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Surface Mining: States Not Assessing and Collecting Monetary Penalties

RCED-87-129 Published: Jun 05, 1987. Publicly Released: Jul 06, 1987.
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Highlights

In response to a congressional request, GAO reviewed the performance of Kentucky, Indiana, and Colorado in assessing and collecting civil penalties against coal mining operators who violated environmental standards.

Recommendations

Recommendations for Executive Action

Agency Affected Recommendation Status
Department of the Interior The Secretary of the Interior should require the Director, Office of Surface Mining Reclamation and Enforcement (OSMRE), to take steps to ensure that Kentucky and other states with primary regulatory authority assess mandatory penalties when violations are not corrected within the specified abatement period.
Closed – Implemented
Corrective action was taken concerning Kentucky in the context of a settlement agreement negotiated with the assistance of Interior. Other states will be handled by the oversight guidance directive REG-8, dated October 9, 1987, covering civil penalties and procedures to follow for identifying problems and taking corrective actions.
Department of the Interior The Secretary of the Interior should require the Director, OSMRE, to review state penalty collection systems as part of its annual oversight evaluations. In performing this review, OSMRE should require states to make available all records, files, and documents relating to all aspects of the penalty collection system or activity. The states should be required to develop and implement written procedures that provide detailed instructions to facilitate debt collection using generally accepted debt collection practices, such as those followed by IRS.
Closed – Implemented
OSMRE offered assistance to states in a number of areas. However, OSMRE believes that penalty collection is a state responsibility. OSMRE reviewed state penalty assessment and collection systems as part of its fiscal year 1988 oversight reviews of the state programs.
Department of the Interior The Secretary of the Interior should require the Director, OSMRE, to require the states to fully explain and document, in the records of each violation, the basis for the proposed penalty and any subsequent adjustments.
Closed – Implemented
Interior believes that, to some extent, this recommendation has been implemented, because OSMRE guidelines for annual oversight evaluations require a review of whether civil penalty assessment decisions are documented by the state. OSMRE offered to provide states with training and other support so as to upgrade their assessment and collection systems; however, state participation is voluntary.

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Topics

Coal miningCollection proceduresEnvironmental lawFines (penalties)Investigations by federal agenciesMining industryMining legislationRegulatory agenciesState-administered programsMining