 

improvements to future Annual Evaluation Reports. Field Offices will consider these 

comments in determining where OSMRE will focus its oversight resources and what 

aspects of the State or Tribal program it will review. The Field Office outreach effort 

will include the following elements, consistent with the Schedule for Outreach on the 

Performance Agreement/Evaluation Plan in section II.E. Performance 

Agreements/Evaluation Plans, below:

 Announcements of the opportunities to provide comments, views, or

suggestions prior to the development of the Performance

Agreement/Evaluation Plan, and on the proposed Performance 

Agreement/Evaluation Plan after its development;

 Field Office acknowledgement of receipt and appreciation for public

input received; and

 Posting proposed and final Performance Agreement/Evaluation Plan on 

OSMRE’s website.

OSMRE will make announcements on its website and by email. The Field Office is 

responsible for maintaining a current list of email addresses for all parties interested in 

a State’s or Tribe’s regulatory program. The Field Office may choose to use other 

appropriate outreach methods for a particular State or Tribe. The Field Office should 

base its selection of other outreach methods, such as letters and newspaper 

announcements, on its prior experience in communicating effectively with the public 

and interested parties for the particular States or Tribes. To ensure that OSMRE is 

reaching all public stakeholders, including those areas where the public may not have 

access to the Internet, OSMRE will also notify the public using other methods.

Announcements will include a description of how interested parties may discuss 

specific ideas and concerns with the Field Office.

C. Oversight Inspections

OSMRE uses a collaborative system of evaluation of State, Tribal, and Federal 

programmatic efforts designed to increase confidence in, and enhance achievement of,

mutually shared environmental and public health and safety goals. OSMRE’s oversight 

inspections should maximize the use of State, Tribal, and OSMRE resources with a goal 

of creating efficiency of effort between OSMRE and the States and Tribes in order to 

strengthen the performance of all parties. OSMRE will work to avoid duplication of 

effort and redundancy.

Inspections and site visits are an integral part of OSMRE’s oversight activities. The 

Performance Agreement/Evaluation Plan should clearly describe what is expected to be 

accomplished through OSMRE inspections and site visits, so that both the State or Tribe 

and OSMRE staff understand the purposes of the inspections and site visits. Inspections 
A-6

and site visits should be planned and designed to meet the overall objectives of the Field 

Office’s oversight plan. Identifying the objectives of OSMRE oversight inspections and 

an inspection plan in the Performance Agreement/Evaluation Plan does not alter any of 

OSMRE’s enforcement responsibilities under SMCRA or the Federal regulations.

While OSMRE will develop the Performance Agreement/Evaluation Plan in 

cooperation with the State or Tribal regulatory authority to the extent possible, it will 

follow the guidelines below regarding the types and numbers of inspections it will 

perform during the Evaluation Year in developing the inspection plan in the 

Performance Agreement/Evaluation Plan. OSMRE is responsible for selection of 

inspection sites and establishing the timing prior to inviting States and Tribes to 

participate in the oversight inspections. OSMRE will conduct inspections jointly with 

the RA, when practical and when the RA so requests. When the RA does not 

accompany OSMRE on its inspection, OSMRE will notify the RA of the results prior to 

completing the inspection report. The Performance Agreement/Evaluation Plan should 

not identify specific sites to be inspected. The Performance Agreement/Evaluation Plan 

should make use of the various types of oversight inspections available as appropriate 

and consistent with this section. 

1. Determining the Target Number of Oversight Inspections for Each State or Tribe

The number of Inspectable Units (IUs) vary greatly in each State and on Indian lands, 

from as few as one IU to more than 1,800 IUs. Therefore, OSMRE will use a threetiered method to determine the targeted number of annual oversight inspections. Field 

Offices should use the target number for developing the planned oversight inspection 

aspects of the Performance Agreement/Evaluation Plan for a given evaluation year. 

For States and Tribes that have less than five IUs, OSMRE will inspect a target number 

of two IUs annually. For States and Tribes with five to 1,000 IUs, OSMRE will inspect a 

target number of 25 percent of the IUs annually. For States and Tribes with more than 

1,000 IUs, OSMRE will use a sampling formula to determine its target number of 

oversight inspections. OSMRE adopted this formula to give a high level of statistical 

confidence in the data with the understanding that the statistical validity of the results 

will vary from year to year depending on the stratification of the sites selected and types 

of studies conducted. The formula that OSMRE will use to determine the target number 

of inspectable units to be inspected in States and on Indian lands with more than 1,000 

IUs is:

n = 384/ (1+ (383/N)), where “n” is the sample size, and “N” is the total number of IUs.

Because a principle purpose of oversight inspections is to evaluate the overall 

effectiveness of a State or Tribal program, OSMRE will count all inspections that it 

conducts, including inspections conducted in response to a request for inspection (i.e., a 

citizen complaint), Federal enforcement inspections, and bond release inspections, toward

the targeted numbers of inspections in the Performance Agreement/Evaluation Plan. 
A-7

Although these inspections are to be included in the targeted number of oversight 

inspections, OSMRE will also track them separately for reporting purposes.

OSMRE will identify and describe the number of oversight inspections in the Performance 

Agreement/Evaluation Plan. Field Offices should only exceed the targeted number of 

inspections when they determine that additional inspections are necessary to monitor and 

evaluate the administration of approved State and Tribal programs. The RDs or FODs can 

increase the number of oversight inspections as necessary to address special issues or 

conditions in a State or on Tribal lands. However, to the extent the RDs or FODs increase

the number of oversight inspections, the numbers will be increased by the fewest amount 

of additional inspections necessary to evaluate a State or Tribal program to meet the 

requirements of SMCRA and OSMRE’s regulations. Field Offices should identify and 

explain any deviations from the above guidelines in the annual evaluation report.

2. Establishing the Ratio of Complete to Partial Inspections

Complete inspections are one of the most comprehensive tools that OSMRE has to

effectively evaluate and monitor an individual State’s or Tribe’s regulatory program.

Partial inspections are an efficient tool for conducting oversight inspections on a large

number of sites for a given period of time compared to time-consuming complete

inspections. Both types of inspections are very important and have great attributes as

oversight evaluation tools.

At a minimum, OSMRE will conduct complete oversight inspections on 33 percent of the 

IUs selected for oversight inspections in each State or on Tribal lands. The FOD will 

determine the maximum number of complete oversight inspections and will delineate 

them in the Performance Agreement/Evaluation Plan. The RDs or FODs can increase the 

number of complete oversight inspections as necessary to address specific, identified 

issues in a State or on Tribal lands. To the extent the RDs or FODs increase the number 

of complete oversight inspections, the numbers will be increased by the fewest amount of 

additional complete inspections necessary to evaluate a State or Tribal program to meet 

the requirements of SMCRA and OSMRE’s regulations.

3. Selecting Random and Focused Inspections

Focused inspections have historically been a better use of OSMRE’s limited inspection 

resources. OSMRE can direct oversight activities to areas where there may be high levels 

of activity, public concern, or problems. Conversely, a random sample of IUs for oversight 

inspections provides a means to validate the effectiveness of the State or Tribal program in 

a readily apparent, unbiased manner. However, random selection of IUs for oversight 

inspections is reasonable only for States or Tribes that have a larger number of IUs (i.e.,

more than 1,000 IUs). For States and Tribes with less than 1,000 IUs, the Performance 

Agreement/Evaluation Plan will specify focused inspections. However, in States or on 

Indian lands with 1,000 or more IUs, the Performance Agreement/Evaluation Plan should 

identify a combination of focused and random oversight inspections. The final decision 

on the types of inspections that OSMRE will use for evaluation of any State or Tribal 

program will be at the discretion of the FOD.
A-8

4. Conducting Independent Inspections

Independent oversight inspections are permitted when OSMRE determines that such 

inspections are necessary and appropriate. When the State or Tribe does not accompany 

OSMRE on an inspection, OSMRE will notify the State or Tribe of the results prior to 

completing the inspection report.

D. National Measurement Elements and Reporting of End Results

To further the concept of reporting end-results and on-the-ground success, the Field 

Offices, using the guidance set forth below, will prepare findings from evaluations of the 

following National Measurement Elements, which OSMRE will generally report 

nationally in the OSMRE Annual Report. These evaluations will report the number and 

degree of off-site impacts; the number and percentage of inspectable units free of off-site 

impacts; and the number of acres that meet the bond release requirements and that the 

State or Tribe have released for the various phases of reclamation. OSMRE will prepare 

Topic-specific Oversight Reports (see Appendix A, II.I., below) for each National 

Measurement Element to provide specific information on how the measurements were 

carried out and reported. The National Measurement Elements are set forth below.

1. Off-site Impacts

OSMRE will evaluate and report on the effectiveness of State or Tribal programs in 

protecting the environment and public from off-site impacts resulting from surface coal 

mining and reclamation operations. The goal is for each inspectable unit to have 

minimal or no off-site impacts. The objective is that States, Tribes, and OSMRE direct 

efforts to continually decrease the occurrence of off-site impacts.

a. Purpose and Goal

A main purpose of SMCRA is to prevent, to the extent possible, the occurrence of 

off-site impacts in order to protect the public, property, and environment from the 

adverse impacts of mining outside of areas authorized for mining and reclamation 

activities. SMCRA and parallel State and Tribal program provisions require that 

impacts to areas outside the area authorized for mining and reclamation activities 

be minimized and in some cases prevented. The oversight strategy described here 

will measure the success in meeting this goal at each inspectable unit. In general, 

for each inspectable unit, this measurement provides for: identification and 

reporting of the number and degree of off-site impacts; determination of the causes 

of the impacts; and identification of areas where improvements may be made to 

lessen the number and degree of impacts. If evaluation of data related to off-site 

impacts indicates program- or implementation-related problems, OSMRE and the 

State or Tribe will implement changes, where possible, to prevent recurring 

impacts. Therefore, the objective of this measurement is that the State or Tribe and 

OSMRE direct efforts to minimize or prevent the occurrence of off-site impacts.
A-9

b. Definition of Off-site Impact

For purposes of this Directive, OSMRE will view an off-site impact as including 

anything resulting from a surface coal mining and reclamation activity or operation 

that causes a negative effect on resources (people, land, water, structures) where 

that impact is intended to be minimized or prevented by SMCRA or the applicable 

State or Tribal program. Thus, to be considered as an off-site impact for National 

Measurement Element purposes, the applicable State or Tribal program is required 

to regulate or control the mining or reclamation activity or result of the activity 

causing an off-site impact. In addition, the impact on the resource should be 

substantiated as being related to a mining and reclamation activity and should be 

outside the area authorized by the permit for conducting mining and reclamation 

activities. An RA or OSMRE may identify off-site impacts within the permit 

boundary, if the impact is outside the area currently authorized by the permit for 

mining and reclamation activities. OSMRE should make any decision to treat a 

particular occurrence as an off-site impact in consultation with the RA. 

For example, OSMRE will consider a blasting operation that exceeds the State or 

Tribal program’s limits for vibration or air blast at a structure outside the permit 

area as an off-site impact when impacts to a resource (people, land, water, 

structure) are substantiated. OSMRE will not consider an exceedance of the State 

or Tribal program’s limits for vibration or air blast at a structure outside the permit 

area as an off-site impact for National Measurement Element purposes when 

impacts to a resource are not substantiated. 

Another example is when a mining operation disturbs a buffer zone within a

permit area in violation of an approved program. In this case, OSMRE will 

consider this disturbance as an off-site impact for National Measurement Element 

purposes. A final example applies to regulatory programs that allow permitted 

land to be bonded at a later date, but prior to disturbance. If a mining operation 

causes a disturbance in the non-bonded portion of the permit area, OSMRE will

consider this disturbance as an off-site impact for National Measurement Element 

purposes. As noted above, even though impacts of the types described in this 

paragraph (disturbance of a buffer zone within a permit area, and disturbance of a 

permitted area approved for mining but before a bond has been posted for that 

area) are actually within the overall permit area, they will be reported as off-site 

impacts under Table 5 of this Directive. If an RA requests it and provides the 

necessary information, OSMRE may also identify and address these impacts in a 

separate narrative in the annual evaluation report. 

Although the great majority of off-site impacts will be events that constitute 

violations of the regulatory program, and the RA or OSMRE should cite them as 

such, there may be exceptions to this general rule. For example, a breached 

diversion ditch may have caused sediment to leave the permit area, causing an offsite impact. However, the RA may not have cited a violation because the operator 

may have corrected the violation prior to the inspection. OSMRE may still 

consider the fact pattern in this example as an off-site impact, but only where off-
A-10

site impacts can be substantiated. Other examples may exist when off-site impacts 

caused by a regulated activity are documented, but, for whatever reason, a 

violation was not cited. OSMRE will make a decision to treat any such occurrence 

as an off-site impact only after consultation with the RA.

Impacts related to planned mine subsidence are not considered off-site impacts if 

the subsidence occurs within the area authorized for mining. OSMRE may 

address impacts related to subsidence through other oversight processes. RAs 

and OSMRE should count unplanned impacts from underground mining activities 

as off-site impacts for National Measurement Element purposes.

c. Impacts Not Prohibited under the RA’s Program

There are many impacts from mining and reclamation that are not regulated or 

controlled under SMCRA or State and Tribal programs (e.g., noise or visual 

impacts). There are also impacts that occur outside the permit even though a mine is 

in compliance with State or Tribal program provisions. One example is a sediment 

control structure that meets all design standards. A rainfall event that exceeds the 

design standard could cause the sediment control structure to discharge water that 

does not meet the effluent limits, resulting in off-site impacts. In this example, an 

off-site water quality impact occurs but, unless the condition is regulated by some 

aspect of the State or Tribal program other than the design standard, an off-site 

impact would not be recorded because all program requirements were met. Another 

example may be nuisance impacts such as those related to blasting or dust. Blasting 

operations may be in full compliance with the program although local residents are 

affected by noise or vibrations.

Although the main purpose of OSMRE oversight is to evaluate a State’s or Tribe’s 

effectiveness in implementing its approved program, opportunities may exist for a 

State or Tribe and OSMRE to agree to collect information on unregulated off-site 

impacts in addition to those regulated or controlled by the State or Tribal program

in compliance with the Paperwork Reduction Act. OSMRE may use such 

information to identify provisions of State, Tribal, and Federal standards where 

improvements may be made that would further minimize off-site impacts. 

Although this Directive does not require information on these types of impacts and 

these types of impacts should not be reported in Table 5, Off-site Impacts, OSMRE

is encouraged to work with States and Tribes to develop acceptable methods for 

considering this type of information. In cases when such information is collected, 

OSMRE should report the results in a topic-specific report on off-site impacts and 

summarize the information, as appropriate, in the annual report.

d. Impacts on Bond Forfeiture Sites

Sites that are not fully reclaimed to program standards (even after all forfeiture 

funds are expended) will remain on the inspectable units list in accordance with

Directive INE-29 and be reviewed for off-site impacts. OSMRE will report off-site 

impacts identified on bond forfeiture sites separately in Table 5, and will add them 
A-11

to the total off-site impacts for all inspectable units. OSMRE will address these 

impacts in a separate report narrative. OSMRE may identify such impacts either 

through special oversight studies or through routine measurement of off-site 

impacts. Table 5 should include all off-site impacts identified on bond forfeiture 

sites during the Evaluation Year. OSMRE should discuss off-site impacts that were 

identified and reported in prior years in a report narrative so that new impacts can 

be distinguished from impacts that continue to exist but were reported in prior 

years. OSMRE should properly characterize the magnitude of off-site impacts, 

especially those that continue from year to year.

e. Positive Impacts

OSMRE should consider and report documented positive impacts (e.g.,

improvement in water quality due to reclamation of bond forfeiture sites) in

section V.A., Off-site Impacts, of the Annual Evaluation Report; however,

OSMRE should not report positive impacts in Table 5.

f. Resources and Type and Degree of Impacts

Resources that may be affected during mining and reclamation operations include 

land, water, people, and structures. Water resources include surface water and 

groundwater quality and quantity. Fish and wildlife resources that may be impacted 

are included as part of water and land resources. The types of impacts that may 

affect these resources include, but are not limited to, blasting, land stability, and 

hydrologic impacts; unauthorized encroachments onto protected or non-permitted 

areas; and other impacts.

The off-site information to be collected, evaluated, and reported is the number of 

off- site impacts and the degree of impact. Additional information that should be 

gathered about each impact is the type of impact and the resource affected. Each

impact may affect more than one resource, i.e., a blasting impact may affect both 

land and people.

Degrees of impacts are classified as minor, moderate, or major. General

guidelines for assessing the degree of impact are:

Minor

2. Small amount of disturbance outside of permit or authorized

area;

3. Small amount of sediment, flyrock, or erosion outside permit

or authorized area;

4. Low volume or short duration water discharge that 

marginally exceeds effluent limits and has a marginally

negative impact on receiving stream water quality;

5. Impact does not interfere with land use;

6. Impact does not jeopardize public safety; and
A-12

7. Impact does not cause damage to uncontrolled structures or

restricted areas.

Moderate

8. Anything more than minor but less than major impact.

Major

9. Large amount of disturbance outside of permit or authorized

area;

10. Large amount of sediment, fly rock, or erosion outside 

permit or authorized area;

11. High volume or long duration water discharge of poor

quality enters a high quality stream;

12. Impact interferes with land use;

13. Impact jeopardizes public safety or causes personal injury;

14. Impact causes damage to uncontrolled structures or restricted

areas;

15. Any impact caused by mining without a permit; or

16. Stream dewatering that is not repaired or is an unplanned 

event.

g. Sources of Information for Off-site Impacts

One overall objective of this measurement is to determine, for each inspectable unit, 

whether off-site impacts occurred. The primary source of information for 

identifying off-site impacts should be the State or Tribal inspection process. 

Existing State or Tribal inspection procedures should result in the identification of 

off-site impacts for each inspectable unit. These determinations provide effective 

data for use by the State or Tribe and OSMRE to determine whether off-site impacts 

occurred. State or Tribal enforcement actions, citizen complaint files, civil penalty 

assessment data, and other information made available to OSMRE may also be 

considered.

Performance Agreements/Evaluation Plans should identify how States or Tribes 

will collect and provide information to OSMRE on all off-site impacts that are 

identified in the State or Tribal inspection process. OSMRE offices will include 

some level of its own independent evaluation or joint evaluation with the States and 

Tribes and not rely solely on information that the States and Tribes provide. Such 

evaluation can consider Federal inspections, OSMRE Ten-Day notices, citizen 

complaints (only alleged impacts that are substantiated), topical studies, and 

information from other State, Tribal, and Federal environmental regulatory 

agencies. OSMRE will consider a variety of sources to provide a credible 

evaluation of the off-site impacts in each State or on Tribal lands. OSMRE will 

explain the sources of information and the basis used to identify and report the 

number of off-site impacts in the narrative description of the topic-specific report on 
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off-site impacts.

h. Reporting

OSMRE will prepare an Off-site Impact Oversight Report for each State and

Tribe. This report is independent from the Annual Evaluation Report and will 

be used as supporting documentation for the Annual Evaluation Report. The

Off-site Impact Oversight Report will include:

 the number and percentage of inspectable units free of off-site impacts;

 the number, type, and degree of identified off-site impacts and the resources

affected;

 detailed information on data collection and analysis;

 a discussion of any conclusion on the effectiveness of the State or Tribal

program in minimizing and/or preventing off-site impacts and where

improvements may be made to lessen the number and degree of impacts;

 a general discussion of the root causes of identified off-site impacts (i.e.,

improper permitting action, improper design, construction and/or

maintenance, operator negligence, etc.);

 a discussion of any measures that have been or will be taken to address

program or implementation deficiencies identified through a trend

analysis with the goal of reducing the number and degree of off-site 

impacts; and

 a separate discussion addressing off-site impacts at bond forfeiture sites

including a review of previously identified off-site impacts that still exist, 

with special emphasis on the degree of impact of these recurring off-site

impacts.

Report off-site impacts data in Table 5, Off-site Impacts, in Appendix 1 of the 

Annual Evaluation Report. The Annual Evaluation Report should also contain a 

narrative summary of the findings from the overall evaluation with proper 

reference to the data in Table 5.

In general, OSMRE will use Table 5, Off-site Impacts, to report off-site impacts 

that it identifies throughout the Evaluation Year. Table 5 provides a separate 

section for reporting off-site impacts related to bond forfeiture sites. Information 

concerning impacts that are not prohibited by the State or Tribal program and 

SMCRA, impacts that are not regulated under the State or Tribal program, and 

positive impacts should not be included in Table 5 information. OSMRE should 

describe all such impacts, when evaluated, in the narrative description of the offsite impact evaluation. Information reported in Table 5 will not stand alone and 

will always be fully explained by a supporting narrative.

2. Reclamation Success

OSMRE will evaluate and report on the effectiveness of State and Tribal programs in 

ensuring successful reclamation on lands affected by surface coal mining operations. 
A-14

Success will be determined based on the number of acres that meet the bond release 

standards and have been released by the State or Tribe. In addition to the nationwide 

information reported, Field Offices, States, and Tribes may conduct specific evaluations 

and report on individual performance standards.

Except as otherwise specified below, OSMRE will collect bond release information to 

measure program performance in the following areas:

 Land form/approximate original contour;

 Land capability;

 Hydrologic reclamation; and

 Contemporaneous reclamation.

Existing bond release systems and forms should be used to the extent possible to evaluate

reclamation success. However, States and Tribes and OSMRE will work together to 

attain procedures over time that will capture bond release data necessary to measure 

program performance. OSMRE will, where appropriate, and when requested by the RA

and agreed to by OSMRE, evaluate alternate measurements of Reclamation Success.

After the State or Tribe and OSMRE have agreed, to the extent possible, on 

interpretations, what to report, and how to report it, OSMRE will make reasonable efforts

to verify the accuracy of State or Tribal data using tools established in the Performance

Agreement/Evaluation Plan or as otherwise negotiated. Data verification tools to be used

include but are not limited to OSMRE oversight inspections, OSMRE participation in

State and Tribal bond release inspections (all or a sample), special studies, or other

methods mutually agreed upon by the State or Tribe and OSMRE that take into account

the unique characteristics of the State or Tribe and its program. Once the data collection

system and verification procedures have been established, the acres released from bond 

will represent accomplishment of specific on-the-ground reclamation.

OSMRE will prepare an oversight evaluation report for each reclamation success 

evaluation conducted for each State or Tribe. This report will include detailed 

information on the collection and analysis of data, as well as the verification of the data, 

and will draw a conclusion concerning the effectiveness of the State or Tribal program in 

ensuring successful reclamation of mined lands. OSMRE will summarize information 

from the findings report in the Annual Evaluation Report for the State or Tribe.

In evaluating the effectiveness of State and Tribal programs in ensuring reclamation 

success, there are various reviews OSMRE may conduct in each of the four areas noted 

below. The Field Office should select one or more of the measurements for review under 

each of the four reclamation success standards (land form/AOC, land capability, 

hydrologic reclamation, and contemporaneous reclamation) to determine if available 

information reflects that reclamation is being successfully accomplished and within a 

timely manner as required by the State or Tribal program. The guidance for each of these 

areas follows:

a. Land Form/Approximate Original Contour (AOC)
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MEASUREMENT: OSMRE will measure AOC achievement by evaluating 

the acres of Phase I bond released.

Due to differences in topography, geography, geology, and land forms in the coal 

producing States and Tribes, it is necessary that OSMRE and the State or Tribe 

concur on an accepted interpretation of AOC for purposes of this Directive. When 

OSMRE and the State or Tribe establish the AOC interpretation for a State or 

Tribe, the State or Tribe and OSMRE will document it in a mutually acceptable 

manner. OSMRE will document acreage disturbed by mining activities that is 

released from Phase I bond liability as having achieved AOC.

ALTERNATE MEASUREMENT: OSMRE may measure AOC achievement 

by evaluating acres backfilled, and graded to final contour, with drainage 

controlled.

Where the RA requests and OSMRE agrees, OSMRE may use acres backfilled,

graded to the final contour and with drainage controlled, all in accordance with the 

approved reclamation plan, as a surrogate measure of AOC accomplishment.

b. Land Capability

There are several measurements that OSMRE may analyze to demonstrate the 

reestablishment of land capability on mined areas. These measurements and the 

timing of each measurement are discussed below.

MEASUREMENT: OSMRE will measure proper replacement of soil 

resources by evaluating the acres of Phase II bond release.

OSMRE may assess land capability by evaluating the acres where topsoil, subsoil,

or other suitable materials have been properly redistributed at the time of Phase II 

bond release. For those States or Tribes where soil replacement is a Phase I 

reclamation activity, this measurement should be conducted at the time of Phase I 

bond release. Because it has been established and documented by inspection, the 

acreage released from the applicable phase of bond liability can be documented as 

having achieved soil replacement.

MEASUREMENT: OSMRE will measure vegetation stability by evaluating 

the acres of Phase II bond release.

OSMRE may assess land capability by evaluating the acres for which vegetative 

cover or other erosion control techniques have adequately stabilized the surface 

from erosion at the time of Phase II bond release. Because it has been established 

and documented by inspection, the acreage released from Phase II bond liability 

can be documented as having achieved erosion stability.

MEASUREMENT: OSMRE will measure achievement of postmining land

uses by evaluating the acres of Phase III bond release.
A-16

OSMRE may assess land capability by evaluating the acres for which approved 

postmining land uses have been achieved at the time of Phase III bond release. 

Achievement of postmining land uses will be measured by the acreage of each 

land use type released from Phase III bond liability, i.e., cropland, pasture, forest, 

water, etc., and the acreage will be documented and reported. Because it has been 

established and documented by inspection, the acreage released from Phase III 

bond liability can be documented as having achieved the approved post-mining 

land uses.

MEASUREMENT: OSMRE will measure successful revegetation by 

evaluating the acres of Phase III bond release. 

OSMRE may assess land capability by evaluating the acres for which revegetation 

has been successfully demonstrated at the time of Phase III bond release. The 

bond release will document the ground cover, yields, or stems per acre, as 

appropriate, for the land use.

c. Hydrologic Reclamation

OSMRE may assess several measurements to evaluate the reestablishment of the 

hydrologic balance and successful hydrologic reclamation on mined areas. Listed 

below are some suggested measurements and their timing. OSMRE should 

periodically evaluate mine subsidence and impacts to water supplies to determine 

the success of the State or Tribal program in achieving timely restoration and 

repair or replacement of water supplies affected by mining and restoration of other 

resources impacted by mine subsidence.

MEASUREMENT: OSMRE will measure achievement of surface water

impoundment quality and quantity restoration by evaluating the acres of

Phase III bond release.

OSMRE may measure surface water quality and quantity restoration in terms of

acres of water impoundments released from bond liability. Bond release will 

document that water quality meets surface water quality standards and water

quantity is adequate for its intended use. Because it has been established and

documented by inspection, the acreage released from Phase III bond liability can

be documented as having achieved restoration of this aspect of surface water

quality and quantity.

MEASUREMENT: OSMRE will measure achievement of groundwater 

recharge capacity and groundwater quantity and quality restoration by 

evaluating the acres of Phase III bond release.

OSMRE will measure groundwater recharge, quality, and quantity in terms of 

acreage released from Phase III bond liability. The State or Tribe, in the Phase III 

bond release documents, determines whether groundwater recharge and restoration 
A-17

of the hydrologic balance has been achieved. Provided the State or Tribe has 

determined and documented that groundwater quality, quantity, and recharge 

capacity have been protected, these documents could be used to measure the 

achievement of this goal.

MEASUREMENT: OSMRE will measure achievement of surface water 

quality and quantity restoration by evaluating acres of Phase III bond 

release.

OSMRE will measure surface water quality and quantity restoration through a 

comparison of the pre-mining water quality and quantity to the postmining water 

quality and quantity at the time of Phase III bond release. Bond release will 

document that the water quality and quantity leaving the mine site meets the 

applicable standards and is comparable to or better than the pre-mining quality 

and quantity. Because it has been established and documented by inspection, the 

acreage released from Phase III bond liability can be considered as having 

achieved restoration of this aspect of surface water quality and quantity.

MEASUREMENT: Mitigating the impacts to streams.

The intent of this measurement is to provide an overall picture on how well fully

functional streams are restored or replaced by mining and reclamation in the State

or on Tribal lands. Standard measurements have not been specified, but each

office is required to periodically evaluate the implementation of stream protection 

measures by States and Tribes. In order to assess the success of stream protection

measures, data may be collected on the length of stream permanently or 

temporarily disturbed by mining activities and the stream length restored or

created within or off of the permit area. This information may be available at the

District Corps of Engineers office or a system may need to be developed to collect

this information.

d. Contemporaneous Reclamation

Contemporaneous reclamation should be periodically evaluated by determining if 

on-the-ground reclamation is following the reclamation plan approved in the

permits, specifically focusing on applicable performance standards of the State or 

Tribal program, the detailed timetable for the major steps in the reclamation plan 

(i.e., backfilling and grading, topsoil redistribution, planting and seeding), and the

map showing the sequence of reclamation.

Although not reported in Table 6, Surface Coal Mining and Reclamation Activity,

contemporaneous reclamation on-the-ground is an important purpose of SMCRA 

“to assure that adequate procedures are undertaken to reclaim surface areas as

contemporaneously as possible with the surface coal mining operations.” It

provides an overall perspective of how successfully reclamation is staying current

with mining in a State or on Tribal lands.
A-18

MEASUREMENT: OSMRE may measure timeliness of reclamation by 

evaluating the timeliness of Phase I, Phase II, and Phase III bond releases.

The intent of this measurement is to provide an overall general picture of how 

successfully reclamation is staying current with mining in the State or on Indian

lands. It is recognized that some States or Tribes may not have the capability to 

collect data that provides a complete status of the timing of mining and 

reclamation at this time. In order to collect this data, a system to collect a baseline 

of the number of acres affected by mining activities and released from bond each 

year is needed.

However, because not all States or Tribes collect disturbed acreage data, such 

baseline information may not be available, or, if available, may not be complete. 

Thus, the number of acres that are bonded each year will be used to provide a 

close approximation of the number of disturbed acres until it can be established 

that all States and Tribes collect disturbed acreage data. However, once a 

baseline for disturbed acreage data has been established and the State or Tribe is 

collecting such information annually, the State or Tribe should continue to collect 

the number of acres bonded each year for comparative purposes.

The State or Tribe and OSMRE, as part of the Performance 

Agreement/Evaluation Plan, will plan and implement the collection of data to 

provide some measurement of this program area. OSMRE should consider the 

information provided to complete Table 6, Surface Coal Mining and Reclamation 

Activity, in the Annual Evaluation Reports, that summarizes mining and 

reclamation activity, as a source for this measurement.

ALTERNATE MEASUREMENT: OSMRE may measure contemporaneous 

reclamation by comparing the rate at which lands are being backfilled, 

regraded to final contour, drainage controlled, soiled, and seeded with

vegetation reestablished, to the rate of disturbance.

In some States, a general measurement for contemporaneous reclamation is a 

comparison of the rate at which lands are being permanently reclaimed (backfilled, 

re-graded to final contour, drainage controlled, soiled, and seeded with vegetation 

types reestablished that support the postmining land use) to the rate of disturbance. 

Where requested by the RA, and agreed to by OSMRE, OSMRE will look at the 

total area where reclamation requirements have been met and compare it to the 

total disturbed acres with the long-term facility areas subtracted.

E. Performance Agreements/Evaluation Plans

OSMRE’s Field Offices and Regions, in collaboration with each State and Tribe, to the 

extent possible, will develop a State-/Tribe-specific Performance Agreement/Evaluation 

Plan tailored to the unique conditions of each State or Tribal program. OSMRE and the 

States and Tribes are encouraged to develop Performance Agreement/Evaluation Plans 

covering more than one Evaluation Year because the process is continuous and not 

necessarily limited to one year. 
A-19

Field Offices can append detailed plans for national priority reviews (see Appendix B, 

II.E.VI., below) and/or topic-specific evaluations to be conducted in specific Evaluation 

Years to multi-year Performance Agreement/Evaluation Plans.

The format of each Performance Agreement/Evaluation Plan is left to the discretion of

the individual Field Offices and States and Tribes to determine; however, the 

information contained within the Performance Agreement/Evaluation Plan will include

the following:

 Program Evaluation goals and the plans to achieve those goals in order to

give all stakeholders a clear understanding of what OSMRE and the State or

Tribe plan to do;

 State or Tribe involvement in the oversight evaluation process;

 The National Measurement Elements, including details of each review for:

o Off-site Impacts, and

o Reclamation Success;

 Other oversight activities that OSMRE may conduct in a State or on Indian

lands, including national priority reviews and focused State-/Tribe-specific 

permitting and enforcement reviews, with a general discussion of each 

review;

 Inspection plans for the Evaluation Year, including the following information:

o A description of what OSMRE expects to accomplish, so that both the State or 

Tribe and OSMRE staff understand the purpose of the inspections;

o Identification of the:

 Number and type (joint, partial, complete, etc.) of OSMRE oversight

inspections, and

 Method of selecting mines to be inspected (random or focused);

 The Field Office’s plans to assist the State or Tribe in the resolution of any

identified problems;

 Methods for resolving Regulatory Program Problems and other issues identified

in previous evaluations, including uncompleted Action Plans, which will be

appended to the Performance Agreement/Evaluation Plan;

 Statement as to how OSMRE and the State or Tribe plan to address

public comments/input and how outreach should be conducted 

during the year;

 Technical or programmatic assistance that OSMRE expects to provide to the

State or Tribe, and expected outcomes of the assistance;

 Core program data that the State or Tribe will provide to OSMRE and the 

mutually-agreed format for this data;

 Planned internal reviews of the State or Tribal program that the State or Tribe

provides to OSMRE; and

 Any other identified requirements that would promote full program performance.
A-20

Schedule for Outreach on the Performance Agreement/Evaluation Plan

Date Outreach Activity

March 1 Announce opening of a 30-day period for interested

parties to comment on oversight and provide

suggestions for potential oversight review topics,

including the opportunity for discussions with the

Field Office

March 1 – March 30 Opportunity for interested parties to comment on

oversight and provide suggestions for potential

oversight review topics

April 15 Draft Performance Agreement/Evaluation Plan

developed and sent to the State or Tribe for their

review and comments

April 30 As appropriate, incorporate State or Tribe

comments into the draft Performance 

Agreement/Evaluation Plan

May 1 Announce the opportunity for interested parties to

comment on the proposed Performance

Agreement/Evaluation Plan, including the opportunity

for discussions with the Field Office on proposed

oversight plans

May 1 – May 15 Opportunity for interested parties to comment and

request discussions with the Field Office

May 15 Close of comment period/last day for public

discussions with the Field Office

May 15 – June 30 In conjunction with the State or Tribe,

finalize Performance Agreements/Evaluation

July 14 Plansost final Performance Agreement/Evaluation Plans

on OSMRE’s website

F. Data Collection

OSMRE’s database, Regulatory Program Data for States and Tribes (DST), is the sole 

repository and the official source of the data reported in Annual Evaluation Reports and 

in OSMRE’s Annual Report (REG-8 data). Likewise, summary data for Federal 

programs and the Indian lands program that are reported in OSMRE’s Annual Report, as 

appropriate, can be derived from the DST. FODs are responsible for ensuring that they 

timely enter the data for their States and Tribes in the DST and that the data are accurate 

and complete.

To the extent practical, OSMRE and the State or Tribe, as a part of a Performance 

Agreement/Evaluation Plan, will use DST to obtain the applicable core data for analysis 

and characterization of regulatory programs, and OSMRE will allow States and Tribes to 

develop guidelines for maintaining, updating, and verifying the data in a timely manner. 

OSMRE will also look to maximize consistency, minimize duplicative efforts, and reduce 

document review effort and continue to develop a shared understanding of the data among 

OSMRE, the States and Tribes. 
A-21

Field Office staff may work cooperatively with States and Tribes to obtain REG-8 data,

but OSMRE should take reasonable steps to verify the accuracy of the data. The relevant 

OSMRE staff, from among Field Office staff who collect and enter data into the DST, 

FODs, and RDs, will validate and verify the data and, pursuant to Department of the 

Interior Validation and Verification policy and procedures, certify:

 The data that are being used are appropriate for the outcome that is being

pursued (i.e., the data are valid);

 Data collection, analysis, and reporting standards and procedures are in place

and people are properly trained;

 Data entry methods are established, data are verified, data are available when 

needed, data entry staff are trained;

 Data security protocols are in place and effective;

 Data accuracy limits are defined;

 Use of externally controlled data is documented;

 Accountability for data accuracy exists in the employee’s performance standards;

 Responsible officials certify that procedures were followed for each reporting 

period; and

 Responsible officials certify that data accuracy has been checked for each

reporting period.

G. Innovative State or Tribal Actions and Accomplishments

OSMRE will place emphasis on recognition of innovative State or Tribal approaches to 

managerial efficiency, problem resolution, environmental protection, and extraordinary 

achievements in program implementation.

H. Regulatory Program Problems and Issues

OSMRE reports Regulatory Program Problems and Issues in Section VII of the Annual 

Evaluation Report. Appendix 1, Table 14, Status of Action Plans, documents the status of 

Action Plans developed for resolution of Regulatory Program Problems. Directive REG23, Corrective Actions for Regulatory Program Problems and Action Plans, provides 

guidance for actions that OSMRE may take to correct Regulatory Program Problems and 

other issues, including the Action Plan process. OSMRE should also report resolution of 

problems or issues, including incremental improvements toward such resolution.

I. Topic-Specific Oversight Reports

A Performance Agreement/Evaluation Plan may identify a specific program area or topic 

for evaluation and reporting. Whenever the Field Office completes the topical 

evaluation, it will prepare a Topic-specific Oversight Report independent of the Annual

Evaluation Report. Although there is no specified format or style for such reports, the

Field Office should address the following information in the report:

 The program area or topic reviewed and why it was selected;

 The scope and method of review;
A-22

 The dates of the oversight activity and the period for which State or 

Tribal actions and documents were evaluated;

 All findings, both positive and negative;

 Facts supporting the findings;

 A list of all specific permits, mine sites, or State or Tribal actions reviewed;

 The actual or potential impact or significance of any deficiencies identified;

 A clear description of any corrective action required or recommended, if 

problems or potential problems are identified, and whether the problem 

constitutes a Regulatory Program Problem; and

 Whether OSMRE’s technical or administrative assistance is appropriate.

Records of the evaluation will identify all OSMRE and State or Tribal personnel

involved in the review. If OSMRE personnel outside the Field Office participated in 

the review, they will be afforded an opportunity to review and comment on the report in 

draft form.

The Field Office will send a draft report to the State or Tribe with a request for 

comments and, if appropriate, will include a schedule of actions that the State or Tribe 

need to take to address any issues or resolve any problems. The Field Office will 

provide a final report, developed after consideration of State or Tribal comments, to the 

State or Tribe.

The Field Office will include final reports in the Evaluation File.

J. Evaluation Files

The Field Office will maintain a public review file for oversight activities conducted in

each Evaluation Year on an ongoing basis (evaluation file). The Field Office will 

maintain an evaluation file that is independent of any administrative record (see

Directive INF-2). The Field Office will keep the evaluation file current and will include

all documents pertinent to the Evaluation Year regardless of the date of preparation or

receipt of documents. In some cases, this may require that a document (e.g., a multiyear Performance Agreement/Evaluation Plan) be duplicated and placed in several

evaluation files (a copy in each evaluation file to which the document pertains). The

evaluation file for each Evaluation Year will contain the following items:

 National/regional oversight guidance and format documents and revisions and

clarifications thereof (e.g., this Directive);

 The Performance Agreement/Evaluation Plan between OSMRE and the State or Tribe;

 A list of the oversight inspections conducted, including the type of inspection, type of

facility, and its activity status;

 All final topic-specific oversight reports prepared for the Evaluation Year (i.e.,

Oversight Reports on Off-site Impacts, Reclamation Success, National Priority

Review topics, other State-/Tribe-program specific oversight topics reviewed during

the Evaluation Year);

 Any data summaries used to prepare the findings in the Annual Evaluation Report;

 Action Plans in effect during the Evaluation Year;
A-23

 OSMRE-State/Tribal meeting summaries and substantive correspondence 

concerning evaluation techniques, topics, schedules, and findings;

 The final Annual Evaluation Report provided to the State or Tribe and all State or

Tribe comments thereon;

 Public comments, complaints, or observations pertaining to the Performance

Agreement/Evaluation Plan, Annual Evaluation Report, or the evaluation process;

 Summaries of public meetings held concerning the oversight process;

 A summary of citizen complaints received by OSMRE, including the number

received, status, and the disposition;

 A list of inspectable units, updated quarterly; and

 An End-of-Evaluation-Year summary of OSMRE oversight inspections completed

during the Evaluation Year, including the date, permit number, permittee, mine name,

county, type of facility, and activity status.

The evaluation file will not include the following items:

 Working papers;

 State or Tribal and Federal inspection reports;

 Raw, unorganized data;

 Protected Privacy Act data;

 Confidential permit application documents, other confidential information, or any

other information legally protected from disclosure;

 Grant reports and related documents (although the evaluation file should include a

note explaining where and how these documents may be reviewed);

 Briefing papers for OSMRE management; or

 Draft reports.

The Field Office will make evaluation files physically available for public review during 

normal business hours in the same manner as administrative record files (see Directive INF2). Field Offices will provide single copies of the final Annual Evaluation Report and final 

Topic-specific Oversight Reports free of charge upon request. Requests for copies of other 

evaluation file documents may be processed in accordance with Directive INF-3 (Freedom 

of Information Act (FOIA) procedures) if the FOD determines that the request imposes a 

significant burden on Field Office resources. Currently, selected oversight documents are 

available for review on ODocs, which is an electronic database, accessible through 

OSMRE’s website, with a built-in search capability.
B-1

APPENDIX B 

PROCEDURES AND GUIDELINES FOR OVERSIGHT AND REPORTING

The information below contains formatting and content guidance for preparation of Annual 

Evaluation Reports.

CONTENTS

I. REPORTING REQUREIMENTS FOR ANNUAL REPORTS ............................. B-2

II. INSTRUCTIONS AND TEMPLATES................................................................... B-2

A. Cover .........................................................................................................................B-3

B. Title Page..........................................................................................................B-3

C. Evaluation Year Executive Summary...............................................................B-5

D. Table of Contents..............................................................................................B-5

E. Report Sections.................................................................................................B-7

I. Introduction ...................................................................................................B-7

II. Overview of the Coal Mining Industry in the State or on Tribal Lands......B-7

III. Overview of Public Participation and Outreach Efforts ............................B-8

IV. Major Accomplishments and Innovations..................................................B-8

V. Success in Achieving the Purposes of SMCRA ..........................................B-9

A. Offsite Impacts ...................................................................................B-9

B. Reclamation Success ........................................................................B-10

VI. National Priority and General Oversight Topic Reviews ........................B-10

VII. Regulatory Program Problems and Issues ..............................................B-10

VIII. OSMRE Assistance ...............................................................................B-10

Appendix 1: Summary of Core Data to Characterize the Regulatory 

Program ..........................................................................................................B-11

Appendix 2: State’s or Tribe’s Comments on the Annual Evaluation 

Report ............................................................................................................B-13
B-2

I. REPORTING REQUIREMENTS FOR ANNUAL REPORTS

The FOD will prepare an Annual Evaluation Report for each State or Tribe within 

his or her area of responsibility. The target date for completion of a final report, 

including all changes as a result of comments from all reviewers, is 60 days after 

the end of the Evaluation Year. The intent is to have the Annual Evaluation Reports 

finalized well before the start of the next Fiscal Year, so that information can be 

used for Congressional hearings and to provide information to the Office of 

Communications for inclusion in OSMRE’s Annual Report. The following is a 

suggested timetable for finalizing Annual Evaluation Reports:

1. The draft Annual Evaluation Report should be completed and

forwarded within 30 days after the end of the Evaluation Year to the

State or Tribe for review and comment (i.e., the end of July).

2. The State or Tribe will be provided a minimum 15-day comment period,

which can be extended upon request (comments due in mid-August).

3. Within 10 days after receipt of the State’s or Tribe’s comments, any

necessary revisions to the report should be completed (late August); the 

State’s or Tribe’s comments, followed by a summary of the FOD’s

disposition of those comments, will be appended to the report as

Appendix 3.

4. If the report is substantively revised, the State or Tribe will be allowed

up to five days to provide additional comments on the revised report 

(end of August). The State’s or Tribe’s comments on the revised report 

will be appended to the report in place of the initial comments unless 

the new comments reference the previous comments.

5. Once the FOD determines that all changes resulting from a State’s or 

Tribe’s comments have been completed, the FOD will brief and 

consult with the RD on the final report. The FOD will then finalize the 

report, have a copy of the report posted on OSMRE’s website for 

public viewing, and notify interested parties, including the Director, 

Regional Director, Office of Communications, and other OSMRE

units of the availability of the reports on OSMRE’s website (earlySeptember). Hard copies will be made available upon request.

6. To promote dissemination of oversight information, the FOD will 

contact interested parties by email to notify them that OSMRE has 

posted the report on the OSMRE website and/or provide electronic or 

paper copies of the report to States or Tribes and other interested 

parties.

II. INSTRUCTIONS AND TEMPLATES

The FOD will prepare the Annual Evaluation Reports in accordance with the instructions and 

templates provided on the following pages. The FOD will take care to ensure that dates in the 

text of the report and the tables reflect the proper Evaluation Year. Use acronyms minimally 

throughout the report. Use photographs, tables, and graphs in the report to illustrate and 

supplement the report’s content and findings.
B-3

An Annual Evaluation Report prepared under this Directive for a regulatory program may be

combined with the Annual Evaluation Report on a State’s or Tribe’s abandoned mine land

(AML) program prepared in accordance with Directive AML-22, Evaluation of State/Tribe 

Abandoned Mine Land Programs. If the reports are combined, the applicable guidelines for 

preparation of both reports should be followed to the extent possible.

A. Cover

If a photograph is used on the cover of the Annual Evaluation Report, any text in the

Cover should be visible and easily read. The text should include the full names of 

OSMRE (i.e., Office of Surface Mining Reclamation and Enforcement) and the State or 

Tribal regulatory authority along with the Evaluation Year and the Field Office 

responsible for the review.

B. Title Page

The title page of the report should follow the template on the next page.
B-4

Template of Title Page for Annual Evaluation Reports:

OFFICE OF SURFACE MINING RECLAMATION AND ENFORCEMENT

Annual Evaluation Report

for the

Regulatory [and Abandoned Mine Land] Program[s] Administered by

[State/Tribal Regulatory Authority or Authorities]

of

[STATE or TRIBE (ALL CAPS)]

for

Evaluation Year [YYYY]

July 1, [YYYY] to June 30, [YYYY]

Prepared by

[Name of Field Office conducting evaluation]

[Month YYYY (when final)]
B-5

C. Evaluation Year Executive Summary

Instructions: Under a page heading, “Executive Summary,” insert topics of interest to 

the reader for the State or Tribal program during the Evaluation Year – this should 

summarize the data and narrative that is contained in later sections of the report. This 

section should read as a “story.” Omit all technical jargon. Keep acronyms to a

minimum, only using acronyms for OSMRE or the State agency or agencies). Use the 

following information in this section:

 Indicate the Evaluation Year for the review and list the State agency or agencies being 

evaluated.

 Describe outreach efforts and other opportunities for public input such as review of

draft evaluations.

 Include top stories from the Evaluation Year: describe accomplishments and/or

advancements made by OSMRE or the State or Tribe. Include AML accomplishments

as well as regulatory program efforts if the AML evaluation report is combined with 

the regulatory program Annual Evaluation Report.

 Summarize the outcome of reviews of the National Measurement Elements, Off-site

Impacts and Reclamation Success, and any National Priority Topics for the Evaluation

Year.

 Summarize the outcome of other topic-specific reviews selected by the Field Office for

the Evaluation Year. Include AML as well as regulatory program reviews if the AML

evaluation report is combined with the regulatory program Annual Evaluation Report.

 Summarize the resolution of Regulatory Program Problems and issues and the status of

problems pending at the end of the Evaluation Year.

 Summarize OSMRE grants and significant technical assistance OSMRE provides 

during the Evaluation Year. Include AML as well as regulatory program grants and

significant technical assistance if the AML evaluation report is combined with the

regulatory program Annual Evaluation Report.

D. Table of Contents

Use the following template for preparing the Table of Contents of the Annual Evaluation

Report:
B-6

TABLE OF CONTENTS (Contents may be adjusted to report AML activities at the

FOD’s discretion.)

I. Introduction

II. Overview of the Coal Mining Industry [in the State or on Indianlands]

III. Overview of Public Participation and Outreach Efforts

IV. Major Accomplishments and Innovations

V. Success in Achieving the Purposes of SMCRA

A. Off-site Impacts

B. Reclamation Success

VI. National Priority and General Oversight Topic Reviews

VII. Regulatory Program Problems and Issues

VIII. OSMRE Assistance

Appendix 1 Summary of Core Data to Characterize the Program

Appendix 2 [State’sorTribe’s]CommentsontheReport
B-7

E. Report Sections

I. Introduction

Instructions: Insert the following text into this section of the report, substituting

State- State- or Tribe-specific information where so indicated.

The Surface Mining Control and Reclamation Act of 1977 (SMCRA) created the 

Office of Surface Mining Reclamation and Enforcement (OSMRE) in the 

Department of the Interior. SMCRA provides authority to OSMRE to oversee the 

implementation of and provide Federal funding for the State and Tribal regulatory 

programs that the Secretary of the Interior has approved as meeting the minimum 

standards specified in SMCRA. This report contains summary information 

regarding the [State or Tribal] program and the effectiveness of the [State or Tribal] 

program in meeting applicable purposes of SMCRA as specified in SMCRA section 

102, 30 U.S.C. 1202. This report covers the period of July 1, [YYYY] to June 30, 

[YYYY]. Detailed background information and comprehensive reports for the 

program elements evaluated during the period are available for review and copying 

at the OSMRE [Office Name, Address, Phone Number, and name and email address 

of contact person].

(Adjust this introduction to report AML activities at the FOD’s discretion.)

This report uses the following acronyms:

OSMRE: Office of Surface Mining Reclamation and Enforcement

SMCRA: Surface Mining Control and Reclamation Act of 1977

[List alphabetically all acronyms used in the report and their definitions]

II. Overview of the Coal Mining Industry in the State or on Indian Lands

Instructions: To provide a context or characterization for the reader to understand 

the significance of coal mining within the State or on Indian lands, prepare a short 

narrative setting forth general information on coal mining in the State or on Indian

lands considering the following topics and other appropriate information:

 Types of mining (surface and underground, differentiated by longwall,

conventional, or in-situ, if possible);

 The number, type, and size of mines within the State or on Indian lands –

historic and present;

 Regions, counties, or other political subdivisions of the State or Indian lands

where mining is located;

 Significance of coal mining to the local and State or Tribal economies;

 Any other information characterizing coal mining in the State or on Indian

lands that provides a sense of conditions in the State or on Indian lands; and

 Any significant changes in the above information that have occurred during the 

Evaluation Year.
B-8

III. Overview of Public Participation and Outreach Efforts

Instructions: To provide a context or characterization for the reader to understand 

the level of public involvement and the opportunities provided for public input by

OSMRE and the State or Tribe, prepare a brief narrative setting forth general

information on public participation in OSMRE’s oversight process and in the State

or Tribal program. The term “public” includes all stakeholders (i.e., citizenry at 

large, industry, other Federal, State, Tribal, or local agencies, and environmental

groups). In general, include some or all of the following information:

 OSMRE’s website and the State or Tribal website (if available) where the

public can find information relating to public comment, the State’s or Tribe’s

Performance Agreement, and other documentation;

 The opportunities and information OSMRE and the State or Tribe give to 

the public to provide input into oversight and State and Tribal regulatory

processes;

 Public meetings held and quantification of the amount of participation that

occurred;

 OSMRE’s and the State or Tribe’s outreach efforts;

 Significant involvement of environmental, industry, and grassroots

organizations;

 Results or impacts to the effectiveness of the relevant program that have

occurred due to public participation;

 Highly controversial areas or concerns that have arisen due to public

involvement;

 Precedent-setting legal issues decided during the period; and

 A brief summary of any specific issues or successes identified through

OSMRE evaluations conducted on the State’s or Tribe’s implementation of 

the public participation aspects of the relevant program.

IV. Major Accomplishments and Innovations

Instructions: Briefly summarize the State’s or Tribe’s overall performance in

implementing its regulatory program to meet the applicable purposes listed in

section 102 of SMCRA, 30 U.S.C. 1202. Identify any significant accomplishments 

and innovations that may be of national or regional interest and place each in 

context. This description should include areas of the State or Tribal program that go

beyond the minimum requirements and should include areas of the State or Tribal

program where innovative approaches to solving problems have proven successful. 

Provide an overall summary of the success of the State or Tribal program and the 

State’s or Tribe’s and OSMRE’s expectations for the program in the coming year as 

they relate to the accomplishments and innovations described above.
B-9

V. Success in Achieving the Purposes of SMCRA

Instructions: Place the following subsections in this section of the report,

substituting State- or Tribal-specific information where so indicated.

OSMRE evaluated each State and Tribe to collect data for a national perspective in

terms of the following:

 Off-site Impacts –

o Number and extent of observed off-site impacts

o Number and percentage of inspectable units free of off-site

impacts

 Reclamation Success –

o Number of acres that have been mined and reclaimed and 

which meet the bond release requirements and have been 

released for the various phases of reclamation

Indicate in this section of the report where the reader can locate individual topic 

reports that will provide details on how OSMRE conducted evaluations of the 

following measurements. Include the Field Office name, address, phone numbers, 

email addresses, and the OSMRE website address where the reports are located.

A. Off-site Impacts

Instructions: Prepare a summary evaluation of the data reported in Table 5, 

Off- site Impacts, identifying the sources of the information and an analysis 

with regard to the effectiveness of the State or Tribal program in protecting 

the environment and public from off-site impacts resulting from surface coal 

mining and reclamation operations. The summary should include the 

number and percentage of inspectable units that were free of off-site 

impacts, provide an explanation of the significance of that finding, and 

report on the results of any root cause analyses that were conducted. The 

summary also should report the actions that are being taken with or by the 

State or Tribe to correct any programmatic deficiencies that may have 

caused or allowed off-site impacts to occur and to develop strategies or 

approaches to lessen the number of future impacts.

As noted above, see page A-9, even though some “off-site” impacts may 

actually be within the overall permit area, they will be reported as off-site 

impacts under Table 5, and may also be identified and addressed in a 

separate narrative in the annual evaluation report. Also address off-site 

impacts identified on bonded and bond forfeiture sites in this section.

In addition, discuss off-site impacts that were identified and reported in prior 

years in this section so that new impacts can be distinguished from impacts 

that continue to exist but were reported in prior years. Properly characterize 

the magnitude of off-site impacts, especially those that continue from year to 

year. 
B-10

B. Reclamation Success

Instructions: Prepare a summary discussing and assessing the data in Table

6, Surface Coal Mining and Reclamation Activity, with regard to the State

or Tribal program’s effectiveness in ensuring successful reclamation on land

affected by surface coal mining operations. The summary also should report

the actions that are being taken with or by the State or Tribe to prevent

future occurrences when areas do not meet bond release standards. Where a 

regulatory authority requests, and provides relevant information, OSMRE

can assess separately surface mines, underground mines, or other types of 

mining operations.

VI. National Priority and General Oversight Topic Reviews

Instructions: Provide a short description of all oversight topics that OSMRE

reviewed during the period. List all national priority review topics first in this 

section followed by program-specific oversight topical reviews. The description 

may include issues that the Field Office identified through means other than a 

formal oversight study topic. Include a statement on how and where to obtain 

individual topic reports and information. Use this section to summarize results of 

any topic reviews. Use photographs or data charts to better illustrate and 

communicate findings to the reader.

VII. Regulatory Program Issues

Instructions: List and discuss all Regulatory Program Problems that have been

corrected during the Evaluation Year and indicate which of those identified

problems were the subject of an Action Plan. In addition, list and discuss all

Regulatory Program Problems that were uncorrected at the end of the Evaluation

Year and indicate which of those identified problems were or are the subject of an

Action Plan.

Directive REG-23, Corrective Actions for Regulatory Program Problems and 

Action Plans, provides guidance on corrective actions that may be taken to resolve 

Regulatory Program Problems including the Action Plan process. List Action Plans 

in Table 14, Status of Action Plans, in Appendix 1 of the Annual Evaluation Report.

VIII. OSMRE Assistance

Instructions: To provide a context or characterization for the reader to understand 

the level of assistance that OSMRE has provided to the State or Tribe during the

evaluation year, include:

 Specific technical assistance;

 Training;

 Management assistance;
B-11

 Financial (reference Table 9, Funds Granted to State or Tribe by

OSMRE);

 Any other notable assistance provided, as well as the expected

results; and

 A brief general statement about OSMRE’s assistance role.

Appendix 1 Summary of Core Data to Characterize the Regulatory Program

Instructions:

Complete the Regulatory Program Data for States and Tribes (DST) tables in 

accordance with section F. Instructions for Completion of Specific Tables for

Appendix 1, below (i.e., after the instructions for completing Appendix 2). The 

reporting period for all tables, except Table 1, is the Evaluation Year (Table 1 contains 

Production Data for the Calendar Year). The DST will produce report-ready tables 

including the tables showing Historical Trends. Append the tables from the DST after 

the following title page for Appendix 1. If a table does not apply to a particular State

or Tribe, enter an explanatory statement in lieu of the table.

Insert the following Appendix 1 title page with text and the List of Tables into the 

Annual Evaluation Report, followed by the Tables from the DST; 
B-12

[State or Tribe] Annual Evaluation Report

Evaluation Year [YYYY]

APPENDIX 1

Summary of Core Data to Characterize the Regulatory Program

The following tables present summary data pertinent to mining operations and regulatory

activities under the [State or Tribal] regulatory program. Unless otherwise specified, the

reporting period for the data contained in the tables is the Evaluation Year. Other data and

information OSMRE uses in its evaluation of [State’s or Tribe’s] performance is available for 

review in the evaluation file maintained by [OSMRE Office].

Because of the enormous variations from State to State and Tribe to Tribe in the number, size, 

and type of coal mining operations and the differences between State and Tribal programs, the

summary data should not be used to compare one State or Tribe to another.

List of Tables

Table 1 Coal Produced for Sale, Transfer, or Use

Table 2 Permanent Program Permits, Initial Program Sites, Inspectable Units, and Exploration

Table 3 Permits Allowing Special Categories of Mining

Table 4 Permitting Activity

Table 5 Off-site Impacts

Table 6 Surface Coal Mining and Reclamation Activity

Table 7 Bond Forfeiture Activity

Table 8 Regulatory and AML Programs Staffing

Table 9 Funds Granted to State or Tribe by OSMRE

Table 10 State or Tribal Inspection Activity

Table 11 State or Tribal Enforcement Activity

Table 12 Lands Unsuitable Activity

Table 13 OSMRE Oversight Activity

Table 14 Status of Action Plans

Table 15 Land Use Acreage (Optional)
B-13

Appendix 2 State’s or Tribe’s Comments on the Annual Evaluation Report

Instructions: Insert the following title page for Appendix 2 into the Annual

Evaluation Report:

[State or Tribe] Annual Evaluation Report

Evaluation Year [YYYY]

APPENDIX 2

Comments of [“State of [State Name]” or “[Name of Tribe]”] on the Report

Instructions: Append the comments on the Annual Evaluation Report submitted by

the State or Tribe after the title page followed by a discussion of how OSMRE

addressed each of the comments. If the State or Tribe had no comments, add the

following sentence to the title page:

[State or Tribe] had no comments on the Annual Evaluation Report.

A. Instructions and Operational Manual for Completion of Appendix 1 Tables

On an annual basis, OSMRE’s Program Support Directorate will consult with the Regions, 

Field Offices, and the Office of Policy Analysis and Budget on issues encountered with the 

DST tables. Based upon this consultation, the Program Support Directorate will prepare 

detailed instructions or necessary revisions on completing the tables for Appendix 1. These 

instructions will be compiled in an Operational Manual for Completion of Appendix 1 

Tables and will be distributed to the Regions no later than May 15 of each year. Field 

Offices will disseminate this information in a timely manner and will work with the RAs to 

complete the tables in accordance with this manual. Field Offices will disseminate this 

information no later than May 31, and will work with the RAs to complete the tables in

accordance with this Manual.