PURPOSE: This rule sets forth requirements for legal, financial, compliance, and related information for surface mining permit applications pursuant to sections 444.810, 444.815, 444.820, 444.825, 444.835, 444.840, and 444.850, RSMo.

1. (1) Identification of Interests.

   1. (A) Each application shall contain the following information, except that the submission of a Social Security number is voluntary:

      1. 1. The permit applicant, including

his/her telephone number, address, and, as applicable, Social Security number, and employer identification number;

1. 2. Every legal or equitable owner of

record of the property to be mined;

1. 3. The holders of record of any lease-

hold interest in the property to be mined;

1. 4. Any purchaser of record under a real

estate contract of the property to be mined;

1. 5. The operator, if the operator is a per-

son different from the applicant, including his/her telephone number, address, and, as applicable, Social Security number, and employer identification number;

1. 6. The resident agent of the applicant

who will accept service of process, including his/her telephone number, address, and, as applicable, Social Security number, and employer identification number; and

1. 7. The person who will pay the aban-

doned mine land reclamation fee, including his/her telephone number, and, as applicable, Social Security number, and employer identification number.

1. (B) Each application shall contain a statement of whether the applicant is a corporation, partnership, single proprietorship, association, or other business entity. For businesses other than single proprietorships, the application shall contain the following information, where applicable:

   1. 1. Names and addresses of every offi-

cer; partner; director; member, or other person performing a function similar to a director of the applicant; person who owns, of record, ten percent (10%) or more of the applicant or operator;

1. 2. Name and address of any person who

is a principal shareholder of the applicant; and

1. 3. Names under which the applicant,

partner, or principal shareholder, and the operator’s partners or principal shareholders operate or previously operated a surface coal mining operation in the United States within the five (5) years preceding the date of application.

1. (C) For each person who owns or controls the applicant under the definition of owned or controlled and owns or controls in 10 CSR 40-6.010(2)(E), as applicable each application shall contain—

   1. 1. The person’s name, address, Social 10 CSR 40-6

Security number, and employer identification number;

1. 2. The person’s ownership or control

relationship to the applicant, including percentage of ownership and location in organizational structure;

1. 3. The title of the person’s position, date

position was assumed, and, when submitted under 10 CSR 40-6.070(13)(E), date of departure from the position;

1. 4. Each additional name and identifying

number, including employer identification number, federal or state permit number, and the Mine Safety and Health Administration (MSHA) number with date of issuance, under which the person owns or controls, or previously owned or controlled, a surface coal mining and reclamation operation in the United States within the five (5) years preceding the date of the application; and

1. 5. The application number or other

identifier of, and the regulatory authority for, any other pending surface coal mining operation permit application filed by the person in any state in the United States.

1. (D) For any surface coal mining operation owned or controlled by the applicant under the definition of owned or controlled and owns or controls in 10 CSR 40-6.010(2)(E), each application shall contain—

   1. 1. Name, address, identifying numbers,

including employer identification number, federal or state permit number and the MSHA number, the date of issuance of the MSHA number, and the regulatory authority; and

1. 2. Ownership or control relationship to

the applicant, including percentage of ownership and location in organizational structure.

1. (E) Each application shall contain the names and addresses of the owners of record of all surface and subsurface areas contiguous to any part of the proposed permit area.
2. (F) Each application shall contain the name of the proposed mine and the MSHA identification number for the mine and all sections, if any.
3. (G) Each application shall contain a statement of all lands, interests in lands, options or pending bids on interests held or made by the applicant for lands which are contiguous to the area to be covered by the permit. If requested by the applicant, any information required by this subsection which is not on public file pursuant to state law shall be held in confidence by the director, as provided under 10 CSR 40-6.070(6)(C)2.
4. (H) After an applicant is notified that his/her application is approved, but before the permit is issued, the applicant, as applicable, shall update, correct, or indicate that no change has occurred in the information previously submitted under subsections (1)(A)–(D) of this rule.
5. (I) The applicant shall submit this information required by sections (1) and (2) of this rule in any prescribed format that is issued by the Office of Surface Mining Reclamation and Enforcement (OSMRE).

1. (2) Compliance Information. Each application shall contain—

   1. (A) A statement of whether the applicant, operator, any subsidiary, affiliate, or entity which the applicant or the applicant’s operator owns or controls or which is under common control with the applicant or the applicant’s operator, has—

      1. 1. Had a federal or state surface coal

mining permit suspended or revoked in the last five (5) years preceding the date of submission of the application; or

1. 2. Forfeited a mining bond or similar

security deposited in lieu of bond;

1. (B) If any suspension, revocation, or forfeiture has occurred, a statement of the facts involved, including:

   1. 1. Identification number and date of

issuance of the permit or date and amount of bond or similar security;

1. 2. Identification of the authority that

suspended or revoked a permit or forfeited a bond and the stated reasons for that action;

1. 3. The current status of the permit,

bond, or similar security involved;

1. 4. The date, location, and type of any

administrative or judicial proceedings initiated concerning the suspension, revocation, or forfeiture; and

1. 5. The current status of these proceed-

ings;

1. (C) A list of all violation notices received by the applicant during the three- (3-) year period preceding the application date, and a list of all unabated cessation orders and unabated violation notices received prior to the date of the application by any surface coal mining and reclamation operation that is deemed or presumed to be owned or controlled by the applicant under the definition of “owned or controlled” and “owns or controls” in 10 CSR 40-6.010(2)(E) of this chapter. For each notice of violation issued pursuant to 10 CSR 40-8.030(7) or under the federal or state program for which the abatement period has not expired, the applicant must certify that such notice of violation is in the process of being corrected to the satisfaction of the agency with jurisdiction over the violation. For each violation notice or cessation order reported, the lists shall include the following information, as applicable:

   1. 1. Any identifying numbers for the oper-

ation, including the federal or state permit number and MSHA number, the dates of the violation notice and MSHA number, the name of the person to whom the violation notice was issued, and the name of the issuing regulatory authority, department, or agency;

1. 2. Brief description of the violation

alleged in the notice;

1. 3. The date, location, and type of any

administrative or judicial proceedings initiated concerning the violation, including, but not limited to, proceedings initiated by any person identified in subsection (C) of this section to obtain administrative or judicial review of the violation;

1. 4. The current status of the proceedings

and of the violation notice; and

1. 5. The actions, if any, taken by any per-

son identified in subsection (C) of this section to abate the violation.

1. (D) After an applicant is notified that his/her application is approved, but before the permit is issued, the applicant, as applicable, shall update, correct, or indicate that no change has occurred in the information previously submitted under this section.

1. (3) Right of Entry and Operation Information.

   1. (A) Each application shall contain a description of the documents upon which the applicant bases his/her legal right to enter and begin surface mining activities in the permit area and whether that right is the subject of pending litigation. The description shall identify those documents by type and date of execution, identify the specific lands to which the documents pertain and explain the legal rights claimed by the applicant.

   2. (B) Where the private mineral estate to be mined has been severed from the private surface estate, the application shall also provide for lands within the permit area—

      1. 1. A copy of the written consent of the

surface owner to the extraction of coal by surface mining methods;

1. 2. A copy of the document of con-

veyance that expressly grants or reserves the right to extract the coal by surface mining methods; or

1. 3. If the conveyance does not expressly

grant the right to extract the coal by surface mining methods, documentation that under the state law the applicant has the legal authority to extract the coal by those methods.

1. (C) Nothing in this section shall be construed to afford the commission or director the authority to adjudicate property title disputes.

1. (4) Relationship to Areas Designated Unsuitable for Mining.

   1. (A) Each application shall contain a statement of available information on whether the proposed permit area is within an area designated unsuitable for surface mining activities under 10 CSR 40-5.020 or under study for designation in an administrative proceeding under that rule.
   2. (B) If an applicant claims the exemption in 10 CSR 40-6.070(8)(D)2., the application shall contain information supporting the applicant’s assertion that it made substantial legal and financial commitments before January 4, 1977, concerning the proposed surface mining activities.
   3. (C) If an applicant proposes to conduct surface mining activities within one hundred feet (100') of the outside right-of-way of a public road or within three hundred feet (300') of an occupied dwelling, the application shall meet the requirements of 10 CSR 40-5.010(5) or (6), respectively.

2. (5) Permit Term Information.

   1. (A) Each application shall state the anticipated or actual starting and termination date of each phase of the surface mining activities and the anticipated number of acres of land to be affected for each phase of mining and over the total life of the permit.
   2. (B) If the applicant proposes to conduct surface mining activities in excess of five (5) years, the application shall contain the information needed for the showing required under 10 CSR 40-6.070(12)(A).
3. (6) Personal Injury and Property Damage Insurance Information. Each permit application shall contain a certificate of liability insurance.

4. (7) Identification of Other Licenses and Permits. Each application shall contain a list of all other licenses and permits needed by the applicant to conduct the proposed surface mining activities. This list shall identify each license and permit by—

   1. (A) Type of permit or license;
   2. (B) Name and address of issuing authority;
   3. (C) Identification numbers of applications for those permits or licenses or, if issued, the identification numbers of the permits or licenses; and
   4. (D) If a decision has been made, the date of approval or disapproval by each issuing authority.
5. (8) Identification of Location of Public Office for Filing of Application. Each application shall identify, by name and address, the public office where the applicant will simultaneously file a copy of the application for public inspection under 10 CSR 40-6.070(2)(D).
6. (9) Newspaper Advertisement and Proof of Publication. A copy of the newspaper advertisement of the application and proof of publication of the advertisement shall be filed and Reclamation Operations and Coal Exploration

with the director and made a part of the complete application, not later than four (4) weeks after the last date of publication required under 10 CSR 40-6.070(2)(A).

1. (10) Access. The written consent, of the applicant and any other persons necessary to grant access, should be given to the commission or the director for the area of land affected under application from the date of application until the expiration of any permit granted under the application and after that for such time as is necessary to assure compliance with all provisions of this law or any corresponding rule.

AUTHORITY: section 444.530, RSMo 2000.* Original rule filed Oct. 12, 1979, effective Feb. 11, 1980. Amended: Filed Jan. 5, 1987, effective July 1, 1987. Amended: Filed July 3, 1990, effective Nov. 30, 1990. Amended: Filed May 15, 1992, effective Jan. 15, 1993. Amended: Filed Sept. 15, 1994, effective April 30, 1994. Amended: Filed March 21, 2000, effective Oct. 30, 2000. Amended: Filed Dec. 17, 2012, effective July 30, 2013. Amended: Filed July 15, 2013, effective Jan. 30, 2014. *Original authority: 444.530, RSMo 1971, amended 1983, 1990, 1993, 1995.