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U.S. DEPARTMENT OF THE INTERIOR object Code: 

OFFICE OF SURFACE MINING TSR-12 

RECLAMATION AND ENFORCEMENT 	...,_______... ransmittal Number: 

DIRECTIVES 
 990 

Date: 

SYSTEM 


Subject: Post-Act Reclamation Program 

Title: Acting Director 

1. Purpose. This Directive establishes the policies and procedures for the administration of 

the Post-Act Reclamation Program, hereafter called the Civil Penalty Reclamation Program 

(CPRP). This program is for the reclamation oflands adversely affected by coal mining 

practices that occurred after August 3, 1977. 

2. 	 summary or Changes. 

a. 	 Updated sections impacted by revisions to the Federal Assistance Manual (FAM). 

b. 	 Update personnel roles and responsibilities to accurately reflect the administration 

ofthe CPRP. 

c. 	 Update to show minimal information needed in all applications for funds under 

the CPRP. 

d. 	 Update of approval processes. 

e. 	 Update section 8. "References". 

3. 	 Policy. This Directive establishes the responsibilities and procedures for 

submitting, approving and administering eligible civil penalty projects. Funds for 

the program are generated from collection of civil penalties as authorized by 

Section 518 ofthe Surface Mining Control and Reclamation Act (SMCRA), 

30 u.s.c. §1268. 

4. 	 Responsibilities. 

a. 	 Director. Final review and approval ofprojects funded by the CPRP. 

b. 	 Office ofPlanning. Analysis and Budget (OPAB). 

(1) 	 Accounting for funds collected pursuant to the payment ofcivil penalties; 
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(2) 	 Determining, after consultation with the Director, the amount offunding 

available for CPRP projects for the upcoming fiscal year and report the 

amount to the RDs by June 30; 

(3) 	 Disbursing funds for approved projects to the appropriate accounts and 

offices; 

(4) 	 Accounting for the disbursement offunds each fiscal year (FY). 

c. 	 Regional Directors (RD). Notifying Field Office Directors (FOD) to solicit their 

respective States/fribes for CPRP proposals. The RDs will review submitted 

proposals and as a group shall prioritize all accepted proposals based on severity 

and benefits derived. Finally, RDs insure that grant or federal contract 

applications are reviewed and processed to final award so that the award may take 

place within the fiscal year it was approved for funding. 

d. 	 Field Office Directors (FOD)/Field Division Chiefs (FDC). Soliciting their 

respective State/fribe/Federal Offices for CPRP proposals. The FOD/FDC will 

review proposals for completeness and forward to the appropriate Regional 

Director. 

5. Procedures. The following procedures will be used to solicit, review, and approve 

Post-Act Reclamation requests. 

a. After the amount offunds available for CPRP funding for the next fiscal year is 

determined by OPAB and Director's office, the RDs shall request the FODs and FDCs to 

notify qualified States/fribes and Federal offices ofthe opportunity to submit CPRP proposals 

b. All proposals shall meet the guidelines within Section 3 ofthe 'Standard 

Operating Procedures for Requesting Civil Penalty Reclamation Program Funds" (SOP), 

included in Appendix A ofthis Directive. Proposals shall follow the format shown in 

Appendix B ofthis directive. At a minimum the information required in all submittals shall 

include the following: 

(I) Eligibility Information - Documentation that shows the mining occurred 

after August 3, 1977. 

(2) Project Priority ofSubmission - Characterization ofthe site conditions 

and surrounding areas to determine the current risk to the health and safety ofthe public, and 

actual or potential adverse impacts to the environment. The description will be used determine 

the relative priority ofthe project compared to other eligible projects. 

(3) Information on the status of any Alternative Enforcement actions that 

were or are being taken. If alternative enforcement was not initiated explain the reason(s) why 

it was not pursued. 

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(4) Describe in detail how civil penalty funds will be used to augment 

existing bond forfeiture monies. 

(5) A reclamation plan that includes maps, pictures, diagrams and cost 

estimates. 

(6) Include a description ofhow the proposed work will improve the 

environment and protect public health and safety. 

(7) Characterize the support (or opposition) ofthe landowners and local 

government to the project. 

(8) Realty information including any secured right of entries. 

(9) Description ofany and all economic, social and environmental benefits of 

completing the project. 

c. The FOD/FDC shall review submitted proposals for completeness and forward 

completed and reviewed proposals to the RD by August 30. 

d. The procedures for approval/disapproval ofCPRP requests will follow Section 4 

ofthe SOP included as Appendix A ofthis Directive. The general outline for review and 

approval includes: 

(I) The FOD reviews submittals for completeness from their respective 

Stateffribes. For Federal program states, the FOD shall have its staff gather all necessary 

information. 

(2) Once the FOD is satisfied with the proposal, it is forwarded to the RD. 

(3) All RDs shall meet and approve/disapprove and prioritize requests. 

(4) The prioritized project list with supporting documentation shall be 

submitted to Director's office no later than October 30. 

(5) The Director shall review proposals and notify appropriate RDs and 

OPAB which projects are approved for funding. 

(6) RDs notify FOD/FDC ofresults of Director's review. FOD/FDC will then 

notify the Stateffribe to submit a grant application in accordance with Financial Assistance 

Manual section 4-400-30. For Federal program, FOD shall direct staff to develop procurement 

package. 

(7) The OP AB forwards an Allotment Document, with appropriate accounting 

information to the RD for signature. 

(8) The RD shall sign and return Allotment Document to OP AB for 

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processing. OPAB shall then disburse funds to appropriate accounts. 

6. Reporting Requirements. None. 

7. Effect on Other Documents. Previous version ofDirective TSR-12 issued June 19, 


1990, superseded. 


8. References. 

a. Public Law 97-258 Title 31; Money and Finance, Section 1513, 1514 and 1517. 

b. Department ofInterior Manual, Part 328; Administrative Control ofFunds. 

c. 30 CFR 845.21 and 30 CFR 700.5. 

d. Section 518, 30 U.S.C. §1268, ofSurface Mining and Control Act of 1977, as 

amended. 

e. FAM Chapter 4-400. 

9. Effective Date. Upon Signature ofActing Director. 

10. Distribution. By electronic format. All OSMRE directives are publicly available at 


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


11. Appendices. 

a. Appendix A: Standard Operating Procedures for Requesting Civil Penalty 

Reclamation Program Funds. 

b. Appendix B: Request for Federal Civil Penalty Project Funds Standard Format 

c. Appendix C: Process Flow Chart 

12. Annexes. None 

13. Contact. Program Support Directorate, Division of Regulatory Support. 

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Appendix A: Standard Operating Procedure 

U.S. DEPARTMENT OF THE INTERIOR 

OFFICE OF SURFACE MINING 


RECLAMATION AND ENFORCEMENT 


Standard Operating Procedures 

Title: Requesting Civil Penalty Reclamation Program Funds 

SOP Number: CP-001 Effective Date: 

Version Number and Date: No. I Draft; 11/8/2016, No. 2 Draft; 

11/16/2016, No. 3 Final 3/6/2017 

Supersession Version Number & Date: NA 

Review Date: 

1. Introduction. The Office ofSurface Mining Reclamation and Enforcement (OSMRE) 

collects civil penalties under Section 518, ofthe Surface Mining Control and Reclamation Act 

(SMCRA). C, 30 U .S.C. §1268. To the extent authorized, in applicable annual appropriations, 

the civil penalty funds can be used to restore and reclaim lands adversely affected by coal 

mining after August 3, 1977, that are otherwise ineligible for Abandoned Mine Lands 

Reclamation funds. The Director may allocate these civil penalty funds at his/her discretion for 

reclamation of projects on any State, Federal or Indian lands based on the following priorities 

identified in 30 CFR 845.21: 

• 	 Emergency projects as defined in 30 CFR 700.5 

• 	 Reclamation projects which qualify for priority 1 or 2 under section 403 ofSMC RA, 30 

U.S.C. §1233 and 

• 	 Reclamation ofFederal bond forfeiture sites. 

Regarding Federal bond forfeitures, civil penalty funds can also be used with reclaiming bond 

forfeiture sites. The OSMRE Directive TSR-12 previously entitled "Post Act Reclamation 

Program" now named "Civil Penalty Reclamation Program" (CPRP), provides guidance and 

outlines responsibilities, policy, and procedures. 

2. Purpose. In FY 2016, the Internal Control Review (ICR) for the civil penalty post-act 

reclamation prob1fam identified several weaknesses in the process. One weakness and 

recommendation was the need to develop a standard format/template for funding requests that 

would solicit the appropriate information needed for an informed decision on the project 

proposal. At the time ofthe ICR, no approved format existed for standardizing civil penalty 

project funding requests. This SOP provides the standardized fonn and process to ensure 

consistency ofinformation among OSMRE and States and step-by-step procedures for 

processing such civil penalty funding requests. 
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3. Information Required. By June 30 each year, the Budget Officer of the Office of 

Planning, Analysis and Budget (OPAB) sha11 notify the Regional Directors (RD) on the 

amount of civil penalty funds that are available for disbursement for the upcoming fiscal year. 

The RD will notify the Field Office Director (FOD) to infonn Stateffribes and Federally 

contro11ed offices ofthe opportunity to submit project proposals. By August 30, proposals sha11 

be submitted to the respective RD's office. The proposals shall be reviewed and prioritized by 

the RD and submitted to the Director's office by October 30. 

All proposals shall be initially reviewed by the appropriate FOD for completeness. Projects 

described in the proposals to be submitted to the RD's office shall at a minimum contain the 

following infonnation: 

a. Eligibility. Provide documentation that the proposed civil penalty project was 

mined after August 3, 1977. 

b. Project Priority. Describe and justify how the proposed project meets one ofthe 

priorities set forth 30 CFR 845.21(b), Emergency project; Priority 1 or 2 project; or postSMCRA bond forfeiture project. 

c. Alternative Enforcement. Discuss the status ofany alternative enforcement 

actions pursuant to 30 CFR Part 847 (or the State program equivalent) that were or are 

being taken. Ifalternative enforcement was not initiated, explain the reason(s) why it 

was not. Include infonnation about the current status ofthe owners and controllers ofthe 

mining company which are responsible for the un-reclaimed mine and potential resources 

which may be available to complete reclamation. 

d. Bond Forfeiture Funds. Describe in detail how civil penalty funds will be used to 

augment existing bond forfeiture monies. Ifbond was already expended, describe the 

remedial work performed with the bond funds and why the civil penalty funds are 

needed. 

e. Reclamation Plan. Describe the proposed work elements ofthe reclamation plan. 

Include at a minimum maps, pictures, diagrams and a cost estimate, with sufficient 

details, to support the reclamation plan. 

f. Environment/Safety. Include detail on how the proposed project will successfully 

reclaim the mine site to a condition that improves the environment and protects the public 

health and safety. Include information that characterizes the risk to the public by 

describing the nearness to roads, parks, schools, public lands, and/or residential areas. 

g. Public Support. Characterize the support (or opposition) ofthe landowners and 

local government to the project. 

h. Realty. Describe and include all right of entries and covenants associated with 

proposed projects. Ifit has not been secured, discuss ifattaining the right ofentry might 

pose a problem. 

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i. Accomplishments. Describe the economic, social, and environmental benefits of 

completing the project. This infonnation can be combined with item (f) above. 

4. Procedures for Approval/Disapproval of Civil Penalty Project Requests. 

a. Once an application for a civil penalty project is received by the FOD it will be 

reviewed to detennine if all infonnation required in Section 3 is included. For Federal 

program states, the FOD shall have staff gather all necessary infonnation as required in 

Section 3 and forward to the appropriate RD. 

b. Once the application is detennined to be complete it shall be forwarded to the 

appropriate RD no later than August 30. 

c. RD will review project proposal application and may request any additional 

information needed to process the request. 

d. All RDs shall meet to review proposals and prioritize them. Projects are 

prioritized based on severity ofproblem and the benefits derived by the proposed work. 

e. Prioritized project list with supporting documentation shall be submitted to the 

Director's office no later than October 30 for review. Additional information may be 

requested by the Director prior to approving project{s). 

f. Once the review is complete, Director's office shall notify all appropriate RDs 

and the OPAB which projects are approved for funding. 

g. The RD shall notify the appropriate FODs what projects were approved for 

funding. FOD will then notify the Stateffribe to submit a grant application in accordance 

with the Financial Assistance Manual (FAM) section 4-400-30. For Federal program 

states, the FOD will direct staff to develop a procurement package to reclaim the 

proposed project site. 

h. The OP AB forwards Allotment Document, with appropriate accounting 

information to the RD for signature. 

i. A signed allotment document shall be returned to OPAB for processing. OPAB 

shall then disburse funds into appropriate accounts. 

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Appendix 8: Request for Funds Format 

Request for Federal Civil Penalty Project Funds 

FY20==­

Date of Request: 

Region: Regional Director Name/Signature: 

Proicct Name/Location: 

Reason for Request/Summary of Proposed Action: 

Include: 

1. 	 Eligibility: Provide documentation that the proposed civil penalty project was mined after 

August 3, 1977. 

2. 	 Alternative Enforcement: Information on the status of any Alternative Enforcement actions 

that were or are being taken. If alternative enforcement was not initiated explain the 

reason(s) why it was not pursued. Include information about the current status ofthe mining 

company owners or controllers and potential resources available that may be available to 

complete reclamation. 

3. 	 Bond Forfeiture Funds: Describe in detail how civil penalty funds will be used to augment 

existing bond forfeiture monies. Ifbond was already expended, describe what remedial work 

was performed with the bond funds and why the civil penalty funds are needed. 

4. 	 Reclamation Plan: Describe the proposed work elements ofthe reclamation plan. Include at 

a minimum maps, pictures, diagrams and a cost estimate, with sufficient detail, to support the 

reclamation plan. 

5. 	 Environment/Safety: Include details on how the proposed project will successfully reclaim 

the mine site to a condition that improves the environment and protects the public health and 

safety. Include information that characterizes the risk to the public by describing the 

nearness to roads, parks, schools, public lands, and/or residential areas. 

6. 	 Public Support: Characterize the support (or opposition) ofthe landowners and local 

government to the project. 

7. 	 Realty: Describe and include all right of entries and covenants associated with proposed 

projects. Ifit has not been secured, discuss if attaining the right of entry might pose a 

problem 

8. 	 Accomplishments: What are the economic, social, and environmental benefits for 

completing the project? 

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Priority: 

Describe and justify how the proposed project meets one ofthe priorities set forth 30 CFR 

845.21(b): Emergency project; Priority 1 or 2 projects; or post-SMCRA bond forfeiture project. 

Funding Amount Requested: The amount needed to accomplish the Proposed Action. Include 

the amount ofany existing bond forfeiture funds that will be used to augment reclamation work. 

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Appendix C: Process Flow Chart 

Procedures for Approval/Disapproval of Civil Penalty Proiect Requests 

Office of Planning, Analysis and Budget 

(OPAB) notifies Regional Directors (RD) by START 

June 30 ofthe amount available for civil 

nalty projects in upcoming fiscal year. 

The RDs notify Field Office Directors 

(FOD) to solicit Stnteffribes/Federal 

Offices for proposals for civil penalty 

funded projects. 

Project proposals are reviewed by FOD office. Once it 

has been determined to be complete forwards entire 

package to appropriate RD's office by August 30. For 

Federal program states infonnation is gathered as 

outlined in Section 3 ofthe SOP and forwarded to RD. 

1l1e RD infonns FOO additional The RD reviews infonnation and requests 

infonnation is needed to complete ...__1 additional infonnation ifneeded to properly 

review. FOO forwards additional Yes complete the review 

infonnation to RD's office. 

e RDs complete review and submit prioritized list 

along with all supporting documentation to the Director's 

Additional infonnation 

collected from appropriate FOD 

office. Material submitted to 

Director's office. 

Director's office notifies RD's 

and Office ofPlanning, 

Analysis and Budget (OPAB) 

which oroiects are aooroved 

office by October 30. 

Yes 

No 

RD infonns appropriate FOO ofthe 

decision. FOD will notify Statc/fribe. 

Paperwork will be submitted in 

accordance with Financial Assistance 

Manual (FAM) and TSR-12 guidelines. 

OPAB forwards 

"Allotment Document" to 

appropriate RD with 

accounting infonnation 

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RD signs allotment 


document and returns to 


OP AB for processing 


END 

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