U.S. DEPARTMENT OF THE INTERIOR 

OFFICE OF SURFACE MINING 

DIRECTIVES 

SYSTEM 

Subject: Mining Without A Permit and/or Mining Off A Valid Permit 

ubject Code: 

INE-5 

ransmiual Number: 

939 

ate: 

SEP 1 7 

Approval: Brent Wahlquis~ Title: Director 

1. Purpose. The purpose of this Directive is to establish the Office of Surface Mining 

Reclamation and Enforcement's (OSM) policy when an authorized representative of the 

Secretary encounters operations that are being conducted without a valid surface coal mining 

permit or activities that are being conducted off a validly issued surface coal mining permit. 

Additionally, this Directive sets forth OSM's policy on enforcement of 30 CFR 843.11 in 

primacy states. 

2. Summarv of Changes. 

a. The former background section has been deleted and the Directive restructured to 

comply with the organizational requirements of OPM-1. 

b. The Policy section has been revised to set forth OSM's policy for authorized 

representatives of the Secretary regarding mining without a valid permit and mining off a valid 

permit including enforcement actions taken in primacy states. 

c. The Procedures section has been streamlined to refei-ence the applicable 

regulatory provisions rather than restate or paraphrase them in this Directive. 

3. Deimitions. None 

4. Policv. In accordance with 30 CFR 843.11(a)(2), except in the limited circumstances of 

this subsection~ an authorized representative of the Secretary must issue a Cessation Order for 

surface coal mining operations being conducted by any person without a valid surface coal 

mining pennit or mining off a valid permit. 

If a state regulatory authority has taken enforcement action that achieves the same result as the 

issuance of a Federal Imminent Harm Cessation Order (IHCO), the authorized representative 

may not issue an IHCO. The issuance of a Federal IHCO is inappropriate where only 

reclamation activities are being conducted pursuant to approval by the rebrulatory authority. 
5. Responsibilities. It is the ultimate responsibility of the Regional Director to assure that 

the policy and procedures contained in this directive are fully complied with. 

6. Procedures. A Federal IHCO issued pursuant to the above policy shall order the 

immediate cessation of mining and impose appropriate remedial measures, citing section 506(a) 

and 30 CFR 843.11(a)(2), or the state primacy program equivalent. All appropriate corrective 

action must be set forth in the IHCO. 

In cases of the exceptions identified in 30 CFR 843.11(a) (2) (i) and (ii), a Notice of Violation 

should be issued for mining without a permit or mining off a valid permit and order the cessation 

of mining within a reasonable time based on the individual circumstances. Where the exceptions 

in 30 CFR 843.11(a) (2) (i) and (ii) apply in a primacy state, the authorized representative will 

issue a Ten-Day Notice consistent with the requirements in 30 CFR 843.12(a)(2). 

In states with approved programs or where F ederallands cooperative agreements exist with the 

state regulatory authority, a Federal IHCO will not be issued where the state regulatory authority 

takes appropriate action that meets the objectives of this section and 30 CFR 842.11(b)(3). 

However, if the state fails to take appropriate action, the authorized representative shall issue any 

required IHCO. If, however, the authorized representative disagrees that the action taken by the 

state regulatory authority was arbitrary, capricious, or an abuse of discretion, he shall not take 

separate enforcement action, but refer the matter to his supervisor for further resolution. 

7. Reporting Requirements. None 

8. References. 

a. Section 506(a), 521(a) (2), 521(a) (3), and 521(a) (5) ofSMCRA. 

b. 30 CFR 843.11(a) (2) (45 FR 18555) April29, 2982. 

9. Effect on Other Documents. Revises Directive INE-5, Transmittal No. 340 dated 

May 27, 1987. 

10. Effective Date. Upon issuance 

11. Distribution. By electronic format 

12. Appendices. None 

Contact: Program Support Directorate, Division of Regulatory Support 

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