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CHAPTER 5-200

THE APPLICATION PROCESS FOR A REGULATORY GRANT

5-200-00 What does this chapter do?

5-200-10 How long is a regulatory grant?

5-200-20 How do you send us your application for a regulatory grant?

5-200-30 When should you apply?

5-200-40 How can you report and account for the costs of regulatory functions?

5-200-50 What must you include in your application?

5-200-00 What does this chapter do?

This chapter explains how you, a state or tribe with an approved coal regulatory program, can 

apply to us, the Office of Surface Mining Reclamation and Enforcement (OSMRE), for a 

regulatory program Administration & Enforcement grant.

5-200-10 How long is a regulatory grant?

Your application should normally request a 12-month performance period for your regulatory 

grant.

5-200-20 How do you send us your application for a regulatory grant?

A. You must submit a complete grant application to us by one of the following methods. 

1. You may enter your application in an OSMRE-approved electronic grants portal 

or system such as Grants.gov. 

2. You may submit a complete paper application, with original signature, by regular 

mail or any other delivery method.

3. You may send your application package by e-mail. The application must include 

the name and title of the authorized official who signed it and the date signed. 

You must keep the original signed application in your files.

B. Our office must confirm that it received the application within three working days. 

5-200-30 When should you apply?

You should submit your application at least 60 days before the beginning of the grant 

performance period.

5-200-40 How can you report and account for the costs of regulatory functions?
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A. Before you complete your application, you must choose how you will identify the 

regulatory functions for accounting and reporting purposes. We have identified the 

following major regulatory functions or activities:

1. Permitting includes the costs of reviewing new permit applications and modifying 

existing permits. It also includes costs of determining and approving a bond 

amount and reviewing ownership and control.

2. Inspection and Enforcement includes costs of mine inspections for compliance 

with state performance standards and of all activities to enforce compliance. It 

also includes bond release costs and legal costs related to inspection and 

enforcement activities.

3. Lands Unsuitable includes costs to evaluate and decide petitions about 

designating lands unsuitable for coal mining.

4. Regulatory program administrative activities and costs to support the above 

functions include costs for executive direction and standard administrative 

support functions, such as personnel, accounting, and procurement.

B. You must choose one of the following options to identify the costs of these functions.

1. Option 1. You must break out the functions in your reporting and accounting. 

You must break out the line item and total costs of each function in your 

application. You must support the functional costs with detailed accounting 

records. 

2. Option 2. You show only the total budget figures in your grant application 

budget. In the program narrative, you must describe the methodology you will 

use to distribute the total budgeted costs to the functions either as a percentage of 

the total or as dollar amount. This methodology must meet the requirements of 

the state comptroller or comparable organization as required by state law.

5-200-50 What must you include in your application?

The application must include the following items: 

A. Signed or approved Application for Federal Assistance, form SF 424.

B. Budget information report. You may use the optional OSMRE 47 form or provide the 

information in an alternate format of your choice.

1. Break out the budget by object class. Object classes are the budget line items, 

including personnel, fringe benefits, travel, equipment, supplies, contractual 

expenses, construction, other, and indirect costs. 
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2. If you chose to account separately for regulatory functions or activities, including 

permitting, inspection and enforcement, lands unsuitable, and administrative 

costs, break out the budget for each object class and for the total grant by 

function.

3. Identify the total Federal and non-Federal funds the program will spend. Show 

the overall percentage of non-Federal support.

4. Estimate the program income that you might spend during this grant. 

5. Show the total estimated indirect costs. Show how your estimate is calculated 

using the indirect cost rate and the direct cost base which have been approved by 

your cognizant Federal agency.

C. Budget narrative. You may provide this information in any format to explain and justify 

the requested budget.

1. Personnel. List all the positions by title, with annual salary rate and percentage of 

time working on the coal regulatory program.

2. Fringe Benefits. Explain how the fringe benefits were calculated. 

3. Travel. List the types of trips and show how the estimated cost was calculated. 

4. Equipment. List each item of equipment to be purchased and justify why the 

equipment is needed for the regulatory program.

5. Supplies. Enter estimated dollar amount of supplies. List the supplies by major 

type (e.g., office supplies, training materials, research forms, postage), and show 

basis for computation.

6. Contractual. List each proposed contract, the contractor if identified, the type of 

services to be performed, the need for the services, and the estimated cost.

7. Construction. Describe any proposed construction or renovation, why it is 

necessary for the program, and the estimated cost.

8. Other. List any other cost items not reimbursed as an indirect cost, such as rent, 

utilities, or janitorial and security services, and show how the cost was calculated.

9. Indirect Costs. Include a copy of the indirect cost agreement approved by the 

cognizant Federal agency.
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10. If you chose not to break out the budget by regulatory program function, such as 

permitting or inspection and enforcement, you must explain your method for 

distributing total costs to the functions. You may use a percentage, a total dollar 

figure, or some other acceptable method.

D. Program narrative. You may use the optional OSMRE 51 form or provide the 

information in any other format. These requirements come from OMB circular at 2 CFR 

Part 200. 

1. Objectives and Need for Assistance. Using your approved regulatory 

program, describe problems related to coal mining and reclamation (physical, 

economic, social, financial, or institutional) requiring a solution. Explain 

why the assistance is needed and state the primary and secondary objectives 

of the grant. 

2. Results and Benefits Expected. Identify results and benefits of the regulatory 

program. For example, explain how the program will improve life for 

coalfield citizens.

3. Approach. Outline a plan of action explaining the scope of the program and 

how the proposed work will be accomplished. Explain your reasons for 

taking this approach as opposed to others. Describe any unusual features of 

this grant. Identify the kinds of data you will collect. Discuss the criteria and 

methodology you will use to evaluate the results and success of this program.

4. Geographic Location. No information required.

E. Signed or approved Assurances for Non-Construction Projects, form SF 424B.

F. If applicable, the Disclosure of Lobbying Activities from SF LLL.