PURPOSE: This rule sets forth requirements for legal, financial, compliance and related information for underground 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. 10 CSR 40-6

   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 areas to be affected by surface operations and facilities and every legal or equitable owner of record of the coal to be mined;

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

hold interest in areas to be affected by surface operations or facilities and the holders of record of any leasehold interest in the coal to be mined;

1. 4. Any purchaser of record under a real

estate contract of areas to be affected by surface operations and facilities and any purchaser of record under a real estate contract of the coal 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 officer,

partner, director or other person performing a function similar to a director of the applicant;

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 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—

   1. 1. The person’s name, address, Social

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(12)(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 either the applicant or by any 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), the operation’s—

   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 the information, required by this section and section (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, any subsidiary, affiliate or persons controlled by or under common control with the applicant has—

      1. 1. Had a federal or state mining permit

suspended or revoked in the last five (5) years; or

1. 2. Forfeited a mining bond or similar

security deposited in lieu of bond;

1. (B) If any such 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) For any violation of a provision of the Act, or of any law, rule or regulation of the United States, or of any state law, rule or regulation enacted pursuant to federal law, rule or regulation pertaining to air or water environmental protection incurred in connection with any surface coal mining operation, a list of all violations 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 air and water quality violation notices received prior to the date of the application by any surface coal mining and reclamation operation owned or controlled by either the applicant or by any person who owns or controls the applicant. For each violation notice or cessation order reported, the lists shall include the following information, as applicable:

   1. 1. Any identifying numbers for the

operation, including the federal or state permit number and MSHA number, the dates of issuance 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. A 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; and

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 underground 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 document pertains and explain the legal rights claimed by the applicant.

   2. (B) For underground mining activities where the associated surface operations involve the surface mining of coal and the private mineral estate to be mined has been severed from the private surface estate, the application shall also provide, for lands to be affected by those operations 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 coal by surface mining methods, documentation that under the applicable 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. and Reclamation Operations and Coal Exploration

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 underground mining activities under 10 CSR 40-5.020 or under study for designation in an administrative proceeding initiated 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 underground mining activities.
   3. (C) If an applicant proposes to conduct or locate surface operations or facilities within three hundred feet (300') of an occupied dwelling, the application shall include the waiver of the owner of the dwelling as required in 10 CSR 40-5.010(3)(E).

2. (5) Permit Term Information.

   1. (A) Each application shall state the anticipated or actual starting and termination date of each phase of the underground mining activities and the anticipated number of acres of surface lands to be affected and the horizontal and vertical extent of proposed underground mine workings for each phase of mining and over the total life of the permit.
   2. (B) If the applicant proposes to conduct the underground 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(11)(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.

   1. (A) Each application shall contain a list of all other licenses and permits needed by the applicant to conduct the proposed underground mining activities. This list shall identify each license and permit by—

      1. 1. Type of permit or license;
      2. 2. Name and address of issuing authori-

ty;

1. 3. Identification numbers of applications

for those permits or licenses or, if issued, the identification numbers of the permits or licenses; and

1. 4. If a decision has been made, the date

of approval or disapproval by each issuing authority. (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).

1. (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 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).
2. (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 444.810, RSMo Supp. 1999.* Original rule filed Aug. 1, 1980, effective Dec. 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 March 21, 2000, effective Oct. 30, 2000. *Original authority: 444.810, RSMo 1979, amended 1983, 1993, 1995.