United States Department of the Interior 

OFFICE OF SURFACE MINING

RECLAMATION AND ENFORCEMENT

Washington, D.C. 20240 

Date: October 13, 2020

Directive: INE-18 

Title: Authorized Representatives

Approval: Lanny E. Erdos, 

Principal Deputy Director Signature: ____________________________________ 

Transmittal Number: 993

1. Purpose 

This Directive establishes policy and procedures pertaining to the training and certification of 

inspectors and auditors as authorized representatives of the Secretary of the Interior. Under 

this Directive, only Office of Surface Mining Reclamation and Enforcement (OSM) 

employees who have been formally certified may conduct surface coal mining and reclamation 

inspections or reclamation fee audits. The Directive explains OSM policy and prescribes 

minimum certification requirements for inspectors and auditors to be certified as authorized 

representatives for the purposes of inspecting surface coal mining operations and associated 

facilities, auditing records, and issuing enforcement actions to implement sections 402, 502,

517, and 521 of the Surface Mining Control and Reclamation Act (SMCRA). The Directive

also addresses which employees have the right of entry onto surface coal mining and 

reclamation operations and associated facilities for purposes of conducting inspections or 

audits or supervising or assisting in such activities.

2. Summary of Changes 

This document makes substantive changes to a small portion of the existing Directive INE18. Changes include:

a. Clarified the OSM staff that have inspection authority and those individuals 

who have entry authority. 

b. Added criteria for Certification Standards to Qualify as Authorized 

Representatives. 

c. Updated organizational references.
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3. Policy 

It is OSM policy to ensure that:

a. Inspections and audits are performed in accordance with OSM policy 

and procedures;

b. Employees hired as potential authorized representatives after the 

effective date of this Directive have satisfactorily completed requisite training prior to 

being certified; and

c. Only those certified as authorized representatives at the General Schedule 9 or 

greater, with inspection authority may issue TDNs and enforcement actions for violations of 

SMCRA or the applicable state or Tribal program or permit conditions required by SMCRA or

the applicable state or Tribal program; only those with audit authority may conduct reclamation

fee audits and issue TDNs and enforcement actions for those violations.

This Directive does not require certification of employees who are presently serving as

authorized representatives. However, employees who receive less than fully successful 

performance evaluations may be subject to recertification by their supervisors. 

Definitions.

a. Authorized Representative. A person certified by the Director, or designee, to

(1) Enter and inspect surface coal mining and reclamation operations and

associated facilities subject to regulation or oversight by OSM in accordance with sections 

502, 517, and 521 of SMCRA and this Directive; or 

(2) Enter facilities and audit records in accordance with section 402 of

SMCRA, 30 CFR Part 870.16, and this Directive.

b. Entry Authority for Inspectors. The authority to enter any surface coal mining 

and reclamation operation or associated facility subject to regulation or oversight by OSM, 

including accessing and copying records, inspecting monitoring equipment or any method or 

equipment used for exploration or mining, and collecting physical or electronic data, as required

by sections 502, 507, and 517 of SMCRA and 30 CFR sections 721.12, 773.17(d) and 842.13. 

c. Inspection Authority. The authority to conduct inspections and issue TenDay Notices (TDN), Cessation Orders, and Notices of Violations and to provide remedies

for such enforcement actions in accordance with 30 CFR Parts 842 and 843. 

d. Entry Authority for Auditors. The authority to enter, review, examine, and

copy books and records for audit purposes in determining reclamation fee liability.
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e. Audit Authority. The authority to conduct audits and issue TDNs and

enforcement actions relating to reclamation fee liability and violations in accordance with 

30 CFR 870. 

f. Field Office Director. A Field Office Director or other employee with

similar delegated responsibilities under OSM Directive OPM-5.

4. Responsibilities

a. Inspectors and Inspections. The Field Office Director is responsible for:

(1) Ensuring individuals are qualified to become authorized

representatives by meeting the basic standards outlined in Appendix A.

(2) Establishing uniform certification standards for the jurisdictions they 

oversee, including requirements specific to their State and Federal programs and areas of

competence that inspector candidates must demonstrate to qualify as an authorized

representative.

(3) Developing individualized training, position descriptions, and certification

document plans that will demonstrate an inspector candidate’s competence to be certified using 

the Individual Development Plan process. The training and certification plans should include 

the type of formalized training inspector candidates will need and specify what areas of

competence candidates must demonstrate. The plans shall take into account the inspector 

candidate’s qualifications, background, and experience; and include methods to observe 

candidate performance. To the extent possible, have new inspector candidates (particularly

entry-level candidates) complete OSM technical training courses to provide the candidates with

fundamental knowledge needed to conduct inspections, issue TDNs and enforcement actions, 

prepare evidence, and provide testimony in court. In developing training, position descriptions, 

and certification documentation plans, distinguish between candidates for certification for entrylevel inspectors from mid- and upper-grade inspector candidates with demonstrated successful

inspection experience. Document the successful completion of each demonstrated element.

(4) Certifying inspectors under their purview as authorized

representatives after they have successfully completed the training and certification 

document plan and demonstrated their knowledge and ability to properly prepare for,

conduct, and accurately document the findings from surface coal mining and reclamation

inspections. This authority cannot be re-delegated.

(5) Issuing or withdrawing inspector identification cards and badges as 

necessary and when an inspector is no longer serving in the capacity as an authorized 

representative. The Regional Director may also issue or withdraw inspector identification

cards and badges.

b. Auditors and Audits. The Audit Manager is responsible for:
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(1) Ensuring individuals are qualified to become authorized

representatives by meeting the basic standards outlined in Appendix A. 

(2) Establishing uniform certification standards for their office’ jurisdictions, 

including requirements specifying areas of competence that auditor candidates must demonstrate

to qualify as an authorized representative.

(3) Developing training and certification plans for new auditors that will

provide acceptable auditor training and demonstrate the auditor candidate’s competence to

achieve certification as an authorized representative using the Individual Development Plan

process. The plans shall include the type of formalized training and areas of competence

candidates must demonstrate, taking into account the auditor’s qualifications, background, and

experience. The training and certification plans shall also include methods to be utilized by

supervisors to observe each candidate’s performance. To the extent possible, have new auditor

candidates (particularly entry-level candidates) complete OSM technical training courses in 

order to provide the auditor with specialized training for OSM-specific auditing practices, and 

training for court testimony. The Audit Manager is also responsible for documenting the 

successful completion of all elements.

(4) Certifying auditors as authorized representatives after they have

successfully completed the training and certification document plan and demonstrated their

knowledge and ability to properly prepare for, conduct, and appropriately document the findings

of site audits. This authority cannot be re-delegated.

(5) Issuing or withdrawing auditor identification cards. The Assistant

Director, Finance and Administration, and the Chief, Division of Compliance Management, may

also issue or withdraw auditor identification cards.

5. Procedures

a. Inspectors and Inspections. 

(1) Right of Entry to Surface Coal Mining and Reclamation Operations. 

The following individuals are hereby certified as having authority to enter surface coal 

mining and reclamation operations and associated facilities without additional certification:

(a) Any OSM staff approved by the Director; Deputy Director;

Assistant Director, Program Support; Regional Directors; or Field Office Directors or similar 

positions to be required to conduct, supervise, or assist in oversight or technical assistance 

activities as a part of their assigned duties and responsibilities; and those certified in 

accordance with this Directive.

(b) Those employees of the Department of the Interior, Office of the

Solicitor, representing OSM in SMCRA-related cases with authority to enter surface coal 

mining and reclamation operations and associated facilities, including Field Solicitors and Staff 

Attorneys.
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(2) Authority to Conduct Inspections of Surface Coal Mining and

Reclamation Operations. Consistent with this Directive, the following OSM employees may 

be certified as authorized representatives to perform inspections and issue TDNs and

enforcement actions: Area Office Managers or team leaders; inspector supervisors; inspectors;

and those OSM employees earning certification consistent with the Responsibilities outlined in 

this Directive.

(3) Inspector Certification Authority. The Director, Deputy Director,

Regional Directors, and Field Office Directors may certify an OSM employee as an

authorized representative upon satisfactory completion of the minimum training and

certification requirements and may suspend or withdraw the certification of any authorized 

representative they supervise.

(4) Requirements for Inspector Certification as Authorized

Representatives. To be certified as authorized representatives, inspector candidates must 

demonstrate their knowledge and ability to the satisfaction of the Field Office Director and, if

applicable, their supervisor or team leader, to properly prepare for, conduct, and accurately

document the findings from surface coal mining and reclamation inspections and be able to 

provide accurate and expert testimony in formal and informal hearings, as specified by the

detailed certification criteria contained in Appendix A. 

b. Auditors and Audits. 

(1) Right of Entry to Surface Coal Mining and Reclamation Operations. 

The following individuals are hereby certified as having authority to enter audit units, 

surface coal mining and reclamation operations, and associated facilities, without additional

certification:

(a) Director; Deputy Director; Assistant Director, Finance and

Administration; Chief, Division of Compliance Management; Deputy Chief, Division of 

Compliance Management; Audit Manager; Senior Auditors; Reviewing Auditors; Auditors;

and those certified in accordance with this Directive.

(b) Those granted authority for entry by the Director; Deputy 

Director; or Assistant Director, Finance and Administration.

(c) Employees of the Department of the Interior, Office of the

Solicitor, representing OSM in SMCRA-related cases with authority to enter surface coal 

mining and reclamation operations and associated facilities, including Field Solicitors and Staff 

Attorneys.

(2) Authority to Perform Audits of Surface Coal Mining and Reclamation

Operations. The following OSM employees are hereby certified as authorized representatives

to perform reclamation fee audits and, when specifically delegated the authority by the

Assistant Director, Finance and Administration, issue TDNs and enforcement actions relating 
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to reclamation fee liability: Audit Managers; Senior Auditors; Reviewing Auditors; Auditors;

and those certified in accordance with this Directive.

(3) Auditor Certification Authority. The Director; Deputy Director;

Assistant Director, Finance and Administration; Chief, Division of Compliance Management;

Deputy Chief, Division of Compliance Management; and Audit Manager may certify an OSM

employee as an authorized representative upon satisfactory completion of the minimum training

and certification requirements and may suspend or withdraw the certification of any authorized

representative they supervise. 

(4) Requirements for Auditor Certification as Authorized Representatives. 

To be certified as authorized representatives, auditor candidates must demonstrate their 

knowledge and ability, to the satisfaction of both their immediate and second-level

supervisors, to properly prepare for, conduct, appropriately document the findings of site

audits, and provide accurate and expert testimony in formal and informal hearings as specified 

by the detailed certification criteria contained in Appendix A. 

c. Authorized Representative Identification Cards. 

(1) Newly certified authorized representatives shall be issued

identification cards after successful completion of the certification process.

(2) Such credentials shall be presented upon entry to surface coal mining

and reclamation operations and associated facilities or locations where the financial books 

and records are maintained for the mining and reclamation operation.

(3) Authorized representatives shall place their assigned

identification/credential number on all TDNs, enforcement actions, and inspection reports.

(4) Entry authority and inspection and audit authority shall expire

automatically when the employee ceases to be employed in one of the positions having such 

authority listed under paragraph 6.a.(1) and (2), and 6.b.(1) and (2) of this Directive or upon 

departure from OSM. Identification cards and badges, if applicable, will be surrendered by

the incumbent to the Field Office Director or Audit Manager upon departure of the person 

with entry or inspector/audit authority. Authorized representatives who depart from the

office that certified them must also surrender their credentials and must be recertified in 

accordance with this Directive if they function in a different capacity at a different office, or

when returning after termination or resignation.

(5) When authorized representatives require replacement of their original

identification or credential cards due to loss, theft, or damage, they will be issued new 

credentials by the issuing office. In these cases, issuing offices will utilize unnumbered

credentials and will type the same number as on the original card and will indicate the 

words “replacement card” after the number. 

6. Reporting Requirements None.
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7. Effect on Other Documents 

This Directive supersedes Directive INE-18, Transmittal Number 958, dated December 9, 2008. 

 

8. References None.

9. Effective Date Upon signature.

10. Distribution 

By electronic format. All OSM directives are publicly available at

http://www.osmre.gov/lrg/directives.shtm. 

11. Appendices

 a. Certification of Standards to Qualify as Authorized Representatives.

12. Contact 

Program Support Directorate, Division of Regulatory Support and Finance and Administration

Directorate, Division of Compliance Management
Appendix A 

A-1 

Certification Standards to Qualify

As Authorized Representatives

1. Inspector Candidates. In order to qualify as a certified authorized representative, each

inspector candidate must demonstrate the following:

a. A comprehensive knowledge and understanding of the Surface Mining Control 

and Reclamation Act of 1977 (SMCRA) and applicable state and Federal program regulations

and policies, in order to: 

(1) Readily identify regulatory program requirements applicable to

each surface coal mining and reclamation operation;

(2) Readily locate and correctly cite applicable statutory or regulatory 

requirements or relevant policies;

(3) Understand the interrelationship among statutes, regulations, and

related regulatory requirements; and

(4) Understand additional site-specific permit and reclamation plan 

requirements.

b. A thorough understanding of surface coal mining and reclamation operations in

order to: 

(1) Readily analyze the mining method and progression of the 

mining and reclamation operation and identify critical areas for inspection;

(2) Read and properly interpret maps, cross sections, monitoring

reports, and other technical mining information; and

(3) Have a good knowledge of the types of equipment used in 

mining and their appropriate capabilities for mining and reclamation.

c. A thorough understanding of safety policies and practices in surface coal 

mining and reclamation operations.

d. The ability to conduct an effective inspection by:

(1) Conducting a thorough pre-inspection review, including review of 

any permit conditions, outstanding enforcement actions, or patterns of violations; 

(2) Identifying all significant violations and collecting sufficient

evidence to successfully defend any enforcement actions;
Appendix A 

A-2 

(3) Properly preparing and transmitting ten-day notices, notices of

violation, and cessation orders;

(4) Prescribing appropriate timeframes to abate violations and discern if a 

violation is an immediate threat to human life or the environment, necessitating a cessation 

order;

(5) Thoroughly documenting all conditions observed during the 

inspection, including violations, evidence collected, and relevant conversations; completing

the Mine Site Evaluation Report or Mine Site Inspection Report; and entering the data into 

OSM’s National Inspection and Enforcement Tracking System in a timely manner; 

(6) Displaying a professional attitude and conduct with the permittee, 

operator, public, and state officials; 

(7) Completed the “Basic Inspection Workbook” as made available 

through the National Technical Training Program; and 

(8) As available and based on funding, complete the courses 

recommended for inspectors as denoted in the “CAREER SERIES Training Guide for 

SMCRA Staff.”

2. Auditor Candidates. In order to qualify as a certified authorized representative, each

auditor candidate must demonstrate the following:

a. A comprehensive knowledge and understanding of SMCRA and implementing 

regulations, the Fee Compliance Audit Procedures Manual, audit policies, and professional 

audit standards in order to:

(1) Readily identify reclamation fee requirements applicable to each

surface coal mining and reclamation operation;

(2) Readily locate and correctly cite applicable statutory or regulatory 

requirements or relevant audit policy; and

(3) Understand the interrelationship among statutes, regulations, and

related regulatory requirements. 

b. The ability to conduct an effective reclamation fee audit to determine

compliance status and potential reclamation liability by:

(1) Conducting a thorough pre-audit review of the audit and enforcement

records, including review of prior reclamation fee payments, outstanding enforcement actions,

or patterns of delinquent reclamation fee compliance;

(2) Conducting a thorough on-site review of a mining operation’s records;
Appendix A 

A-3 

(3) Appropriately documenting the findings of an audit;

(4) Communicating the results of the audit in applicable reports;

(5) Prescribing appropriate remedial actions to abate violations within

reasonable timeframes;

(6) Thoroughly documenting all conditions observed during the audit,

including violations, evidence collected, and relevant conversations; and

(7) Displaying a professional attitude and conduct with the permittee, 

operator, public, and state officials.