U.S. DEPARTMENT OF THE INTERIOR 

OFFICE OF SURFACE MINING 

RECLAMATION AND ENFORCEMENT 

DIRECTIVES SYSTEM 

Subject: EXPE/NTAL PRACTI~ I 

Approval: ~_, /bl' j- 1 / Title: Director 

1 Subject Nwnber: 

REG-7 

Transmittal Nwnber: 

719 

Date: 

APR 241992 

r,~ Puroose.<' Tn1.s a1.~ct1.ve estat>.ll.shes the procedures for 

rE iewing experimental practices. Experimental practices may be 

p1oposed as alternatives to present performance standards as 

means of attaining the environmental objectives of the Surface 

Mining Control and Reclamation Act of 1977 (SMCRA). This 

directive identifies the responsibilities and steps in the review 

process in order to assure that experimental practice proposals 

will be processed by the Office of Surface Mining Reclamation and 

Enforcement (OSM) in a timely manner. It also includes 

procedures for transferring resulting technologies. 

2. summary of Changes. This directive reflects the following 

changes to OSM Directive REG-7, dated June 8, 1988. 

a. Incorporates Change Notice REG 7-1 dated December 6, 

1990, which requires compliance with provisions of the National 

Environmental Policy Act of 1969 (NEPA) and the OSM NEPA Handbook 

(OSM Directive REG-1). 

b. Clarifies and updates the following: 

(1) Section 4.c., Responsibilities, was rewritten to 

clarify: 

(a) The Assistant Directors, Eastern and western 

Support Centers approval and notification procedures; and 

(b) The responsibilities of Field Office 

Directors regarding inspection of experimental practices sites. 

(2) New organizational titles and minor editorial 

corrections. 

3. Definitions. All terms used in this directive are defined 

consistently with those in SMCRA and 30 CFR Chapter VII. 

4. Policy/Procedure. 

a. Policy. OSM encourages the development of 

experimental practices as a means of demonstrating the 

effectiveness and economic feasibility of new mining and 

reclamation practices or to provide innovative postmining land 

use alternatives. Applications for such practices need timely 

review so as not to discourage such applications. 

7/22/86 
OSM staff members are encouraged to work with State regulatory 

authorities and applicants in the development of approvable 

experimental practices applications. 

Approvals of experimental practices are Federal actions requiring 

compliance with the National Environmental Policy Act of 1969, as 

amended (P.L. 91-190). Environmental documents submitted for 

NEPA compliance must meet the requirements of this directive and 

the OSM NEPA Handbook (Directive REG-1). 

Limited funding for the monitoring of experimental practices may 

be available on a case-by-case basis and will be considered by 

the Applied Studies Policy Committee as a category of the 

Technical Studies and Applied Research Program. 

b. Procedures. 

(1) An applicant initiates a request by the written 

submission of a proposal as part of a new Title V permit 

application or as part of an application for a revision to an 

existing Title V permit. The request for an experimental 

practice must be submitted to the regulatory authority. Where a 

state is the regulatory authority, it may submit the application 

to OSM for simultaneous review prior to forwarding to OSM its 

decision to approve or disapprove the application. If a 

simultaneous review is requested, OSM will not make a decision on 

the experimental practice until the state has transmitted its 

findings to OSM for concurrence. 

(2) When a Field Office receives a request for 

concurrence in, or a simultaneous review of, an experimental 

practice from a regulatory authority, the Field Office Director 

(FOD) will forward the request to the Assistant Directors/Eastern 

and Western Support Centers (AD's/ESC-WSC) with comments, or 

comments to follow. 

(3) The AD's/ESC-WSC will appoint a Technical Project 

Officer (TPO) trained as a Contracting Officer's Technical 

Representative and qualified in the technical aspects of the 

proposed experimental practice. 

(4) The TPO will determine whether the practice meets 

the requirements for approval of an experimental practice under 

30 CFR 785.13. During this review, the TPO will assess the 

operator's proposed monitoring system to ensure that it will 

provide information sufficient to evaluate the effectiveness of 

the experimental practice and to identify, at the earliest 

possible time, any potential risk to the environment and public 

health and safety. 

2 
(5) Following the TPO's review, the AD'sfESC-WSC will 

notify, in writing, the Assistant Director, Reclamation and 

Regulatory Policy (AD/RRP) of the experimental practice and the 

recommendation for approval, approval with modification or 

disapproval. Upon request, a copy of the decision package will 

be sent to the AD/RRP. 

(6) Upon receiving comments from the AD/RRP, the 

AD's/ESC-WSC shall approve, approve with modification, or 

disapprove each experimental practice and notify the appropriate 

regulatory authority, Field Office and AD/RRP of the decision. 

(7) The review of a State's decision should be 

conducted within 30 working days of receipt of that decision. In 

cases where OSM is the regulatory authority, a prompt review of 

the application should occur. 

(8) 

AD's/ESC-WSC, 

will: 

Once the experimental practice is approved by the 

the TPO or others as assigned by the AD's/ESC-WSC, 

(a) provide, within 30 working days, information 

on the experimental practice to the Headquarters' Research and 

Technical standards Branch for entry into the Technical study and 

Applied Research Projects Data Base (see appendix); 

(b) ensure the technical adequacy of the State 

regulatory authority's annual review of the practice as required 

by the permit; 

(c) develop semiannual reports on the status of 

the practice as specified in the decision document; and 

(d) when appropriate, prepare a proposed 

technology transfer plan in accordance with procedures of 

paragraphs d.(l) (a)-(d) of this directive. 

(8) Revisions which entail significant alterations in 

the experimental practice will require the concurrence of the 

AD's/ESC-WSC and will be processed in accordance with the 

procedures of this section. 

(9) NEPA Compliance. In addition to the following 

requirements, consult the OSM NEPA Handbook (REG-1) for guidance 

on appropriate NEPA processing and drafting documentation. 

3 
(a) Use of Departmental categorical Exclusion. 

The approving official may determine that an experimental 

practices proposal for nondestructive data collection, inventory 

(including field, aerial and satellite surveying and mapping), 

study, research and monitoring activities is categorically 

excluded according to the Department of the Interior Departmental 

Manual, 516 DM 2, Appendix 1.6. The proposal must not alter 

permit requirements or performance standards in any other way. 

Additionally, an environmental assessment (EA) and Finding of No 

Significant Impact (FONSI) shall be prepared as described below 

for an individual proposal, if the exceptions listed in 516 DM 2, 

Appendix 2.1 to 2.10 apply to its implementation. If the 

proposal is categorically excluded, the approving official 

prepares and signs a categorical exclusion determination and 

includes it as part of the decision package. 

(b) Proposal as Part of a New Federal Surface 

~c~o~a~l~M~i~n~i~n~g~P~e~r~m~i~t~A~p~p~l~i~c~a~t~i~o~n. The environmental document 

submitted for NEPA compliance with the permit application shall 

include discussion of the experimental practices proposal. 

(c) Proposal as Part of a Federal Permit Revision 

Application. since a federally-permitted mining operation is 

subject to NEPA compliance, the experimental practices proposal 

may have already been adequately discussed and impacts assessed 

in the previous environmental documents (EA/FONSI or 

environmental impact statement (EIS)). If it was adequately 

discussed and assessed in the previous environmental documents, 

the approving official shall prepare and sign the FONSI with a 

short statement in the findings documenting the previous 

environmental documents, that the FONSI is based upon the 

following directive REG-21-1. Otherwise, the experimental 

practices application shall include an EA. A previous 

environmental document may be incorporated by reference into the 

EA. (See paragraph (e) below.) In addition to OSM, the EA may 

be prepared by another agency, the State, applicant, etc., 

provided it is adequate for experimental practices approval 

purposes in accordance with section 3.B.2. of the OSM Handbook 

(REG-1). The approving official shall prepare and sign the FONSI 

and attach the EA to it as part of the decision package. 

(d) Proposal at a State-Permitted Surface Coal 

Mining Operation. The experimental practices decision document 

shall include an EA. In addition to OSM, the EA may be prepared 

by another agency, the State, applicant, etc., provided it is 

adequate for experimental practices approval purposes in 

accordance with section 3.B.2. of the OSM NEPA Handbook (REG-1}. 

4 
The approving official shall prepare and sign the FONSI and 

attach the EA to it as part of the decision package. (Since a 

state-issued coal mining permit is not subject to NEPA 

compliance, no permit environmental document exists for 

incorporation by reference.) 

(e) Use of OSM-EIS-1 and OSM-EIS-1: Supplemental. 

These programmatic regulatory program environmental documents 

discuss experimental practices generally. They may be useful in 

reducing environmental document text by incorporating appropriate 

sections by reference. However, environmental documents must 

contain site-specific assessments and findings. 

c. Responsibilities. 

(1) The Assistant Directors. Eastern and Western 

Support Centers are responsible for: 

(a) Assigning, upon receipt of an application 

from the Field Office or in cases where OSM is the regulatory 

authority from the permittee, an appropriate TPO to conduct a 

technical review of proposed experimental practice applications 

and completed experimental practices projects. 

(b) 

application and the 

application. 

Notifying, in writing, the AD/RRP of the 

intended action on the experimental practice 

(c) Approving, approving with modification, or 

disapproving each experimental practice submitted by a regulatory 

authority or in cases where OSM is the regulatory authority, by 

the permittee; in making such decisions, they are to assure 

adherence to the prescribed purpose of the experimental practice 

program as well as the technical sufficiency of the project. 

(d) Conducting any necessary regulatory analysis 

suggested by the results of an experimental practice and forwards 

recommendations for rulemaking to the ADfRRP. 

(2) Field Office. 

(a) Promptly transmits the documentation of the 

proposed experimental practice to the AD's/ESC-WSC with 

appropriate comments or comments to follow. This will allow for 

a simultaneous review by the Field Office and AD's/ESC-WSC. 

(b) Ensures that the regulatory authority 

includes the experimental practice portion of approved permits as 

requiring inspection in order for an inspection to be considered 

complete under 840.11(b) or 842.1l{a) (2). 

5 
(3) Technical Project Officer. In accordance with 

section 711 of SMCRA, 30 CFR 785.13 and the procedures set forth 

in this directive, coordinates all necessary technical reviews 

and oversight of an experimental practice including coordinating 

the review of the proposed project with the field solicitor and 

with other OSM directorates and Federal agencies when necessary. 

Prepares necessary findings in cases where OSM is the regulatory 

authority, or reviews findings prepared by a State when the state 

is the regulatory authority. Provides information to the 

Division of Technical Services to update the Technical studies 

and Applied Research Projects Data Base. 

(4) Assistant Director. Reclamation and Regulatory 

Policy. 

(a) Within two weeks of receipt of notification 

of an experimental practice decision or receipt of a decision 

package, if requested, provides comments to the AD's/ESC-WSC, and 

recommended changes if appropriate. 

(b) Conducts any necessary regulatory analysis 

suggested by an experimental practice or forwarded by the 

AD's/ESC-WSC and, if appropriate, recommends rulemaking to the 

Director. 

(c) Initiates any necessary regulatory revisions. 

(5) Division of Technical Services. Tracks 

experimental practices and maintains information on OSM's 

experimental practices program including the Technical Studies 

and Applied Research Projects Data Base. 

d. Technology Transfer. 

(1) It is the objective of OSM to ensure that results 

of experimental practices are disseminated to industry and the 

general public so that maximum benefit can be derived. To this 

end, the following procedures will be followed: 

(a) Assistant Director. Reclamation and 

Regulatory Policy coordinates the review and approval of 

Technology Transfer Plans. 

(b) Assistant Directors. Eastern and Western 

Support Centers coordinate implementation of Technology Transfer 

Plans, when appropriate, for disseminating the information 

gained. This plan may include, but is not limited to, 

participating in technical seminars or training sessions, 

publishing results of the practice in appropriate publications, 

and presenting results of the practice at professional, industry, 

or other meetings. 

6 
(c) The Branch of Training and Technical 

Information may initiate or assist Field Offices or Eastern and 

western Support Centers in developing and conducting technical 

training or seminars to disseminate experimental practices 

products to potential users. 

(d) Eastern and Western Support Centers may 

recommend or assist in organizing and conducting technical 

seminars or training sessions in accordance with the approved 

Technology Transfer Plan. 

5. Reporting Requirements. As specified in each individually 

approved experimental practice application. The TPO provides 

information to the Headquarters Division of Technical Services to 

update the Technical Studies and Applied Research Projects Data 

Base. 

6. References. 

a. Section 711 1 P.L. 95-87. 

b. 30 CFR 785.13. 

c. Directive TSR-4, "Technical Studies/Applied Research," 

dated 11/04/87. 

d. Handbook on Procedures for Implementing NEPA, OSM, 

March 1989. REG-1. 

e. Permanent Regulatory Program Implementing Section 

501(b) of the Surface Mining control and Reclamation 

Act of 1977 (SMCRA) 1 FEIS, January 1979, OSM-EIS-1. 

f. Proposed Revisions of the Permanent Program Regulations 

Implementing Section 501(b) of SMCRA, Volume 1: 

Analysis, FEIS, January 1983 1 OSM-EIS-1: SUPP. 

g. Findings and Determinations for 

of Federal Permits, April 1990. 

Notice. 

Revisions and Renewals 

REG-21-1, Change 

1. Effect on Other Documents. 

dated June 8, 1988, Experimental 

REG-7-1 dated December 6, 1990. 

Supersedes Directive REG-7 1 

Practices and the Change Notice 

8. Effective Date. Upon issuance. 

9. Contact. Chief, Division of Technical Services (HQ), FTS 

343-1480. 

10. Keywords. Experimental Practices, NEPA, Technology 

Transfer. 

11. Appendices. Appendix: Applied Research Projects Data Base 

Form. 

7 
. I 

OFFICE OF SURFA.t MINING RECLAMATION ANI) ENFORCEMENT 

EXPERIMENTAL PRACTICES • UPDATES 

APPEoroiX 

DATE----------------

OSM, TECHNICAL STUDIES/APPLIED RESEARCH PROJECTS DATA BASE 

TYPE OF CONTRACT __________ _ 

CONTRACT NO. 

AWARD DATE -------------

DUE DATE. _____________ _ 

ADDRESS. TPO·~~----------------- _____________________ _ 

TEL·----------------

CONTRACT OFCR. _______________________ _ 

ADDRESS. ___________________________ _ 

TEL. _______________ _ 

INVESTIGATOR. ________________________ _ 

ADDRESS. ____________________________ _ 

TEL·----------------

FINAL PRDDUCT __________ -:--:----,--,-

(Name of Document, if Applicable) 

FINAL PRODUCT RECEIVED _________ _ 

(Date) 

PROJECT TITLE (18 WORDS)*--------------

OBJECTIVE (4D WORDS)*---------------

STATUS·---------------------

(Ex~les: c...,leted/Continuing/Expected to be 

c...,leted (date)/Controct Expires (date) 

REPORT CITATION (20 WORDS)*--------------------------

OSM LIBRARY NO. ______________ _ 

KEYWORD 1·------------

KEYWRD 2:----------- KEYWRD ], __________ _ 

ABSTRACT (90 WORDS)*--------------------------------------------------------------------

MISCELLANEOOS REMARKS __________________________________________________________ _ 

*AVERAGE WID LENGTH (UP TO 10 CHARACTERS) 08/91