U.S. DEPARTMENT OF THE INTERIOR 

OFFICE OF SURFACE MINING 

RECLAMATION AND ENFORCEMENT 

DIRECTIVES 

SYSTEM 

Subject Code: 

TSR – 4 

Transmittal Number: 

940 

Date:

Subject: Technical Studies 

Approval: Brent Wahlquist Title: Director 

1. Purpose. This directive establishes the procedures for the conduct and administration of 

technical studies that are funded in whole or in part by the Office of Surface Mining Reclamation 

and Enforcement (OSM). The technical studies are performed by parties other than OSM and 

include applied science projects, underground mine map projects, and technical investigations. 

These activities are conducted in support of the abandoned mine land and regulatory programs of 

the Surface Mining Control and Reclamation Act of 1977 (SMCRA). 

2. Summary of Changes. This is a new directive. 

3. Definitions. All terms used in this directive are used consistently with those in SMCRA 

and 30 CFR Chapter VII, except for those new terms defined below. The following is a list of 

the three types of studies and projects covered by this document. 

a. Applied Science Project. An investigation that is selected through an annual 

solicitation process to develop and demonstrate the use of improved technologies, consistent 

with SMCRA, to address environmental and/or public safety issues related to regulation of 

surface coal mining and reclamation of abandoned mines. 

b. Technical Investigation. An investigation or study of special topics, concerns or 

issues in association with SMCRA applications. The technical investigations/studies are 

conducted in partnership with states, tribes, researchers and/or others, and funded by OSM from 

sources other than the Applied Science Program budget. 

c. Underground Mine Map Project. A project selected through an annual solicitation 

process that funds efforts by states or tribes to preserve, and archive mine maps and/or to provide 

a means for the public/private sector to acquire information from underground mine maps. 

4. Policy. OSM is committed to the use of sound science in both its abandoned mine land 

and regulatory programs. In order to advance the use of sound science in its programs, OSM 

will provide funding and support for appropriate technical studies that: 

• resolve technical questions or issues related to the purposes of SMCRA; 

• improve the efficiency and effectiveness of the SMCRA state, tribal, and Federal 

regulatory and reclamation programs; 
• improve protection of the public and environment by promoting technology 

development and transfer related to surface coal mining and reclamation; 

• capture, preserve, and improve the public availability of historical information such 

as underground mine maps and geological records that will improve the safety of the 

public and of mine workers; 

• build and/or enhance state and Federal working relationships with academic 

institutions in the coal fields; 

• communicate good science and technology to the mining and reclamation 

community; and 

• stretch the limited OSM funds through promoting outside participation such that 

OSM funds are utilized to design, monitor and conduct studies while mine operators 

or others conduct the earthwork or cover other expenses involved in 

construction/implementation. 

All scientific information generated or disseminated by OSM will comply with basic standards 

of quality to ensure and maximize its objectivity, utility, and integrity. OSM will ensure that 

information disseminated will be developed from reliable methods and ensure information 

quality at each stage of information development. OSM’s guidelines for this topic can be found 

on its website at http://www.osmre.gov/pdf/fr111302.pdf. Department of the Interior’s guidance 

can be found on its website at www.doi.gov/ocio/guidelines/515Guides.pdf. 

5. Responsibilities. 

a. OSM Senior Management responsible for technical studies consists of the 

Director, Deputy Director, Regional Directors, and Assistant Director Program Support. The 

OSM Senior Management determines applied science and underground mine map policy, selects 

applied science project priority topics, determines annual funding strategy, and selects projects. 

b. OSM Senior Management Sponsor is an OSM senior executive who provides 

management direction and oversight to the National Technology Transfer Team. 

c. National Technology Transfer Team (NTTT) is an OSM sponsored team with 

members from the Interstate Mining Compact Commission (IMCC), Western Interstate Energy 

Board (WIEB), and National Association of Abandoned Mined Land Programs that promotes 

technology development, transfer and distribution initiatives, products, and services for surface 

coal mining and reclamation. The NTTT identifies potential applied science priority topics; 

develops the annual solicitation for applied science project proposals; develops dissemination 

strategies for the annual solicitation; ranks project proposals for use by OSM Senior 

Management in annual project selections; ensures that funded projects meet intended goals; and 

disseminates applied science project results via seminars, forums, workshops, publications, 

newsletters, fact sheets, and websites. 

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d. Underground Mine Map (UGMM) Steering Committee is a joint OSM, IMCC, 

and WIEB committee that was formed to promote the acquisition, digitization, preservation, and 

distribution of underground mine maps. The UGMM Steering Committee develops the annual 

solicitation for underground mine map project proposals; develops dissemination strategies for 

the annual solicitation; ranks project proposals for use by OSM Senior Management in annual 

project selections; ensures that funded projects meet intended goals; and disseminates project 

results to interested parties as appropriate. 

e. Directorate National Technology Transfer Team Representative – for applied 

science and underground mine map projects only –is the Directorate’s representative to the 

NTTT. The Representative responsibilities include: 

 (1) Provides timely feedback to the Project Technical Representative and the 

Grants Financial Specialist (or contracting officer if appropriate) on the quality and adequacy of 

the recipient product submissions; 

(2) Ensures that internal tracking reports are updated in a timely manner; 

(3) Updates the Technology Transfer Website in a timely manner; and 

 (4) Distributes final reports to the National and Regional Technology Transfer 

teams. 

f. Grants Financial Specialist prepares the cooperative agreements, obtains the 

appropriate approvals, and maintains the financial files and reports. The Grants Financial 

Specialist responsibilities include: 

 (1) Assures OSM’s compliance with OSM Directive GMT-10 (FAM) and the 

Federal regulations; 

 (2) Acts as the primary contact with the recipient on fiscal, administrative, 

and financial matters; 

 (3) Provides copies of quarterly financial and performance reports to the 

Project Technical Representative; and 

 (4) Works with the Project Technical Representative to resolve issues with the 

recipient. 

 g. Project Technical Representative serves as the primary technical contact between 

OSM and the recipient by carrying out the following: 

 (1) Assists the Grants Financial Specialist in developing and administering 

each agreement; 

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 (2) Carries out the Technical Representative roles identified in the cooperative 

agreement and in FAM; 

 (3) Ensures that, in accordance with the Department of Interior Manual 505 

DM2, OSM provides the “Substantial Federal Involvement” necessary and appropriate to 

achieve agreements goals; 

 (4) Reviews products, reports, and deliverables and advises the Grants 

Financial Specialist on needed actions; 

 (5) Identifies issues or barriers encountered that can interfere with attaining 

the project’s goals and objectives and immediately brings these to the attention of the Grants 

Financial Specialist and the Directorate Technology Transfer Team Representative; 

 (6) Works with recipient to ensure that reports are received in a timely 

manner; 

 (7) Sends recipient’s products to the appropriate technology transfer team 

representative for quality review and for processing by the NTTT; 

 (8) Prepares a summary analysis of reports and product deliverables in 

standard formats within 30 days of receipt and submits one copy each to the Grants Financial 

Specialist and the Directorate Technology Transfer Team Representative; 

 (9) Assists the appropriate OSM management and NTTT members with the 

resolution of any technical problems found with product submissions by the grantee; and 

 (10) Develops a two page fact sheet that summarizes the results of the project 

for use in technology transfer.

6. Procedures. 

a. Applied Science Project Procedure. The following procedure and approximate 

timelines will be followed: 

 (1) On an annual basis, OSM announces the solicitation of proposals for 

eligible projects during the first quarter of each fiscal year that funding is available for the 

Applied Science Program; 

 (2) OSM allows at least 60 days for interested parties to submit proposals; 

 (3) The NTTT, or a subgroup thereof, reviews, ranks the proposals, and 

develops a summary of the highest ranked proposals for consideration by OSM Senior 

Management; 

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 (4) The Directorate from which the highest ranked proposals originate 

conducts additional reviews as necessary to ensure each project meets all Federal assistance, 

legal, and technical requirements, and provides the NTTT comments regarding the 

appropriateness of each proposed project and its budget within two weeks of receipt; 

 (5) NTTT provides OSM Senior Management the summary listing of top 

rated projects along with any concerns generated by the financial and technical review; 

 (6) OSM Senior Management makes a final decision on which proposals to 

fund considering funding availability and the consensus ranking of the NTTT and other agency 

factors; 

 (7) OSM notifies successful applicants; and 

 (8) As soon as required applications are received from the successful 

applicants and funding becomes available, OSM begins awarding funds. The successful 

recipient or grantee will submit financial reports and technical reports as outlined in the FAM 

and in the funding agreement. 

 b. Underground Mine Map Project Procedure. The following procedure and 

approximate timelines will be followed: 

 (1) On an annual basis, OSM announces the solicitation of proposals for 

eligible projects during the first quarter of each fiscal year that funding is available. In addition, 

OSM notifies the individuals responsible for SMCRA abandoned mine land and regulatory 

programs, and the State Geologist for each state where coal mining has occurred; 

 (2) OSM allows at least 60 days for interested parties to submit proposals; 

 (3) Members of the UGMM Steering Committee review and rank all of the 

proposals; 

 (4) The Directorates from which the highest ranked proposals originated 

conduct additional reviews as necessary to ensure each project meets all Federal assistance, legal 

and technical requirements, and provide the UGMM Steering Committee comments regarding 

the appropriateness of each proposed project and its budget within two weeks of receipt; 

 (5) UGMM Steering Committee provides OSM Senior Management a 

complete listing of the consensus ranking results along with any concerns generated by the 

financial and technical review; 

 (6) The OSM Senior Management makes a final decision on which proposals 

to fund considering funding availability, the consensus ranking by the UGMM Steering 

Committee and other factors; 

 (7) OSM notifies successful applicants; and 

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 (8) As soon as the required applications are received from the successful 

applicants and funding becomes available, OSM begins awarding funds. The successful 

recipient or grantee will submit financial reports and technical reports as outlined in the FAM 

and in the funding agreement. 

c. Technical Investigation Procedure. OSM offices may initiate technical 

investigations to resolve technical questions or issues related to the purposes of SMCRA. OSM 

offices may enter into partnerships, contracts, or cooperative agreements with state, tribal, 

Federal, university and other organizations to accomplish these purposes. Funding will come 

from sources other than the OSM Applied Science Program budget. 

7. Reporting Requirements. 

a. Report Distribution Within OSM. The project technical representative will 

provide summaries of the interim technical reports and both a summary and the complete final 

project report, along with any technology transfer products, to the Directorate Technology 

Transfer Team Representative who will distribute as appropriate to OSM, tribal, and state 

program managers. 

b. Report Distribution to SMCRA States and Tribes. For Applied Science Projects, 

the Directorate Technology Transfer Team Representative will provide paper and/or electronic 

copies of the final report and any supporting materials to all NTTT members, the region’s OSM, 

state and tribal technology team representatives and other potentially interested parties. Where 

document or file sizes are large, the Directorate may send notifications to the organizations 

named above announcing completion of such a project and providing information on how to 

acquire project results. 

c. Making Project Results Available to the Public. For Applied Science Projects and 

others as appropriate, OSM will further announce availability of project results by various means 

including the OSM website and through technology transfer events. The appropriate Directorate 

will ensure that the technology transfer website is updated to include project status reports, final 

technical reports and other project information that may contribute to meeting the purposes of 

SMCRA. The technology transfer website will contain instructions for the public to acquire 

copies of project results. 

8. Effect on Other Documents. None 

9. References. Section 201(c) (5) of SMCRA 

10. Effective Date. Upon Issuance 

11. Distribution. By electronic format 

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12. Appendices. None 

Contact: Mid-Continent Regional Director