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U S DEPARTMENT OF THE INTERIOR

OFFICE OF SURFACE MINING

RECLAMATION AND ENFORCEMENT

DIRECTIVES

SYSTEM

Subject Number: 

REG-8

Transmittal Number:

967

Date:

January 31, 2011

Subject: Oversight of State and Tribal Regulatory Programs

Approval: Joseph G. Pizarchik Title: Director

1. Purpose. This Directive and its appendices establish policies, procedures and 

responsibilities for conducting oversight of state and tribal regulatory programs. This Directive 

applies to all Office of Surface Mining Reclamation and Enforcement (OSM) organizational 

units and personnel involved in oversight of state and tribal regulatory programs starting with 

Evaluation Year 2011. 

2. Summary of Changes. Extensive changes have been made to update information, 

clarify policy and procedures, and improve the readability and format of the Directive. 

Significant substantive changes include: 

a. Underscoring the fundamental purpose of oversight; 

b. Specifically addressing corrective action of issues and problems identified during 

oversight; 

c. Specifying that the Oversight Steering Committee will be convened as needed by 

the Director/Deputy Director to exchange views and information to the implementation and 

results of oversight policies, standards and procedures and/or discuss national oversight review 

topics; 

d. Clarifying that state permitting procedures and state-issued permits could be 

reviewed as part of oversight; 

e. Clarifying inspection types and site selection and specifying independent 

inspections; 

f. Enhancing outreach for both planning oversight and reporting results, including 

use of the Internet for information availability, dissemination, and notifications; 

g. Adding a new hydrologic reclamation measurement to Reclamation Success to 

indicate how well streams are restored or replaced by mining and reclamation and specifying that 

contemporaneous reclamation and stream protection measures should be periodically evaluated 

as part of the Reclamation Success National Measurement Elements; 

h. Enhancing Performance Agreement/Evaluation Plan format and content 

guidelines and establishing a schedule for preparation; 
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i. Establishing the database system, Regulatory Program Data for States and Tribes 

(DST) as the official repository of ―REG-8 data‖ ; 

j. Establishing a schedule for preparation of Annual Evaluation Reports; 

k. Enhancing Annual Evaluation Report format and content guidelines; 

l. Extensively revising the format of some Annual Evaluation Report Core Data 

tables, and the instructions and definitions for the data elements to clarify the data elements and 

adding Historical Trend Charts and Tables for Data Elements; 

m. Clarifying that bond forfeiture sites that are not fully reclaimed are still 

inspectable units and offsite impacts from those units are counted in our GPRA measurements. 

n. Adding new data elements to some Annual Evaluation Report Core Data tables: 

(1) Number of permits in temporary cessation and number of permits in 

temporary cessation for more than 3 years, 

(2) Number of permits terminated during the Evaluation Year for failure to 

initiate operations, 

(3) Number of notices of temporary cessation received during the Evaluation 

Year and number of permits where temporary cessation was terminated (i.e., mining resumed or 

final reclamation began), 

(4) Number of permanent program permits released under Phase III bond 

release and Initial program sites with jurisdiction terminated, 

(5) Approximate number of complete and partial inspections required to be 

conducted during the Evaluation Year, and 

(6) Number of decisions terminating lands unsuitable designations and 

associated acreages; 

o. Reporting the number of permits allowing special categories of mining in a new 

data table in the Annual Evaluation Report; 

p. Reporting OSM Oversight Activity in a new data table in the Annual Evaluation 

Report; 

q. Adding historical trend charts to the tables. Charts are shown as examples and are 

not intended to require retroactive data gathering except for charts related to Table 13. Table 13 

represents readily available historic OSM information. 

r. Listing ―Regulatory Program Problems‖ that require corrective action in a new 

data table in the Annual Evaluation Report. 

3. Definitions. 

a. Oversight. The process of evaluating and assisting states and tribes in the 

administration, implementation, enforcement, and maintenance of their approved regulatory 

programs. 

b. State. As provided under 710 (j) SMCRA, for purposes of this Directive and the 

implementation and administration of a tribal program under Title V of the Surface Mining 
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Control and Reclamation Act of 1977 (SMCRA), any reference to a ―state‖ in SMCRA, 30 CFR 

Chapter VII, and this Directive shall also be considered to be a reference to a ―tribe‖.

c. State program. A state-administered program, approved by the Secretary under 

section 503 of SMCRA, to regulate coal exploration and surface coal mining and reclamation 

operations on non-Federal and non-Indian lands within a state. When a cooperative agreement 

governing mining on Federal lands has been approved under section 523 of SMCRA, that 

agreement is considered part of the state program. 

d. Tribal program. A tribe-administered program, approved by the Secretary under 

section 503 of SMCRA, to regulate coal exploration and surface coal mining and reclamation 

operations on reservation lands under the jurisdiction of the tribe. 

e. Annual Evaluation Report. The state or tribal program-specific report prepared 

annually by OSM on the evaluation of a state‘s or tribe‘s implementation, administration, 

maintenance, and enforcement of the state or tribal program. 

f. OSM Annual Report. The report prepared annually by OSM and submitted by the 

Secretary of the Interior to the President and the Congress on the activities conducted by the 

Secretary, OSM, and the states pursuant to SMCRA as required by SMCRA Section 706. 

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

prepared annually by OSM as part of the oversight of each state and tribe that contain the 

findings and details regarding the evaluation of specific elements of state or tribal programs. 

Summaries of the topic-specific oversight reports are contained in the Annual Evaluation Report 

for the state or tribe. Topics to be evaluated are specified in each Performance 

Agreement/Evaluation Plan for a state or tribe. Topic-specific oversight reports, at a minimum, 

must include the reports on the National Measurement Elements, specifically: 

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

and details regarding the evaluation of the Off-site Impacts National Measurement Element. 

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

contain the findings and details regarding the evaluation of each Reclamation Success National 

Measurement Element. 

(3) Customer Service Oversight Report(s). Individual report(s) that contain 

the findings and details regarding the evaluation of each Customer Service National 

Measurement Element. 

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

oversight activities in a state or on tribal lands during one or more Evaluation Years. 

Performance Agreement/Evaluation Plans are developed by OSM in collaboration with the state 

or tribe to the extent possible with consideration of input provided by the public. OSM and the 

state or tribe are encouraged to sign the Performance Agreement/Evaluation Plan as mutually 
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agreeing to the content. However, signatures and/or agreement are not mandatory for OSM to 

proceed to conduct oversight as specified in the Performance Agreement/Evaluation Plan. 

i. Regulatory Program Problem. An issue identified during OSM‘s oversight of a 

state or tribal regulatory program that could result in a failure by the state or tribe relating 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.‖

j. Action Plan. A plan for resolving a Regulatory Program Problem, which is 

identified, developed, and implemented in accordance with Directive REG-23, ―Corrective 

Actions for Regulatory Program Problems and Action Plans.‖ The term  ̳Action Plan‖ is defined 

and addressed in Directive REG-23. 

4. Policy. The fundamental purpose of oversight is to ensure that states and tribes are 

effectively administering, implementing, maintaining, and enforcing their approved regulatory 

programs. To achieve that purpose, OSM will evaluate the administration of each state and tribal 

program at least annually in accordance with 30 CFR 733.12(a). OSM 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). OSM will prepare an Annual Evaluation Report for each state and tribe in 

accordance with this Directive. In exercising its oversight responsibilities, OSM will work with 

the states and tribes to seek consensus on its oversight activities, while considering public input 

and clearly maintaining its independence and objectivity to carry out its duties under SMCRA 

and 30 CFR Chapter VII, Subchapter C and Part 842. 

5. Responsibilities.

a. Director/Deputy Director.

(1) Establish national priority review topics and standardized nationwide 

evaluation methodologies for specific topics when desired. 

(2) When appropriate, appoint an Oversight Steering Committee, consisting of 

OSM and state or tribal members, to exchange views and information to the implementation and 

results of OSM‘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 shall appoint one OSM member from each of the OSM Regions and 

the Program Support Directorate. In addition, the Director/Deputy Director, in consultation with 

national organizations representing state regulatory authorities, will appoint three state members 

to represent state regulatory authorities in each of the OSM regions and one state member at 

large. 

b. Assistant Director Program Support (ADPS).
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(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. 

(3) Consistent with national policy, procedures and standards, provide 

supplemental guidance to Regional Directors to address issues arising from implementation of 

the national guidance. This will not be construed 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 Assistant Director and other 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, to OSM's website. 

d. Field Office Directors or equivalent (FODs). 

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

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

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. 
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(4) FODs shall actively solicit, evaluate and respond to public participation. 

At a minimum, each Field Office shall provide an email address, phone number and physical 

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

shall be in a prominent location on the OSM website. The Field Office shall acknowledge 

receipt and appreciation for public input in a timely manner. Additionally, information and data 

posted on the OSM website shall include contact information to be utilized by the public. Each 

Field Office is encouraged to maintain a list of ―frequently asked questions,‖ (FAQ), area on the 

OSM website that would contain brief answers for questions often asked of the Field Office. 

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

state or tribal regulatory authority, to the extent possible. 

(6) Assist states and tribes with resolving identified problems by providing 

technical or other assistance as necessary and available and encourage states and tribes to 

proactively seek OSM assistance in preventing problems and issues. 

(7) Prepare an Annual Evaluation Report for each state and tribe within his or 

her geographic area of responsibility. 

(8) Provide electronic copies of the Evaluation File, including proposed and 

final Performance Agreement/Evaluation Plans and final Annual Evaluation Reports and 

supporting documents, for posting on OSM‘s website for public access. 

e. Oversight Steering Committee (OSC). As directed by the Director/Deputy 

Director, exchange views and information, in consultation with states and tribes, RDs, FODs and 

other users or customers of the oversight process, relating to the implementation and results of 

OSM‘s oversight policies, standards and procedures and/or discuss potential national oversight 

review topics to ensure that the objectives of SMCRA are achieved. 

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

information from Annual Evaluation Reports in the OSM Annual Report as appropriate. 

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

with OSM‘s applicable regulations, this Directive and its appendices and all other relevant 

directives and supplemental guidance. 

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

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

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

Annual Evaluation Reports into the OSM Annual Report. 

8. Effect on Other Documents. Supersedes Directive REG-8, ―Oversight of State 

Regulatory Programs,‖ dated December 21, 2006, Transmittal number 921, ―Change Notice‖ 

REG-8-1, dated July 1, 2008, Transmittal Number 932, and ―Change Notice‖ REG-8-2, dated 

October 6, 2008, Transmittal Number 943. 
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9. References. 

a. Directive AML-22, ―Evaluation of State and Tribal Abandoned Mine Land 

Programs." 

b. Directive INF-1, ―OSM Records Management.‖

c. Directive INF-2, ―Administrative Records Systems.‖

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

f. Directive REG-23, ―Corrective Actions for Regulatory Program Problems and 

Action Plans.‖

10. Effective Date. Upon issuance. 

11. Distribution. Electronically. 

12. Appendices.

a. Appendix 1 – "Procedures and Guidelines for Oversight and Reporting.‖

 b. Appendix 2 – "Annual Evaluation Report Preparation Guidance."

Contact: Chief, Division of Regulatory Support; 202-208-2866. 
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APPENDIX 1 

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-4 

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

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

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

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

1. Determining the number of oversight inspections for each state or tribe ................. A-6 

2. Establishing the ratio of complete to partial inspections .......................................... A-7 

3. Selecting random and focused inspections ............................................................... A-7 

4. Conducting and selecting independent inspections .................................................. A-7 

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 by the State Program................................................... A-10 

d. Impacts on Bond Forfeiture Sites ..................................................................... A-11 

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

f. Resources 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. Hydrologic Reclamation ................................................................................... A-16 

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

3. Customer Service .................................................................................................... A-18 

E. Performance Agreements/Evaluation Plans .................................................................. A-19 

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 Evaluation Reports ............................................................................... A-21 

J. Evaluation Files ............................................................................................................ A-22 
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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 established the Office of Surface Mining Reclamation and Enforcement (OSM) 

to administer and implement SMCRA. Among its responsibilities, OSM is charged with 

reviewing and approving state and tribal programs for regulating surface coal mining and 

reclamation operations and making those investigations and inspections necessary to insure 

compliance with SMCRA as well as promoting the achievement of program goals and 

objectives, ensuring adherence to Federal and state statutory and regulatory requirements and 

maintaining minimum nationwide mining and reclamation standards. 

SMCRA encourages states and tribes to assume the primary responsibility for regulating coal 

mining and reclamation activities (primacy). Once states and tribes are granted primacy, the role 

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

states and tribes that have been granted primacy must protect society and the environment from 

the adverse affects of coal mining, assuring that mining is not conducted where reclamation is 

not feasible and assure that lands are reclaimed in a contemporaneous manner. OSM'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, and 

 pursue corrective actions provided by SMCRA, Federal rules, and OSM policy if states 

or tribes are not meeting program requirements. 

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

evaluating states‘ and tribes‘ administration of their regulatory programs. In addition, it clarifies 

the respective roles and responsibilities of OSM offices and establishes the procedures for OSM's 

annual evaluations and format and content of the Annual Evaluation Reports on the status of 

program administration by the states and tribes. 
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II. PROCEDURES 

A. General Approach

OSM'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 must incorporate the three required National 

Measurement Elements: off-site impacts, reclamation success and customer service. The 

required review of these three National Measurement Elements will be supplemented with 

other oversight activities that OSM may conduct in a state or on tribal lands, including 

inspections, national priority topic reviews, and other topic-specific oversight reviews that 

may be developed in the Performance Agreement/Evaluation Plan. The Performance 

Agreement/Evaluation Plan will identify these activities. 

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 customer service (e.g., public participation and 

availability of documents to the public), actual or potential on-the-ground or permitting 

problems (e.g., cumulative hydrologic impacts), and end results (e.g., timely reclamation). 

Two primary objectives of OSM'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. OSM, 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. 

OSM‘s oversight role will not duplicate the state‘s or tribe‘s program implementation 

responsibilities. Oversight will not be process-driven. Instead, OSM‘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 OSM is committed to working with states and tribes and other interested parties to 

seek consensus on oversight methods and evaluations, OSM will maintain its independence 

and objectivity in implementing its oversight responsibilities under SMCRA. OSM will take 

appropriate actions to resolve issues or Regulatory Program Problems identified in oversight 

in accordance with Directive REG-23, ―Corrective Actions for Regulatory Program Problems 

and Action Plans.‖
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B. Outreach

FODs are to interact on a routine, periodic basis with the U.S. Army Corps of Engineers, the 

U.S. Environmental Protection Agency, the U.S. Fish and Wildlife Service, and other 

Federal, state, and tribal agencies, state and local coal associations, citizens, 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 OSM 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. 

Outreach efforts may be described in Performance Agreement/Evaluation Plans.

1. Public Participation and Outreach

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

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

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

shall be in a highly visible location on the OSM website. The Field Office shall 

acknowledge receipt and appreciation for public input in a timely manner. Additionally, 

information and data posted on the OSM website shall include contact information to be 

utilized by the public. Each Field Office is encouraged to maintain a ―frequently asked 

questions,‖ or FAQ, on the OSM website. The FAQ should contain brief answers for 

questions often asked of the Field Office. 

2. Information Accessibility

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

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

possible consideration shall be given to placing frequently requested information, 

documentation and data on the appropriate OSM website. At a minimum, Field Offices 

shall provide the Evaluation Files for posting on the OSM website (see section II.J., 

Evaluation Files, below). Proactively providing information via outlets such as the 

Internet serves to not only keep OSM transparent but also reduces the resources expended 

responding to requests for documents under FOIA concerning routine information. 

All information placed on the Internet shall be reviewed to ensure that it is 

understandable by a layman, free of technical jargon, and complies with all Privacy Act 

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

require precise terminology, the terminology must be fully defined and explained so that 

the public understands its meaning. Documents involving state or tribal input will be 

provided to the state or tribe for review prior to posting on the OSM website. All 

appropriate documents (specifically excluding the proposed Performance 
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Agreement/Evaluation Plan) will be posted within 14 days after the document is 

finalized. Internal working documents will not be posted. 

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

Each Field Office will conduct an outreach program within each state or on tribal 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. These comments will be considered in determining 

where OSM will focus its oversight resources and what aspects of the state or tribal 

program will be reviewed. The following elements must be included in the Field Office 

outreach effort consistent with the ―Schedule for Outreach on the Performance 

Agreement/Evaluation Plan‖ in section II.E., Performance Agreements/Evaluation Plans, 

below.

 Announcement of the opportunity to provide comments, views or suggestions 

prior to the development of the Performance Agreement/Evaluation Plan; 

 Announcement of the opportunity to provide comments on the proposed 

Performance Agreement/Evaluation Plan after its development; 

 Field Office acknowledgement of receipt and appreciation for public input 

received; 

 Posting proposed and final Performance Agreement/Evaluation Plan on OSM‘s 

website.

Announcements will be made using OSM‘s 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. Selection of other outreach 

methods, such as letters and newspaper announcements, should be based on the 

experiences of the Field Office in communicating effectively with the public and 

interested parties for the particular states or tribes. To ensure that OSM is reaching all 

public stakeholders, in areas where the public may not have access to the Internet, OSM 

will notify the public using other methods. 

Announcements must include a description of how interested parties may discuss specific 

ideas and concerns with the Field Office. 

C. Oversight Inspections

Inspections and site visits are an integral part of OSM‘s oversight activities. The 

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

accomplished through OSM inspections and site visits, so that both the state or tribe and 

OSM staff understand the purposes of the inspections and site visits. Inspections and site 

visits should be planned and designed to meet the overall objectives of the Field Office's 

oversight plan. Identifying the objectives of OSM oversight inspections and an inspection 
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plan in the Performance Agreement/Evaluation Plan does not alter any of OSM‘s 

enforcement responsibilities under SMCRA or the Federal regulations. 

While the Performance Agreement/Evaluation Plan must be developed in cooperation with 

the state or tribal regulatory authority to the extent possible, the following guidelines 

regarding the types and numbers of inspections to be performed during the Evaluation Year 

must be followed in developing the inspection plan in the Performance 

Agreement/Evaluation Plan. OSM is responsible for selection of inspection sites and 

establishing the timing prior to inviting participation by states and tribes in the oversight 

inspections. The Performance Agreement/Evaluation Plans should not identify specific sites 

to be inspected. As appropriate, the Performance Agreement/Evaluation Plan should make 

use of the various types of oversight inspections available which include complete 

inspections, partial inspections, random inspections, focused inspections, independent 

inspections, bond release inspections, bond forfeiture site inspections, and special study 

inspections. 

1. Determining the number of oversight inspections for each state or tribe

The numbers of Inspectable Units (IUs) vary greatly in each state and on tribal lands, 

from as few as one IU to more than 1,800 IUs. Therefore, a three-tier method will be 

used to determine the minimum number of annual oversight inspections. For states and 

tribes that have less than five IUs, at least one IU will be inspected annually. For states 

and tribes with five to 1,000 IUs, a minimum of 25 percent of the IUs will be inspected

annually. For states with more than 1,000 IUs, OSM will use a sampling formula 

designed 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 to be used 

to determine the minimum number of inspectable units inspected in States with more than 

1,000 IUs is: n = , where ―n‖ is the sample size and ―N‖ is the total 

number of IUs. 

Because the purpose of an oversight inspection is to evaluate the effectiveness of a state 

or tribal program, inspections that do not specifically address this purpose, such as 

inspections conducted in response to a request for inspection (i.e., a citizen complaint) 

and Federal enforcement inspections, will not be counted in meeting the targeted number 

of inspections in the Performance Agreement/Evaluation Plan. These inspections are 

additional to the targeted number of oversight inspections and will be tracked separately. 

Oversight bond release inspections can be counted in achieving the targeted number of 

IUs to be inspected; however, they cannot represent more than 25% of the targeted 

number of IUs to be inspected. For example, if a Field office conducted oversight bond 

release inspections on 12 IUs and the targeted number of IUs to be inspected in the state 

is 28 IUs, then only seven of the IUs where bond release inspections were conducted 

would be counted toward achieving the targeted number. 
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The number of oversight inspections will be identified and described in the Performance 

Agreement/Evaluation Plan, and any deviations from the above guidelines will also be 

identified and explained. The RDs or FODs can increase the number of oversight 

inspections at any time if needed to address issues or conditions in a state or on tribal 

lands.

2. Establishing the ratio of complete to partial inspections

Complete inspections are one of the most comprehensive tools that OSM 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, complete oversight inspections will be conducted on 33 percent of the 

IUs selected for oversight inspections in each state or on tribal lands. The maximum 

number of complete oversight inspections will be determined by the FOD and be 

delineated in the Performance Agreement/Evaluation Plan. The IUs where complete 

oversight inspections will be conducted will be determined by the FOD, but will not be 

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

increase the number of complete inspections at any time if needed to address issues or 

conditions in a state or on tribal lands. 

3. Selecting random and focused inspections

Focused inspections have historically been a better use of OSM‘s limited inspection 

resources. OSM 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 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 with 

1,000 or more IUs, the Performance Agreement/Evaluation Plan should indentify a 

combination of focused and random oversight inspections. The final decision on the 

types of inspections to be used for evaluation of any state or tribal program will be at the 

discretion of the FOD. 

4. Conducting and selecting independent inspections

The vast majority of oversight inspections will be joint inspections, in which the state or 

tribe accompanies OSM on the inspection. However, OSM will also conduct 

independent, unannounced oversight inspections, which will validate and enhance the 

credibility of both state and tribal regulatory programs and OSM‘s oversight.
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Generally, independent inspections will be conducted on 10 percent of the IUs selected 

for oversight inspections. However, the number of independent inspections may be 

greater or less than the 10% guideline, if the FOD determines it is appropriate. The total 

number of independent inspections will be identified in the Performance 

Agreement/Evaluation Plan, and any deviations from the 10% guideline will be 

explained. The FOD may adjust this number to address issues or concerns as necessary. 

Independent inspections may be partial or complete and focused or random inspections. 

For IUs to be inspected independently by OSM, OSM will select which site to inspect 

and will schedule when the inspection will take place. The state or tribe normally will be 

given the opportunity to accompany OSM on the independent inspections with short 

notice (generally less than 24 hours). If the state or tribe cannot accompany OSM on the 

inspection, OSM will conduct the oversight inspection without rescheduling. In addition, 

the Field Office may conduct independent inspections without providing the state or tribe 

the opportunity to be present during the inspection if it determines such inspections are 

necessary. Where the state does not accompany OSM on its inspection, OSM will notify 

the State 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 OSM will report nationally in the OSM 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; the number of acres that meet the 

bond release requirements and have been released by the state or tribe for the various phases 

of reclamation; and the effectiveness of customer service provided by the state or tribe. 

Topic-specific Oversight Report(s) will be prepared for each National Measurement Element 

to provide specific information on how the measurements were carried out and reported. 

1. Off-Site Impacts

OSM 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 oversight objective is that states, tribes, and OSM direct efforts 

to continually reduce the occurrence of off-site impacts. 

a. Purpose and Goal

Minimizing the occurrence of off-site impacts is a main premise of SMCRA to 

protect the public, property, and environment from the adverse impacts of mining 

outside of areas authorized for mining and reclamation activities. At a minimum, 

SMCRA and parallel state and tribal program provisions require that impacts to areas 

outside the area authorized for mining and reclamation activities be minimized. The 

oversight strategy described here will measure the success in meeting this goal at 
A-9

each inspectable unit. This measurement is intended to: identify and report, for each 

inspectable unit, the number and degree of off-site impacts; determine causes of the 

impacts; and identify where improvements may be made to lessen the number and 

degree of impacts. If evaluation of data related to off-site impacts indicates programor implementation-related problems, OSM and the state or tribe will implement 

changes, where possible, to minimize recurring impacts. Therefore, the objective of 

this measurement is that the state or tribe and OSM direct efforts to minimize the 

occurrence of off-site impacts. 

b. Definition of Off-Site Impact

For purposes of this Directive, an off-site impact is defined as 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 program. The 

applicable state program must 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 must be substantiated as being related to a mining and reclamation activity 

and must be outside the area authorized by the permit for conducting mining and 

reclamation activities. Off-site impacts may be identified within the permit boundary, 

if the impact is outside the area authorized by the permit for mining and reclamation 

activities.

For example, a blasting operation that exceeds the state program‘s limits for vibration 

or air blast at a structure outside the permit area would be reported as an off-site 

impact when impacts to a resource (people, land, water, structure) are substantiated. 

However, a violation may exist that does not result in an off-site impact if damage to 

the resource cannot be substantiated.

The approved permit identifies the areas to be affected by surface coal mining and 

reclamation operations on maps and in the plans. Permitted lands may include those 

where the permit does not anticipate the land to be affected, as when a permit 

boundary is identified along lease or ownership lines rather than a line identifying the 

extent of surface coal mining and reclamation operations. Off-site impacts may occur 

either intentionally or inadvertently on those resources that are not authorized to be 

affected, but are located inside the permitted area. An example is when a buffer zone 

within a permit area is disturbed in violation of the state program or a stream or 

wetland is disturbed without being authorized under section 401, 402, or 404 of the 

Clean Water Act. In this case, an off-site impact would be recorded. Other examples 

include mining equipment operating outside the area authorized for disturbance, 

flyrock damaging a residence or other structure inside the permitted area, or an 

inadvertent release of sediment from a siltation structure or coal mine waste 

impoundment that is deposited off the area authorized to be affected. A final example 

involves state or tribal programs that allow permitted land to be incrementally bonded 

(i.e., a bond is posted for the initial mining of a permit area and subsequent 

increments of the permit area are bonded later as mining progresses, but prior to 
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disturbance). If a mining operation causes a disturbance in the non-bonded portion of 

an incrementally bonded permit area, an off-site impact would be recorded. 

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

violations of the regulatory program and should be cited 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 off-site impact. However, a 

violation may not have been cited because the violation may have been corrected 

prior to the inspection. This example should be identified as an off-site impact even 

though no violation was cited. Other examples may exist when off-site impacts 

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

was not cited. 

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

subsidence occurs within the area authorized for mining. Impacts related to 

subsidence may be addressed through other oversight processes. Unplanned impacts 

from underground mining activities should be counted. 

c. Impacts Not Prohibited by the State Program

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

controlled by SMCRA or state and tribal programs (e.g., air quality, 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 causes 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 impacted by noise or 

vibrations. 

Although the main purpose of OSM oversight is to evaluate a state‘s or tribe‘s 

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

state and OSM to agree to collect information on unregulated off-site impacts in 

addition to those regulated or controlled by the state program. Such information may 

be used to identify provisions of state and Federal standards where improvements 

may be made that would further minimize off-site impacts. Although information on 

these types of impacts is not required by this Directive and should not be reported in 

Table 5, Off-site Impacts, OSM is encouraged to work with states to develop 

acceptable methods for considering this type of information. In cases when such 

information is collected, the results should be reported in a topic-specific report on 

off-site impacts and summarized in the annual report. 
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d. Impacts on Bond Forfeiture Sites

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

are expended) must remain on the inspectable units inventory in accordance with 

INE-29 and be reviewed for offsite impacts. Off-site impacts identified on bond 

forfeiture sites are reported separately in Table 5, Off-site Impacts, and then added to 

the total off-site impacts for all inspectable units. The report narrative shall also 

distinguish between impacts from forfeited sites and bonded sites. Such impacts may 

be identified either through special oversight studies or through routine measurement 

of off-site impacts. Table 5 shall include all off-site impacts identified on bond 

forfeiture sites during the Evaluation Year. Off-site impacts that were identified and 

reported in prior years shall be discussed in a report narrative so that new impacts can 

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

The magnitude of off-site impacts, especially those that continue from year to year, 

shall be properly characterized. Annual Evaluation Reports shall report off-site 

impacts identified on bond forfeiture sites. 

e. Positive Impacts

Documented positive impacts (e.g., improvement in water quality due to reclamation 

of bond forfeiture sites) should be considered and reported in section V.A. Off-site 

Impacts, of the Annual Evaluation Report; however, positive impacts should not be 

reported 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 and ground water 

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 offsite 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

 Small amount of disturbance outside of permit or authorized area 

 Small amount of sediment, flyrock, erosion outside permit or authorized area 
A-12

 Low volume or short duration water discharge that marginally exceeds 

effluent limits and has a marginally negative impact on receiving stream water 

quality 

 Impact does not interfere with land use 

 Impact does not jeopardize public safety 

 Impact does not cause damage to uncontrolled structures or restricted areas 

Moderate

 Anything more than minor but less than major impact 

Major

 Large amount of disturbance outside of permit or authorized area 

 Large amount of sediment, flyrock, or erosion outside permit or authorized 

area 

 High volume or long duration water discharge of poor quality enters a high 

quality stream 

 Impact interferes with land use 

 Impact jeopardizes public safety or causes personal injury 

 Impact causes damage to uncontrolled structures or restricted areas 

 Any impact caused by mining without a permit 

 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 inspection process. Existing state 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 

OSM to determine whether off-site impacts occurred. State enforcement actions, 

citizen complaint files, civil penalty assessment data, and other information made 

available to OSM may also be considered. 

Performance Agreements/Evaluation Plans should identify how states or tribes will 

collect and provide information to OSM on all off-site impacts that are identified in 

the state inspection process. OSM offices shall include some level of independent or 

joint evaluation with the states and not rely solely on information provided by the 

states. Such evaluation can consider federal inspections, OSM Ten-Day notices, 

citizen complaints (alleged impacts must be substantiated), topical studies and 

information from other state and Federal environmental regulatory agencies. A 

variety of sources must be considered to provide a credible evaluation of the off-site 

impacts in each state. The sources of information and the basis used to identify and 

report the number of off-site impacts must be explained in the narrative description of 

the topic-specific report on offsite impacts. 
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h. Reporting

An Off-site Impact Oversight Report will be prepared 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 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. 

Off-site impacts data are reported 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, Table 5, Off-site Impacts, will be used to report off-site impacts that are 

identified 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. All such impacts, when evaluated, should be 

described in the narrative description of the off-site impact evaluation. Information 

reported in Table 5 will not stand alone and must always be fully explained by a 

supporting narrative. 

2. Reclamation Success

OSM will evaluate and report on the effectiveness of state programs in ensuring 

successful reclamation on lands affected by surface coal mining operations. Success will 

be determined based on the number of acres that meet the bond release standards and 

have been released by the state. In addition to the nationwide information reported, Field 
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Offices and states may conduct specific evaluations and report on individual performance 

standards. 

Bond release information will be collected to measure program performance in the 

following areas: 

 Land form/approximate original contour 

 Land capability 

 Hydrologic reclamation 

 Contemporaneous reclamation 

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

reclamation success. However, states and tribes and OSM will work together to attain 

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

performance. 

After the state or tribe and OSM have agreed, to the extent possible, on interpretations, 

what to report and how to report it, OSM 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 OSM oversight inspections, OSM participation in state and 

tribal bond release inspections (all or sample), special studies or other methods mutually 

agreed upon by the state or tribe and OSM, which 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. 

An oversight evaluation report will be prepared 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. Information from the findings report will be 

summarized in the Annual Evaluation Report for the state or tribe. 

In evaluating the effectiveness of state programs in ensuring reclamation success, there 

are various reviews OSM 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 each phase of bond release reflects 

that reclamation required under each phase is being successfully accomplished and within 

a timely manner as required by the State program. Following is the guidance for each of 

the areas: 
A-15

a. Land Form/Approximate Original Contour (AOC)

MEASUREMENT: AOC achievement will be measured by 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 OSM and the state or tribe concur on 

an accepted interpretation of AOC for purposes of this Directive. When the AOC 

interpretation is established for a state or tribe, the state or tribe and OSM will 

document it in a mutually acceptable manner. Acreage disturbed by mining activities 

that is released from Phase I bond liability will be documented as having achieved 

AOC. 

b. Land Capability

There are several measurements that may be conducted to demonstrate the 

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

timing of each measurement are discussed below. 

MEASUREMENT: Proper replacement of soil resources will be measured by 

acres of Phase II bond release. 

Land capability may be demonstrated by 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: Vegetation stability will be measured by acres of Phase II 

bond release. 

Land capability may be demonstrated by 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: Achievement of post-mining land uses will be measured by 

acres of Phase III bond release. 

Land capability may be demonstrated by the acres for which approved post mining 

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

post-mining 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 
A-16

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: Successful revegetation will be measured by acres of Phase 

III bond release. 

Land capability may be demonstrated by 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

There are several measurements that may be conducted to demonstrate the 

reestablishment of the hydrologic balance and successful hydrologic reclamation on 

mined areas. Listed below are some suggested measurements and their timing. Mine 

subsidence and impacts to water supplies should be periodically evaluated 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: Achievement of surface water impoundment quality and 

quantity restoration can be measured by acres of Phase III bond release. 

Surface water quality and quantity restoration may be measured 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: Achievement of groundwater recharge capacity and ground 

water quantity and quality restoration can be measured by acres of Phase III 

bond release. 

Groundwater recharge, quality and quantity will be measured in terms of acreage 

released from Phase III bond liability. The state or tribe, in the Phase III bond release 

documents, determines whether ground water recharge and restoration 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: Achievement of surface water quality and quantity 

restoration can be measured by acres of Phase III bond release. 
A-17

Surface water quality and quantity restoration may be measured through a 

comparison of the pre-mining water quality and quantity to the post mining 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 onthe-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 the state or on tribal lands. 

MEASUREMENT: Timeliness of reclamation may be measured 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. 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. 
A-18

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 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 OSM, as part of the Performance Agreement/Evaluation Plan, 

will plan and implement the collection of data to provide some measurement of this 

program area. Information provided to complete Table 6, Surface Coal Mining and 

Reclamation Activity, in the Annual Evaluation Reports summarizes mining and 

reclamation activity and should be considered a source for this measurement. 

3. Customer Service

To evaluate effectiveness of customer service provided by the state or tribe, OSM will 

monitor states‘ and tribes‘ responses to complaints, requests for inspections, and requests 

for assistance and services by permittees as well as the public or other agencies. Each 

Evaluation Year the Field Offices will review a sample of one or more of the state or 

tribal activities listed below to determine timeliness, accuracy, completeness and 

appropriateness of the state or tribal action. In addition, the review may address the state's 

or tribe‘s analysis of customer satisfaction. State or tribal customer service activities 

include: 

 Citizen complaint process (i.e., processing requests for inspections made directly 

to the regulatory authority or referred by OSM); 

 Program provisions and implementation regarding public participation and 

coordination with other governmental agencies in the permitting and bond release 

processes; 

 Permitting process including written findings and documentation supporting the 

findings; 

 Availability of documents (e.g., permit applications, decisions of the regulatory 

authority, evaluation reports); 

 Bond release process and associated documents (e.g., notices and decisions); 

 Interagency coordination (e.g., coordination with agencies administering the 

Clean Water Act); 

 Responsiveness to permit applicants (e.g., timely processing of applications); 

 Lands unsuitable petitions; 

 Administrative and judicial review; and 

 Applicant/Violator System maintenance and determinations. 

A customer service oversight report will be prepared for each customer service review 

conducted. Reports will include detailed information on the collection and analysis of 
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data, as well as a description of the steps taken to verify the data, and draw a conclusion 

on the effectiveness of the state or tribal program in providing customer service. 

Information from the findings report will be summarized in the Annual Evaluation 

Report. 

E. Performance Agreements/Evaluation Plans

OSM‘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. OSM and the states and tribes are 

encouraged to develop Performance Agreement/Evaluation Plans covering more than one 

Evaluation Year since the process is continuous and not necessarily limited to one year. 

Detailed plans for national priority reviews and/or topic-specific evaluations to be conducted 

in specific Evaluation Years can be appended to multi-year Performance 

Agreement/Evaluation Plans. 

The format of each Performance Agreement/Evaluation Plan will be 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 must include the following: 

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

stakeholders a clear understanding of what OSM 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, 

o Reclamation Success, and 

o Customer Service; 

 Other oversight activities that OSM may conduct in a state or on tribal 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 OSM expects to accomplish, so that both the state or tribe 

and OSM staff understand the purpose of the inspections; 

o Identification of the: 

 Number and type (joint, partial, complete, independent etc.) of OSM 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 must be appended 

to the Performance Agreement/Evaluation Plan; 

 Statement as to how OSM and the state or tribe plan to address public 

comments/input and how outreach should be conducted during the year; 

 Technical or programmatic assistance to be provided by OSM to the state or tribe, 

and expected outcomes of the assistance; 
A-20

 Core program data that the state or tribe will provide to OSM and the mutually-agreed 

format for this data; 

 Planned internal reviews of the state or tribal program that the state or tribe provides 

to OSM; and 

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

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 evaluation 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 evaluation 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 Plans

July 14 Post final Performance Agreement/Evaluation Plans 

on OSM‘s website

F. Data Collection

To the extent practical, OSM and the state or tribe, as a part of a Performance 

Agreement/Evaluation Plan, will establish a joint OSM-State/Tribe database to contain and 

analyze the applicable core data to characterize the program, and develop procedures for 

maintenance, updating, and verification of the data by the state or tribe in a timely manner. 

Such a database would maximize consistency, minimize duplicative efforts, and reduce 

document review effort. For states and tribes in which databases are not developed or during 

the time that databases are being developed, OSM and the state or tribe should develop an 
A-21

understanding identifying the data that will be shared and how such data sharing will be 

accomplished. 

OSM‘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 

OSM‘s Annual Report (―REG-8 data‖). Likewise, summary data for Federal programs and 

the Indian Lands program that are reported in OSM‘s Annual Report derive from the DST.

FODs are responsible for ensuring the data in the DST for their states and tribes are timely 

entered in the DST and are accurate and complete. Field Office staff may work 

cooperatively with states and tribes to obtain REG-8 data but OSM should take reasonable 

steps to verify the accuracy of the data. Field Office staff who collect and enter data into the 

DST, FODs, and RDs must 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 performance standards; 

 Responsible officials certify that procedures were followed each reporting period; and 

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

period.

G. Innovative State or Tribal Actions and Accomplishments

Emphasis will be placed on recognition of innovative state approaches to managerial 

efficiency, problem resolution, environmental protection, and extraordinary achievements in 

program implementation. 

H. Regulatory Program Problems and Issues

Regulatory Program Problems are reported in Section VII of the Annual Evaluation Report. 

Table 14, Status of Action Plans, in Appendix 1 documents the status of Action Plans 

developed for resolution of Regulatory Program Problems. Directive REG-23, ―Corrective 

Actions for Regulatory Program Problems and Action Plans,‖ provides guidance for actions 

that may be taken to correct Regulatory Program Problems and other issues, including the 

Action Plan process. Resolution of problems or issues, including incremental improvements 

toward such resolution, should also be reported. 

I. Topic-Specific Evaluation Reports
A-22

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 following information 

should be addressed in the report: 

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

 The scope and method of review; 

 The dates of the oversight activity and the period for which state 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 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 technical or administrative assistance by OSM is appropriate. 

Records of the evaluation will identify all OSM and state or tribal personnel involved in the 

review. If OSM 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. 

A draft report will be sent to the state or tribe with a request for comments and, if 

appropriate, will include a schedule of actions to be taken to address any issues or resolve 

any problems. A final report, developed after consideration of state or tribal comments, will 

be provided to the state or tribe. 

Final reports will be included 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 in accordance with Directive INF-l (―evaluation file‖).

The evaluation file will be maintained independent of any administrative record (see 

Directive INF-2). It will be kept current and 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 multi-year 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 must 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 OSM and the state or tribe; 
A-23

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

facility and its activity status; 

 All final topic-specific oversight evaluation reports prepared for the Evaluation Year 

(i.e., Oversight Reports on Off-site Impacts, Reclamation Success, Customer Service, 

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; 

 OSM-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 OSM , including the number received, 

status, and the disposition; 

 A list of inspectable units, updated quarterly; and 

 An end-of-Evaluation-Year summary of OSM 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); or 

 Briefing papers for OSM management; or 

 Draft reports. 

The evaluation file will be available on OSM‘s website. The evaluation files will be 

physically available for public review during normal business hours in the same manner as 

administrative record files (see Directive INF-2). Single copies of the final Annual 

Evaluation Report and final Topic-specific Oversight Reports will be provided 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 procedures) if the FOD 

determines that the request imposes a significant burden on Field Office resources. 
B-1 

APPENDIX 2 

ANNUAL EVALUATION REPORT PREPARATION GUIDANCE 

CONTENTS

I. REPORTING REQUIREMENTS 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 the 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. Off-Site Impacts ................................................................................................B-9 

B. Reclamation Success .........................................................................................B-9 

C. Customer Service ............................................................................................B-10 

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

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

VIII. OSM 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 

F. Instructions for Completion of Specific Tables for Appendix 1 ....................................B-13 

All Tables ......................................................................................................................B-13 

Table 1: Coal Produced for Sale, Transfer, or Use ....................................................B-14 

Table 2: Permanent Program Permits, Initial Program Sites, Inspectable Units, 

and Exploration ............................................................................................B-14 

Table 3: Permits Allowing Special Categories of Mining .........................................B-17 

Table 4: Permitting Activity.......................................................................................B-18 

Table 5: Off-Site Impacts ...........................................................................................B-19 

Table 6: Surface Coal Mining and Reclamation Activity ..........................................B-21 

Table 7: Bond Forfeiture Activity ..............................................................................B-25 

Table 8: Regulatory and AML Programs Staffing .....................................................B-27 

Table 9: Funds Granted to State or Tribe by OSM ....................................................B-28 

Table 10: State or Tribal Inspection Activity ...............................................................B-28 

Table 11: State or Tribal Enforcement Activity ...........................................................B-31 

Table 12: Lands Unsuitable Activity ...........................................................................B-31 

Table 13: OSM Oversight Activity ..............................................................................B-32 

Table 14 Status of Action Plans ..................................................................................B-33 

Table 15: Land Use Acreage ........................................................................................B-34 
B-2 

I. REPORTING REQUIREMENTS FOR ANNUAL REPORTS 

The FOD will prepare an Annual Evaluation Report for each state 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 Fiscal 

Year, so that information can be used for Congressional hearings and to provide information 

to OC for inclusion in OSM'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 5 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 state 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 OSM‘s

website for public viewing, and notify interested parties, including the Director, 

Regional Director, Office of Communications, and other OSM units of the 

availability of the reports on OSM‘s website (early-September). 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 of the report posting on the OSM 

website and/or provide electronic or paper copies of the report to states or tribes 

and other parties who have requested a copy. 

II. INSTRUCTIONS AND TEMPLATES 

The Annual Evaluation Reports will be prepared in accordance with the instructions and 

templates provided on the following pages. Care must be taken to ensure dates in the text of 

the report and the tables reflect the proper Evaluation Year. Acronyms should be utilized 

minimally throughout the report. Photographs, tables and graphs should be utilized in the 

report to illustrate and supplement the report‘s content and findings.

The Annual Evaluation Report required under this Directive for regulatory programs may be 

combined with the Annual Evaluation Report on a state‘s or tribe‘s abandoned mine land
B-3 

(AML) program prepared in accordance with Directive AML-22, ―Evaluation of State and 

Tribal 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 utilized 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 OSM (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 next page. 
B-4 

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(s)] 

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 this report. This section should read as 

a ―story‖ and all technical jargon should be omitted. Acronyms should be kept to a 

minimum, only utilizing acronyms for OSM or the state agency(s). The following 

information can be used in this section: 

 Indicate the Evaluation Year being reviewed and list state agency(s) being evaluated. 

 Describe outreach efforts and other opportunities for public input such as review of 

draft evaluations 

 Top stories from the Evaluation Year: describe accomplishments and/or 

advancements made by OSM or the state. 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, Reclamation Success, and Customer Service, 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 OSM grants and significant technical assistance provided by OSM 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 

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 Tribal Lands‖]

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 

C. Customer Service 

VI. National Priority and General Oversight Topic Reviews 

VII. Regulatory Program Problems and Issues 

VIII. OSM Assistance 

Appendix 1 Summary of Core Data to Characterize the Program 

Appendix 2 [―State‘s‖ or ―Tribe‘s‖] Comments on the Report
B-7 

E. Report Sections

I. Introduction

Instructions: Insert the following text into this section of the report, substituting stateor 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 (OSM) in the Department of 

the Interior. SMCRA provides authority to OSM to oversee the implementation of 

and provide Federal funding for the state and tribal regulatory programs that have 

been approved by the Secretary of the Interior as meeting the minimum standards 

specified by SMCRA. This report contains summary information regarding the [state 

or tribal] program and the effectiveness of the [state or tribal] program in meeting the 

applicable purposes of SMCRA as specified in section 102. 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 OSM [Office Name, Address, Phone Number 

and name and email address of contact person]. 

(This introduction may be adjusted to report AML activities at the FOD‘s discretion.) 

The following acronyms are used in this report: 

OSM 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 Tribal Lands

Instructions: To provide a context or characterization for the reader to understand the 

significance of coal mining within the state, prepare a short narrative setting forth 

general information on coal mining in the state or on tribal 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 tribal lands –

historic and present; 

 Regions, counties, or other political sub-divisions of the state or tribal 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 tribal 

lands that provides a sense of conditions in the state or on tribal lands; and 

 Any significant changes in the above information that have occurred during 

the Evaluation Year. 
B-8 

III. Overview of the 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 OSM 

and the state, prepare a brief narrative setting forth general information on public 

participation in OSM'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, or local agencies, and environmental groups). The following are potential 

topics: 

 Identify the OSM website and state or tribe website (if available) where the 

public can find information relating to public comment, the state‘s or tribe‘s 

Performance Agreement, and other documentation; 

 Identify the opportunities and information provided by OSM and the state or 

tribe to the public to provide input into the oversight and state regulatory 

processes; 

 Identify public meetings held and quantify the amount of participation that 

occurred; 

 Identify outreach efforts undertaken by OSM and the state or tribe; 

 Characterize any significant involvement of environmental, industry and 

grassroots organizations; 

 Identify any results or impacts to the effectiveness of the program that have 

occurred due to public participation; 

 Identify any highly controversial areas or concerns that have arisen due to 

public involvement; 

 Identify any precedent-setting legal issues decided during the period; and 

 Briefly summarize any specific issues or successes identified through OSM 

evaluations conducted on the state or tribe implementation of the public 

participation aspects of the program. 

IV. Major Accomplishments and Innovations

Instructions: Briefly summarize the state's or tribe‘s overall performance in 

implementing its regulatory programs to meet the applicable purposes listed in 

section 102 of SMCRA. 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 OSM'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: The following sub-sections must be placed in this section of the report, 

substituting state- or tribal-specific information where so indicated. 

Each state and tribe is evaluated 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; 

 Customer Service - 

o The effectiveness of customer service provided by the state. 

Indicate in this section of the report where the reader can locate individual topic 

reports that will provide details on how the following evaluations and measurements 

were conducted, including the Field Office name, address, phone numbers, email 

addresses, and the OSM website address where the reports are located. 

A. Off-Site Impacts

Instructions: Prepare a summary evaluation of the data reported in Table 5, Offsite 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 reference 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 

being taken with the state or tribe to correct any programmatic deficiencies that 

may have caused off-site impacts to occur and to develop ways to lessen the 

number of future impacts. 

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 effectiveness 

of the state program in ensuring successful reclamation on land affected by 

surface coal mining operations. The summary also should report the actions 
B-10 

being taken with the state or tribe to prevent future occurrences when areas do not 

meet bond release standards. 

C. Customer Service

Instructions: Prepare a summary discussing the effectiveness of the customer 

service provided through the state or tribal program. The summary should briefly 

discuss any specific issues or successes identified through OSM evaluations of the 

state's or tribe‘s implementation of the public participation aspects of its program. 

It also should report the actions being taken by the state or tribe to correct 

programmatic deficiencies that may have been identified during OSM's 

evaluations. 

VI. National Priority and General Oversight Topic Reviews

Instructions: Provide a short description of all oversight topics that OSM reviewed 

during the period. All national priority review topics should be listed first in this 

section followed by program-specific oversight topical reviews. The description may 

include issues that were identified through means other than a formal oversight study 

topic. Include a statement on how and where to obtain individual topic reports and 

information. This section should be used to summarize results of any topic reviews. 

Utilize photographs or data charts to better communicate findings to the reader. 

VII. Regulatory Program Problems and Issues

Instructions: List and discuss all Regulatory Program Problems that have been 

corrected during the Evaluation Year and indicate which Regulatory Program 

Problems were the subject of an Action Plan. List and discuss all Regulatory 

Program Problems that remain uncompleted at the end of the Evaluation Year and 

indicate which Regulatory Program Problems were 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. Action Plans are 

listed in Table 14, Status of Action Plans, in Appendix 1 of the Annual Evaluation 

Report.

VIII. OSM Assistance

Instructions: To provide a context or characterization for the reader to understand the 

level of assistance that OSM 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 OSM);

 Any other notable assistance provided, as well as the expected results; and 

 A brief general statement about OSM‘s assistance role.

Appendix 1 Summary of Core Data to Characterize the Regulatory Program

Instructions: Complete the DST tables in accordance with section ―F. Instructions 

for Completion of Specific Tables in 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 (i.e., 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 

used by OSM in its evaluation of [state's or tribe‘s] performance is available for review in the 

evaluation file maintained by [OSM 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 OSM 

Table 10 State or Tribal Inspection Activity 

Table 11 State or Tribal Enforcement Activity 

Table 12 Lands Unsuitable Activity 

Table 13 OSM 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 OSM 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. 

F. Instructions for Completion of Specific Tables for Appendix 1

Note: Any definitions below are set forth for purposes of this Directive only. The 

definitions contained herein do not alter or modify any regulatory definitions in SMRCA, the 

Code of Federal Regulations, or approved state or tribal programs in any way. To the extent 

the definitions in this Directive differ from the regulatory definitions in any way, OSM and 

state and tribal regulatory authorities are bound by the regulatory definitions. 

All Tables: The page header for each table will specify the name of the program and the 

Evaluation Year. For example: 

Alabama state program 

EY 2010, ending June 30, 2010 

Crow tribal program 

EY 2010, ending June 30, 2010 

Blank cells in the following tables are data elements to be entered in the DST. 

Cells with ―calculated‖ in them are data elements that will be captured by the 

DST from other tables or calculated by the DST. 

As used in any table, the following terms mean: 

Initial Program Site is any discrete mine site or facility that was regulated at the 

end of the Evaluation Year under the Initial Program regardless of whether the 

site is or was part of an Inspectable Unit comprised of multiple sites. Land within 

the permit area of a Permanent Program Permit that is regulated under the Initial 

Program is an Initial Program Site. 
B-14 

Permanent Program Permit covers any mine site or facility for which the 

regulatory authority has issued an individual permit under the state or tribal 

permanent regulatory program approved by the Secretary of the Interior under 

SMCRA regardless of whether the site is part of an Inspectable Unit comprised of 

multiple sites or the permit area is divided into multiple Inspectable Units. 

Table 1: Coal Produced for Sale, Transfer, or Use

Coal Produced for Sale, Transfer or Use is gross tons of coal reported quarterly to 

OSM on line 8(a) of form OSM-l, Coal Reclamation Fee Report, by each coal 

company for all coal sold, used or transferred during the calendar quarter. 

Surface Mines include sites where surface mining activities as defined at 30 CFR 

701.5 occur or occurred. 

Underground Mines include sites where underground mining activities as defined 

at 30 CFR 701.5 occur or occurred. 

The ―Total‖ value is calculated by the DST.

Data are collected and compiled by OSM‘s Division of Financial Management 

and reported to Field Offices. 

Table 2: Permanent Program Permits, Initial Program Sites, Inspectable Units, and 

Exploration

To provide national consistency, use the following definitions even if they differ 

from those approved in the state or tribal program. 

Mines and Other Facilities 

Surface Mines include sites where surface mining activities as defined at 30 CFR 

701.5 occur or occurred. 

Underground Mines include sites where underground mining activities as defined 

at 30 CFR 701.5 occur or occurred. 

Other Facilities include surface coal mining operations that are not surface or 

underground mines, such as independently-permitted preparation plants outside 

the permit area for a specific mine. 

Numbers of Initial Program Sites and Permanent Program Permits 

The Numbers of Initial Program Sites, Permanent Program Permits, Inspectable 

Units, and Area are the number of permits, sites, inspectable units, and the acres 

at the end of the Evaluation Year. 

Initial Program Site: Any discrete mine site or facility that was regulated at the 

end of the Evaluation Year under the Initial Program (or under a state program 

before approval of the permanent program for the state) regardless of whether the 

site is or was part of an Inspectable Unit comprised of multiple sites. Initial 
B-15 

Program Sites also include lands that are within the permit area of a Permanent 

Program Permit, but which are regulated under the Initial Program. Initial 

Program Sites do not include sites that were fully reclaimed and jurisdiction under 

the Initial Program (or state program) was terminated by the end of the Evaluation 

Year. 

Permanent Program Permit: Any mine site or facility for which the regulatory 

authority has issued an individual permit under the state or tribal permanent 

regulatory program approved by the Secretary of the Interior under SMCRA 

regardless whether the site is part of an Inspectable Unit comprised of multiple 

sites or the permit area is divided into multiple Inspectable Units. Permanent 

Program Permits include bond forfeiture sites reported in Table 7, Bond 

Forfeiture Activity, as ―Sites with bonds forfeited and collected that were unreclaimed at the end of the current Evaluation Year‖ and ―Sites being reclaimed 

by surety/other party at the end of the current Evaluation Year.‖ Permanent 

Program Permits do not include sites that were fully reclaimed and jurisdiction 

under the Permanent program was terminated (i.e., final Phase III bond release 

was approved for the entire site) by the end of the Evaluation Year. 

Active: Any mine site or related facility not included in one of the other 

categories (i.e., Inactive or Abandoned). 

Inactive: Any mine site or facility meeting the criteria of 30 CFR 840.11(f) (i.e., 

an inactive surface coal mining and reclamation operation is one for which: (1) 

the state regulatory authority has secured from the permittee a written notice of 

temporary cessation provided for under 30 CFR 816.131(b) or 30 CFR 

817.131(b); or (2) reclamation Phase II bond release as defined at 30 CFR 

800.40(c)(2) has been completed by the state regulatory authority in accordance 

with the state program (i.e., ―after revegetation has been established on the 

regraded mined lands in accordance with the approved reclamation plan‖ and a 

bond release application has been approved by the regulatory authority for such 

lands).

Abandoned: Any site meeting the criteria of 30 CFR 840.11(g) (i.e., the 

regulatory authority has found in writing that all mining and reclamation activities 

have ceased and is taking enforcement action, permit blocking, and taking other 

actions to secure abatement and/or recover reclamation costs and forfeit the 

bond.) Abandoned includes all Bond Forfeiture Sites where the site is not fully 

reclaimed (i.e., reclamation at the end of the Evaluation Year is not adequate to 

fully abate all outstanding violations). Abandoned does not include Bond 

Forfeiture Sites where the site is fully reclaimed at the end of the Evaluation Year. 

Inspectable Units 

An Inspectable Unit is defined by the regulatory authority and may include 

multiple small and neighboring Initial Program Sites or Permanent Program 

Permits that have been grouped together as one Inspectable Unit for inspection 

efficiency. An Inspectable Unit also may be one of multiple inspectable units for 
B-16 

one Permanent Program Permit that was divided into multiple inspectable units to 

allow full coverage of complete inspections of the site. The number of 

Inspectable Units are reported separately for Surface Mines, Underground Mines, 

and Other Facilities. The Total Inspectable Units is calculated by the DST and is 

the sum of the Inspectable Units for Surface Mines, Underground Mines, and 

Other Facilities. 

Area 

Areas of Initial Program Sites and Permanent Program Permits are acre units; 

(i.e., not ―100s of acres‖ as was reported in the past). Acreages may be rounded 

to the nearest 100 acres, the nearest 10 acres, or the nearest 1 acre and the level of 

rounding is noted in the heading, Area. Areas of Initial Program Sites, at a 

minimum, are the disturbed area of the site over which the regulatory authority 

maintains jurisdiction or if permitted by the regulatory authority before approval 

of the permanent program, the permit area (i.e., areas of Initial Program Sites over 

which the regulatory authority had terminated jurisdiction at the end of the 

Evaluation Year are not included). Areas of Permanent Program Permits are 

acres within the permit area. 

Federal Lands, as defined under 30 CFR 700.5, means any land, including mineral 

interests, owned by the United States, without regard to how the United States 

acquired ownership of the lands or which agency manages the lands. Federal 

lands do not include Indian lands as defined at 30 CFR 700.5. 

For states, State/Tribal and Private Lands include all lands within the state that are 

not Federal lands or Indian lands as defined at 30 CFR 700.5. 

For tribes, State/Tribal and Private Lands include reservation lands under the 

jurisdiction of the tribe. 

The Areas of Surface mines and Other Facilities are the acres that were under the 

jurisdiction of the regulatory authority under the Initial Program or within the 

permit boundary at the end of the evaluation year. 

The Areas of Underground mines are areas that were under the jurisdiction of the 

regulatory authority under the Initial Program or within the permanent program 

permit boundary at the end of the Evaluation Year: 

 For state and tribal programs that do not require the underground 

workings to be included within the permit area, the total acreage of the 

permit area is included in the Area, or 

 For state and tribal programs that do require the underground workings to 

be included within the permit area, only the acreage of actual and 

proposed surface activities within the permit area is included in the Area. 

The Permanent Program Permits and Initial Program Sites Total Number is 

calculated by the DST. The Average Acres per Site is calculated by the DST and 
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is the total acres of both Permanent Program Permits and Initial Program Sites 

divided by the Total Number of Permanent Program Permits and Initial Program 

Sites. 

The Average Number of Permanent Program Permits and Initial Program Sites 

per Inspectable Unit (IU) is calculated by the DST and is the Total Number of 

Permanent Program Permits and Initial Program Sites divided by the total number 

of Inspectable Units. The Average Acres per IU is calculated by the DST and is 

the total acres of both Permanent Program Permits and Initial Program Sites 

divided by total number of Inspectable Units. 

The Total Number of Permanent Program Permits in Temporary Cessation is the 

number of permits where all or part of the mining operations are in temporary 

cessation at the end of the Evaluation Year. Number More than 3 Years is the 

number of Permanent Program Permits that have been in Temporary Cessation for 

more than 3 years at the end of the Evaluation Year. 

Exploration Sites 

The numbers of Exploration sites are the number of sites at the end of the 

Evaluation Year. 

Exploration sites with permits include all exploration sites where exploration 

activities require approval from the regulatory authority before commencing the 

exploration activities. Sites with Federal lands is the number of exploration sites 

with exploration permits, any part of which is regulated by the state under a 

cooperative agreement or by OSM pursuant to the Federal Lands Program, but 

excludes exploration sites that are regulated by the Bureau of Land Management. 

Exploration sites with notices include all sites where exploration activities may be 

conducted without prior approval from the regulatory authority, but where prior 

notice must be provided to the regulatory authority before commencing such 

exploration activities. Sites with Federal lands is the number of exploration sites 

with notices, any part of which is regulated by the state under a cooperative 

agreement or by OSM pursuant to the Federal Lands Program, but excludes 

exploration sites that are regulated by the Bureau of Land Management. 

Except for the total number of Inspectable Units, all ―Total‖ and ―Average‖ 

values are calculated by the DST. 

All data should be collected from the regulatory authority. 

Table 3: Permits Allowing Special Categories of Mining

30 CFR Citation Defining Permits Allowing Special Mining Practices refers to 

the Federal rule that ―identifies‖ whether a permit includes a special category of 

mining (e.g., whether a specific finding was made for approval of the permit or 

revision or if the permit is marked specifically as a special category of mining). 
B-18 

Numbers of Permits Issued During the EY is the number of new permits issued or 

revisions approved that first allow the practice. 

Total Number of Active and Inactive Permits is the total number of Active and 

Inactive permits that allow the practice at the end of the Evaluation Year. A 

single permit may encompass several of the special categories of mining so no 

attempt should be made to use this data as a cumulative total of permits with 

special categories of mining. 

All data should be collected from the regulatory authority. 

Table 4: Permitting Activity

Surface Mines are operations where surface mining activities as defined at 30 

CFR 701.5 occur or will occur. 

Underground Mines are operations where underground mining activities as 

defined at 30 CFR 701.5 occur or will occur. 

Other Facilities are surface coal mining operations that are not surface or 

underground mines, such as independently-permitted preparation plants outside 

the permit area for a specific mine. 

App. Rec. is the number of applications received during the Evaluation Year for 

each type of application in each category of operation. 

Issued/Appvd is the number of only those actions for which the state has both 

approved the application and issued a permit or other final authorization to initiate 

operations (i.e., bond has been posted, final compliance checks have been 

completed, and a permit or other final authorization has been issued). 

Acres is the total acres for the permits issued or revisions approved during the 

Evaluation Year (i.e., those actions counted in ―Issued/Appvd‖).

Exploration permits include all exploration sites where exploration activities 

require approval from the regulatory authority before commencing the exploration 

activities. 

Exploration notices include all exploration sites where the exploration activities 

may be conducted without prior approval from the regulatory authority, but where 

prior notice must be provided to the regulatory authority before such exploration 

activities begin. 

Revisions that do not add acreage to the permit area are significant or minor 

revisions approved during the Evaluation Year that do not affect the permit area. 

Revisions that add acreage to the permit area, but are not incidental boundary 

revisions are permit revisions that increase the acreage of a permit area, but are 

not incidental boundary revisions as defined in the state or tribal program. 
B-19 

Incidental boundary revisions are as defined in the state program and change the 

acreage of the permit area. Acres for incidental boundary revisions are the net 

acreage added by all incidental boundary revisions approved during the 

Evaluation Year. 

Number and Acres of Permits terminated for failure to initiate operations is the 

number of permits that were terminated during the Evaluation Year in accordance 

with the regulatory program equivalent to 30 CFR 773.19(e) and the acres of the 

permit area(s). 

Acres of Phase III bond releases (Areas no longer considered to be disturbed and 

subject to the jurisdiction of the regulatory authority) is the acres that were 

released from all performance bond during the Evaluation Year in accordance 

with the regulatory program equivalent to 30 CFR 800.40(c)(3). This acreage is 

calculated by the DST from ―Total Acres Released in Approved Phase III 

Releases‖ in Table 6, Surface Coal Mining and Reclamation Activity. 

Permits in temporary cessation—

 Notices received is the number of notices of intent to temporarily cease or 

abandon mining and reclamation operations that were received by the 

regulatory authority during the Evaluation Year. 

 Terminations is the number of operations that ended temporary cessation 

during the Evaluation Year. 

For midterm permit reviews completed that are not reported as revisions, the 

number of mid-term permit reviews completed during the Evaluation Year may 

be reported, but this information is optional. 

Except for Exploration Permits and Exploration Notices, all ―Total‖ values are 

calculated by the DST. 

All data should be collected from the regulatory authority. 

NOTE: Table 4, Permitting Activity, is not complete until Table 6, Surface Coal 

Mining and Reclamation Activity, is completed. 

Table 5: Off-Site Impacts

Bonded sites and unreclaimed bond forfeiture sites are considered inspectable 

units for reporting offsite impacts. Impacts identified at bonded sites and impacts 

identified at bond forfeiture sites are reported separately and then totaled 

cumulatively for a report of all offsite impacts. 

Impacts related to planned underground mine subsidence that are within the area 

authorized for mining are not included in Table 5. 

TYPE OF IMPACT EVENT is the type of event that caused off-site impacts. 

Impact events should be listed in only one TYPE OF IMPACT EVENT category. 

Where an impact event could ―fit‖ in more than one type (e.g., a land stability 
B-20 

event such as a rotational failure also causing a hydrologic event such as filling a 

streambed), it should be categorized by either the ―dominant impact‖ event type 

(e.g., ―hydrologic‖ if the resultant hydrologic event created major impacts and the 

land stability event cause minor or moderate impacts) or the ―root cause‖ event 

type (e.g., ―land stability‖ if both land and hydrologic impacts were minor); an 

―event‖ should be counted only once.

NUMBER OF EVENTS is (1) the number of impact events that occurred during 

the Evaluation Year and (2) the number of events that occurred in previous 

Evaluation Years where the off-site impacts have persisted into the current 

Evaluation Year. If events occurred in previous Evaluation Years, the Annual 

Evaluation Summary Report narrative should identify and explain those events 

and their continuing impacts. 

RESOURCES AFFECTED (i.e., People, Land, Water, and Structures) and 

DEGREE OF IMPACT (i.e., minor, moderate, major) are as defined in Appendix 

1, section II.D.1, Off-site Impacts, under the heading, ―Resources and Type and 

Degree of Impacts.‖ More than one Resource may be affected by each type of 

Impact Event. For example, one blasting impact could affect people, structures 

and land with each resource receiving a different degree of impact. Therefore, the 

total number of impacts to the RESOURCES AFFECTED by IMPACT EVENTS 

will likely be more than the NUMBER OF EVENTS (i.e., the sum of numbers 

under the RESOURCES AFFECTED/DEGREE OF IMPACT columns will not 

necessarily equal the NUMBER OF EVENTS for each TYPE OF IMPACT 

EVENT). 

All ―Total‖ values are calculated by the DST. 

Total number of Inspectable Units (OFF-SITE IMPACTS EXCLUDING BOND 

FORFEITURE SITES) is calculated by the DST and is the sum of the ―Total 

Inspectable Units‖ in Table 2 (Permanent Program Permits, Initial Program Sites, 

Inspectable Units, and Exploration) and the ―Number of Permanent Program 

Permits Terminated under Phase III Bond Release and Initial Program Sites with 

Jurisdiction Terminated‖ in Table 6 (Surface Coal Mining and Reclamation 

Activity) minus the sum of ―Sites with bonds forfeited and collected that were unreclaimed at the end of the current Evaluation Year‖ and ―Sites being reclaimed 

by surety/other party at the end of the current Evaluation Year‖ in Table 7 (Bond 

Forfeiture Activity). 

Total number of Inspectable Units (OFF-SITE IMPACTS ON BOND 

FORFEITURE SITES) is calculated by the DST and is the sum of ―Sites with 

bonds forfeited and collected that were un-reclaimed at the end of the current 

Evaluation Year,‖ ―Sites with bonds forfeited and collected that were reclaimed 

during the current Evaluation Year,‖ and ―Sites being reclaimed by surety/other 

party at the end of the current Evaluation Year‖ in Table 7 (Bond Forfeiture 

Activity). 
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Inspectable Units with off-site impacts is the sum of (1) the number of Inspectable 

Units where one or more impact events occurred during the Evaluation Year and 

(2) the number of Inspectable Units where events occurred in previous Evaluation 

Years and where the off-site impacts have persisted into the current Evaluation 

Year. 

Inspectable Units free of off-site impacts is calculated by the DST and is the Total 

Number of Inspectable Units minus the number of Inspectable Units with Off-site 

Impacts. 

% of Inspectable Units free of off-site impacts is calculated by the DST and is the 

number of Inspectable Units free of Off-site Impacts divided by the Total Number 

of Inspectable Units. 

The entire sub-table, TOTAL OFF-SITE IMPACTS INCLUDING BOND 

FORFEITURE SITES, is calculated by the DST and, except for ―% of Inspectable 

Units free of off-site impacts,‖ is the sum of the previous two tables. The ―% of 

Inspectable Units free of off-site impacts‖ is calculated by the DST as described 

in the previous paragraph. 

NOTE: Table 5, Off-site Impacts, is not completed until after Table 2, Permanent 

Program Permits, Initial Program Sites, Inspectable Units, and Exploration, and 

Table 7, Bond Forfeiture Activity, are completed. 

Data should be collected from the regulatory authority, OSM, and other known 

sources. All substantiated off-site impacts identified in a state should be 

accounted for regardless of the source of the information. All reported data will 

be for impacts that occurred and were identified by any source within the 

evaluation year. 

Table 6: Surface Coal Mining and Reclamation Activity

The bond release phases (i.e., Phase I, Phase II, and Phase III) are as defined in 30 

CFR 800.40(c). 

Phase I Release is when, at a minimum, ―the operator completes the backfilling, 

regrading ... and drainage control of a bonded area in accordance with the 

approved reclamation plan.‖

Phase II Release is when, at a minimum, ―revegetation has been established on 

the regraded mined lands in accordance with the approved reclamation plan.‖ 

Phase III Release is when ―the operator has completed successfully all surface 

coal mining and reclamation activities,‖ and ―reclamation requirements of the Act 

and the permit are fully met.‖

Areas of Phase I, II, and III Bond Releases During the Evaluation Year 
B-22 

―Areas of Phase I, II, and III Bond Releases‖ only applies to Permanent Program 

Permits. 

Phase I Releases 

Total Acres Released in Approved Phase I Releases is the total number of 

acres that were released under all Phase I Bond Release applications approved 

during the Evaluation Year. 

Phase II Releases 

Total Acres Released in Approved Phase II Releases is the total number of 

acres that were released under all Phase II Bond Release applications 

approved during the Evaluation Year. 

Acres not previously released under Phase I is the total number of acres within 

the Phase II Bond Release applications approved during the Evaluation Year 

that had not been previously released in any earlier approval of a Phase I Bond 

Release application. 

Phase III Releases 

Total Acres Released in Approved Phase III Releases is the total number of 

acres that were released under all Phase III Bond Release applications 

approved during the Evaluation Year. 

Acres not previously released under Phase II is the total number of acres 

within the Phase III Bond Release applications approved during the 

Evaluation Year that had not been previously released in any earlier approval 

of a Phase II Bond Release application. 

Acres not previously released under Phase I or II is the total number of acres 

within the Phase III Bond Release applications approved during the 

Evaluation Year that had not been previously released in any earlier approval 

of a Phase I or Phase II Bond Release application. 

Total Acres Released During the EY 

Phase I is calculated by the DST and is the sum of ―Total Acres Released in 

Approved Phase I Releases,‖ and ―Acres not previously released under Phase 

I,‖ and ―Acres not previously released under Phase I or II.‖

Phase II is calculated by the DST and is the sum of ―Total Acres Released in 

Approved Phase II Releases‖ and ―Acres not previously released under Phase 

II.‖ 
B-23 

Phase III is calculated by the DST and is ―Total Acres Released in Approved 

Phase III Releases.‖

Cumulative Total Acres Released under All Bond Release Phases at the End of 

the Evaluation Year is calculated by the DST and is the sum of ―Total Acres 

Released in Approved Phase I Releases,‖ ―Total Acres Released in Approved 

Phase II Releases,‖ and ―Total Acres Released in Approved Phase III Releases‖

added to the previous Evaluation Year‘s ―Cumulative Total Acres Released under 

All Bond Release Phases at the End of the Evaluation Year.‖

Number of Permanent Program Permits Released under Phase III Bond Release 

and Initial Program Sites with Jurisdiction Terminated During the Evaluation 

Year is the total number of Permanent Program Permits and Initial Program Sites 

over which the regulatory authority terminated its jurisdiction over the entire site 

during the Evaluation Year. Specifically, it is the number of Permanent Program 

Permits where the regulatory authority approved final Phase III Bond Release for 

the entire permit during the Evaluation Year (i.e., the regulatory authority 

determines in writing that under the permanent program, all requirements 

imposed under the applicable regulatory program have been successfully 

completed or, where a performance bond was required, the regulatory authority 

has made a final decision in accordance with the state or tribal program 

counterpart to [30 CFR] Part 800 ... to release the performance bond fully‖ [30 

CFR 700.11(d)(1)(ii)]) plus the number of Initial Program Sites for which the 

regulatory authority terminated its jurisdiction over the entire site during the 

Evaluation Year (i.e., ―the regulatory authority determines in writing that under 

the initial program, all requirements imposed under [30 CFR Chapter VII, 

subchapter B]... have been successfully completed‖ [30 CFR 700.11(d)(1)(i)]).

Areas of Permits Bonded for Disturbance by Surface Coal Mining and 

Reclamation Operations 

Areas Bonded for Disturbance means the increment of land (acres) within the 

permit area identified in the approved permit application upon which surface coal 

mining and reclamation operations will be conducted during the term of the 

permit and for which bond has been posted. 

Areas of Permits Bonded for Disturbance by Surface Coal Mining and 

Reclamation Operations excludes all areas where Phase III bond release has been 

approved and Bond Forfeiture Sites (i.e., sites where bond forfeiture proceedings 

have been completed and where no surety or other party has agreed to do 

reclamation in lieu of forfeiture). Reclamation activities on Bond Forfeiture Sites 

are reported in Table 7, Bond Forfeiture Activity. 

New Area and Cumulative Total Area Bonded for Disturbance 
B-24 

Change in Acres During the EY is the total number of new acres (i.e., 

previously un-bonded lands) that were bonded for disturbance during the 

Evaluation Year. 

Total Acres at Start of EY is calculated by the DST and is the cumulative 

―Total Acres at End of EY‖ of the previous Evaluation Year‘s ―New Area and 

Cumulative Area Bonded for Disturbance.‖

Total Acres at End of EY is calculated by the DST and is the sum of ―Total 

Acres at Start of EY‖ and ―Change in Acres During the EY‖ (i.e., the 

cumulative total number of acres in all Permanent Program Permits that have 

been bonded for disturbance). 

Other Areas of Permits Bonded for Surface Coal Mining and Reclamation 

Operations—

Total Acres at Start of EY is calculated by the DST and is the ―Total Acres at 

End of EY‖ for the previous Evaluation Year.

Change in Acres During the EY is calculated by the DST and is ―Total Acres 

at End of EY‖ minus ―Total Acres at Start of EY.‖

Area Bonded for Disturbance without Phase I Bond Release: 

Total Acres at End of EY is the total number of acres in all Permanent 

Program Permits that are bonded for disturbance and for which no bond 

release for any bond release phase has been approved. 

Area Bonded for Disturbance for which Phase I Bond Release Has Been 

Approved: 

Total Acres at End of EY is the total number of acres in all Permanent 

Program Permits that are bonded for disturbance and for which only Phase 

I bond release has been approved (i.e., do not include acres where Phase II 

bond release has been approved). 

Area Bonded for Disturbance for which Phase II Bond Release Has Been 

Approved: 

Total Acres at End of EY is the total number of acres in all Permanent 

Program Permits that are bonded for disturbance and for which Phase II 

bond release has been approved. 

Total Area Bonded for Disturbance is calculated by the DST and is the sum of 

―Area Bonded for Disturbance without Phase I Bond Release,‖ ―Area Bonded 
B-25 

for which Phase I Bond Release Has Been Approved,‖ and ―Area Bonded for 

which Phase II Bond Release Has Been Approved.‖

Area Bonded for Remining:

Total Acres at End of EY is the total number of acres in all Permanent 

Program Permits that are bonded for remining. 

Areas of Permits Disturbed by Surface Coal Mining and Reclamation 

Operations 

The Areas of Permits Disturbed by Surface Coal Mining Operations excludes all 

areas where Phase III bond release has been approved and Bond Forfeiture Sites 

(i.e., sites where bond forfeiture proceedings have been completed and where no 

surety or other party has agreed to do reclamation in lieu of forfeiture). 

Reclamation activity on Bond Forfeiture Sites is reported in Table 7, Bond 

Forfeiture Activity. 

―Areas of Permits Disturbed by Surface Coal Mining Operations‖ and ―Disturbed 

Area‖ mean ―area[s] where vegetation, topsoil, or overburden is removed or upon 

which topsoil, spoil, coal processing waste, underground development waste, or 

noncoal waste is placed by surface coal mining operations. Those areas are 

classified as disturbed until reclamation is complete and the performance bond or 

other assurance of performance required by [30 CFR Chapter VII, subchapter J]... 

is released [fully]‖ [30 CFR 701.5 Disturbed area].

Disturbed Area 

Total Acres at Start of EY is calculated by the DST and is the ―Total Acres at 

End of EY‖ for the previous Evaluation Year.

Total Acres at End of EY is the total number of acres in all Permanent 

Program Permits that are disturbed. 

Change in Acres is calculated by the DST and is ―Total Acres at End of EY‖ 

minus ―Total Acres at Start of EY.‖

Data should be collected from the regulatory authority, 

Table 7: Bond Forfeiture Activity

Bond Forfeiture and Reclamation Activity 

―Sites with bonds forfeited and collected...‖ include only those sites:

1. where bond forfeiture proceedings have been finalized and forfeiture 

funds collected before or during the Evaluation Year, 
B-26 

2. or, in a bond pool state where forfeiture proceedings have been finalized 

and the State‘s system allows the State to begin work prior to collection of 

any site-specific bond, 

3. that were not fully reclaimed at the start of the Evaluation Year, and 

4. where no surety or other party has agreed to do reclamation in lieu of 

forfeiture (such sites are identified under the next section of Table7).

Sites with bonds forfeited and collected that were un-reclaimed at the start of the 

current Evaluation Year (i.e., the end of previous Evaluation Year) are the number 

of acres reported in the previous Evaluation Year as ―Sites with bonds forfeited 

but un-reclaimed at the end of the current Evaluation Year‖ and are calculated in 

the DST. 

Sites with bonds forfeited and collected that are un-reclaimed at the end of the 

current evaluation year (Row 5) is calculated by the DST and is the sum of sites 

that were un-reclaimed at the start of the current Evaluation Year (Row 1) and 

sites with bonds forfeited and collected during the current Evaluation Year (Row 

2) minus the sum of sites that were re-permitted during the Evaluation Year (Row 

3) and sites where reclamation was completed during the Evaluation Year (Row 

4).

Sites with bonds forfeited but uncollected at the end of the current Evaluation 

Year are sites where bond forfeiture proceedings have been completed and where 

no surety or other party has agreed to do reclamation in lieu of forfeiture. 

Completion of bond forfeiture proceedings occurs when the regulatory authority 

considers the bonds for the site to be forfeited, typically when the appeal period 

has expired and/or when a collection notice or order has been sent. 

Forfeiture Sites with Long-Term Water Pollution

―Bonds forfeited, land reclaimed but water pollution still occurring‖ are sites 

where the land restoration has been completed but the regulatory authority has not 

yet addressed noncompliant water leaving the site. Therefore, the site must be 

carried as an inspectable unit. 

―Bonds forfeited, lands reclaimed, and water treatment is occurring‖ are sites 

where land reclamation has been completed and the regulatory authority or some 

other entity is maintaining a water treatment system (active or passive) that is 

satisfactorily treating water where necessary. Therefore, the site must remain as 

an inspectable unit. 

Surety/Other Reclamation Activity in Lieu of Forfeiture 

"Sites reclaimed by surety/other party..." are sites where the surety or other party 

agreed to complete or completed reclamation in lieu of forfeiture. 

Sites being reclaimed by surety/other party at the start of the current Evaluation 

Year (i.e., the end of previous Evaluation Year) are the number and acres reported 
B-27 

in the previous Evaluation Year as ―Sites being reclaimed by surety/other party at 

the end of the current Evaluation Year‖ and are calculated in the DST.

Sites with reclamation completed by surety/other party during the current 

Evaluation Year are sites where Phase III bond release was approved by the state 

during the current Evaluation Year. These sites are also reported in ―Number of 

Permanent Program Permits Terminated under Phase III Bond Release and Initial 

Program Permits with Jurisdiction Terminated‖ in Table 6, Surface Coal Mining 

and Reclamation Activity, because Phase III bond release would be granted on 

these sites. 

Sites being reclaimed by surety/other party at the end of the current Evaluation 

Year (Row 5) is calculated by the DST and is the sum of sites being reclaimed at 

the start of the Evaluation Year (Row 1) and sites where a surety or other party 

has agreed during the Evaluation Year to do reclamation (Row 2) minus the sum 

of sites that were re-permitted during the Evaluation Year (Row 3) and sites 

where reclamation was completed during the Evaluation Year (Row 4). 

All data should be collected from the regulatory authority. 

Table 8: Regulatory and AML Programs Staffing

Function

Regulatory program 

Permit Review and Maintenance is the receipt, processing, reviewing, and 

approving of permitting applications, administering and maintaining 

permits (e.g., midterm review, bonding, monitoring report review), and 

any other activities associated with permit review and maintenance. 

Inspection is inspection and enforcement activities including the conduct 

of inspections and mine site visits for the purpose of ensuring compliance 

of permittees with permits and regulatory programs (permanent and 

initial) and associated enforcement activities, mine site visits related to 

bond release applications, all activities associated with requests for 

inspection (aka ―citizen complaints‖), and all activities associated with 

responding to Ten-day Notices (including referrals of requests for 

inspection). 

Other (supervisory, clerical, administrative, fiscal, personnel, etc.) is 

supervisory, clerical, and other personnel who perform administrative 

support for administering the regulatory program. 

Regulatory program Total is calculated by the DST and is the sum of 

―Permit Review and Maintenance,‖ ―Inspection,‖ and ―Other (supervisory, 

clerical, administrative, fiscal, personnel, etc.).‖
B-28 

AML program Total is all personnel, including supervisory, clerical, and other 

personnel who perform administrative support for administering the 

Abandoned Mine Land program. 

TOTAL is calculated by the DST and is the sum of ―Regulatory program 

Total‖ and ―AML program Total.‖

Number of FTEs is the number of full-time equivalents for personnel actually in 

place or hired at the end of the Evaluation Year. A ―full-time equivalent‖ is total 

hours divided by 2087 (i.e., one person employed full time spends 2087 hours per 

year at work, including holidays and other time off). ―Number of FTEs‖ is the 

total time, expressed as FTEs, expended by program personnel funded (in whole 

or in part) under the program grant(s) by OSM on each ―Function‖

All data should be collected from the regulatory authority. 

Table 9: Funds Granted to State or Tribe by OSM

Federal Funds Awarded is the sum (with appropriate sub-totals) of all grant 

applications, grant amendments and supplementary funds approved during the 

Evaluation Year. Generally, for purposes of determining the "Federal funds 

awarded," a grant is considered awarded on its effective date; however, except for 

initial grant applications, this does not apply if the effective date of the award is 

retroactive. 

Total program Cost is the amounts specified in the Grant applications approved 

during the Evaluation Year. 

All amounts are actual dollars, rounded to the nearest dollar. 

All ―Percentage‖ values are calculated by the DST.

All data are from OSM Regional grants specialists. 

Table 10: State or Tribal Inspection Activity

Permits and Sites

Active: Any mine site or related facility not included in one of the other 

categories (i.e., Inactive or Abandoned). 

Inactive: Any mine site or facility meeting the criteria of 30 CFR 840.11(f) (i.e., 

an inactive surface coal mining and reclamation operation is one for which: (1) 

the state regulatory authority has secured from the permittee a written notice of 

temporary cessation provided for under 30 CFR 816.131(b) or 30 CFR 

817.131(b); or (2) reclamation Phase II bond release as defined at 30 CFR 

800.40(c)(2) has been completed by the state regulatory authority in accordance 

with the state program (i.e., ―after revegetation has been established on the 

regraded mined lands in accordance with the approved reclamation plan‖ and a 
B-29 

bond release application has been approved by the regulatory authority for such 

lands).

Abandoned: Any site meeting the criteria of 30 CFR 840.11(g) (i.e., the 

regulatory authority has found in writing that all mining and reclamation activities 

have ceased and is taking enforcement action, permit blocking, and taking other 

actions to secure abatement and/or recover reclamation costs and forfeit the 

bond). Abandoned includes all Bond Forfeiture Sites where the site is not fully 

reclaimed (i.e., reclamation at the end of the Evaluation Year is not adequate to 

fully abate all outstanding violations). Abandoned does not include Bond 

Forfeiture Sites where the site is fully reclaimed at the end of the Evaluation Year. 

Approximate Number Required Inspections of Permanent Program Permits

and Approximate Number Required Inspections of Initial Program Sites 

(for Complete Inspections and Partial Inspections) 

Number of Permits and Sites: is calculated by the DST in Table 2, Permanent 

Program Permits, Initial Program Sites, Inspectable Units, and Exploration, and is 

the ―Total‖ number of ―Permanent Program Permits‖ and ―Initial Program Sites‖ 

for each activity type (i.e., ―Active,‖ ―Inactive,‖ and ―Abandoned‖).

Inspections Required Annually is the minimum number of inspections of a 

surface coal mining operation to be conducted each year for the activity type (i.e., 

―Active,‖ ―Inactive,‖ and ―Abandoned‖) as required under the applicable state or 

tribal permanent regulatory program (for Permanent Program Permits) and Initial 

Program or state program before the permanent program was approved (for Initial 

Program Sites). If a regulatory program requires that inspections for an ―activity 

type‖ are to be conducted only as necessary to ensure compliance with the 

regulatory program, ―0‖ (zero) should be entered for Inspections Required per 

Site Annually. 

Using Federal programs as an example: 

 Active Permanent Program Permits: OSM is required to ―conduct an 

average of at least one partial inspection per month‖ and ―an average of at 

least one complete inspection per calendar quarter of each active surface coal 

mining and reclamation operation‖ (30 CFR 842.11(c)(1)). A complete 

inspection also counts as one partial inspection; thus, the minimum number of 

Inspections Required Annually for Active Permanent Program Permits would 

be 4 Complete Inspections and 8 Partial Inspections. 

 Inactive Permanent Program Permits: OSM is required to ―conduct an 

average of at least one complete inspection per calendar quarter‖ and ―such 

partial inspections of each inactive surface coal mining and reclamation 

operation as are necessary to ensure effective enforcement of the regulatory 

program and the Act‖ (30 CFR 842.11(c)(2)). Thus, the minimum number of 

Inspections Required Annually for Inactive Permanent Program Permits 

would be 4 Complete Inspections and 0 (zero) Partial Inspections. 
B-30 

 Abandoned Permanent Program Permits: OSM is required to ―inspect each 

abandoned site on a set frequency commensurate with the public health and 

safety and environmental considerations present at each specific site, but in no 

case shall the inspection frequency be set at less than one complete inspection 

per calendar year‖ (30 CFR 842.11(f)). Thus, the minimum number of 

Inspections Required per Site Annually for Abandoned Permanent Program 

Permits would be 1 Complete Inspection and 0 (zero) Partial Inspections. 

 All Initial Program Sites: Under the Initial Program, OSM must conduct ―at 

least one complete inspection each 6 months‖ and inspect whenever there is ―a 

reasonable belief that the provisions of the Act, regulations or permit 

conditions required by the Act are being violated, or that a condition or 

practice exists which creates an imminent danger to the health and safety of 

the public, or is causing or can reasonably be expected to cause significant, 

imminent environmental harm to land, air, or water resources‖ (30 CFR 

721.11 (b) and (c)). The Initial Program does not differentiate between 

Active, Inactive, and Abandoned sites, thus the minimum number of 

Inspections Required Annually for all types of Initial Program Sites would be 

2 Complete Inspections and 0 (zero) Partial Inspections. 

Approximate Number of Required Inspections is calculated by the DST and is the 

product of the Number of Permits and Sites multiplied by the number of 

Inspections Required Annually. 

Inspections Conducted and Approximate Number Required on All Permanent 

Program Permits and Initial Program Sites (for Complete Inspections and 

Partial Inspections) 

Number of Sites: is calculated by the DST and, for each activity type (i.e., Total 

Active, Total Inactive, and Total Abandoned), is the sum of the Number of 

Permits and Sites for each ―activity type‖ in ―Approximate Number Required 

Inspections of Permanent Program Permits‖ and ―Approximate Number Required 

Inspections of Initial Program Sites.‖ The Total is calculated by the DST and is 

the sum of Total Active, Total Inactive, and Total Abandoned. 

Approximate Number of Required Inspections is calculated by the DST and, for 

each activity type, is the sum of the Approximate Number of Required 

Inspections for each activity type in ―Approximate Number of Required 

Inspections of Permanent Program Permits‖ and ―Approximate Number of 

Required Inspections of Initial Program Sites.‖ The Total is calculated by the 

DST and is the sum of Total Active, Total Inactive, and Total Abandoned. 

Number of Inspections Conducted for each ―activity type‖ is the total number of 

inspections completed during the Evaluation Year by the regulatory authority on 

all Permanent Program Permits and Initial Program Sites for each activity type. 

The Total is calculated by the DST and is the sum of Total Active, Total Inactive, 

and Total Abandoned. 
B-31 

Exploration Sites with Permits and with Notices

Number of Sites is the sum of Total number of permit sites and Total number of 

notice sites in Table 2 (Permanent Program Permits, Initial Program Sites, 

Inspectable Units, and Exploration) and is calculated by the DST. 

Number of Complete Inspections Conducted and Number of Partial Inspections 

Conducted is the number of inspections completed during the Evaluation Year of 

all Exploration Sites (permit sites and notice sites). 

For state and tribal programs, all data should be collected from the regulatory 

authority. 

NOTE: Table 10 is not complete until after Table 2 (Permanent Program 

Permits, Initial Program Sites, Inspectable Units, and Exploration) is completed. 

Table 11: State or Tribal Enforcement Activity

Number of Actions is the total number of ―Enforcement Actions‖ issued during 

the Evaluation Year. If an ―Action‖ included multiple ―Violations‖ (e.g., a Notice 

of Violation specifying several Violations), it counts as only one ―Action.‖ 

Actions that were vacated in their entirety are not included. 

Number of Violations is the total number of all ―Violations‖ cited in all 

―Enforcement Actions‖ that were issued during the Evaluation Year. If an 

―Action‖ included multiple ―Violations,‖ all Violations cited in the one ―Action‖ 

are counted. Violations that were vacated are not included. 

Data should be collected from the regulatory authority. 

Table 12: Lands Unsuitable Activity

Activity

Petitions to have lands declared unsuitable for surface coal mining operations are 

received, rejected or accepted, and decisions on petitions are made through either 

the state or Federal processes for designating lands unsuitable as required under 

30 CFR Part 764 or 30 CPR Part 769, respectively, and in accordance with criteria 

established in 30 CFR Part 762, and the ―Activities‖ are those identified in those 

Parts (i.e., receipt, rejection, acceptance, decision). 

Number is the number of ―Activities‖ completed during the Evaluation Year.

Acres is the number of acres of land for which the regulatory authority made a 

decision during the Evaluation Year that either declared the lands unsuitable for 

all or certain types of surface coal mining operations or terminated an 

unsuitability designation for land previously declared unsuitable. 

Data should be collected from the regulatory authority. 
B-32 

Table 13: OSM Oversight Activity

Oversight Inspections and Site Visits

Inspections and Site Visits are ―counted‖ if the field inspection was completed on 

or before the end of the Evaluation Year. 

Inspections, for the purposes of Table 13 include: 

 Inspections to evaluate the administration of the state or tribal program, 

 Inspections where OSM received a request for a Federal inspection and 

was provided adequate proof that an imminent danger to the health and 

safety of the public or a significant environment harm to land, air or water 

existed, and the regulatory authority had failed to take appropriate action, 

and

 Inspections resulting from the failure of the state or tribal regulatory 

authority to take appropriate action, or show good cause for such failure, 

in response to a Ten-Day Notice (TDN). 

Complete inspections are as defined in 30 CFR 842.11(c) (1) (ii). 

Partial inspections are as defined in 30 CFR 842.11(c) (1) (i). Inspections for 

the purpose of bond release are considered Partial inspections. 

Joint and Independent inspections are as discussed above in section II.C., 

Oversight Inspections under the heading ―Conducting and selecting 

independent inspections.‖

Site Visits include site visits for the purpose providing Technical Assistance to a 

state or tribe or for reasons Other than Technical Assistance or Inspections. 

Violations Observed by OSM and Citizen Requests for Inspection 

Violations Observed by OSM on Oversight Inspections: Enter the total number of 

violations reported on the violation page of Mine-Site Evaluation Reports. 

Violations Observed that OSM Deferred to State Action During the Inspection: 

Enter the total number of violations reported on the violation page of the MineSite Evaluation Reports that were deferred to state action. 

Violations Observed that OSM Referred to State through Ten-Day Notices: Enter 

the total number of violations reported on the violation page of the Mine-Site 

Evaluation Reports that were referred to the state through a Ten-Day Notice, 

excluding Ten-Day Notices related to for citizen requests for inspection and those 

for delinquent reporting or non-payment of Federal AML fees. 
B-33 

Ten-Day Notices OSM Issued for Observed Violations: Enter the total number of 

Ten-Day Notices issued, excluding those for citizen requests for inspection and 

those for delinquent reporting or non-payment of Federal AML fees. 

Ten-Day Notices OSM Issued to Refer Citizen Requests for Inspection: Enter the 

total number of Ten-Day Notices issued to refer citizen requests for inspection to 

the State; i.e., citizen complaints. 

Notices of Violation Issued by OSM: Enter the total number of Federal Notices of 

Violation issued, excluding those for delinquent reporting or non-payment of 

Federal AML fees. 

Failure-to-Abate Cessation Orders Issued by OSM: Enter the total number of 

Federal Failure-to-Abate Cessation Orders issued, excluding those for delinquent 

reporting or non-payment of Federal AML fees. 

Imminent Harm Cessation Orders Issued by OSM: Enter the total number of 

Federal Imminent Harm Cessation Orders issued. 

OSM Action for Delinquent Reporting or Non-payment of Federal AML 

Reclamation Fees

Ten-Day Notices Issued by OSM for Delinquent Reporting or Non-payment of 

Federal AML Reclamation Fees: Enter the total number of Ten-Day Notices 

issued for delinquent reporting or non-payment of Federal AML reclamation fees. 

Notices of Violation Issued by OSM for Delinquent Reporting or Non-payment of 

Federal AML Reclamation Fees: Enter the total number of Notices of Violation 

issued for delinquent reporting or non-payment of Federal AML reclamation fees. 

Federal Failure-to-Abate Cessation Orders Issued by OSM for Delinquent 

Reporting or Non-payment of Federal AML Reclamation Fees: Enter the total 

number of Federal Failure-to-Abate Cessation Orders issued for delinquent 

reporting or non-payment of AML reclamation fees. 

All data will be derived from the OSM Inspection and Enforcement database (i.e., 

I & E Tracking System). 

Table 14 Status of Action Plans

Table 14, Status of Action Plans, lists all Action Plans that were carried over from 

the previous Evaluation Year, initiated during the Evaluation Year, or completed 

during the Evaluation Year (i.e., all Action Plans that were pending at any time 

during the Evaluation Year). If no Action Plans existed for a state or tribe at any 

time during the Evaluation Year, enter ―None‖ in the table in the first row under 

―Action Plan ID.‖
B-34 

Action Plan ID is the two-character state postal code followed by the four-digit 

Evaluation Year in which the Regulatory Program Problem was identified 

followed by a chronologically-assigned three-digit sequence number. For 

example, the Action Plan ID for the first Action Plan initiated for a Regulatory 

Program Problem in California during Evaluation Year 2010 would be CA-2010-

001 (illustration purposes only; Federal programs are not subject to oversight). 

Problem Type is either ―PA‖ or ―RP,‖ which identifies whether the Action Plan 

addresses a regulatory program problem related to a required Program 

Amendment (PA) under the authorities of 30 CFR Part 732 or 30 CFR chapter 7, 

Subchapter T or to the state‘s or tribe‘s implementation or administration of its 

regulatory program (RP). 

Problem Title is a short title of the Regulatory Program Problem for which the 

Action Plan was initiated. 

Problem Description is a brief description of the Regulatory Program Problem. 

Date Action Plan Initiated is the date that the state or tribal regulatory authority 

was notified of the Action Plan. 

Scheduled Completion Date is the anticipated date for complete resolution of the 

Regulatory Program Problem (i.e., the scheduled completion date for final step in 

an Action Plan schedule). 

Actual Completion Date is the date that resolution of the Regulatory Program 

Problem was actually completed (i.e., the actual completion date of final step in 

an Action Plan schedule). 

Table 15: Land Use Acreage (Optional)

Acres Released is the number of acres of the particular land use, including 

associated acreage, for which Phase III bond release (i.e., final bond release) was 

approved by the regulatory authority and for which jurisdiction under the Initial 

Program has been terminated by the regulatory authority during the Evaluation 

Year. 

The ―Sub-Total Other‖ and ―Total‖ values are calculated by the DST.

Data should be collected from state regulatory authority. 
T-1

TABLE 1 

[For DST Data Entry Only]

COAL PRODUCED FOR SALE, TRANSFER, OR USEA

(Millions of short tons)

Calendar Year Surface

Mines

Underground

Mines Total

YYYY calculated

A Coal production is the gross tonnage (short tons) and includes coal produced during the calendar year (CY) 

for sale, transfer or use. The coal produced in each CY quarter is reported by each mining company to OSM 

during the following quarter on line 8(a) of form OSM-1, ―Coal Reclamation Fee Report.‖ Gross tonnage does 

not provide for a moisture reduction. OSM verifies tonnage reported through routine auditing of mining 

companies. This production may vary from that reported by other sources due to varying methods of 

determining and reporting coal production.
T-2

[Program Title] 

EY [YYYY], ending June 30, [YYYY] 

CHART 1 

COAL PRODUCED FOR SALE, TRANSFER, OR USE 

DURING THE CALENDAR YEAR 

(Millions of short tons) 

TABLE 1

COAL PRODUCED FOR SALE, TRANSFER, OR USEA

Calendar Year Surface Mines Underground 

Mines Total

2007 62 39 101

2008 71 35 106

2009 56 43 99

2010 65 40 105

A Coal production is the gross tonnage (short tons) and includes coal produced during the calendar 

year (CY) for sale, transfer or use. The coal produced in each CY quarter is reported by each mining 

company to OSM during the following quarter on line 8(a) of form OSM-1, ―Coal Reclamation Fee 

Report.‖ Gross tonnage does not provide for a moisture reduction. OSM verifies tonnage reported 

through routine auditing of mining companies. This production may vary from that reported by other 

sources due to varying methods of determining and reporting coal production

0

20

40

60

80

100

120

2007 2008 2009 2010

Surface Mines Underground Mines Total
T-3

[Program Title] 

EY [YYYY], ending June 30, [YYYY] 

TABLE 2 

PERMANENT PROGRAM PERMITS, INITIAL PROGRAM SITES, INSPECTABLE UNITS, AND EXPLORATION

Mines and 

Other 

Facilities

Numbers of Permanent Program Permits and

Initial Program Sites

Insp. 

UnitsA

AreaB

Rounded to nearest _____ Acres

Permanent Program Permits Initial Program Sites

Permanent 

Program Permits

(Permit Area)

Initial Program 

Sites

Total 

Active Inactive Area

Abandoned Total Active InactiveAbandoned TotalFederal 

Lands

State/ 

Tribal 

and 

Private 

Lands

Federal 

Lands

State/ 

Tribal 

and 

Private 

Lands

Surface 

Mines

calculated calculated calculated

Underground 

Mines

calculated calculated calculated

Other 

Facilities

calculated calculated calculated

Total calculated calculated calculated calculated calculated calculated calculated calculated calculated calculated calculated calculated calculated calculated

Permanent Program Permits and 

Initial Program Sites: Total Number: calculated Average Acres per Site: calculated

Average Number of Permanent Program Permits and

Initial Program Sites per Inspectable Unit (IU): calculated Average Acres per IU: calculated

Permanent Program Permits in Temporary Cessation Total Number: Number More than 3 Years:



 



 

EXPLORATION SITES

Number of Exploration Sites with Permits: Total number of permit sites: Sites with Federal landsC:

Number of Exploration Sites with Notices: Total number of notice sites: Sites with Federal landsC:

A An Inspectable Unit may include multiple small and neighboring Permanent Program Permits or Initial Program Sites that have been grouped together as one 

Inspectable Unit, or conversely, an Inspectable Unit may be one of multiple Inspectable Units within a Permanent Program Permit.

B When a Permanent Program Permit or Initial Program Site contains both Federal and State and Private lands, the acreage for each type of land is in the 

applicable column.

C The number of Exploration Sites with Federal lands includes sites with exploration permits or notices any part of which is regulated by the state under a 

cooperative agreement or by OSM pursuant to the Federal Lands Program, but excludes exploration sites that are regulated by the Bureau of Land Management.
T-4

[Program Title] 

EY [YYYY], ending June 30, [YYYY] 

CHART 2A HISTORICAL TRENDS 

NUMBER OF INITIAL PROGRAM SITES AND PERMANENT PROGRAM PERMITS 

TABLE 2A

NUMBER OF INITIAL PROGRAM SITES AND PERMANENT PROGRAM PERMITS

Year

Initial 

Program

Sites

Permanent Program Permits

Total

Surface Mines Underground 

Mines

Other 

Facilities

2007 6 39 101 13 159

2008 5 35 106 12 158

2009 5 43 99 15 162

2010 4 40 105 13 162

0

20

40

60

80

100

120

140

160

180

2007 2008 2009 2010

Initial Program Sites Permitted Surface Mines

Permitted Underground Mines Permitted Other Sites

Total
T-5

[Program Title] 

EY [YYYY], ending June 30, [YYYY] 

CHART 2B HISTORICAL TRENDS 

AREA OF INITIAL PROGRAM SITES AND PERMANENT PROGRAM PERMITS 

TABLE 2B

AREA OF INITIAL PROGRAM SITES AND PERMANENT PROGRAM PERMITS

Year

Initial 

Program

Sites

Permanent Program Permits

Total

Surface Mines Underground 

Mines

Other 

Facilities

2007 365 4526 248 131 5146

2008 358 5261 188 119 5832

2009 358 4326 268 178 4996

2010 334 4987 232 153 5590

0

1000

2000

3000

4000

5000

6000

7000

2007 2008 2009 2010

Initial Program Sites Permitted Surface Mines

Permitted Underground Mines Permitted Other Sites

Total
T-6

[Program Title] 

EY [YYYY], ending June 30, [YYYY] 

TABLE 3 

PERMITS ALLOWING SPECIAL CATEGORIES OF MINING

Special Category of Mining

30 CFR Citation Defining 

Permits Allowing Special 

Mining Practices

Numbers of Permits

Issued During EY Total Active and 

Inactive Permits

Experimental Practice 785.13(d)

Mountaintop Removal Mining 785.14(c)(5)

Steep Slope Mining 785.15(c)

AOC Variances for Steep Slope 

Mining 785.16(b)(2)

Prime Farmlands Historically 

Used for Cropland 785.17(e)

Contemporaneous Reclamation 

Variances 785.18(c)(9)

Mining on or Adjacent to Alluvial 

Valley Floors 785.19(e)(2)

Auger Mining 785.20(c)

Coal preparation plants not 

located at a mine site 785.21(c)

In-situ Processing 785.22(c)

Remining 773.15(m) and 785.25

Activities in or within 100 Feet of a 

Perennial or Intermittent Stream

780.28(d) and/or (e)

784.28(d) and/or (e)
T-7

[Program Title] 

EY [YYYY], ending June 30, [YYYY] 

CHART 3A HISTORICAL TRENDS 

PERMITS ALLOWING SPECIAL CATEGORIES OF MINING 

TABLE 3A

NUMBER PERMITS ISSUED AND REVISIONS APPROVED

Year Experimental

Practices

Mountaintop

Removal 

Mining

Steep Slope 

Mining

Steep Slope 

Variances

Prime 

Farmlands

2007 6 39 10 13 9

2008 5 35 10 12 8

2009 5 43 9 15 2

2010 4 40 10 13 12

0

5

10

15

20

25

30

35

40

45

50

2007 2008 2009 2010

Experimental Practices Mountaintop Removal Mining

Steep Slope Mining Steep Slope Variances

Prime Farmlands
T-8

[Program Title] 

EY [YYYY], ending June 30, [YYYY] 

CHART 3B HISTORICAL TRENDS 

PERMITS ALLOWING SPECIAL CATEGORIES OF MINING 

TABLE 3B

NUMBER PERMITS ISSUED AND REVISIONS APPROVED

Year

Contemporaneous 

Reclamation 

Variances

AVF 

Mining

Auger

Mining

Preparation 

Plants not 

at Mine Site

In-Situ

Operations Remining

2007 6 39 10 24 13 9

2008 5 35 10 28 12 8

2009 5 43 9 21 15 2

2010 4 40 10 22 13 12

0

10

20

30

40

50

2007 2008 2009 2010

Contemporaneous Reclamation Variances

AVF Mining

Auger Mining

Preparation Plants

In-Situ Operations

Remining
T-9

[Program Title] 

EY [YYYY], ending June 30, [YYYY] 

TABLE 4 

PERMITTING ACTIVITY

Type of 

Application

Surface Mines Underground Mines Other Facilities Totals

App.

Rec.

Issued/

Appvd Acres

App.

Rec.

Issued/

Appvd AcresA

App.

Rec.

Issued/

Appvd Acres

App.

Rec.

Issued/

Appvd Acres

New Permits calculated calculated calculated

Renewals calculated calculated

Transfers, sales and 

assignments of permit 

rights

calculated calculated

Small operator assistance calculated calculated

Exploration permits

Exploration noticesB

Revisions that do not add 

acreage to the permit 

area.

calculated

Revisions that add 

acreage to the permit 

area, but are not 

incidental boundary 

revisions

calculated calculated calculated

Incidental boundary 

revisions calculated calculated calculated

Totals calculated calculated calculated calculated calculated calculated calculated calculated calculated calculated calculated calculated

Permits terminated for failure to initiate operations: Number: Acres: 

Acres of Phase III bond releases (Areas no longer considered to be disturbed): calculated

Permits in temporary cessation Notices received: Terminations:

Midterm permit reviews completed that are not reported as revisions Number: 

A

Includes only the number of acres of proposed surface disturbance.

B State approval not required. Involves removal of less than 250 tons of coal and does not affect lands designated unsuitable for mining.
T-10

[Program Title] 

EY [YYYY], ending June 30, [YYYY] 

CHART 4A HISTORICAL TRENDS 

NEW PERMITS ISSUED 

TABLE 4A

NEW PERMITS ISSUED

Year Surface Mines Underground 

Mines Other Total

2007 136 85 12 233

2008 184 72 15 271

2009 111 55 10 176

2010 133 71 11 215

0

50

100

150

200

250

300

2007 2008 2009 2010

Surface Mines Underground Mines Other Total
T-11

[Program Title] 

EY [YYYY], ending June 30, [YYYY] 

CHART 4B HISTORICAL TRENDS 

NEW ACREAGE PERMITTED 

TABLE 4B

NEW ACREAGE PERMITTED

Year Surface Mines Underground 

Mines Other Total

2007 1365 85 12 1462

2008 1843 72 15 1930

2009 1119 55 10 1184

2010 1332 71 11 1414

0

500

1000

1500

2000

2500

2007 2008 2009 2010

Surface Mines Underground Mines Other Total
T-12

[Program Title] 

EY [YYYY], ending June 30, [YYYY] 

TABLE 5 

OFF-SITE IMPACTS

EXCLUDING BOND FORFEITURE SITES

RESOURCES AFFECTED People Land Water Structures

DEGREE OF IMPACT minor moderate major minor moderate major minor moderate major minor moderate major

TYPE OF 

IMPACT EVENT

NUMBER OF 

EVENTS

Blasting

Land Stability

Hydrology

Encroachment

Other

Total calculated calculated calculated calculated calculated calculated calculated calculated calculated calculated calculated calculated calculated

Total number of Inspectable UnitsB:

calculated

Inspectable Units with one or more off-site impacts:

Inspectable Units free of off-site impacts: calculated % of Inspectable Units free of off-site impacts A: calculated

OFF-SITE IMPACTS AT BOND FORFEITURE SITES

RESOURCES AFFECTED People Land Water Structures

DEGREE OF IMPACT minor moderate major minor moderate major minor moderate major minor moderate major

TYPE OF 

IMPACT EVENT

NUMBER OF 

EVENTS

Blasting

Land Stability

Hydrology

Encroachment

Other

Total calculated calculated calculated calculated calculated calculated calculated calculated calculated calculated calculated calculated calculated

Total number of Inspectable UnitsB:

calculated

Inspectable Units with off-site impacts:

Inspectable Units free of off-site impacts: calculated % of Inspectable Units free of off-site impacts A: calculated
T-13

[Program Title] 

EY [YYYY], ending June 30, [YYYY] 

TABLE 5 

(Continued)

TOTAL OFF-SITE IMPACTS

INCLUDING BOND FORFEITURE SITES

RESOURCES AFFECTED People Land Water Structures

DEGREE OF IMPACT minor moderate major minor moderate major minor moderate major minor moderate major

TYPE OF 

IMPACT EVENT

NUMBER OF 

EVENTS

Blasting calculated calculated calculated calculated calculated calculated calculated calculated calculated calculated calculated calculated calculated

Land Stability calculated calculated calculated calculated calculated calculated calculated calculated calculated calculated calculated calculated calculated

Hydrology calculated calculated calculated calculated calculated calculated calculated calculated calculated calculated calculated calculated calculated

Encroachment calculated calculated calculated calculated calculated calculated calculated calculated calculated calculated calculated calculated calculated

Other calculated calculated calculated calculated calculated calculated calculated calculated calculated calculated calculated calculated calculated

Total calculated calculated calculated calculated calculated calculated calculated calculated calculated calculated calculated calculated calculated

Total number of Inspectable UnitsB:

calculated

Inspectable Units with one or more off-site impacts: calculated

Inspectable Units free of off-site impacts: calculated % of Inspectable Units free of off-site impactsA

: calculated

A

 % of Inspectable Units free of off-site impacts is based on the number of Inspectable Units at the end of the Evaluation Year. The number of Inspectable Units may vary 

during the Evaluation Year.

B

 Total number of Inspectable Units is (1) the number of Inspectable Units at the end of the Evaluation Year and (2) the number of permanent program permits terminated 

under Phase III bond release during the Evaluation Year and (3) the number of Initial Program Sites with jurisdiction terminated during the Evaluation Year and (4) the 

number of bond forfeiture sites that were reclaimed during the Evaluation Year.
T-14

[Program Title] 

EY [YYYY], ending June 30, [YYYY] 

CHART 5A HISTORICAL TRENDS 

PERCENT OF INSPECTABLE UNITS FREE OF OFF-SITE IMPACTS 

TABLE 5A

PERCENT OF INSPECTABLE UNITS FREE OF OFF-SITE IMPACTS

Year

Initial Program and 

Permanent Program 

Permits

Bond Forfeiture Sites

2007 94 90

2008 92 92

2009 94 91

2010 97 94

86

88

90

92

94

96

98

2007 2008 2009 2010

Initial Program and Permitted Sites Bond Forfeiture Sites Total
T-15

[Program Title] 

EY [YYYY], ending June 30, [YYYY] 

TABLE 6 

SURFACE COAL MINING AND RECLAMATION ACTIVITY

Areas of Phase I, II and III Bond Releases During the Evaluation Year (EY)

Phase I Releases Phase II Releases Phase III Releases

Total Acres Released During the EY

Total Acres 

Released in 

Approved

Phase I

Releases

Total Acres 

Released in 

Approved 

Phase II 

Releases

Acres not 

previously 

released 

under

Phase I

Total Acres 

Released in 

Approved 

Phase III 

Releases

Acres not 

previously 

released 

under

Phase II

Acres not 

previously 

released 

under

Phase I or II

Phase I calculated

Phase II calculated

Phase III calculated

Cumulative Total Acres Released under All Bond Release Phases at the End of the Evaluation Year calculated

Number of Permanent Program Permits Terminated under Phase III Bond Release and

Initial Program Sites with Jurisdiction Terminated During the Evaluation Year

Areas of Permits Bonded for Disturbance by Surface Coal Mining and Reclamation Operations

Total Acres at 

Start of EY

Total Acres at 

End of EY

Change in Acres 

During EY

New Area and Cumulative Area Bonded for Disturbance calculated calculated

Area Bonded for Disturbance without Phase I Bond Release calculated calculated

Area Bonded for Disturbance for which Phase I Bond Release Has Been Approved calculated calculated

Area Bonded for Disturbance for which Phase II Bond Release Has Been Approved calculated calculated

Total Area Bonded for Disturbance calculated calculated calculated

Area Bonded for Remining calculated calculated

Areas of Permits Disturbed by Surface Coal Mining and Reclamation Operations

Disturbed Area calculated calculated
T-16

[Program Title] 

EY [YYYY], ending June 30, [YYYY] 

CHART 6A HISTORICAL TRENDS 

ACRES OF PHASE I, II AND III BOND RELEASES 

TABLE 6A

ACRES OF PHASE I, II AND III BOND RELEASES

Year Phase III Phase II Phase I Total

2007 6,182 6,197 8,733 21,112

2008 4,203 4,856 5,202 14,261

2009 4,268 5,128 4,396 13,792

2010 5,134 5,249 6,211 16,594

-

5,000 

10,000 

15,000 

20,000 

25,000 

2007 2008 2009 2010

Phase III Phase II Phase I Total
T-17

[Program Title] 

EY [YYYY], ending June 30, [YYYY] 

CHART 6B HISTORICAL TRENDS 

ACRES BONDED FOR DISTURBANCE AND DISTURBED AREA 

TABLE 6B

AREAS BONDED FOR DISTURBANCE AND DISTURBED AREA

Year

ACRES BONDED FOR DISTURBANCE

Disturbed 

Area Unreleased Phase I 

Released

Phase II 

Released

Total 

Bonded 

Area

2007 56,182 26,197 18,733 101,112 93,576

2008 54,203 24,856 15,202 94,261 85,153

2009 54,268 25,128 14,396 93,792 84,667

2010 55,134 25,249 16,211 96,594 87,291

0

20,000

40,000

60,000

80,000

100,000

120,000

2007 2008 2009 2010

Unreleased Phase I Released Phase II Released

Total Bonded Area Disturbed Area
T-18

[Program Title] 

EY [YYYY], ending June 30, [YYYY] 

TABLE 7 

BOND FORFEITURE ACTIVITY

(Permanent Program Permits)

Bond Forfeiture and Reclamation Activity

Number of 

Sites Dollars Acres

Sites with bonds forfeited and collected that were un-reclaimed at the 

start of the current Evaluation Year (i.e., end of previous Evaluation 

Year)A

calculated calculated

Sites with bonds forfeited and collected during the current Evaluation 

Year

Sites with bonds forfeited and collected that were re-permitted during 

the current Evaluation Year

Sites with bonds forfeited and collected that were reclaimed during 

the current Evaluation Year

Sites with bonds forfeited and collected that were un-reclaimed at the 

end of the current Evaluation YearA

calculated calculated

Sites with bonds forfeited but un-collected at the end of the current 

Evaluation Year

Forfeiture Sites with Long-Term Water Pollution

Bonds forfeited, lands reclaimed, but water pollution is still occurring

Bonds forfeited, lands reclaimed, and water treatment is ongoing 

Surety/Other Reclamation Activity In Lieu of Forfeiture

Sites being reclaimed by surety/other party at the start of the current 

Evaluation Year (i.e., the end of previous Evaluation Year)B

calculated calculated

Sites where surety/other party agreed during the current Evaluation 

Year to do reclamation

Sites being reclaimed by surety/other party that were re-permitted 

during the current Evaluation Year

Sites with reclamation completed by surety/other party during the 

current Evaluation YearC

Sites being reclaimed by surety/other party at the end of the current 

Evaluation YearB

calculated calculated

A

Includes data only for those forfeiture sites not fully reclaimed.

B

Includes all sites where surety or other party has agreed to complete reclamation, and the site is not fully 

reclaimed.

C These sites are also reported in Table 6, Surface Coal Mining and Reclamation Activity, because Phase III bond 

release would be granted on these sites.
T-19

[Program Title] 

EY [YYYY], ending June 30, [YYYY] 

CHART 7A HISTORICAL TRENDS 

NUMBER OF BOND FORFEITURE SITES 

TABLE 7A

NUMBER OF BOND FORFEITURE SITES

Year Bond Forfeiture Sites

2007 90

2008 92

2009 91

2010 94

88

89

90

91

92

93

94

95

2007 2008 2009 2010

Bond Forfeiture Sites
T-20

[Program Title] 

EY [YYYY], ending June 30, [YYYY] 

CHART 7B HISTORICAL TRENDS 

ACREAGE OF BOND FORFEITURE SITES 

TABLE7B

ACREAGE OF BOND FORFEITURE SITES

Year Acres

2007 90

2008 92

2009 91

2010 94

0

50

100

150

200

250

300

350

400

450

2007 2008 2009 2010

Bond Forfeiture Acres
T-21

[Program Title] 

EY [YYYY], ending June 30, [YYYY] 

CHART 7C HISTORICAL TRENDS 

NUMBER OF SITES WITH WATER POLLUTION STILL OCCURRING 

TABLE 7C

NUMBER OF SITES WITH WATER 

POLLUTION STILL OCCURRING

Year Sites

2007 90

2008 92

2009 91

2010 94

0

2

4

6

8

10

12

2007 2008 2009 2010

Bond Forfeiture Sites
T-22

[Program Title] 

EY [YYYY], ending June 30, [YYYY] 

CHART 7D HISTORICAL TRENDS 

NUMBER OF SITES WITH WATER TREATMENT ONGOING 

TABLE 7D

NUMBER OF SITES WITH WATER 

TREATMENT ONGOING

Year Sites

2007 90

2008 92

2009 91

2010 94

0

1

2

3

4

5

6

7

8

9

2007 2008 2009 2010

Bond Forfeiture Sites
T-23

 [Program Title] 

EY [YYYY], ending June 30, [YYYY] 

TABLE 8 

REGULATORY AND AML PROGRAMS STAFFING

Function Number of FTEs

Regulatory Program

Permit Review and Maintenance

Inspection

Other (supervisory, clerical, administrative, fiscal, personnel, etc.)

Regulatory Program Total calculated

AML Program Total

TOTAL calculated
T-24

[Program Title] 

EY [YYYY], ending June 30, [YYYY] 

CHART 8A HISTORICAL TRENDS 

REGULATORY AND AML PROGRAMS STAFFING 

TABLE 8A

REGULATORY AND AML PROGRAMS STAFFING

Year

Regulatory Program AML 

Program Permitting Inspection Admin Total

2007 6 8 3 17 11

2008 7 9 3 19 12

2009 7 8 3 18 12

2010 6 8 3 17 12

0

2

4

6

8

10

12

14

16

18

20

2007 2008 2009 2010

Permitting Staff Inspection Staff Admin Staff

Regulatory Total AML Total
T-25

 [Program Title] 

EY [YYYY], ending June 30, [YYYY] 

TABLE 9 

FUNDS GRANTED TO STATE OR TRIBE BY OSM

(Actual Dollars Rounded to the Nearest Dollar)

Type of Funding Federal Funds 

Awarded

Total Program 

Cost

Federal Funds 

Awarded as a 

Percentage of Total 

Program Costs

Regulatory Funding

Administration and 

Enforcement Grant

Other Regulatory Funding, if 

applicable

Subtotal (Regulatory 

Funding)

calculated

Small Operator Assistance 

Program Grant Funding

calculated

Abandoned Mine Land 

Reclamation FundingA

calculated

Watershed Cooperative 

Agreement Program

calculated

Total
T-26

[Program Title] 

EY [YYYY], ending June 30, [YYYY] 

CHART 9A HISTORICAL TRENDS 

FUNDS GRANTED TO STATE OR TRIBE BY OSM 

TABLE 9A

FUNDS GRANTED TO STATE OR TRIBE BY OSM

Year Regulatory 

Program SOAP AML Program Total

2007 2,100,000 39,000 950,000 3,089,000

2008 2,000,000 35,000 980,000 3,015,000

2009 1,945,000 43,000 1,000,000 2,988,000

2010 1,750,000 40,000 1,000,000 2,790,000

-

500,000 

1,000,000 

1,500,000 

2,000,000 

2,500,000 

3,000,000 

3,500,000 

2007 2008 2009 2010

Regulatory Program SOAP AML Program Total
T-27

[Program Title] 

EY [YYYY], ending June 30, [YYYY] 

TABLE 10 

STATE OR TRIBAL INSPECTION ACTIVITY

Permits and Sites Complete Inspections Partial Inspections

Activity Status

Number of 

Permits and 

Sites

Inspections 

Required 

Annually

Approximate 

Number of 

Required 

InspectionsA

Number of 

Complete 

Inspections 

Conducted

Inspections 

Required 

Annually

Approximate 

Number of 

Required 

InspectionsA

Number of 

Partial 

Inspections 

Conducted

Approximate Number of Required Inspections of Permanent Program Permits

Active calculated calculated calculated

Inactive calculated calculated calculated

Abandoned calculated calculated calculated

Approximate Number of Required Inspections of Initial Program Sites

Active calculated calculated calculated

Inactive calculated calculated calculated

Abandoned calculated calculated calculated

Inspections Conducted and Approximate Number Required on All Permanent Program Permits and Initial Program Sites

Total Active calculated calculated calculated

Total Inactive calculated calculated calculated

Total Abandoned calculated calculated calculated

Total calculated calculated calculated calculated calculated

Exploration Sites with Permits and with Notices

All Exploration calculated

A The number of required inspections are approximations because part way through the Evaluation Year Sites may change ―activity status‖ or become eliminated because final Phase III bond 

release was approved or the regulatory authority terminated its jurisdiction under the Initial Program. Likewise, as new permits are issued throughout the Evaluation Year, the number of 

Permanent Program Permits would increase, but only some of the ―Inspections Required per Site Annually‖ would be required for those sites permitted part way through the year. Additionally, 

some Sites may be consolidated into one inspectable unit, thus one inspection may cover multiple Sites.
T-28

[Program Title] 

EY [YYYY], ending June 30, [YYYY] 

CHART 10A HISTORICAL TRENDS 

STATE OR TRIBAL INSPECTION ACTIVITY 

TABLE 10A 

STATE OR TRIBAL INSPECTION ACTIVITY

Year

Required 

Inspections 

(Approx)

Inspections 

Conducted

Exploration 

Inspections

2007 112 125 12

2008 128 128 15

2009 136 131 19

2010 126 130 16

0

20

40

60

80

100

120

140

160

2007 2008 2009 2010

Required Inspections Inspections Conducted Exploration Inspections
T-29

 [Program Title] 

EY [YYYY], ending June 30, [YYYY] 

TABLE 11 

STATE OR TRIBAL ENFORCEMENT ACTIVITY

Type of Enforcement

Action

Number of

ActionsA

Number of

ViolationsA

Notice of Violation

Failure-to-Abate Cessation Order

Imminent Harm Cessation Order

A Does not include actions and violations that were vacated.
T-30

[Program Title] 

EY [YYYY], ending June 30, [YYYY] 

CHART 11A HISTORICAL TRENDS 

STATE OR TRIBAL ENFORCEMENT ACTIVITY 

TABLE 11A

STATE OR TRIBAL ENFORCEMENT ACTIVITY

Year Notices of 

Violation Violations

FTA Cessation 

Orders

Imminent Harm 

Cessation 

Orders

2007 62 87 5 3

2008 71 98 7 4

2009 56 76 6 1

2010 65 76 4 2

0

20

40

60

80

100

120

2007 2008 2009 2010

Notices of Violation Violations

FTA Cessation Orders Imminent Harm Cessation Orders
T-31

[Program Title] 

EY [YYYY], ending June 30, [YYYY] 

TABLE 12 

LANDS UNSUITABLE ACTIVITY

Activity Number Acres

Petitions Received

Petitions Rejected

Petitions Accepted

Decisions Denying Petition

Decisions Declaring Lands Unsuitable

Decisions Terminating Unsuitable 

Designations
T-32

[Program Title] 

EY [YYYY], ending June 30, [YYYY] 

CHART 12A HISTORICAL TRENDS 

LANDS UNSUITABLE ACTIVITY 

TABLE 12A

LANDS UNSUITABLE ACTIVITY

Year Petitions 

Received

Petitions 

Rejected

Unsuitability 

Declarations

2007 3 3 0

2008 1 0 1

2009 0 0 0

2010 3 1 1

0

1

2

3

4

2007 2008 2009 2010

Petitions Received Petitions Rejected Unsuitability Declarations
T-33

[Program Title] 

EY [YYYY], ending June 30, [YYYY] 

CHART 12B HISTORICAL TRENDS 

ACRES DECLARED UNSUITABLE 

TABLE 12B

Year Acres Declared 

Unsuitable

2007 0

2008 531

2009 0

2010 1113

0

200

400

600

800

1000

1200

2007 2008 2009 2010

Acres Declared Unsuitable
T-34

[Program Title] 

EY [YYYY], ending June 30, [YYYY] 

TABLE 13 

OSM OVERSIGHT ACTIVITY

Oversight Inspections and Site Visits

Oversight

Inspections

Complete Partial

Total

Joint Independent Joint Independent

Site Visits

Technical Assistance Other Total

Violations Observed by OSM and Citizen Requests for Inspection 1

Type of Action Total 

Violations Observed by OSM on Oversight Inspections

Violations Observed that OSM Deferred to state Action during the Inspections

Violations Observed that OSM Referred to State through Ten-Day Notices 2

Ten-Day Notices OSM Issued for Observed Violations 3

Ten-Notices OSM Issued to Refer Citizen Requests for Inspection

Notices of violation Issued by OSM

Failure-to-Abate Cessation Orders Issued by OSM

Imminent Harm Cessation Orders Issued by OSM

OSM Action for Delinquent Reporting or Non-payment of Federal AML Reclamation Fees

Ten-Day Notices Issued by OSM for Delinquent Reporting or Non-payment of 

Federal AML Reclamation Fees

Notices of Violation Issued by OSM for Delinquent Reporting or Non-payment of 

Federal AML Reclamation Fees

Federal Failure-to-Abate Cessation Orders Issued by OSM for Delinquent 

Reporting or Non-payment of Federal AML Reclamation Fees

 

 

 

1

 This section does not include actions for delinquent reporting or non-payment of Federal AML fees that are 

reported in the last section of the table. 

2 Number of violations contained in Ten-Day Notices not including those issues to refer citizen‘s request for 

inspection. 

3 Number of Ten Day Notices issued not including those issued to refer citizen requests for inspection. 
T-35

TABLE 13A 

Year

Violations 

observed on 

OSM 

oversight 

inspections

Violations 

deferred to 

state action

Violations 

referred 

to state 

by TDN

Total 

TDNs 

issued

TDNs 

issued to 

refer 

requests for 

inspections

Federal 

NOVs, 

FTACOs, 

& IHCOs 

issued

Oversight 

inspections

Site

Visits

2007 15 14 1 1 1 0 25 0

2008 17 12 5 3 1 0 20 2

2009 12 10 2 2 2 0 25 1

2010 23 20 5 4 2 1 30 3

CHART 13A HISTORICAL TRENDS 

OSM OBSERVED VIOLATIONS 

 CHART 13B CHART 13C

 OSM ENFORCEMENT ACTIVITY OSM INSPECTION ACTIVITY 

0

5

10

15

20

25

2007 2008 2009 2010

Violations Observed on Oversight Inspections

Violations Deferred to State Action

Violations Referred to State by TDN

0

1

2

3

4

5

2007 2008 2009 2010

Total TDNs Issued 

TDNs Issued to Refer Requests for Inspections 

Federal NOVs, FTACOs, & IHCOs Issued

0

5

10

15

20

25

30

2007 2008 2009 2010

Oversight Inspections Site Visits
T-36

[Program Title] 

EY [YYYY], ending June 30, [YYYY] 

TABLE 14 

STATUS OF ACTION PLANS 

Action

Plan

ID

Problem 

Type1Problem Title Problem Description

Date

Action 

Plan

Initiated

Scheduled 

Completion 

Date

Actual 

Completion 

Date

1

Problem Type: ―PA‖ indicates a required Program change under subchapter T or 732 

―RP‖ indicates a Regulatory Program implementation or administration problem
T-37

[Program Title] 

EY [YYYY], ending June 30, [YYYY]] 

TABLE 15 

(Optional) 

POST-MINING LAND USE ACREAGE

OF SITES FULLY RECLAIMED

(Phase III bond release or termination of jurisdiction under the Initial Program)

Land UseA Acres

Released

Cropland

Pasture/Hayland

Grazingland

Forestry

Residential

Industrial/Commercial

Recreation

Fish & Wildlife Habitat

Developed Water Resources

Undeveloped land or no current use or land management

Other – Public Utilities

Other – [Identify]

Other – [Identify]

Other – [Identify]

Other – [Identify]

Other – [Identify]

Other – [Identify]

Other – [Identify]

 Sub-Total Other calculated

Total calculated

A

Land uses as defined in 30 CFR 701.5 or ―Other‖ as defined under the state or tribal program
T-38

[Program Title] 

EY [YYYY], ending June 30, [YYYY] 

CHART 15A HISTORICAL TRENDS 

POST MINING LAND USE ACREAGES 

TABLE 15A 

POST MINING LAND USE ACREAGES

Year

Cropland

Pasture 

Hayland

Grazing land

Forestry

Residential

Industrial 

Commercial

Recreation

F&W Habitat

Water 

Resources

Undeveloped

Other

2007 550 570 1250 80 5 10 5 80 10 0 10

2008 720 610 1190 70 15 20 10 90 3 10 20

2009 280 700 1040 140 10 15 15 100 0 100 15

2010 230 660 930 110 0 10 10 80 2 80 5

0

200

400

600

800

1000

1200

1400

2007 2008 2009 2010

Cropland Pasture Hayland Grazingland

Forestry Residential Industrial Commercial

Recreation F&W Habitat Water Resources

Undeveloped Other