Inspection Compliance Flow Process

In Reply Refer To:

3809/3715 (AK930) P         

Instruction Memorandum No. 2019-007       

Expires: 09/30/2020  

To:          District Managers and Field Managers

From:      State Director

Subject:  Inspection Compliance Flow Process

Program Area:  Mining Law Administration Program (L1990) – Surface Management

Purpose: 

The purpose of this Instruction Memorandum is to refine BLM Alaska’s commitment to immediate resolution of compliance issues by empowering mining compliance staff. This is intended to result in more timely resolution or avoidance of potential situations of unnecessary or undue degradation (UUD).

Policy/Action: 

BLM Alaska mining compliance staff will facilitate constructive and pro-active means to resolve issues while in the field. Inspectors will provide recommendations and guidance to operators on ways they may correct or avoid potential situations of UUD. Relevant conversations and all suggested actions will be documented in the field inspection summary and further clarified within the Mining Compliance Inspection Report.

Unless otherwise delegated under existing authorities, inspectors must clearly understand that they have no authority to make or issue any enforcement action or to authorize any changes in a plan/notice.  Issuance of noncompliance decisions and plan changes remain solely within the purview of the Field Manager, or mining compliance specialists who have been delegated particular authorities.

The purpose of mine site inspections is to assure that actions or activities are consistent with the approved mine plan in conformance with the performance standards, or have an effect on other state or federal permits.  The approved mine plan and the associated Conditions of Approval are the “sideboards” in which the operator is measured.  The NEPA document and decision record (DR) are not the final mine plan and should not drive compliance and enforcement. However, older plans often combined the DR and the plan decision into one document.  As such, the “decision” will be considered the plan authorization decision. The NEPA process provides for interdisciplinary review, analysis, and mitigation that should be incorporated as conditions of approval for the approved plan of operations.

When conducting compliance inspections, inspectors must identify those conditions or actions that ‘are causing’ or ‘likely to cause’ UUD.  Once identified, ascertain the root cause and address that with the miner. Work constructively and pro-actively with the miner on how to resolve an issue.  Attachment 1 – Field Inspection Checklist lists some key components of field documentation, areas or items to inspect, use and occupancy, and the miner’s administrative process.

For those situations that warrant immediate suspension of activities to protect the environment or health from imminent danger, the authorized officer should be contacted immediately and, if the authorized officer deems necessary, a written enforcement decision must be delivered to the operator as soon as possible.  If a mining compliance specialist has been delegated the authority to do so, the specialist may issue a written enforcement order without prior consultation with the field manager, although in all instances the field manager must be notified as soon as possible of the action. Introduce interdisciplinary team member support as needed to verify UUD or where conditions of approval to the plan may need support.

In accordance with H-3809-1, at the conclusion of an inspection, “prior to leaving the site, inspectors should hold a closeout discussion with the operator, or their designated representative, on the results of the inspection. Be sure to document any field resolution of compliance issues or other agreements made with the operator in the inspection report.”

Ultimately, meaningful conversations with miners can lessen the occurrence of compliance issues being elevated to formal noncompliance decisions or allow miners to conduct corrections in the field in a timely and effective manner without a regulatory noncompliance burden.

Timeframe:  Effective immediately.

Budget Impact:  None expected.

Background:  The Surface Management (43 CFR 3809) and Use and Occupancy under the Mining Law (43 CFR 3715) regulations require the BLM to maintain a compliance and enforcement program. Part 3809.600 states the BLM may inspect any part of the operation on public lands at any time. Part 3715.7 authorizes the inspection of all structures, equipment, workings, and uses located on public lands for verification of the nature of the use and occupancy of the public lands.  For any structures that are used solely for residential purposes the BLM must receive permission from the occupant or a court of competent jurisdiction.

Examination of the Final Rule[1] for the Surface Management regulations clearly demonstrates that the inspection program under Part 3809 should encourage on-the-ground discretion to resolve issues.  When drafting the regulations, the BLM applied the principal that the rules provide flexibility for BLM to take enforcement action when warranted, or to defer such action if violations will otherwise be timely corrected.  More specifically, the final rule asserts that “trained professional BLM inspectors will exercise their judgment and take enforcement action when necessary.” The overall intent of the 3809 inspection and enforcement program is best summarized in the Final Rule where it states, “Cooperation and seeking voluntary compliance will remain the top priority.”

Manual/Handbook Sections Affected:  H-3809-1 Surface Management Handbook

Coordination:  BLM Alaska State Office Division of Energy and Minerals, Solid Minerals Section

Contact:  James Whitlock, Compliance & Enforcement Coordinator, 907-271-4227, j05whitl@blm.gov; or Joseph Galluzzi, Chief of Solid Minerals, 907-271-3236, jgalluzz@blm.gov.

Signed by Chad Padgett
BLM Alaska State Director

1 Attachment

     1 – Field Inspection Checklist, 4 p.