Subj<·ct: 

U.S. DEPARTMENT OF THE INTERIOR 

OFFICE OF SURFACE MINING 

RECLAMATION AND ENFORCEMENT 

DIRECTIVE SYSTEM 

. I " 

Tille: 

Pl TRPO:U:, 1 his directi\'e establi~he~ procedures and guidelines for the development and 

processing ol' State-Federal cooperatiYc agreements These agreements provrde for State regulation of 

surface coal mining and reclamatlon operations and cenain coal ex.ploration operations on Federal 

State~ \>lth approved regulatory p10grams Thi' d1rective also addresses amendments to these 

cooperative agreements. 

SUMMARY OF CH:\1\01:5 This ditective retlects the following changes to Directive RFG-22, 

approved July 31, 1989. 

a Various organizational titles are changell to reflect the existing organizat10n. 

b Responsibility for conwlting with other agencies, preparing all necessary documents and 

new>paper notifications, and preparing the Federal Register notice' are delegated to the Regional 

Director {RDJ 

c. Some rcsponsibilitie~ originally assigned to the Field Otllce Director (FOD) are assigned to 

the RD m 4.c (I) (c). (t), 4_c (2) (b), (c), (d), and (c)_ 

d. Some rcsponsibilitie~ ongmally assigned to the RD are a>s1gned to the Assistant Director, 

Program Suppon (ADIPS). inclll(lmg those found at 4_c (I) (g); 4 c.(2). (d), and (c) 

3 DEFIN!TIU'IS 

State-Federal Cooperatjye ~reement The formal document ex:ecuted pursuant to section 523 

of the Smface Mining Control and Reclamation Act of 1977 (S\1CRA) and 30 CFR Part 745, and s1gned 

by the Secretary oft he Interior or hi:;/her designee and the Govemor of a State to provide for State 

reb'UlatJon of smface coal mining and reclamation operations on Federal lands, and coal exploration on 

Federal lands not subject to 43 CFR Group 3400 

4 POLJCY/PROCEDIJRFS. 

a. ~ Pursuant to 30 CFR Part 745. the Governor of a State v.~th an approved reb'lllatory 

program may reque>t the Secretary to enter into a State-Federal cooperative agreement to provide for 

Stat~ regulanon of surface coal mining and reclamation operations and coal exploration op~r~t1on> not 

>ubject to 43 CFR Crroup 3400. Because 30 CFR 745 ll(b)(2) require> the State to submit a propo,ed 

agreement \\·ith the request, FODs and other Office of Surface Mining (OSM) otll~ials will encourage 

mtere,ted States to informally consult w1th OSM during development of the proposed agreement to 
facilitate more efficient use of resources and faster processing when the fo!Tilal request is submitted. 

The FOD should advise the State that the initial submittal need not be signed by the Governor since 

te!Tils of the agreement will be subject to negotiation with OSM and consideration of public 

comments. The FOD should advise the State to include funds to administer the cooperative 

agreement in the State's annual grant application. Requests for State-Federal cooperative agreements, 

amendments, or other agreement-related actions will be reviewed and processed promptly in 

accordance with the provisions of30 CFR Part 745 and this directive. Amendments to an existing 

cooperative agreement may be initiated by either OSM or the State. State program amendment 

procedures in Directive REG-5, "Processing of Proposed State Regulatory Programs, Amendments 

and Part 732 Notifications," do ru!1 apply to the processing of cooperative agreements or 

amendments. Cooperative agreements are issued as permanent program rules. As such, both the 

proposed and final rules require the signature of the Assistant Secretary, Land and Minerals 

Management (ASILMM). The State's request for funding or cooperative agreement activities is a 

part of its arurual grant request or amended grant request, and is processed in accordance with the 

Federal Assistance Manual, Directive GMf -1 0-8. 

b. Responsibilities 

(I) Field Office Director 

o has lead agency responsibility for development and processing of 

cooperative agreement documents and cooperative agreement amendments; 

o negotiates terms ofthe cooperative agreement with the State; and 

holds any necessary hearings and meetings, and maintains the Administrative Record including the 

agency copy of the signed cooperative agreement document. 

(2) Regional Director 

o prepares all necessary documentation and newspaper and Federal 

Register notices; 

o consults with other agencies as appropriate; 

o reviews proposed and final cooperative agreement documents, consults 

with the FOD where necessary and makes final recommendations for approval of the cooperative 

agreement; 

o coordinates any necessary legal reviews of cooperative 

agreement-related documents with the Field Solicitor; and 

o coordinates consultation with the State Historic Preservation Officer or 

with the Advisory Council on Historic Preservation when consultation is required. 

2 
(2) Preparation ofFjnal Agreement: 

(a) FOD conducts a public hearing, if one is requested by two or more 

persons, no sooner than 5 days before the close of the comment period, and prepares a verbatim 

transcript for the Administrative Record_ If only one person requests a public hearing, a public 

meeting may be held instead, in which case the FOD shall prepare a summary for the record. The 

FOD also notifies the RD of any requests for consultation for the State Historic Preservation Officer 

or the Advisory Council for Historic Preservation_ The RD will arrange any necessary meetings. 

(b) Within 30 days of the close of the comment period, FOD provides the 

RD with one copy of all comments, evaluates all comments received, and negotiates the final form of 

the cooperative agreement with the State. If there are substantive changes from the proposed 

agreement published in the Federal Register, the RD provides the agencies listed in Appendix 2 with a 

minimum of 15 days to comment on the revised agreement, and conducts further negotiations with 

the State and the agencies as necessary to address their comments. The FOD documents changes for 

the Administrative Record. 

(c) RD prepares· 

(1) two originals of the final version of the cooperative agreement 

in signature-ready form (see Appendix 3 for the fonnat of the signature copies). 

(2) a draft Federal Register notice of final rulemaking, setting forth 

the decision approving or disapproving the cooperative agreement, the reasons for the decision, and, 

if approved, the full text of the final cooperative agreement. The notice summarizes all substantive 

comments received, explains the disposition of each comment, and, if a comment is accepted, 

describes bow the agreement language has been altered_ 

(3) the findings required by 30 CFR 745.ll(t). The finding that the 

State has sufficient budget, equipment and personnel to fully enforce its reb'lllatory program is based 

on the FOD's evaluation of the State's existing resources and the State's grant application_ 

(d) RD transmits to the ADIPS, the two originals of the final cooperative 

agreement; the Federal Register notice of the final rule; a copy of each comment received; the 

transcript of any hearing or the summary of any public meeting; the minutes of any meetings with the 

State or other parties; any important conversation records or other relevant documents, and a 

memorandum to the ADIPS containing the RD's recommendation for approval or disapproval and the 

findings made under paragraph (c)(3). above. The cooperative agreement and the federal Register 

notice should be available electronically in the event that minor changes are necessary after the 

documents leave the originating office. The RD will coordinate final review by the Field Solicitor, if 

required. 

(e) The ADIPS will coordinate the review and clearance of the cooperative 

agreement and Federal Register notices in Headquarters. Within IS days of receipt, ADIPS reviews 

the materials submitted by the RD to ensure that the final cooperative agreement, final Federal 
Reg:i-1ter notiCe, and other matenab are consistent with agency policy and request Headquancr's 

Office of the Suhcitor review Ifrevl>ions are necessary, the agreement. notice or other matenals will 

be returned to the RD for appropriate changes. 

(') Procedures for Signature oft he Cooperative Agreement. 

(a) Upon concurrence with the RD'.I recommendation !Or approval, 

ADIPS 

(1) prepares lram,mittallctter ti'om the Director to the head of the 

State regulatory authonty requesting that the State obtain the stgnature of the Governor on the two 

onginals of the tina! cooperative agreement: 

(2) prepare;: memorandum to the Secretary, through the ASiLMM, 

li-om the Director contamrng OSM's findmgs and recommendations. and ensures the Seeretar}''; 

signature on the l\VO originab of the cooperative agreement; and 

(3) coordinates Headquarter' I Office of the Soli~itor review and 

surname of the final cuoperati>·e agreement. 

(b) ADiPS forwards to OC the letter to the State witltthe llvo originals of 

the tin;~ cooperati~e agr~emcnt attached, the memorandum to the Secretary, and a copy of the 

Federal Rei>ister notice ofthe fmal nrle_ 

(c) OC prepares a news releas~, ifapprop1iate, f(Jr\\·ards the letter, the 

memorandum, and th~ Federal Re~J>ter notice to the D1rector fm surnaming and signatLire, a:; 

appropriate 

(d) ADIPS mail~ the Director's letter, wnh the tv.o originals of the 

cooperative agreement atta~hed to the head ufthe State regulatory authority to obtain the Governor's 

~ignature AD..-PS hold.1 (fOr filfthcr pmce:.~mg) the memorandum to the Secretary and the Federal 

Register notice_ 

(e) The State returns the two signed original> of the final cooperative 

agreement to the i\D(PS A DiPS then obtain~ the signature of the Secretat}'' on the two originals 

(4) Prib!j~ation of Final Aw-eemcnt 

(a) Upon :.ignature of the agreement by the Secretary, AV/PS forv.ards the 

l•ederal Reg1.1ter notice to the Office ofthc Federal Regi:.ter for publication. 

(b) The Congressional Limson Officer notifies the State's Congressional 

delegation of the action on the agreement prior to its puhhcation in the Federal Register 

(c) FOD notifies the State regulatory authority of the federal Re~ister 

6 
publication date and provide~ the State ·with a copy of the notice_ 

(d) AD.IPS transmits two anginal signed copi~s of the agreement through 

the RD to the FOD rhc FOD retains one original copy in the Adtlllm:.trative Record ami tran~mits 

the other original to the State The AJJ!PS d1stnbutes copies to appropriate Headquarter~ oilices 

5 Procedureo li>r Alllt'ndments to Existing Cooperative >\o:r~ements 

OSII.I regulations at 30 CFR 745.14 ~pecify that a State-Federal cooperative agreement may 

be amended by mutual agreemem of the :'.ecretary and the Governor of the Slate and that such 

amendments shall be adopted by Federal rulemaking in accordance with 30 CFR 745. J I. 

Amendment~ are processed in accordance with the appltcabl~ article of the cooperat1ve agreement 

and the procedures of oection 4_c of this direct1ve, subotituting the word "amendment" for 

"cooperatl\·e ag~eement" However, no nev.·.l release need be prepared and the Congre%ional 

Liaison Officer need not he involved 

\\'here an omendment to a cooperati>·e agreement is not exten~1ve, only the an1cnded portions 

nfth~ existing agreement need be revised and ,ubmiLLed fm approval (see >\ppendn.; 4) Where there 

arc extensive revi,ions m additions, the entire agreement, as amend~d, will be submitted for approval. 

In order to expedl!e the review of proposed amended portions of an existing agreement, the 

FOD should provide a copy of any relevant material neceS>ary to ensure proper review_ 

The ~ignalure process for an1cndmcnts is the :;ame a:. for ne" agreements, i e., after the not1ce 

and comment process and preporation of the final document. two original:; of the amended portion or 

tl1e entire cooperatiVe agreement, as amended, must be :;igned by the Governor of the State and then 

bv the Secretary 

The regulatory text of the rulemaking document prepared for Federal Register publication 

>hOidd contain for codification, only the am~nded portions of the cooperative agreement, unle:;s the 

amendments are so extensive that republication of the entire cooperative agreement IS warranted 

6 Reportino: Requiremenls ~one 

a. "Federal Register Document Drafting Handbook," publtshed by the Office of 

the Federal Register. 

h_ OSM JJirective INF-2, Administrative Record System 

c 30 CFRPan 745. 

d OSM Directive GMT -I 0-8, Federal Assistance ll.hmual 

7 
8_ Effect On Other Documents Supersedes OSM Directive RFG-22, "Developmg 

and Processing '\tate/Federal Cooperative >\greements," Tran~mittal No_ 564_ dated 

July31, 1989 

9 Efl:Cctive Date Upon issuance 

l 0 Contact Chief, Division of Regulatory Program~ (202) 208-2776 

l L Keywords_ Cooperative agreement, State-Federal cooperative agreement, 

Federalland3 program_ 30 CFR Part 745_ 

12. Appemlices. 

Appendix l Sample acknowledgment letters 

Appendix 2 List of Federal agencie~ reque~ted to review the proposed agreement 

Appendix 3 Sample pages of a ilnal cooperallve agreement 

Appendix 4 Sample of amended portion of a ~ouperative agreement 

8 
Honorable ]'1-\MF.] 

Governor of lSTA TE] 

[ADORES~] 

Dear Governor [NAM f·.] 

THE SECRETARY OF THE INTERIOR 

WASHINGTON 

Appendix 1 

ACKNOWLEDGMENT 

LETTER 

Thank you fOr your letter of IDA TE j. concerning a propo8ed cnoperatl\'e agreement between 

the Department of the lntenor and the State of [STATE] 'Which could provide for State 

regulation of surface coal mining and redamation operations on Federal lands in [STA TEJ 

The primary objective< of a ~ooperatrve agreement arc to pi O\ ide unllieJ applicatLons of 

cnv'nonmemalperfhrmancc standards to surliwe coal mmrng and reclamation operatwn,; wnhm a 

Stale and l\1 mm11nizc imergo\'ernmental overlap and duplication lST..\ TE], Ln requesting this 

cooperative agreement. is demonstrating its desire to .<ee these objectives acb.icvcd The 

de,elopment of this agreement w11l demonstrate that the Stare-Federal partner>hip rnherent in 

the Su1 face 'vf1mnc; Control and ReclarnatHJn Act can be accomplished 

The Offkc ofSurlii~e 'vl1mng has been directed to begm it' re\·lew ofyom proposal and l0 work 

w1th the [STATL RLGULA TORY AUTHORfl Y] to complete the admom~trattve process 

needed to adopt the ogrcemcnt 

Plea.<e be assured of the Department'< commitment to this coopctati'e agreement If we can be 

offunher assi~tance, pleaoe let us know 

Sincerely, 
Honorable LNAJ\.1El 

(rovernor of [ST A. TF] 

[ADDRESS] 

Dear Governor [NA.\.ffi] 

Appendi• 1 

ACKNOWLEDGMENT 

LETTER FROM 

SECRETARY· 

AMENDMENT 

Thank you for your letter of [DAni], concerning a propo:;ed amendment to the cooperat1ve 

agreement between the Department of the Interior and the State of[STATEJ which provides tOr 

~tate regulation of surface coal mm111g and reclamatio11 operat1ons on Federal land> m [STATE]. 

The Oilice of Surface J\Iining has been directed to begin its review of your proposal and to work 

with your :;taffto complete the administrative process needed to adopt the amendment. 

Please be assured of the Department'> commitm~nt to th" coop~rat1v~ agreement_ Tf we can b~ 

of further assi:;tancc. please let us know 

Sincerely, 
APPENDIX 2 

Distribution 1 jst for Proposed State-federal Coooeratjye Agreements 

Addresses are provided only where an agency has centralized all or part of its 

SMCRA-related review functions 1n one location nationwide. Field Offices should 

obtain addresses for the appropriate district. regional, area or field offices of the 

other agencies or agency units listed below with respect to the States within their 

area of responsibility. 

Field off1ces should poll the other agencies or offices listed to determine their 

interest in receiving and commenting on proposed agreements and amendments. 

Field Offices also should periodically query agencies on their distribution lists to 

update addresses and, for those agencies not denoted by an asterisk, to ascertain 

whether they wish to remain on the comment solicitation list. 

D1rector Office of Water Enforcement and Permits 

Environmental Protection Agency, EN 336 

401 M Street, S.W. 

Washington, DC 20160 

Regional Administrator 

Environmental Protection Agency 

Advisory Council on Historic Preservation 

The Old Post Office Building, No. 809 

1100 Pennsylvania Avenue, N.W. 

Washington, DC 20004 

State Historic Preservation Dlf1cer 

Reg10nal Director 

F1sh and Wildlife Service 

Department of the Interior 

Reg1onal Forester {if agency is a FLMA withm the State) 

U.S. Forest Service 

Department of Agriculture 

Chief of Engineers (if agency is a ELMA within the State) 

U.S. Army Corps of Engineers 

CDRUSACE {DAEN-ASM-MM) 

Washington, DC 20314 
State Director 

Bureau of Land Management 

Department of the Interior 

Chief, Energy, Mining and Minerals 

National Park Service 

Department of thP. Interior 

P.O. Box 25287 

Denver, CO 80225 

Regional Director 

National Park Service 

Department of the Interior 

Mmerals Man<Jgement Service 

18th and C Streets, N.W. 

Washington, DC 20240 
Appendix 3 

Final Cooperative Agreement P~ges 

[First Page of Cooperative Agreement] 

COOPERATIVE AGREEMENT 

The Governor of the Commonwealth of Kentucky (the Governor) and the 

Secretary of the Department of the Interior (the Secretary) enter into a 

Cooperative Agreement (Agreement) to read as follows: 

Article 1: Introduction, Purpose, and Responsible Agencies 

A. Authority 

This Agreement is authorized by Section 523(c) of the Surface Mining 

Control and Reclamation Act (Act). 30 U.S.C. 1273(c), which allows a State 

with a permanent regulatory program approved by the Secretary under 30 

U.S.C. 1253, to elect to enter into an Agreement for the regulation and 

control of coal exploration operations not subject to 43 CFR Group 3400 and 

surface coal mining and reclamation operations on Federal lands. This 

Agreement provides for State regulation consistent with the Act, the Federal 

lands program (30 CFR Chapter VII, Subchapter D) and the approved 

Kentucky State Program (Program) for surface coal mining and reclamation 

operations on Federal lands. 

B. Purposes 

The purposes of this Agreement are to (a) foster Federal-State cooperation 

on the regulation of surface coal mining and reclamation operations and coal 

exploration operations not subject to 43 CFR Group 3400, (b) minimize 

intergovernmental duplication of effort, and (c) provide for uniform and 

effective application of the Program on all lands in Kentucky in accordance 

with the Act and the Program. 

C. Responsible Administrative Agencies 

The Kentucky Natural Resources and Environmental Protection Cabinet 

(NREPC). acting through the Department for Surface Mining Reclamation and 

Enforcement (DSMRE), shall be responsible for administering this Agreement 

on behalf of the Governor. The Office of Surface Mining Reclamation . 

I 
[Signature Page - Intervening Pages Omitted] 

Article XV: Changes in Personnel and Organization 

Each party to this Agreement will notify the other, when necessary, of any 

changes 1n personnel, organization and funding, or other changes that may 

affect the implementation of this Agreement to ensure coordination of 

responsibilities and facilitate cooperation. 

Article XVI: Reservation of Rights 

This Agreement w1ll not be construed as waiving or preventing the assertion 

of any rights in this Agreement that the State or the Secretary may have 

under laws other than the Act or the1r regulations, including but not limited 

to those listed in Appendix A. 

Approved: 

Paul E. Patton 

Commonwealth of Kentucky 

All!JI!St 18 1998 

Date 

2 

Bruce Babbitt 

Secretary of the Interior 

September 24. 1998 

Date 
Appendix A 

1. The Federal land Policy and Management Act, 43 U.S.C. 1701 et 

.s.e.q., and implementing regulations. 

2. The Mineral leasing Act of 1920, 30 U.S.C. 181 et ~-. and 

implementing regulations, including 43 CFR Part 3480. 

3. The National Environmental Policy Act of 1969, 42 U.S. C. 4321 et 

s..e..q., and implementing regulations, including 40 CFR Part 1500. 

4. The Endangered Species Act, 16 U.S.C. 1531 et .s.e.q., and 

implementing regulations, including 50 CFR Part 402. 

5. The F1sh and Wildlife Coordination Act, as amended, 16 U.S.C. 661 .et 

.s.e.g., 48 Stat 401 . 

6. The Bald and Golden Eagle Protection Act of 1940, as amended, 16 

U.S.C. 668-668d, and implementing regulations. 

7. The Migratory Bird Treaty Act, as amended, 16 U.S.C. 701-718h .e1 

=· 8. The National Historic Preservation Act of 1966, 16 U.S.C. 470 .et.s.e.Q., 

and implementing regulations, including 36 CFR Part 800. 

9. The Clean Air Act, 42 U.S.C. 7401 e.t .s.e.Q., and implementing 

regulations. 

10. The Federal Water Pollution Control Act, 33 U.S. C. 1251 .et.s.e.Q., and 

implementing regulations. 

1 1. The Resource Conservation and Recovery Act of 1976, 42 U.S.C. 

6901 et .s.e.g., and implementing regulations. 

12. The Reservoir Salvage Act of 1960, amended by the Preservation of 

Historical and Archaeological Data Act of 1974, 16 U.S.C. 469 e.t .s.e.Q. 

13. Executive Order 11593 (May 13, 1971 ), Cultural Resource Inventories 

on Federal Lands. 

14. Executive Order 11988 (May 24, 1977). for flood plain protection. 

1 5. Executive Order 1 1 990 (May 24, 1 977). for wetlands protection. 

16. The Mineral leasing Act for Acquired Lands, 30 U.S.C. 351 .ets..e..q., 

and implementing regulations. 

17. The Stock Raising Homestead Act of 1916,43 U.S.C. 291 ill..s..e.Q. 

18. The Archaeological Resources Protection Act of 1979, 16 U.S.C. 

4 70aa et seq., as amended. 

19. Tl1e Constitution of the United States. 

3 
20. The Surface Mining Control and Reclamation Act of 1977, 30 U.S.C. 

1 201 ill .s..e.g. 

21. 30 CFR Chapter VII. 

22. The Constitution of the Commonwealth of Kentucky and State Law. 

4 
APPENDIX4 

Al\1ENDMENT TO A 

COOPERATIVE AGREEMENT 

SIGNATURE COPY 

MfENDMENT TO THE COOPERATIVE AGREEMENT 

BETWEEN THE SECRETARY OF THE INTERIOR AND THE 

STATE OF (NAME THE STATE) 

I approve the attached amendment to the cooperative agreement entered into by the 

Stx:retary of the Interior and the State of (NAME STATE) on (Date). The amendment consists 

of (DESCRIBE NATURE OF THE AMENDMENT). Federal regulations at 30 CFR 745.14 

provide that an approved cooperative agreement may be amended by mutual agreement of the 

Stx:retary and the Governor of the State. Upon approval, the amendment portion of the 

agreement will be attached to the official file copies of the agreement. 

Approved: 

Secretary of the Interior Governor of (NAME STATE) 

Date 

~ Where there are extensive revisions or additions to an existing agreement, the amendment 

document shown in this Append])( may not be appropriate. In such cases, the entire agreement, as 

amended, should be submitted 
AMENDMENT TO THE COOPERATIVE AGREEMENT 

BETWEEN THE SECRETARY OF THE INTERIOR AND THE 

STATE OF (NAME STATE) 

ARTICLE (NUMBER) : (HEADING) 

(CITE A"t\.1ENDED TEXT) 
2•). S>rface Mrnns Con~«>l and Re~lacta'Olon ;,ct ot: H77, 30 :~.s.c. 1201 et 

~· as a;nendad. 

21. 30 CFR Cl".apter VII. 

24. ~Nar;-." s~ate; [t:ame S~ate Rs~ul~~ory "-g~c.cy; Coa: .'11nir.g anC: ReclG.:"\a"ClClc. 

P~:=ar.en-o Frcgrz011, ?.~"les and 'U>s·~lo.'Olon~.