U· S· DEPARTMENT OF THE INTERIO Subject Number: 

INF-2 

OFFICE OF SURFACE MINING "=r-ran-sm-:-itt~al N::-um-:-be-r:--t 

RECLAMATION AND ENFORCEMENT 576 

DIRECTIVES SYSTEM Date: SEP 2 8 1989 

Subject: 

Approv itle: Director 

Purpose. This directive establishes an Office of Surface 

Mining Reclamation and Enforcement (OSM) Administrative Records 

System. It serves as an aid to public participation in the 

rulemaking process and as a guide to: 

a. Establish and maintain administrative record facilities at 

the Field Offices and at Washington, D.C. (Headquarters); 

b. Identify documents and materials to be made available in 

administrative record facilities for public inspection and copying; and 

c. Advise OSM employees of agency policies and procedures concerning administrative records. 

2. Summary of Changes. This directive reflects the following 

change to OSM D~rective INF-2, dated April 15, 1988: 

Headquarters administrative record will no longer maintain an 

administrative record for each State program and each Federal 

program located in a particular State. 

3. Definitions. 

a. Administrative Record. The administrative record is a 

comprehens~ve agencyw~de compilation of decision making documents 

associated with rulemaking actions. For example, the administrative 

records of a State program would include all documents listed under 

the definition of State program documents. Internal memoranda and 

annual oversight evaluation report materials should be included only 

at the responsible official's discretion. The lead official for 

each administrative record may occasionally choose to make program 

documents that are indirectly related to a rulemaking action 

available for public review through placement in the appropriate 

administrative record. As a minimum, however, all information 

referred to in the Preamble of the Federal Register notice will be 

included in the administrative record. 
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b. Federal Program. This program is promulgated by the 

Secretary and implemented by OSM under Section 504 of the Surface 

Mining Control and Reclamation Act of 1977 (SMCRA) to regulate 

surface coal mining and reclamation operations on all non-Indian 

lands within a State. 

c. Public Comments. These comments are presented at public 

hearings or meet~ngs or submitt.ed in writing by the public regarding 

particular issues in rulemaking. 

d. Public Hearing. Public hearings are scheduled meetings 

concerning a proposed rulemaking action at which OSM officials 

accept written and oral testimony from participants, respond to 

questions, and prepare a verbatim transcript of the proceedings. 

e. Public Meeting. A public meeting is a scheduled informal 

discussion between any int.erested individuals and OSM concerning 

any proposed rulemaking action. Minutes must be kept by OSM. 

f. Rulemaking. Rulemaking is the process of formulating, 

amending, suspend~ng or repealing any OSM regulation, in whole or 

in part. Also, rulemaking is deciding whether a proposed State 

program or State program amendment meets all pertinent. Federal 

requirements under 30 CFR Parts 732 and 745 and any State program 

maintenance action under 30 CFR Part. 7 33. 

g. State Program. This program is est.ablished and 

implemented by a State and approved by the Secretary under Section 

503 of SMCRA to regulat.e surface coal mining and reclamation 

operations on non-Federal and non-Indian lands in accordance with 

SMCRA and t.he Federal regulat.ions. If a cooperative agreement 

governing mining on Federal lands has been approved under Section 

523 of SMCRA, that. agreement is part of the State program. For 

purposes of this directive, this term also includes State abandoned 

mine land reclamation plans approved by t.he Secretary under Sect.ion 

405 of SMCRA. 

h. State Program Documents. These documents include State 

regulations, State statutes, abandoned mine land reclamation plans, 

and all other documents officially submitted by the State as part 

of, or in support of, a proposed St.ate program or State program 

amendment. These documents also include all written notifications 

of official submissions; public comments; public hearing 

transcripts; records of public meetings; significant conversation 

records; concurrences, comments, and requests for consultation 

received from other Government agencies; Federal Register notices; 

Federal lands cooperative agreements; and all off~c~al 

correspondence, including issue letters and Part 732 notifications 

as defined in directive REG-5 and directive REG 23-1. 

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i. Technical Literature. These i t.ems are reference rna t.erials 

used in develop~ng Federal regulations other than those in 

Subchapter T of 30 CFR Chapter VII. These mat.erials may include 

textbooks, technical reports, handbooks, manuals, lett.ers, 

conversation records, etc. 

This material is required only at the Headquarters 

administrative record facility, but may be kept locally 

at the discretion of the Administrative Record Manager. 

4. Policy/Procedures. 

a. Policy. An administrative record must be established and 

maintained for all Federal rulemaking actions. Each State 

permanent regulatory program (including all subsequent. amendments) 

shall be considered a single rulemaking action for administrative 

record purposes. State abandoned mine land reclamation plans and 

subsequent amendments may be considered as a separate action (and, 

hence, maintained in a separat.e administrative record file). Also, 

if the plan was approved in the rulemaking action containing the 

Secretary's approval of the State's regulatory program, it may be 

combined with the permanent regulatory program file. 

b. Responsibilities. 

(1) The Chief, Division of Management Services, shall: 

(a) Serve as the lead official in the establishment and 

maint.enance of the Headquarters administrative record for 

rulemaking actions pertaining to OSM regulations other than those 

in Subchapter T of 30 CFR Chapter VII. The Headquarters 

administrative record facility is the sole legal depository for 

documents associated with these Federal rulemaking actions. 

(b) Provide guidance on administrative record 

administration and answer questions arising from the application of 

this directive. 

(c) Designate a Headquarters Administrative Record 

Manager. 

(2) Each Field Office Director shall: 

(a) Serve as the lead official in the establishment and 

maintenance of the administrative record for rulemaking actions 

pertaining to individual State and Federal programs under Subchapter 

T of 30 CFR Chapter VII. Subchapter T concerns programs for the 

conduct of surface mining operations within each State as well as 

certification of blasters in Federal Program States and on Indian 

Lands. 

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(b) Maintain an administrative record for each State 

and Federal program under his/her jurisdiction. 

(c) Provide one numbered copy of each new 

administrative record document to the appropriate ~ssistant Director 

for Field Operations. 

(d) Designate an Administrative Record Manager for the 

Field Office. 

(3) All Administrative Record Managers shall: 

(a) Assign each document a unique administrative record 

identification number. For State and Federal program documents, 

this number will be based on a combination of the appropriate 

standard abbreviation for the St.ate and a sequential number. For 

example, the first document received with respect to the Wyoming 

program will be assigned number WY-1, while the 24th document 

received pertaining to that program will be numbered WY-24. 

(b) Maintain a complete administrative record file of 

all documents and an up-to-dat.e index of all entries. At. a minimum, 

the entry log/index shall include the document identification 

number, author, agency, date, and precise subject description. 

(c) Cooperate with other administrative record 

facilities, the Assistant Directors, Field Operations and the 

public by complying with requests for duplicate documents or file 

information. 

(d) Be familiar with agency policies and procedures 

concerning Freedom of Information Act requests (see OSM Directive 

INF-3, Freedom of Information Act), and comply with requests from 

the public for documents and information. 

(e) Maint.ain a log of all requests for information. The 

log must contain the date and time of request, the type of request 

(telephone, mail or personal visit), the ident.ification number of 

the document requested, and a statement as to whether the request 

was filled. The Manager should also request t.he name of the 

requester and the organization which he or she is representing, if 

any. The Manager must advise the requester that submission of this 

identifying information is opt.ional and cannot be legally required. 

(f) Establish and maintain a bulletin board and post 

the date, time, location, and subject. matter of all scheduled public 

meetings and hearings with Federal or St. ate officials concerning 

proposed rulemakings. 

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(or area) 

documents. 

hours each 

(g) Establish 

where the public 

Administrative 

working day and 

and maintain an adequate reading 

may review administrative record 

record facilities are to be open 

locked at all other times. 

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room 

eight 

(h) Maintain strict file security. Original documents 

may not be removed from the administrative record facilities except 

for the purpose of copying under the direct.ion of the 

Administrative Record Manager. Photocopies of documents may be 

obtained by the public upon payment of 13 cents per page. The 

charge for copying records may be reduced or waived in accordance 

with the Depart.ment' s Freedom of Information Act. regulations at 43 

CFR 2.21. A requester is entitled to receive, free of charge, one 

copy of the t.ext. of any St.ate program or State program amendment on 

which OSM has not yet taken final act.ion. 

(i) Adhere to records disposition schedule requirements 

for administrative records as contained in Temporary Directive 88-

16, Records Management Manual. 

5. Reporting Requirements. None 

6. Effect on Other Documents. Supersedes OSM Directive INF-2, 

"Admin~strat~ve Records System," Transmit.tal Number 435, dated 

April 15, 1988. 

7. References. 

a. Administrative Procedure Act, 5 U.S.C. 551, et ~· 

b. 43 CFR Part 2, Subpart B, Request for Records. 

c. OSM Direct.ive REG-5, "Processing of Proposed Regulatory 

Programs, Amendments and Part 732 Notifications," Transmittal Number 

508, dated 01-18-89. 

d. OSM Directive Reg 23-1, "Development and Implementation of 

Action Plans," Transmittal Number 436, Change Notice Dated 04-15-

88. 

e. OSM Temporary Directive 88-16, "Records Management. 

Manual,'' dated 10-01-88. 

f. 30 CFR 

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8. Effective Date. Upon issuance. 

9. Contact. Chief, Division of Management Services, (202) 343-

7826. 

10. Keywords. Administrative Record, Rulemaking, State Programs, 

Federal Programs. 

ll. Appendix. None 

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