7._EXHIBIT_G_-_TO-BE-PROCESS_DIAGRAMS.pdf

Administrative Support Activities

Administrative Support Activities

A n n u a l P ro ce ss es

A n n u a l P ro ce ss es

To-Be Process Context Map

This diagram is intended to help provide timing and business context to the attached To-Be Process diagrams. Like processes are grouped in small boxes and then further grouped into larger boxes based on timing or related processes. The numbered processes in the bulleted lists correspond to attached To-Be Process flows.

Mail Handling

• 10.1 – Receive and Scan Mail

Intake Inspection Reports

• 4.1 – Receive Inspection Reports and Notices of Completion of Inspection

Process Financial Assurance Cost Estimates (FACEs)

• 5.1 – Receive Financial Assurance Cost

Estimate

• 5.2 – Review Financial Assurance Cost

Estimates

• 5.3 – Track Financial Assurance Cost Estimate

Approvals

Process Financial Assurance Mechanisms (FAMs)

• 6.1 – Review Financial Assurance Mechanisms

• 6.2 – Reconcile Financial Assurance Mechanism

• 6.3 – Release Financial Assurance Mechanisms

• 6.4 – Replace Financial Assurance Mechanisms

• 6.5 – Process Forfeited Financial Assurance

Mechanisms

Process Annual Reports

• 7.1 – Establish Annual Report Fee Schedule

• 7.2 – Receive Annual Reports

• 7.3 – Process Paper Annual Reports and Fees

• 7.4 – Analyze Annual Reports

• 7.5 – Determine Annual Report Outcomes

• 7.6 – Follow Up on Incomplete Annual Reports

Violations

• 8.1 – Initiate Violations Process

• 8.2 – Issue Notices of Violation

• 8.3 – Track Notices of Violation

• 8.4 – Issue Administrative Penalties

• 8.5 – Submit for Clerks Judgment

• 8.6 – Appeal to the State Mining and Geology

Board

Reporting

• 9.1 – Assemble Reports

• 9.2 – Maintain Purchase Preference List

January December FebFeb MarMar AprApr MayMay JunJun JulJul AugAug SepSep OctOct NovNov DecDec JanJan FebFeb MarMar AprApr MayMay JunJun JulJul AugAug SepSep OctOct NovNov DecDec

This Annual Report is submitted with values from Calendar Year 1, including Inspection Reports, FACE values, and FAMs.

The cycle then starts again with the next year’s inspections, FACE submissions, and FAM establishments.

E xa m p le T im e lin e o f

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Establish a Mine (One Time Processes – Occur at any time of year)

Process Mine Management Documents

• 2.1 – Receive Mine Management

Documents

• 2.2 – Provide Comments on Mine

Management Documents

• 2.3 – Review Lead Agency Intent to Approve Mine Management Documents

Process Initial Reports

• 3.1 – Receive Initial Report

Account Management

• 1.1 – Manage Lead Agency

Employee Accounts

• 1.2 – Manage Lead Agency

Consultant Accounts

• 1.3 – Manage Mine Operator

Accounts

September - October

DMR FACE

Review

September - October

DMR FACE

Review

October - December

Follow up on Non-

Compliant Filers

October - December

Follow up on Non-

Compliant Filers

September

Operator Submits FACE within 30 days of Inspection

September

Operator Submits FACE within 30 days of Inspection

July - October

Process Annual Reports

July - October

Process Annual Reports

January - December

Calendar Year 2

January - December

Calendar Year 2

March - April

Board Develops

Fee Schedule

March - April

Board Develops

Fee Schedule

May - July

Annual Report Filing Season for Previous

Calendar Year

May - July

Annual Report Filing Season for Previous

Calendar Year

July

Operator Requests Inspection Date

July

Operator Requests Inspection Date

May - July

Annual Report Filing Season for Calendar

Year 1

May - July

Annual Report Filing Season for Calendar

Year 1

August

Lead Agency Conducts Mine Inspection

August

Lead Agency Conducts Mine Inspection

January - December

Calendar Year 1

January - December

Calendar Year 1

May

Fee Schedule Posted

May

Fee Schedule Posted

November - December

FAM

Processing

November - December

FAM

Processing

Other

• 11.1 – Create Other Case Type

As part of the Annual Report, Operators request an inspection date from the Lead Agency.

November

Operator Submits FAM within 30 days of

FACE Approval

November

Operator Submits FAM within 30 days of

FACE Approval

July - September

Intake Inspection

Reports

July - September

Intake Inspection

Reports

Department of Conservation, Division of Mine Reclamation

To-Be – 1.1 – Account Management – Manage Lead Agency Employee Accounts Department of Conservation, Division of Mine Reclamation

To-Be – 1.1 – Account Management – Manage Lead Agency Employee Accounts

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SMARA-4 Case Management

1. Start (for Lead Agency employee)

2. Requests to create an account on Lead Agency

Portal

3. Enters necessary account information, including county and

LA role

4. System generates review task for county assigned analyst

5. Contacts Lead Agency contact to verify that new account request is valid

6. New account request is valid?

7. Approves account creation and sets appropriate initial configurations

8. System notifies new account user that account has been verified

Yes

9. Logs into account

10. Updates user information?

12. EndNo

11. Updates user information and saves

Yes

13. Start (Lead Agency employee modifies user information)

14. Rejects account creation

15. End

No

Lead Agency Portal

16. System notifies county assigned analyst(s) of update to user account

To-Be – 1.2 – Account Management – Manage Lead Agency Consultant Accounts Department of Conservation, Division of Mine Reclamation

To-Be – 1.2 – Account Management – Manage Lead Agency Consultant Accounts

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SMARA-4 Case Management

1. Start (for Lead Agency consultant)

2. Requests to create an account on Lead Agency

Portal

3. Enters necessary account information, including county and

LA role

4. System generates review task for county assigned analyst

5. Contacts Lead Agency contact to verify that new account request is valid

6. New account access request is valid?

7. Approves account creation/county access with agreed permissions for agreed period of time

8. System notifies account user that account access has been verified

Yes

9. Logs into account

10. Updates user information?

13. EndNo

11. Updates user information and saves

Yes

14. Start (Lead Agency consultant modifies user information)

15. Rejects account creation/county access

16. End

No

Lead Agency Portal12. Requests access to another county?

No

Yes

17. System notifies county assigned analyst(s) of update to user account

As part of confirming whether the consultant account is valid, the DMR STU Analyst will ask the county how long the account should be active, since consultants should not necessarily have access to counties in perpetuity.

Some consultants serve multiple counties or Lead

Agencies, so they need the ability to request access to multiple Lead Agencies under the same account. The new system generated review task needs to go to the analyst assigned to the additional county.

To-Be – 1.3 – Account Management – Manage Mine Operator Accounts Department of Conservation, Division of Mine Reclamation

To-Be – 1.3 – Account Management – Manage Mine Operator Accounts Le ad A ge

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SMARA-4 Case Management

16. Start (fallback path for Mine

Operators)

5. Requests to create an account on Operator Portal

6. Enters necessary account information, including Mine ID(s) and mine role

7. System generates review task for county assigned analyst

10. Approves account creation and marks it in the system

12. System notifies new account user that account has been verified/ updated

13. Logs into account

14. Updates user information?

15. EndNo

23. Updates user information and saves

Yes22. Start (Operator modifies account information)

20. Rejects account creation and marks it in the system

21. End

Operator Portal

17. Start (for existing Mine

Operators)

18. Assemble list of email addresses for existing mine operators

19. Send mass outreach email to existing mine operators to encourage account enrollment

4. Receives outreach email

2. Issues new governing documents and uploads them to DMR via Lead Agency

Portal

3. System sends email to encourage account enrollment prior to submitting

Initial Report

11. Updates other operator accounts associated to mine, as applicable

24. System notifies county assigned analyst(s) of update to operator account

8. Review account to confirm validity

9. Account valid?

Yes

No

After the mine operator successfully navigates the mine permitting process, they are required to file an initial report with DMR. This would be the opportune time to encourage operators to register for an account and encourage electronic filing of documents.

1. Start (for new Mine Operators on new mines)

Mine roles include Mine Land Owner, Mine Operator, and Designated Agent. An operator can one or many of these roles simultaneously.

This could include updating the mine roles and/or applicable dates for mine roles to reflect changes in mine ownership or operation.

For accounts for existing mine operators that DMR is already familiar with, this step can be bypassed or expedited during implementation/initial set up.

Mine Operators may be responsible for more than one mine, so during account set up, they will need the ability to register multiple Mine IDs to their account.

This could include updating the Mine IDs tied to the Mine Operator account.

To-Be Process – 2.1 – Mine Management Documents – Receive Mine Management Document Department of Conservation, Division of Mine Reclamation

To-Be Process – 2.1 – Mine Management Documents – Receive Mine Management Document

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ProcessProcess ToolsTools

1. Start

3. Reviews MMD

5. Submits electronically?

No

Yes

2. Submits “Mine Management

Document” (MMD) to Lead Agency (LA)

Yes

4. Deems MMD adequate to send to

DMR?

No

26. LA returns MMD to Operator with comments

27. Revises MMD

10.1 – Receive and Scan Mail

8. MMD belongs to an existing mine?

No

15. System creates case for Reclamation

Plan Review and assigns to the appropriate county team

24. Uploads MMD with some minimal information entry in the Lead Agency Portal

6. Mails MMD to

DMR

7. System sends confirmation email to the Lead Agency

If the LA had mailed in physical copy of the IRP, DMR will still email a confirmation receipt to the LA, using the LA contact information on file 9. System creates new Mine entity for submitted document

11. Subject to completeness review?

Yes

No

Continued to 2.2 – Provide Comments on Mine

Management Document, Step 1

Continued to 2.2 – Provide Comments on Mine

Management Document, Step 1

10. Is for existing in process MMD?

13. Updates existing MMD case with the latest information or document

Yes

Response to Comments

No

14. Type of document?

Notice of Intent to Approve/ Approved Document

Continued to 2.3 – Review Lead Agency Intent to Approve Mine Management Document, Step 4

(Notice)/Step 8 (Approved)

Continued to 2.3 – Review Lead Agency Intent to Approve Mine Management Document, Step 4

(Notice)/Step 8 (Approved)

For purposes of these process flows, “Mine Management Documents” will include Reclamation Plans (both initial and amendments), Interim Management P lans , CEQA/

NEPA documents, and any associated Lead Agency responses/notices.

Interim Management Plans and CEQA/NEPA documents are not subject to a completeness review.

25. Acknowledges certifying language for MMD submission and submits

Yes

12. System creates MMD case and assigns to the appropriate county team

16. Team Reviews for completeness and enters determination and notes on case

17. RP

considered complete?

Yes

18. PL drafts Incomplete

Submittal Letter to LA and Operator

19. SEG reviews Incomplete

Submittal Letter and provides feedback

No

20. Changes to Letter?

21. PL gets letter signed and uploads and notifies the LA and Operator

22. Receives Incomplete

Submittal Letter/ Notification

23. Works with Operator to rectify

Incomplete Submission

No

SMARA 4 Case Management

Since not all proposed mines will be approved/permitted, the official Mine ID should not be issued until later in the process. The Mine ID structure could use a prefix or suffix to indicate whether mines have been permitted or not.

Lead Agency Portal

YesContinued to 2.2 – Provide Comments on Mine Management Document, Step 14

Continued to 2.2 – Provide Comments on Mine Management Document, Step 14

To-Be Process – 2.2 – Mine Management Documents – Provide Comments on Mine Management Document Department of Conservation, Division of Mine Reclamation

To-Be Process – 2.2 – Mine Management Documents – Provide Comments on Mine Management Document A ss ig ne d

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ProcessProcess ToolsTools

3. Team has comments?

2. Team has time to comment?

16. Coordinates with STU Manager to prioritize work

17. Prioritized comments on this?

Yes

Comment Period ElapsesComment Period ElapsesComment Period Elapses

No

No

5. Team indicates that they have no comments on the case

4. Team enters comments on the case

6. Completes comments effort and routes to manager for review

7. Reviews response and provides feedback, if any

8. Sends back to team to make updates

9. Updates response based on manager feedback No

Yes

11. System uploads response to

Operator and Lead Agency Portals

10. System generates appropriate letter based on information entered on case

12. Reviews DMR comments

13. Responds to Comments explaining if

LA will /will not adopt DMR’s comments, v ia file upload on LA Portal

2.1 – Receive Mine

Management Document

14. LA adopts comments?

Yes

15. Meets internally to discuss LA not adopting comments No

1. Start Yes

SMARA 4 Case Management

Lead Agency Portal

Continued to 2.3 – Review Lead Agency Intent to Approve Mine Management Document, Step 1

Continued to 2.3 – Review Lead Agency Intent to Approve Mine Management Document, Step 1

The team generally has an idea of whether they’ll have comments or not from the Completeness review phase, if applicable.

The LA must send their response to comments at least 30 days prior to approving a Mine Management Document. However, this can often be a long period of time after DMR sent comments depending on what actions the LA is taking to address concerns or otherwise work through local processes.

This internal meeting is to prepare in advance once

Lead Agency takes action.

Until Lead Agency takes action (such as notifying of intent to approve), DMR cannot provide further comment on the Mine Management

Document.

The system should help prioritize which MMDs will be able to be reviewed, but with manager and user override ability.

To-Be Process – 2.3 – Mine Management Documents – Review Lead Agency Intent to Approve Mine Management Document Department of Conservation, Division of Mine Reclamation

To-Be Process – 2.3 – Mine Management Documents – Review Lead Agency Intent to Approve Mine Management Document

A ss ig ne d D

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ProcessProcess ToolsTools

1. Start

2. Intends to

Approve MMD?

No

11. Public Hearing to Approve?

Yes

3. Uploads 30 Day Notice of Hearing or Notice of Intent to

Approve via LA Portal

2.1 – Receive Mine

Management Document

12. PL uploads correspondence stating concerns to

LA

5. Has concerns with approval?

Yes

6. Approves Mine Management

Document (Administratively/At

Hearing)

No

14. Holds Public Hearing for Mine

Management Document approval

15. Receives and reviews concerns regarding approval

13. PL prepares evidence/ presentation for Public Hearing

Yes

No

16. Approves?

Yes

No

18. Work with Lead Agency to address concerns locally Continued to 2.1 –Receive

Mine Management Document, Step 2

Continued to 2.1 –Receive Mine Management Document, Step 2

7. Uploads approved copy of Mine Management

Document via LA Portal

2.1 – Receive Mine

Management Document

8. Challenging Approval?

No

As with response to comments, the LA must send the Notice of Hearing or Notice of Intent to Approve at least 30 days prior to approving the

Mine Management Document. However, this can often be a long period of time after DMR sent comments depending on what actions the LA is taking to address concerns or otherwise work through local processes.

20. System updates the Mine record with approved document and archives draft documents

21. System sends LA reminder to Notify County Recorder of

Approval

10. End

9. Challenge at the local level and update case/Mine Record accordingly

Yes

17. Appeals to the Board? No

Continued to 8.6 –Appeal to State Mining and Geology

Board, Step 3

Continued to 8.6 –Appeal to State Mining and Geology

Board, Step 3

Yes

SMARA 4 Case Management

4. Notes any concerns or lack of concerns with approval on case

Lead Agency Portal

19. If not already assigned, System assigns official Mine ID for Mine entity

To avoid gaps in the Mine ID sequencing, the official Mine ID should be assigned once the mine has been formally approved.

To-Be Process – 3.1 – Initial Reports – Process Initial Reports Department of Conservation, Division of Mine Reclamation

To-Be Process – 3.1 – Initial Reports – Process Initial Reports

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ProcessProcess ToolsTools

SMARA-4 Case Management

1. Start

Operator Portal

First Data Payment Processor

Lead Agency Portal3. Uploads recently issued permit to

DMR via Lead Agency Portal

6. System updates Mine record with new permit and alerts county analyst team

2. Issues Operator new mine permit

4. Receives new mine permit

5. Files Initial Report?

8. Files electronically?

No

7. Follows up with Mine Operator and

Lead Agency to check on initial report being filed

Yes

9. Uploads Initial

Report via the Operator Portal

10. Confirms all supporting documents have been submitted to

DMR

Yes

Prepares paper copy of Initial Report and payment and mails to DMR

10.1 – Receive and Scan Mail

No

13. System updates Mine record and creates Initial Report case for assigned county analyst

11. System directs operator to First

Data to make Initial Report payment

12. System imports electronic payment data and allocates based on Initial Report Continued to 7.2 – Receive

Annual Reports, Step 11 Continued to 7.2 – Receive

Annual Reports, Step 11

14. Reviews Initial Report for any missing components

15. Missing document or payment?

16. Contact Operator for missing document or payment

18. Complete Initial Report, indicating

Mine is now Active

Yes

No

17. Sends DMR Analyst any missing

Initial Report components, via Operator Portal

19. System sends “Welcome” notice to Operator, LA, and Designated Agen

20. Receives Welcome

Notification

21. Receives Welcome

Notification

22. End

To-Be Process – 4.1 – Inspection Reports – Receive Inspection Reports and Notices of Completion of Inspection Department of Conservation, Division of Mine Reclamation

To-Be Process – 4.1 – Inspection Reports – Receive Inspection Reports and Notices of Completion of Inspection

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SMARA-4 Case Management

1. Start (Annual IR)

2. Requests Inspection Date in

Annual Report

4. Conducts Inspection and drafts Inspection Report (IR)

6. Uploads Inspection Report document and supporting attachments to MODS/LA Portal

9. Enters Notice of Completion of Inspection

(NOCI) form data in MODS/LA Portal and attaches supporting documents

11. Receives NOCI

12. Receives

Inspection Report

14. System updates Mine Entity

Information and stores IR and NOCI

5. Logs/Reports essential IR data in

LA Portal

13. Triggers staff verification of document before releasing for public view

8. End

10. Confirms previously filed IR is the correct IR for

NOCI

3. Conducts Inspection?

Yes

16. Start (Other Inspections)

Go to 5.1 – Receive Financial Assurance Cost Estimates, Step 1

Go to 5.1 – Receive Financial Assurance Cost Estimates, Step 1

Lead Agency Portal

No

15. End

7. Annual Inspection?

Yes

No

This verification process is currently contained within MODS, with staff being notified by email.

30 Days30 Days

Lead Agencies may perform Inspections outside of the Annual Inspection cycle. They are not required to upload Inspection Reports for these off cycle inspections, but it would be helpful and they are welcome to provide that information.

To-Be Process – 5.1 – FACEs – Receive Financial Assurance Cost Estimates Department of Conservation, Division of Mine Reclamation

To-Be Process – 5.1 – FACEs – Receive Financial Assurance Cost Estimates

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SMARA-4 Case Management

1. Start

2. Complete FACE and send to LA for review

4. Reviews FACE and provides feedback

5. Updates FACE based on LA feedback and resubmits to LA

6. Reviews and finds FACE adequate

7. Uploads FACE to LA Portal as draft

FACE

8. System prompts LA to confirm inspection report uploaded and FACE complete

10. Upload/provide first page of FACE to

DMR

9. Sends Receipt/ Completeness

Review Confirmation

3. Inspection conducted?

11. Indicate FACE submitted by

Operator (not LA) and upload for public access

13. Send follow-up notification to Lead

Agency for explanation

14. LA takes action?

Yes

No Go to 5.2 – Review Financial Assurance Cost

Estimate, Step 1 Go to 5.2 – Review Financial Assurance Cost

Estimate, Step 1

Yes

No

Go to 8.6 – Appeal to State Mining and Geology Board, Step 1

Go to 8.6 – Appeal to State Mining and Geology Board, Step 1

12. System notifies STU PL that

Operator submitted first page of FACE

Operator Portal

Lead Agency Portal

In prompting the Lead Agency to confirm that the appropriate corresponding Inspection Report has been uploaded, the system is helping ensure that the necessary components for complete FACE submission are included. Additionally, by submitting the FACE and the Inspection Report to DMR, the LA is indicating that they believe the contents of the FACE to be adequate and complete (e.g. includes DOA and Inspection Report).

LA has 60 days to review the FACE

In the event that the LA doesn’t conduct an inspection or is taking an unreasonable length of time, then the Operator would send in the first page of the FACE. This keeps the Operator on the Purchase Preference List, but there isn’t a ton of recourse with the LA for getting the rest of the FACE.

To-Be Process – 5.2 – FACEs – Review Financial Assurance Cost Estimates Department of Conservation, Division of Mine Reclamation

To-Be Process – 5.2 – FACEs – Review Financial Assurance Cost Estimates

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SMARA-4 Case Management

2. Creates FACE case for review

3. Assigns FACE Case to PL based on county assignment

4. PL previews submitted FACE and creates assignments under FACE Case for county Team

5. PL decides if need specialist assignment for comments

6. Team members work comments assignments and enter comments into system

8. PL/Specialist assembles letter with comments for

FACE

9. Manager Review FACE Comment

Letter

10. Send FACE Comment Letter to

LA (upload to portal)

13. Reviews comments and has 30 days to respond indicating whether they’ll incorporate comments or not

14. Upload/provide response to comments back to

DMR

15. Update system with record of LA response to FACE comments

16. County Team reviews LA response to comments

17. Optional Manager review LA response to comments

19. Request Consultation with LA

18. Want consultation? Yes

20. Hold consultation with

DMR and Operator

7. As necessary (Zero FACE or team discretion), conduct inspection

No

12. Send alert to LA and Operator that comments available for review

21. Update system of record that consultation was held and upload notes/supporting documents from consultation

Send follow-up notification to Lead Agency to find out where FACE approval is

22. Notice of Intent to Approve Received in

60 Days?

Yes

No

23. Send follow-up notification (in portal for administrative record and email) to Lead Agency regarding FACE

Go to 5.3 – Track Financial Assurance Cost Estimate Approval, Step 1

Go to 5.3 – Track Financial Assurance Cost Estimate Approval, Step 1

1. Start

Lead Agency Portal

11. Send alert to RU Analyst that comments available for review

Because team moves on to work on other things in the interim, having the ability to quickly reference /see where they left off is helpful

(currently having to dive back through the mine file)

Conducting Inspection allows for proper data collection/ perspective that is hard to gain from desk review. Confirm site conditions match the FACE submittal. Also necessary to confirm all aspects of Rec Plan have been addressed for

Zero FACE.

This is an essential activity to ensuring that FACES are representative of mine conditions. Currently, the team doesn’t get to spend nearly enough time doing these site visits because they are bogged down with document and administrative inefficiencies.

With the new system, the administrative time savings would allow for these essential activities that will improve FACE estimates and build relationships with operators and Lead Agencies, subsequently improving compliance across the board.

Inspection Report forms are only required in the context of an annual inspection. DMR doesn’t have to use this form for their inspections. Need a document upload feature to gather write-ups and supporting documents (pictures, maps, graphs, drawings, etc) and associate to the inspection.

System could upload request to portal or initiate an email. Regardless, the request for consultation should be recorded in the administrative record.

60 days from end of comment period expiration in No Comment situation or 60 days after Request to Consult received or consultation held

To-Be Process – 5.3 – FACEs – Track Financial Assurance Cost Estimates Approval Department of Conservation, Division of Mine Reclamation

To-Be Process – 5.3 – FACEs – Track Financial Assurance Cost Estimates Approval

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SMARA-4 Case Management

17. Zero FACE?

Yes

18. Release of FAM requested? YesNo19. End

No

2. Intends to Approve FACE?

6. Upload/Send 30 Day Notice of Intent to Approve or Notice of Hearing

7. Update system with record of LA intent to Approve/ Hearing

Yes

3. Upload/Send Denial or 30 Day Notice of Hearing

No

4. Appeal to the Board?

Yes

5. Work with Lead Agency to address issues and resubmit FACE to LA

No

9. Hold Hearing 10. Approves?

No

11. Approves FACE

8. Hearing? Yes

No

Yes

13. Upload Approved FACE to LA Portal/MODS

12. Uploads Approved FACE within 30 days?

20. System sends follow-up notification to Lead Agency to follow up on Approved FACE

No

Yes

14. System notifies STU PL that an

Approved FACE has been uploaded

16. Appeal?Yes No

1. Start

Go to 6.1 - Review Financial Assurance Mechanisms, Step 1

Go to 6.1 - Review Financial Assurance Mechanisms, Step 1

15. Reviews document prior to releasing for public viewing

Go to 8.6 - Appeal to State Mining and Geology Board, Step 1

Go to 8.6 - Appeal to State Mining and Geology Board, Step 1

Go to 6.3 - Release Financial Assurance Mechanisms, Step 1

Go to 6.3 - Release Financial Assurance Mechanisms, Step 1

21. Receives Upload Approved FACE

Reminder

Go to 5.1 - Review Financial Assurance Mechanisms, Step 5

Go to 5.1 - Review Financial Assurance Mechanisms, Step 5

Go to 8.6 - Appeal to State Mining and Geology Board, Step 3

Go to 8.6 - Appeal to State Mining and Geology Board, Step 3

Lead Agency Portal

If DMR has outstanding concerns, they can attend the hearing and present further evidence or send correspondence to LA regarding concerns. These supporting documents need to be able to be saved to the system of record/ administrative record.

To-Be Process – 6.1 – FAMs – Review Financial Assurance Mechanisms Department of Conservation, Division of Mine Reclamation

To-Be Process – 6.1 – FAMs – Review Financial Assurance Mechanisms

D M

R

R ep or ti n g

U ni t (R

U ) A na ly st D

M R

R ep or ti n g U ni t

(R U

) A na ly st

O pe ra to r O pe ra to r

Le ad

A ge n cy

Le ad

A ge n cy

ProcessProcess ToolsTools

SMARA-4 Case Management

4. Uploads FAM documents to DMR via Operator Portal, and enters some key values

6. System creates FAM case and assigns to RU

Analyst for County

7. Analyst reviews FAM and provides comments, if applicable

8. Comments?

18. Send Comments back to Operator

(copy LA)

Yes

19. Receives Comments/Follow-up and resolves concerns

10. Sends No Comments letter to Operator and Lead

Agency

No

11. Receives No Comments Letter

12. Receives No Comments Letter

9. Enter essential FAM Data into

SMARA 4

1. Start

2. FAM Received within 15 Days of FACE Approval?

Yes

13. System sends follow up to

Operator and Lead Agency for FAM

No

16. Operator provides FAM?

No

Yes

5. Approved FACE on file?

Yes

17. Follow up with

LA for approved FACE (cc: STU County Team)

No

14. Receives FAM follow up notification

15. Receives FAM follow up notification Continue to 6.2 – Reconcile Financial Assurance Mechanisms, Step 1

Continue to 6.2 – Reconcile Financial Assurance Mechanisms, Step 1

10.1 – Mail – Receive and

Scan Mail

3. Submits electronically? Yes

No

Continue to 8.1 - Violations – Initiate Violations Process, Step 1

Continue to 8.1 - Violations – Initiate Violations Process, Step 1

Lead Agency Portal

Operator Portal

20. Addresses concerns?

Yes

21. Follow up with Operator regarding outstanding concerns

No

If repeatedly non-responsive, escalate to V iolations process, as necessary

Aside from the normal FAM types, the system will need an “Other” indicator and notes option for FAMs to account for FAMs established with third party agencies, such as the Bureau of Land Management.

This can be written references in an email or it can be document markup, meaning that the analyst needs to be able to send attached mark up documents back in response.

Set to 15 days so that fo llow up can still be within compliance window of 30 days

To increase probability of compliance, DMR wants to spend more time pursuing Stipulated

Orders to Comply for mines where big changes in FACE value happen suddenly and the mine needs time to build up the FAM. Being able to track this would be essential to improved compliance.

Ideally, the approved FACE has already been on file, but this is an opportunity to make sure that there is one, while still continuing to process the FAM.

This would include Financial Inst itution contact information.

To-Be Process – 6.2 – FAMs – Reconcile Financial Assurance Mechanisms Department of Conservation, Division of Mine Reclamation

To-Be Process – 6.2 – FAMs – Reconcile Financial Assurance Mechanisms

D M

R

R e p o rt in g U n it

R

U

A n a ly st D

M R

R e p o rt in g

U n it

R U

A n a ly st

Le ad

A ge n cy

Le ad

A ge n cy

ProcessProcess ToolsTools

SMARA-4 Case Management

6. Uploads Approved FAM to LA

Portal

8. Reviews and confirms FAM prior to making available publicly

2. Approved FAM submitted with in 30 days?

4. Follow up with Lead Agency for approved FAM

No

Yes

5. LA provides approved FAM?

No

Yes

9. Confirm/enter approved FAM values in SMARA 4

10. System checks total approved FAM value against approved FACE

13. Total FAMs >= Approved FACE value?

14. EndYes

15. Send nudge letter/contact that insufficient FAM on file to LA and/or OperatorNo

Go to 9.2 – Maintain Purchase Preference List, Step 1

11. Approved FACE on file?

12. Send notification to LA for follow up for approved FACE

(cc: STU County Team)

No

Yes

1. Start

3. System reminds county analyst to follow up with Lead Agency on approved

FAM

Go to 8.6 – Appeal to State Mining and Geology Board, Step 1

Go to 8.6 – Appeal to State Mining and Geology Board, Step 1

7. System notifies county analyst of uploaded Approved

FAM

Lead Agency Portal

2774.2.5 doesn’t specifically call out a recourse path. 2774.2.5(c) calls out posting a “LA not provided document” statement. If escalating to the Board, it would probably be for a wholesale

LA takeover, which would likely require more open concerns than just this is sue.

Checking that approved FAM matches values previously captured in the system. If not, the analyst would reach out to Lead Agency to address discrepancies.

This would be a helpful place for a template communication that the analyst could elect to trigger sending.

Note that the FAM submitted by the LA is not redacted. Redaction will come later when the Approved FAM is made available to the public.

This would be a helpful place for a template communication that the analyst could elect to trigger sending.

To-Be Process – 6.3 – FAMs – Release Financial Assurance Mechanisms Department of Conservation, Division of Mine Reclamation

To-Be Process – 6.3 – FAMs – Release Financial Assurance Mechanisms D

M R

R ep o rt in g U n it

R

U ) A n al ys t

D M

R

R ep o rt in g

U n it

R U

) A n al ys t O pe ra to r

O pe ra to r Le ad A ge n cy Le ad A ge n cy

ProcessProcess ToolsTools

SMARA-4 Case Management

1. Start

2. Requests FAM

Release

4. Approves Zero FACE and uploads approved Zero FACE via MODS/LA Portal

5.1 – Receive Financial

Assurance Cost Estimate

Yes

5. Upload Request for FAM Release via

LA Online Portal

7. Review for correct Mine ID, FAM values, approved Zero FACE on file or sufficient FAM post-release

11. Analyst agrees ready for release

13. Route case for RU manager review and approval on FAM Release

8. Approved Zero FACE on file?

Yes

No

14. System generates FAM Release letters

12. Route case for peer review on FAM

Release

16. Upload to Portal/ notify Operator, Lead Agency, and Financial Institution that FAM release request is approved

17. Receives/ accesses FAM release authorization

18. Receives/ accesses FAM release authorization

19. Coordinates FAM release with

Financial Institution

20. End

6. System creates case for FAM

Release and assigns to county analyst

3. Zero FACE release?

9. Total FAM left after release covers

FACE?

Replace and Release Request

Yes

10. Contact Lead Agency and Operator for resolution

No

Lead Agency Portal

Operator Portal

15. Gather DMR Supervisor signature for FAM Release Letter

17. For Zero FACE, System updates mine status and

Annual Report filing requirement

As part of Zero FACE review process, STU unit should notify RU analyst when comments issued to LA on FACE so as to keep the RUA apprised of upcoming FAM Release request. Would be helpful for RUA to know what comments were in order to know whether STU agreed with FACE or not. If the FACE is in dispute (appealed to the Board), wait for resolution prior to releasing the

FACE.

If STU has no comments on Zero FACE, then RU would like to be notified also because that could indicate a coming FAM release.

Followed through on the Zero FACE review path.

As part of the Zero FACE process, STU may conduct final inspection with LA to confirm site reclaimed.

If chasing down the Approved Zero FACE, not necessarily going to force

LA resubmit a FAM release request again (use existing one, barring any issues).

Also checking that there are no outstanding concerns or issues with the FACE

For the most part, th is would be a default template letter. On rare occasion, would need to edit in the event of a contentious

FAM release.

Also, if rejecting/FAM release request found deficient, would communicate with

LA and STU unit to get issue resolved.

In the instance of a Replace and Release Request, the newly established FAM (the replacement FAM) needs to adequately cover the Approved FACE on file prior to the release of previous FAM (replaced

FAM).

In the instance of a Zero FACE FAM release, the mine is essentially considered reclaimed and does not need to file an Annual Report. The system needs to keep track of this status change. Additionally, this attribute should allow for user override as needed in exception circumstances.

To-Be Process – 6.4 – FAMs – Replace Financial Assurance Mechanisms Department of Conservation, Division of Mine Reclamation

To-Be Process – 6.4 – FAMs – Replace Financial Assurance Mechanisms

D M

R

R ep or ti n g

U ni t (R

U

A n al ys t D

M R

R ep or ti n g U ni t

(R U

A n al ys t

O pe ra to r

O pe ra to r

Le ad

A ge n cy

Le ad

A ge n cy

O pe ra to r

O pe ra to r

ProcessProcess ToolsTools

SMARA-4 Case Management

1. Start (Same Op, Rep lace a nd

Release)

6.1 – Receive Financial

Assurance Mechanisms

2. Request FAM Release

3. Review and submit FAM Release request via LA Online Portal

4. Start (Change of Op, Replace and

Release)

6.1 – Receive Financial

Assurance Mechanisms

6. Original Operator requests release of their FAM

5. Review and submit FAM Release request via LA Online Portal

Go to 6.3 – Release Financial Assurance Mechanisms, Step 1

Go to 6.3 – Release Financial Assurance Mechanisms, Step 1

Go to 6.3 – Release Financial Assurance Mechanisms, Step 1

Go to 6.3 – Release Financial Assurance Mechanisms, Step 1

Operator Portal

Operator Portal

Lead Agency Portal

This includes getting approved FACE on file and approved FAM on file, prior to handling release request.

This includes getting approved FACE on file and approved FAM on file, prior to handling release request.

Operator here means “person responsible for FAM.”

In some circumstances, an operator wi ll want to switch the type or Financial

Institution with which they have their FAM. In this case, they must establish the new FAM in an appropriate amount before the existing FAM can be released.

In the circumstance that there is a change of operators, the new operator must set up a new FAM in an appropriate amount prior to the previous operator’s FAM being able to be released.

This is also a crit ical t ime to update the operator and other mine information.

To-Be Process – 6.5 – FAMs – Process Forfeited Financial Assurance Mechanisms Department of Conservation, Division of Mine Reclamation

To-Be Process – 6.5 – FAMs – Process Forfeited Financial Assurance Mechanisms D

M R

R ep or ti n g U ni t

(R U

) A na ly st

D M

R

R ep or ti n g

U ni t (R

U ) A na ly st O pe ra to r

O pe ra to r Le ad A ge n cy Le ad A ge n cy

ProcessProcess ToolsTools

SMARA-4 Case Management

1. Start (Forfeiture - LA Identified)

6. Hold public hearing to determine Operator financial incapability or abandonment

2. Send/Upload 30 Day Notice of Public

Hearing

4. Receive/Review notice of public hearing

3. Receive notice of public hearing

5. Optionally, attend hearing

7. Operator found financially incapable or has abandoned mine?

EndNo

8. Send/upload intent for forfeiture letter to Operator

10. Upload hearing resolution to LA

Portal

12. System reminds user to follow up for hearing resolution if not received within 15 days of hearing

13. Follow up with Lead Agency for

Hearing Resolution

9. Receives forfeiture letter

Yes

14. System updates Mine Entity information with the hearing resolution document

11. Uploads FAM forfeiture request per hearing resolution

15. System creates case for FAM

Release and assigns to county analyst

16. Reviews request information and generates Forfeiture agreement letter

17. Routes to a peer for review of forfeiture letter

18. Routes to a manager to review forfeiture letter

19. Upload/notify LA and Operator of

Forfeiture Agreement letter

20. Receives forfeiture letter

21. Receives forfeiture letter

22. Coordinates release of FAM

23. Reclaims mine

24. End

Lead Agency Portal

Operator Portal

In the event that a Lead Agency believes a mine is financially incapable or abandoned, a hearing may be held to begin the process of forfeit ing their FAM so that the LA can use the funds to reclaim the mine. This includes situations in which the State Mining and Geology Board is funct ioning as the Lead

Agency.

Al l DMR team members assigned to the given mine/ county should be notified regarding this potent ial forfeiture.

To-Be Process – 7.1 – Annual Reports – Establish Annual Report Fee Schedule Department of Conservation, Division of Mine Reclamation

To-Be Process – 7.1 – Annual Reports – Establish Annual Report Fee Schedule

D O

C

E n te rp ri se

Te ch n o lo gy S e rv ic e s D iv is io n

ET

SD

D O

C

E n te rp ri se n o lo gy S e rv ic e s D iv is io n

ET

SD

St at e M in in g d

G e o lo gy B o ar

G B

St at e M in in g o lo gy B o

G B

D

O C

B u d g et

O ff ic e

D O

C

B u d g et O ff ic e D

M R

R e p o rt in g

U

(R

D

M R

R e p o rt in g

U

D

M m in is tr at iv e U n it

D M m in is tr at iv e

U n it

ProcessProcess ToolsTools

1. Start

2. Pull Current Year

Revenue report from SMARA-4

5. Gathers and sends information on DMR Budget

3. Requests Budget information

4. Gathers and sends information on SMGB Budget

SMARA 4

7. Analyzes financial data and develops fee schedule options

8. Provides fee schedule options to the Board

10. Holds Board meeting and presents fee schedule options

11. Votes on fee schedule

13. Updates Annual Report form and Fee Schedule document

16. Coordinates with ETSD to update system with new fee schedule

15. Updates external website with Annual Report form and Fee

Schedule

17. Updates system with new fee schedule

18. End

6. Receives and aggregates financial and budget data

14. Coordinates with Admin. Unit to publish updated forms on external website

Division of Mine Reclamation External Webpage

12. Fee schedule approved?

Yes

No Operator Portal

Annual Reporting System

9. Prepares Agenda and Informational Report for meeting

As part of setting up SMARA 4, DMR needs to formalize the report format and data they currently query from SMARA 3 in order to facilitate the Budget Office being able to self-serve and pull the Current Year Revenue report. Additionally, it would be helpful to notify the Reporting Unit Manager when the Budget Office pulls this report.

Updating the system with the new fee schedule values does not necessarily have to be an ETSD function if the software solution allows for business user updates to configurable values.

To-Be Process – 7.2 – Annual Reports – Receive Annual Reports Department of Conservation, Division of Mine Reclamation

To-Be Process – 7.2 – Annual Reports – Receive Annual Reports

D M

R

R e p o rt in g U n it

(R U

A na ly st D

M R

R e p o rt in g

U n it (R

U

A na ly st

M in e O pe ra to r

M in e O pe ra to r

D M

R

P ay m e n t

A llo ca ti o n al ys t

D M

R

P ay m e n t

A llo ca ti o n al ys t

D M

R

D e si gn a te

A n al ys t D

M R

D e si gn a te

A n al ys t

ProcessProcess ToolsTools

1.3 - Manage Mine Operator

Accounts

2. System sends notification to remind Operators to file Annual Report

(AR)

5. Logs onto Operator Portal and files AR(s)

4. File AR electronically?

7.3 – Process Paper Annual Reports and

Fees

No

Yes

10.1 – Receive and Scan Mail

8. Pay Annual Fees?

9. Pay electronically?

11. System imports electronic payment data and allocates based on Statement of Fees Due

7.3 – Process Paper Annual Reports and

Fees

No

15. Retrieves physical checks, totals them, and arranges in same order as deposit sheet

14. System generates deposit sheet for paper checks, including check images

16. Send deposit to accounting

17. End

6. System sends Acknowledgement to Operator and LA with Statement of

Fees Due Yes

SMARA-4 Case Management

1. Start

Operator Portal

3. File AR? Yes

No

7. System directs Operator to First

Data to make Annual Fee payment

18. System reflects incomplete filing in

Operator portal until payment is made

No

19. System sends reminder emails to Operator to make payment

Go to 7.6 – Follow Up on Incomplete Annual Reports, Step 12

Go to 7.6 – Follow Up on Incomplete Annual Reports, Step 12

20. Prepares paper

AR and sends to DMR and Lead

Agency (LA)

12. Pulls deposit reports

13. System generates deposit sheet for electronic payments

Continue to 7.4 – Analyze Annual Reports, Step 1

Continue to 7.4 – Analyze Annual Reports, Step 1

10. Makes payment through First Data

Yes

First Data Payment Processor

For operators with established online accounts, this could be an automated system email (or series of emails) after the Fee Schedule has been published. For operators without online accounts, this would look very similar to the annual Courtesy Letter currently sent, but with encouragement to register for an online account rather than MOARS log-in codes.

When filing an AR onl ine, the operator fills out data pages, rather than uploading a PDF so that there is full data capture. This also includes any

Low Gross Exemptions (LGE) or Multi- Site S ingle Fee Requests (MSSFR).

If an operator doesn’t already have an account, but wants to file online, they must register for an account first.

For electronically filed ARs, this acknowledgement satisfies the statutorily required acknowledgement within 90 days of AR receipt.

To-Be Process – 7.3 – Annual Reports – Process Paper Annual Reports and Fees Department of Conservation, Division of Mine Reclamation

To-Be Process – 7.3 – Annual Reports – Process Paper Annual Reports and Fees

D M

R

A d m in is tr at iv e U n it

O ff ic e

Te ch ni ci an

O T)

R ep or ti ng

U ni t (R

U ) A n al ys t

D M

R

A d m in is tr at iv e U n it

O ff ic e

Te ch ni ci an

O T)

R ep or ti ng

U ni t (R

U ) A n al ys t

ProcessProcess ToolsTools

25. Received on or before July 1?

26. Date stamps front page of AR(s) with postmark date and retains envelope

27. Date stamps front page of AR(s) with received date and recycles envelope

Yes

No

2. Opens Annual Report (AR)

1. Start

22. Multiple ARs in the package?

No

23. Groups documents by Mine

ID

Yes

3. Only check in envelope?

10. Date stamps and categorizes as

“Research check”

11. Scans each packet completely with OCR

Creates AR case for scanned AR and uploads AR scan to case

19. Stores AR packages in locking cabinet for 1 year retention

No

4. Investigates whether check is truly for AR

5. For DMR?

6. Routes to appropriate destination (SMGB, other DOC division, etc)

8. Check is for Initial Report fee amount?

7. End

Yes

No

Yes

Continue to 3.1 – Process Initial Reports, Step 17

Continue to 3.1 – Process Initial Reports, Step 17

Yes No

Continue to 7.4 – Analyze Annual Reports, Step 1

Continue to 7.4 – Analyze Annual Reports, Step 1

9. Related to existing AR?

No

Yes

12. Contains Multi-Site Single Fee Request

(MSSFR)?

13. Creates MSSFR Case, enters minimal essential information, and uploads MSSFR scan

14. Creates AR case for each AR associated to the MSSFR and uploads AR scans to cases

15. Enter minimum essential information for each AR case

Yes

No

16. Contains check?

21. Searches SMARA 4 for existing AR case

17. Enter payment information into AR case, including allocations

Yes

18. Store AR packages in secure processing cabinet until deposit completed

No

20. End

Continue to 7.2 – Receive Annual Reports, Step 12

Continue to 7.2 – Receive Annual Reports, Step 12

SMARA-4 Case Management

Correct order (not all items are always present):

• Check payment

• MRRC-2 (Annual Report)

• MRRC-4M (Multi-Site Single Fee Request Form)

• MRRC-4L (Low Gross Exemption Request Form)

• Cover Letter for AR Package (can be 1 for multiple ARs)

• MRRC-1 (Inspection Report)

• Financial Assurance Cost Estimate (FACE) and backup documents

• Financial Assurance Mechanism (FAM) documents

• Reclamation Plan (RP) or Interim Management Plan (IMP) copies

• Envelope

24. Organizes AR components in correct order (for each AR) with check on top (if present)

The minimum essential information entered should be enough to allow the system to correctly route and prioritize the cases for processing, as well as satisfy reporting needs for management and the California Geological Survey (CGS). Additionally, when creating the AR case, the previous year’s AR data should pre-populate the case to expedite data entry and reduce potential keying errors.

To-Be Process – 7.4 – Annual Reports – Analyze Annual Reports Department of Conservation, Division of Mine Reclamation

To-Be Process – 7.4 – Annual Reports – Analyze Annual Reports D

M R

R e p o rt in g

U n it

R U

A n al ys t

D M

R

R e p o rt in g U n it

R

U

A n al ys t D

M R

A n o th e r R

U A n al ys t

D M

R

A n o th e r

R U

A n al ys t D

M R a n ag e r

D M

R a n ag e r

ProcessProcess ToolsTools

3. System assigns Annual Report case to DMR county RU analyst

2. Contains a Multi- Site Single Fee

Request (MSSFR)?

SMARA-4 Case Management

1. Start

15. System assigns MSSFR Case to DMR county RU analyst with highest proportion of mines

No

Yes

16. System notifies analyst that MSSFR case is available to be worked

17. Reviews MSSFR

– confirming values captured and reviewing for internal consistency

18. Works each AR associated to MSSFR to confirm MSSFR validity

19. Reconciles MSSFR with associated ARs

14. System computes and applies appropriate fees

6. Contains Low Gross Exemption

(LGE)?

20. MSSFR Valid?

21. Enters MSSFR Denial Reasons on the MSSFR case

No

Yes

9. LGE Valid?

10. Enters LGE

Denial Reasons on the AR case

No

Yes

Yes

No

7. Verifies whether proof of income reflects income below threshold in a valid format

11. Reviews LGE Denial decision and reasons

13. Reviews LGE Denial decision and reasons

12. Agrees with LGE Denial?

Yes

Discusses LGE Denial with original county analyst and come to an agreement

No

22. Reviews MSSFR Denial decision and reasons

25. Reviews MSSFR Denial decision and reasons

23. Agrees with MSSFR Denial?

Yes

24. Discusses MSSFR Denial with original county analyst and come to an agreement

No

Go to 7.5 – Determine Annual Report Outcomes, Step 1

Go to 7.5 – Determine Annual Report Outcomes, Step 1

8. Verifies all questions on the

LGE form

Multi-Site S ingle Fee Requests (MSSFR) are sometimes comprised of mines across multiple counties. In those instances, the

RU analyst with largest proportion of mines within the MSSFR will take point on analyzing the

MSSFR.

Multi-Site S ingle Fee Requests (MSSFR) have many Annual

Reports (AR) linked to them, so it’s essential to assess the val idity of the MSSFR first as that wi ll impact the processing of each AR.

Electronically filed ARs receive a confi rmation email that satisfies the statutorily required acknowledgement letter within 9 0 days of AR receipt.

At this point , paper ARs stil l need to receive an acknowledgement, so paper AR cases should be priori tized for processing. The system should help with this pr ioritization, while st ill allowing users the abi lity to work in a different order when appropriate.

For paper ARs, this would be the point in which any additional information that needed keying would be entered.