text:
Arizona Department of Mines
& Mineral Resources
Compiled and Edited by
Diane Bain
Arizona Department of Mines & Mineral Resources
Arizona Mining Permitting Guide
30 May 2011
Stack loading at heap leach operation, Morenci, Arizona
Arizona Mining Permitting Guide
Compiled and Edited by Diane Bain
Arizona Department of Mines and Mineral Resources
Compiled and edited by Diane Bain, Arizona Department of Mines and Mineral Resources,
under contract number L09PX01573, from the U.S. Bureau of Land Management. The Arizona
Geological Survey provided additional financial and logistical support. This work reflects
substantial revision and update to the, "Arizona Mining Summit: Guide to Permitting Mining
Operations", published in March 1999.
The publication of this document was approved by the U.S. Bureau of Land Management but full
responsibility for the content belongs to the Arizona Department of Mines and Mineral Resources.
Suggested citation:
Bain, Diane, (ed.), 2011, "Arizona Mining Permitting Guide," Arizona Department of Mines and Mineral
Resources, 173 p.
Technical review and comments from the following individuals and agencies is gratefully
Federal Agencies
Army Corps of Engineers
Sallie McGuire
Bureau of Land Management
Jeff Garrett
Federal Communications
Denise Beckman
Fish and Wildlife Service
Debra Bills
Forest Service
Mark Schwab
Mine Safety and Health
Dave Brown
Arizona State
Board of Technical Registration
LaVern Douglas
Corporation Commission
Jeff Grant
Department of Agriculture
Carol Chancey
Mike Reimer
Dept. of Environmental Quality
Tom Adams
Lorena Ayana
Trevor Baggiore
Debra L. Daniel
Henry Darwin
Marnie Greenbie
Bret Parke
Theresa Rigney
Michele Robertson
Robin Thomas
Dennis Turner
Balaji Vaidyanathan
Department of Mines and
Mineral Resources
Diane Bain - editor
Nyal Niemuth
Madan M. Singh
Department of Revenue
Loretta Bowdish
Christie Comanita
Len Huegly
Department of Water Resources
Lisa Cason
Michael Johnson
Monica Ortiz
Emergency Response
Mark Howard
Game and Fish Department
Ginger Ritter
Geological Survey
Lee Allison
Michael Conway
Oil and Gas Conservation
Steve Rauzi
Radiation Regulatory Agency
Aubrey Godwin
State Land Department
Joe Dixon
Stephen Ross
State Mine Inspector's Office
Tim Evans
Garrett Fleming
Laurie Swartzbaugh
State Museum
Elizabeth Cordova
Nancy Pearson
State Parks Department
Carol Griffith
County Agencies
Apache County
Milton Ollerton
Cochise County
Corinna Carbojal
Carlos Diaz
Coconino County
William L. Towler
Gila County
Joe Mendoza
Graham County
Will Wright
Greenlee County
Martha Roybal
La Paz County
Ken Olkowski
Maricopa County
Doug Erwin
Tom Ewers
Mohave County
Travis Lingenfelter
Navajo County
Greg Loper
Pima County
Mukonde Chama
Pinal County
Barbara Cenalmore
Santa Cruz County
Angelika Ortiz
Yavapai County
Boyce McDonald
Pat Eddington
Paul Melcher
Arizona Mining Permitting Guide
Section 1
Foreword and Overview
Foreword: Bureau of Land Management ........................................................................... 2
Disclaimer ........................................................................................................................... 3
Permitting Suggestions ....................................................................................................... 4
Some Common Myths About Permitting ........................................................................... 6
Overview of Major Federal Environmental Laws .............................................................. 8
Arizona Geological Survey .............................................................................................. 14
Section 2
Land Use
Private Lands .................................................................................................................... 16
Mined Land Reclamation Plan ............................................................................. 17
Aggregate Mined Lands Reclamation Plan .......................................................... 18
State Lands ....................................................................................................................... 19
Exploration Permit, Locatable Minerals .............................................................. 19
Mineral Leases, Locatable Minerals .................................................................... 20
Common Variety Mineral Materials, Salable Minerals ....................................... 21
Federal Lands ................................................................................................................... 23
Addresses and Phone Numbers ............................................................................ 23
Bureau of Land Management (BLM) ....................................................... 23
Forest Service (F.S.) ................................................................................. 24
County Recorders' Offices ....................................................................... 26
Mining Claims, all Federal Lands ........................................................................ 27
BLM Notices, Plans of Operation and Occupancy .............................................. 29
F. S. Notice of Intent to Operate and Plans of Operation ..................................... 32
Surface Mining Regulations, F.S. and BLM ........................................................ 34
BLM Salable Minerals - Mineral Materials Contracts ......................................... 38
F. S. Salable Minerals - Mineral Material Contracts ............................................ 40
Leasing of Solid Minerals (Other than Coal or Oil Shale) ................................... 42
Coal Leasing on Federal Lands. ........................................................................... 44
Bonding Requirements ..................................................................................................... 45
County Aggregate Mining Operations Zoning Districts .................................................. 48
Section 3
Drilling and Water Use
Notice of Intention to Drill ............................................................................................... 50
Permit to Drill in Helium-producing Regions ................................................................... 52
Appropriations of Surface Water ...................................................................................... 53
Withdrawal and Use of Groundwater ............................................................................... 55
Construction, Enlargement, Repair, Alteration, or Removal of Dams ............................. 57
Arizona Mining Permitting Guide
Reclaimed Water Permit ................................................................................................... 60
Dry Well Registration ....................................................................................................... 62
Injection Wells Used to Extract Minerals ........................................................................ 64
Section 4
Explosives, Fuel and Oil
Manufacturer License or User Permit .............................................................................. 66
Transportation of Explosives ............................................................................................ 67
Magazine Construction ..................................................................................................... 71
Above-ground Fuel Storage Tanks ................................................................................... 72
Underground Storage Tank - Notification ........................................................................ 77
Underground Storage Tank - Closure Notification .......................................................... 78
Underground Storage Tanks - Release Reporting Requirements ..................................... 79
Used Oil Collection Center - Registration ........................................................................ 80
Used Oil Handlers - EPA Identification Number ............................................................. 82
Used Oil Handler - Quarterly Reports .............................................................................. 84
Used Oil Burner - Annual Reports ................................................................................... 86
Section 5
Air Quality Permits
State Air Quality Control Permit ...................................................................................... 89
Maricopa County Air Quality Permit ............................................................................... 91
Pima County Air Quality Control Permit ......................................................................... 92
Pima County Activity Permit ........................................................................................... 93
Pinal County Unitary Air Quality Permit ......................................................................... 94
Pinal County Open Burning Permit .................................................................................. 96
Asbestos Demolition and Renovation .............................................................................. 97
Section 6
Water Quality Permits
Individual Aquifer Protection Permit ............................................................................. 100
208 Consistency Review ................................................................................................ 102
Section 401: State Water Quality Certification .............................................................. 104
AZPDES Permit (402 Permit) for Storm Water Discharges .......................................... 106
AZPDES Permit (402 Permit) for Point Sources of Pollution ....................................... 108
NPDES Permit for Activity on Tribal Lands ................................................................ 110
Section 404 Permit (Dredge and Fill) ............................................................................. 110
Section 10 Permit (Rivers and Harbors) ......................................................................... 113
Section 7
Native Plants
Arizona Mining Permitting Guide
Notice of Intent to Clear Land ........................................................................................ 114
Section 8
Hazardous Materials
General Information ....................................................................................................... 118
Bevill Amendment .................................................................................. 118
Hazardous Waste, Treatment, Storage and Disposal Permit .......................................... 122
EPA Identification Number ............................................................................................ 124
Risk Management Plan ................................................................................................... 125
Pollution Prevention Plan ............................................................................................... 126
Voluntary Remediation Plan .......................................................................................... 128
Hazardous Waste Management - Annual Registration .................................................. 130
Toxic Data - Annual Report (Federal) ............................................................................ 131
Toxic Data - Annual Report (State) ................................................................................ 133
Special Waste Annual Report ......................................................................................... 135
Section 9
Waste Disposal
Solid Waste or Special Waste Facilities Plan ................................................................ 138
Solid Waste Notification ................................................................................................ 140
Burial of Mining Industry Off-Road Motor Vehicle Waste Tires .................................. 142
Section 10
Drinking and Waste Water Permits
Approval for Individual Wastewater On-Site Disposal System ..................................... 144
Water and/or Wastewater Facilities - Approval of Construction ................................... 146
Water and/or Wastewater Facilities - Approval to Operate ........................................... 148
Pima County - Drinking Water Permit ........................................................................... 149
Section 11
Flood Control and Building Codes
County Addresses ............................................................................................................ 151
Building Codes and Flood Control ................................................................................. 152
Maricopa County Mining Exemption ............................................................................. 153
Yavapai County Mining Exemption ............................................................................... 154
Section 12
Mine Health and Safety
State Regulatory Requirements, Notice of Start Up ....................................................... 156
Federal Regulatory Requirements, Administrative Form 2000-7 .................................. 158
Arizona Mining Permitting Guide
Section 13
Arizona Game and Fish Department .............................................................................. 160
Endangered Species Act Consultation ............................................................................ 161
Section 14
Cultural Resources
Private Lands .................................................................................................................. 164
State Lands ..................................................................................................................... 165
Federal Lands ................................................................................................................. 168
Section 15
Nuclear Regulation
Uranium Milling License ............................................................................................... 171
Authority to Process Radioactive Tailings .................................................................... 172
Section 16
Radio Station License, Wireless Communication .......................................................... 174
Section 17
Taxes, Incorporation and Professional Registration
Transaction Privilege and Affiliated Excise Tax License ............................................. 176
Severance Tax ............................................................................................................... 178
Authority and Articles of Incorporation ......................................................................... 179
Professional Registration ................................................................................................ 180
Section 18
Index and Glossary
Index ............................................................................................................................ 182
Glossary/Acronyms ........................................................................................................ 186
Arizona Mining Permitting Guide
Section 1
Arizona Mining Permitting Guide
Bureau of Land Management
The intent of this publication is to provide individuals and companies anticipating mineral
exploration or mining in Arizona with a clear picture of the permitting process.
This document is an honest attempt to present all the permits that may be required by a
mining operator in Arizona. Despite our best efforts, it is probably not complete. As an
operator, it is your responsibility to obtain all necessary permits. Guides such as this will
help, but we recommend you contact the federal, state, county and local agencies in the area
where you plan to locate your operations.
In addition to listing and describing the permits you may need, we have also provided
suggestions on how to navigate the permitting process. Our suggestions focus on two crucial
elements: 1) Have a good, well thought out exploration or mine plan, and 2) Communicate
with regulatory agencies. Communication is essential and will save you time, money, and
frustration in permitting your operations.
The preparation of this text involved considerable effort. It is important that all of us,
agencies, operators and concerned citizens alike - make an effort to keep it current and
As you begin to work with this document and you find data missing, inaccurate, or out of
date, we ask you to relay this information to:
Bureau of Land Management
Arizona State Office
Attn: Mining Law Program Lead
222 N. Central Avenue
Phoenix, AZ 85004
Ph: 602-417-9349
Revised editions of this guide are anticipated as time, money and staff allow. The information
you provide will insure that this document contains current, accurate facts.
Finally, we would like to thank all of the contributing agencies for their valuable input.
Arizona Mining Permitting Guide
This publication replaces the Arizona Mining
Summit, Guide to Permitting Mining Operations
printed in 1999.
The digital edition of this document contains
bookmarks to aid navigation.
Arizona Mining Permitting Guide
Permitting Suggestions
The following procedures are highly recommended. Although not required by law or regulations,
these steps will assure a greater degree of success in obtaining your necessary permits. As each
situation has unique circumstances, some deviations from the following steps may be required.
Step 1 Ask questions. This is the single most important step in the process. Before submitting any
applications, consult with all of the permitting agencies to determine exactly what is required
in a complete permit application. Inquire about background and baseline environmental data.
This is very important because much of this data can only be collected over time, often during
specific seasons and can greatly affect the operation start-up date.
Step 2 Develop a thorough exploration or mine plan and project description. The exploration or mine
plan should contain all of the information required for as many permit applications as
possible. Use this document as the basis for a single permit application package. Remember, it
is better to send an agency more information about the project than is needed, rather than not
enough. Incomplete applications ALWAYS SLOW DOWN THE PROCESS.
Do not expect or depend on the permitting agency to do significant design or engineering
work to complete your application. Agencies are generally staffed to perform review work
and asking them to "fill in the blanks" in your design is often more work than they are
prepared to handle.
Assemble your exploration or mine plan in a three-ring binder. Further into the process, you
will be required to make changes and a 3-ring binder will make changing pages easy. Use
decimal page numbers (e.g. Page 1, 1.1, 2, 2.1 etc.). As changes are made, decimal page
numbers will prevent you from changing the entire document simply to correct page numbers.
For instance, if design elements on page 11 change, and this requires you to replace page 11
with 3 pages, number them 11, 11.1, and 11.2. Simply submit these new pages with a cover
letter to each agency that has a copy of your exploration or mine plan requesting that page 11
be replaced with the new pages.
As agencies review your exploration or mine plan it is a certainty that one or more of them
will require more information or will ask specific questions about your proposal. Be prompt
with your response and provide all of the information requested. Remember, when an agency
asks for this type of information, your application is often "put on hold" until the information
is received.
Step 3 Apply for as many permits as your operation may require as soon as possible. This is
particularly true for agencies that must employ a public notification and disclosure process as
part of the permitting process. Federal agencies are required to perform a National
Environmental Policy Act (NEPA) review. This process, for example, is required by law
Arizona Mining Permitting Guide
Permitting Suggestions - Continued
for each agency and involves specific time frames required for all applications. Submitting
applications to the Bureau of Land Management, Forest Service, Environmental Protection
Agency and Army Corps of Engineers at the same time allows these agencies to coordinate
their NEPA review, saving time and money.
Step 4 During the permitting process, avoid making changes to your project, other than those
requested by the permitting agencies. Making radical design changes often sets the permitting
process back to the beginning. Remember, it is your responsibility to have a well designed,
complete exploration or mine plan that you believe will work. While some agencies are
required by regulation to assist you in the development of such a plan, this greatly slows the
process and can add significantly to the overall processing time. DO NOT ATTEMPT TO
Step 5 Changes to the exploration or mine plan will be inevitable; be prepared. As your plan is
studied by the agencies, certain modifications and/or design changes will be suggested or
mandated by the permitting agency. When you are notified that such changes are required,
consult with the agency as soon as possible. REMEMBER TO KEEP ALL OF THE
ANY CHANGES YOU MAKE. Each agency must have a complete and up-to-date version of
your proposal. Communications between the agencies is essential and you should take every
opportunity to enhance communications.
Step 6 Finish by obtaining as many of the permits you need at the same time. Remember, generally,
you cannot begin your operation until you have obtained all necessary permits. Unless you
have all of your permits, having most of them is of very little benefit.
Step 7 Read and understand the conditions and requirements of your specific permits. It is essential
that your operations conform to these conditions and requirements at all times.
Step 8 Keep your exploration or mine plan "alive." Often, as operations proceed, there are better
ways of doing things. By submitting exploration or mine plan changes using the procedures in
Step 2, you can amend or modify your exploration or mine plan as conditions dictate. Be
advised, however, that individual state or federal permitting agencies may require you to
modify your permits when mine plan changes are proposed. Consult with these agencies early
when planning changes to your operation.
Arizona Mining Permitting Guide
Some Common Myths about Permitting
The following is a compilation of typical misconceptions or "myths" that people hold concerning the
permitting process. They are presented here to dispel these myths and assist you in understanding
your role and responsibilities:
Myth: "I've been out here for 20 years and my operation is 'Grandfathered'."
Reality: The term "grandfathered" refers to the idea that an operation established before
changes in the law is not governed by those changes. This is rarely the case. Generally,
environmental laws require all operators to comply. Occasionally the law will provide a
"grace period" or a limited amount of time to allow the operator to bring his/her operations
into compliance with the law, but these periods were of a specific duration and in most cases
have long since expired.
Myth: "They (land management agency) will tell me what permits to get."
Reality: Few, if any, of the agencies involved in the permitting process are aware of all the
permits that you will need to operate your mine. Each agency has only a piece of the permit
puzzle. It is your responsibility to obtain the permits you will need to operate your mine.
Resources such as this manual will help, but it is your responsibility to contact regulatory
agencies to determine if they will require you to obtain any permits. When in doubt, ask!
Myth: "I have approval from the land management agency to mine (Notice, Plan of
Operations, Lease, etc.) so I can start mining."
Reality: This is almost never the case. An approval or acknowledgment for notices, from the
land management agency is a necessary step in the permitting process. Such an approval alone
does not allow you to begin operations. You must obtain all necessary environmental and
health and safety permits before beginning operations.
Myth: "I called the agency and someone there said it was okay for me to mine."
Reality: Verbal authorizations are always suspect. Get the name of the person you are talking
to and as much pertinent information as you can. Always ask for a follow-up letter to confirm
your conversation. Given the complexity of the permitting process, it is doubtful that any
single agency or any single individual can give you the "go ahead" to mine. The decision to
begin mining is a business decision that you must make, given your legal obligation to obtain
all necessary environmental and health and safety permits and on your personal knowledge of
the status of your permit applications.
Myth: "I can change something in my mine plan (or notice) without going through the trouble
of changing my APP application, my 404 application, my AZPDES application etc."
Arizona Mining Permitting Guide
Some Common Myths about Permitting - Continued
Reality: Agencies routinely work together on the permitting of a mine plan (or notice). A
change made in a mine plan (or notice) that is not reflected in other applications (or vice
versa) is usually discovered by the agencies. In addition, members of the interested public
often discover these discrepancies in the review of documents during the NEPA process.
These discrepancies always slow the permitting process down and often cast serious doubt in
the mind of the public concerning the integrity of the mining company and the permitting
process itself.
Myth: "Once I've started, I can get the permits I need. The government won't shut me down."
Reality: Permitting agencies have a responsibility to enforce their regulations. Operators who
knowingly and willfully operate without the necessary permits are subject to civil penalties,
fines and possibly even prison terms in addition to being shut down. Few, if any, regulatory
agencies have the authority to grant a "grace period" or interim term to allow you to operate
without benefit of a permit. Once you are discovered in violation, the regulatory agencies, by
law, are mandated to act.
Myth: "There is no need to make my proposal technically accurate or detailed; the agencies
reviewing my mine plan (or notice) will just change everything anyway."
Reality: All mine and exploration plans must be technically accurate and detailed. Mine plans
or notices should be well engineered and complete. Never assume that the permitting process
will substitute for a well engineered project. In fact, most of the time delays involved in the
permitting process are due to poor or inadequate designs and proposals. Agencies are forced
to ask for more information and/or reevaluate constantly changing designs as new information
is gathered. This is extremely inefficient, confusing and frustrating.
Myth: "I don't need to perform any environmental studies unless I am ordered to by an agency
that is reviewing my mine plan (or notice) or permit application."
Reality: Agencies require that mine plans (or notices) are designed and engineered to
minimize environmental impacts. To prepare a well engineered mine plan (or notice) it is
essential that you perform environmental studies and gather baseline data. You should use this
data to develop your mine plan (or notice) prior to seeking your permits. If you wait until you
begin the permit process to do this work, your project will almost certainly change to reflect
the data gathered.
Myth: "My property is private land so permits aren't needed."
Reality: The only laws and regulations that do not apply to private land are those relating to
surface use such as MBL 3809, 3715 and F.S. 228 and the accompanying NEPA analysis.
Arizona Mining Permitting Guide
Overview of Major Federal Environmental Laws
The following is a brief overview of the major federal laws affecting the permitting of mining
Endangered Species Act (ESA) of 1973. 7 U.S.C. §§ 136; 16 U.S.C. §§ 1531 et seq.
Section 7 of the ESA directs all federal agencies to use their existing authorities to conserve
threatened and endangered species and, in consultation with USFWS, to ensure that their actions do
not jeopardize listed species or destroy or adversely modify critical habitat. Civil penalties for
violation of provisions under ESA range up to $25,000. Criminal penalties reach up to $50,000 and
one year in prison. Refer to Arizona Fish and Game and U.S. Fish and Wildlife Service in the wildlife
section of this handbook for more information.
National Historic Preservation Act of 1966 (NHPA) as amended. 16 U.S.C. §§ 470 et seq.
The National Historic Preservation Act (NHPA) requires federal agencies to take into account the
effects of their actions on historic properties. Historic properties may include prehistoric and historic
archaeological sites and places of traditional religious or cultural importance. Section 106 of the
NHPA mandates a process under which an agency must consider the effect on any property listed or
eligible for listing in the National Register of Historic Places, before it authorizes or funds any
undertaking. The intent is to fully identify such properties, assess the effects of the proposed action or
authorization, and seek ways to avoid, minimize, or mitigate any adverse effects. The NHPA stresses
the importance of active consultations with the public, Indian tribes, State Historic Preservation
Office, and other interested parties and provides the Advisory Council on Historic Preservation with
the opportunity to comment on a project's potential to affect historic properties.
Archaeological Resources Protection Act of 1979. 16 U.S.C. §§ 470aa et seq.
This act provides felony-level penalties for the actual or attempted unauthorized excavation, removal,
damage, alteration, or defacement of any archaeological resource, more than 100 years of age, found
on public lands or Indian lands. The Act also prohibits the sale, purchase, exchange, transportation,
receipt or offering of any archaeological resource obtained from public lands or Indian lands in
violation of any provision, rule, regulation, ordinance or permit under the Act, or under any Federal,
State or local law.
A conviction under this Act, if it is a first offense with under $500 in damages, can bring up to one
year imprisonment and/or $100,000 in fines. Subsequent offenses, or a first offense exceeding $500
in damages, can bring up to five years imprisonment and/or $250,000 in fines.
Bald and Golden Eagle Protection Act of 1940. 16 U.S.C. §§ 668c et seq.
The Bald and Golden Eagle Protection Act, prohibits anyone, without a permit issued by the
Secretary of the Interior, from "taking" bald eagles, including their parts, nests, or eggs. The Act
provides criminal penalties for persons who "take, possess, sell, purchase, barter, offer to sell,
purchase or barter, transport, export or import, at any time or any manner, any bald eagle ... [or any
golden eagle], alive or dead, or any part, nest, or egg thereof." The Act defines "take" as "pursue,
shoot, shoot at, poison, wound, kill, capture, trap, collect, molest or disturb." A violation of the Act
can result in a fine of $100,000 ($200,000 for organizations), imprisonment for one
Arizona Mining Permitting Guide
Overview of Major Federal Environmental Laws - Continued
year, or both, for a first offense. Penalties increase substantially for additional offenses, and a second
violation of this Act is a felony.
Migratory Bird Treaty Act of 1918. 16 U.S.C. §§ 703 et seq.
The Migratory Bird Treaty Act prohibits the taking, killing, possession, transportation, and
importation of migratory birds, their eggs, parts, and nests except as authorized under a valid permit.
Penalties under the Act include a maximum of two years imprisonment and $250,000 fine for a
felony conviction and six months imprisonment or $5,000 fine for a misdemeanor conviction. Fines
double if the violator is an organization rather than an individual. Persons pursuing mining activities
that involve cyanide, acid, oiled ponds or sumps and that result in take or kill could be subject to the
above penalties.
The Native American Graves Protection and Repatriation Act of 1990 (NAGPRA). 25 U.S.C. §§
3006 et seq.
This act established Native American rights of ownership of Native American human remains and
associated funerary (burial) objects, and "sacred objects and objects of cultural patrimony" and
established criteria for determining the cultural (tribal) affiliation of such items and for resolving
related disputes as well as penalties for possession, sale and exchange of the protected objects. The
act requires inventories of all such items and objects held by museums, federal agencies, and other
institutions holding collections taken from federal lands and addresses procedures for determining the
treatment of such items when they are discovered during scientific excavations, construction projects,
or "unanticipated discovery" situations as well as procedures for the repatriation (return) of these
remains and objects to affiliated tribes. The associated consultation process may cause temporary
work stoppages that may affect project schedules.
Surface Mining Control and Reclamation Act of 1977 (SMCRA). 30 U.S.C. §§ 1201 et seq.
This law created a nationwide framework for regulating the effects of active surface coal mines and
the surface effects of underground coal mining. This law does not apply to surface mining of any
mineral other than coal. Title V of the Act establishes a permitting system for all surface coal mines.
The enforcement and administration of the Act has been delegated to the Office of Surface Mining,
Reclamation and Enforcement (OSMRE).
Federal Water Pollution Control of 1972. 33 U.S.C. §§ 1251 et seq.
The Federal Water Pollution Control Act was amended in 1977 and is now commonly referred to as
the Clean Water Act. The main focus of the Act is to improve water quality by regulation of
discharges of pollutants into navigable waters at the source. The discharge of any pollutant into
navigable waters from any point source except in compliance with the Act is unlawful. For purposes
of the Act, a "point source" is defined as any discernible, confined and discrete conveyance,
including but not limited to any pipe, ditch, channel, tunnel, conduit, well, discrete fissure, container,
rolling stock, concentrated animal feeding operation or vessel or other floating craft, from which
pollutants are or may be discharged. The term "navigable waters" is so broadly defined in the Act
that any discharge from a point source that enters a dry or flowing gully, wash, arroyo, creek, stream,
river or lake should be presumed to be covered. The Act was amended by Pub. L. 110-288 (7/9/08) to
Arizona Mining Permitting Guide
Overview of Major Federal Environmental Laws - Continued
address certain discharges incidental to the normal operations of a recreation vessel and was amended
by Pub. L. 107-303 (11/27/02) to authorize the Administrator of the EPA to carry out projects and
conduct research for remediation of sediment contamination in areas of concern in the Great Lakes,
and for other purposes.
Under Section 208 of the Act each state must identify the areas within the state that have substantial
water quality problems. Areas identified as having such problems are subject to area-wide waste
treatment plans. These plans provide for the treatment and control of all point and non-point pollution
sources. Section 208 has significance for mining operations because no permit under Section 402
(National Pollutant Discharge Elimination System) can be issued that conflicts with an area-wide
waste treatment plan. Please refer to the entry titled "208 Consistency Review" in this handbook for
more information.
A permit is required for any discharge of pollutants subject to the Act. This requirement establishes
the National Pollutant Discharge Elimination System (NPDES). NPDES permits are required for all
existing and new sources of pollution governed by the Act. An EIS is not required for existing
sources, but a full NEPA analysis is required for new sources. Some states have the authority to
administer this program. This is the case is in Arizona where the Arizona Department of
Environmental Quality have responsibility for AZPDES permits. Refer to the entry titled
"Stormwater Discharges from Industrial Activities" and "Point Sources Discharge to Surface Waters"
in this handbook for more information.
Discharges of harmful quantities of hazardous substances or oil in harmful quantities are prohibited
by Section 311 of the Act. Hazardous quantities for hazardous substances are specified in 40 C.F.R.
117. A hazardous quantity of oil is an amount that "causes a film or sheen upon or discoloration of
the surface of the water or adjoining shorelines or causes a sludge or emulsion to be deposited
beneath the surface of the water or upon adjoining shorelines." A spill prevention control and
countermeasures (SPCC) plan is required for facilities with buried oil-storage tanks greater than
42,000 gallons or surface tanks larger than 1320 gallons.
Section 404 of this Act regulates the discharge of dredged or fill material into waters of the U.S.
This Act authorizes the U.S. Army Corps of Engineers to issue permits for the discharge of dredged
or fill materials into waters of the U.S. The definition given to waters of the U.S. is so broad that any
operations conducted in any dry or flowing gully, wash, arroyo, creek, stream, river or lake or
wetland should be presumed to be covered in the definition. Always consult with the Corp of
Engineers before conducting operations in such areas. A NEPA analysis is required for the issuance
of new individual 404 permits. Refer to the entry titled "Section 404 Permit (Dredge and Fill)" in this
handbook for more information.
Violations causing a "knowing endangerment of human life" can be punished with a fine of up to
$250,000 and/or a 15-year sentence.
Arizona Mining Permitting Guide
Overview of Major Federal Environmental Laws - Continued
Safe Drinking Water Act of 1974 as amended. 42 U.S.C. §§ 300f et seq.
The Act requires that national health standards be established for water quality in public water
systems. The Act sets drinking water standards and standards applicable to public water systems. A
mine would have to comply with the Act if it provides water to more than 15 service connections or if
the system regularly services at least 25 individuals on a daily basis, including miners, 60 days out of
the year. The Act also provides for the protection of underground drinking water sources.
Underground injections which could endanger underground drinking sources are tightly regulated.
Refer to the entries titled "Individual Aquifer Protection Permits" and "Injection Wells Used to
Extract Minerals" in this handbook for more information.
National Environmental Policy Act of 1969 (NEPA). 42 U.S.C. §§ 4321 et seq.
This law serves a fundamental role in environmental protection and applies to projects involving a
Federal decision such as approval of a Plan of Operations. The purpose of the Act is to declare a
national policy which will encourage productive and enjoyable harmony between man and his
environment and to establish a Council of Environmental Quality. NEPA forms the basis
of the federal government's decision making process by requiring full and complete disclosure of the
impacts of the proposed action on the human environment.
Generally, the NEPA process begins with an initial review of the project. If the project proposed
does not have readily apparent environmental consequences and is not categorically excluded from
the NEPA analysis, the agency will prepare an Environmental Assessment (EA). This document
analyzes the environmental impacts of the project and ends with either a Finding of No Significant
Impact (FONSI) or a finding that there are significant impacts, which requires the preparation of an
Environmental Impact Statement (EIS) with full public disclosure of those impacts. A FONSI would
lead to the approval of the proposal without further NEPA analysis. If the agency anticipates that an
undertaking may significantly affect the environment, or if a project is environmentally controversial,
the agency may choose to prepare an EIS without first preparing an EA.
NEPA is not the decision making authority, it is the disclosure authority. Other statutes provide the
basis for making the "decision" based on the NEPA analysis.
Resource Conservation and Recovery Act of 1976 (RCRA). 42 U.S.C. §§ 6901 et seq.
Management of solid wastes, including those generated by the minerals industry, are regulated under
RCRA. RCRA is designed to provide a "cradle to grave" management of solid wastes disposed of
through land disposal. Regulations promulgated under RCRA are at 40 C.F.R. 240.
RCRA uses a very broad definition of "solid waste." Because of this broad definition, essentially all
mining, minerals processing and materials recycling operations, fall under the jurisdiction of the Act.
Most waste materials used in ancillary minerals production facilities such as shops and warehouses
producing such wastes as used oil, solvents and shop wastes are regulated under the Act.
Arizona Mining Permitting Guide
Overview of Major Federal Environmental Laws - Continued
Clean Air Act of 1970 with amendments in 1977 and 1990. 42 U.S.C. §§ 7401 et seq.
The Act establishes implementation plans for National primary and secondary Ambient Air Quality
Standards (NAAQS), permit requirements, performance standards for new primary sources, emission
standards for new hazardous air pollutants, air toxic standards and restriction preventing significant
deterioration of clean air areas. Pollutant emissions from such sources as conveyor belts, wash plants,
mills, smelters, refineries and fugitive dust from mining operations makes the mining industry subject
to the provisions of the Act.
Penalties: civil up to $25,000 per day per violation, criminal penalties up to $25,000 per day per
violation and/or one year in jail, doubling on the second offence.
Comprehensive Environmental Response, Compensation, and Liability Act of 1980 (CERCLA).
42 U.S.C. §§ 9601 et seq.
This law focuses on the discharge of hazardous substances to the environment. The term "hazardous
substance" is extremely broad covering materials that are a substantial danger to public health or the
environment. These materials can exist in mine water, leachates, waste piles, mill tailings and other
chemicals used in mining, mineral processing and related activities. A list of hazardous substances is
published in 40 C.F.R. 302.
The law specifically relates to abandoned or inactive operations but also applies to the unpermitted
discharge of any listed substance. Discharges of hazardous solid waste at active sites are governed by
RCRA. CERCLA applies to discharges of "hazardous substances" at inactive sites occurring through
the effects of natural processes on discarded materials. Once a site has been identified by the EPA as
a possible source of discharges of hazardous substances, further evaluation and cleanup procedures
begin. CERCLA is designed to put the obligation to pay for these procedures on those who are
responsible for putting the hazardous substances at the site in the first place or on those who
now own the land where the site is located. Simply obtaining an interest in mined lands such as
staking a mining claim, may make you liable for the entire cost of cleanup of the land should it
be shown that the site is discharging hazardous substances. The scope of liability associated with
CERCLA is enormous. Land owners may be responsible for activities that took place decades in the
The act allows for a civil liability for a share of the costs of cleaning up a waste site. Damage to
natural resources can be assessed for up to $50 million. Civil penalties of up to $25,000 per day per
violation for specified provisions of the Act can be assessed. For criminal violations, fines up to
$250,000 per day per violation and/or three years in jail for failing to notify appropriate agencies or
falsely reporting an emergency spill. Subsequent violations can result in up to five years in jail.
Federal Land Policy Management Act of 1976 (FLPMA). 43 U.S.C. §§ 1701 et seq.
The Act provides the basis for the Bureau of Land Management (BLM) surface management
regulations 43 C.F.R. 3809. It directs the Secretary of the Interior to take any action necessary by
regulation or otherwise to prevent unnecessary or undue degradation of the public lands. The Act
provides the basis for mining claim surface management regulations. It also set forth the requirements
for mining claim recordation.
Arizona Mining Permitting Guide
Overview of Major Federal Environmental Laws - Continued
Section 302 (Title 3) of the Act allows the Secretary of the Interior to authorize use, occupancy, and
development for federal lands. This section provides the foundation for the BLM's 43 C.F.R. 3715
Mining Claim Use and Occupancy regulations.
Arizona Geological Survey
Arizona Geological Survey (AZGS) Phoenix Office:
416 W. Congress St., Suite 100 1520 West Adams, 1st Floor
Tucson, Arizona 85701-1381 Phoenix, AZ 85007
520-770-3500 / 520.770.3505 (fax) 602-771-1601
The AZGS is a source of geologic and mining information and assistance. As charged by A.R.S.
§ 27-152, the agency encourages the wise and prudent use of land and mineral resources to
enhance development in the State. The staff is familiar with problems incidental to new or
existing operations.
The objectives of the Arizona geological survey are to:
1. Serve as a primary source of geologic information in this state to enhance public
understanding of the state's geologic character, geologic hazards and limitations and mineral
2. Inform, advise and assist the public in matters concerning the geological processes, materials
and landscapes and the development and use of the mineral resources of this state.
3. Encourage the wise use of the lands and mineral resources of this state toward its
4. Provide technical advice and assistance in geology to other state and local governmental
agencies engaged in projects in which the geologic setting, character or mineral resources of the
state are involved.
5. Provide technical advice and assistance in geology to industry toward the wise development
and use of the mineral and land resources of this state.
On July 1, 2011, the Arizona Department of Mines and Mineral Resources (ADMMR) was
consolidated with the AZGS and AZGS acquired all of their mining records, archives, and
library. As such, the AZGS maintains a repository of mineral and mining information, including
databases, books, periodicals, individual mine files, mine map repository files, mining district
data and an archive of mine data.
AZGS will continue to provide quality mining data, evaluation, and assistance relating to mineral
development to the legislature, federal, state and local governmental agencies, industry, and the
public. Additionally, since 1915, the AZGS has produced hundreds of publications and maps as
part of a number of publication serials – bulletins, circulars, geologic and digital geologic maps,
special papers, and open-file reports pertinent to mineral exploration, mine permitting and mine
development. A publication list is available at www.azgs.az.gov.
After the July 1, 2011 transition, mining claim forms will be available for download at the AZGS
Arizona Mining Permitting Guide
Section 2
Arizona Mining Permitting Guide
Private Lands - Land Use Authorizations (Agreements)
In General:
Privately held minerals are most often developed through contractual arrangements between
the land or mineral estate owner and the operator. These contracts vary widely in levels of
sophistication and detail. The most obvious matter is the price. For many products such as
sand and gravel or decorative rock, the price - commonly termed the royalty - is usually
expressed as an amount per ton or cubic yard.
For metal bearing material the price is usually based on net smelter royalty, which considers
the metal produced from the ore less certain processing costs. Other considerations include
minimum annual payments, responsibilities for site permitting under the various regulatory
agencies, surface disturbance considerations, reclamation of the site when the material is
removed, access, insurance, limits of liabilities, guarantee of ownership, ownership of waste
or by-products and any other circumstances the parties feel should be addressed formally.
Provisions for the exploration for private minerals vary widely also. These may range from
relatively informal "hand shake" arrangements, to formal contracts specifying any number of
details and provisions. Options to purchase or lease are often contingent on the quality and
quantity of the material discovered. As with any property matters, participants should equip
themselves with a thorough understanding of the situation or seek out sound professional
advisors well versed in the field.
Reclamation of private lands is regulated by the Arizona State Mine Inspector through the
Mined Land Reclamation Plan or the Aggregate Mined Land Reclamation Plan.
Arizona Mining Permitting Guide
Private Lands
Mined Land Reclamation Plan
Arizona State Mine Inspector (ASMI)
1700 West Washington Street, Suite 400
Phoenix, AZ 85007
Mined Land Reclamation Plan
A.R.S. § 27-901 et seq.
A.A.C. R11-2-101 through R11-2-822
Reclamation plans, associated costs, and financial assurance mechanisms must be submitted
and approved for all metalliferous mining units and exploration operations with surface
disturbances on private lands greater than five acres. The amount of financial assurance is
based on the actual estimated costs of reclamation. Financial assurance can be provided in any
one of several forms, including: surety bond, certificate of deposit, cash deposit and corporate
Smelting, refining, fabricating, or other metal processing facilities and materials associated
with these facilities are exempt. Surface disturbances located on state lands are exempt.
Surface disturbances created prior to and not active since January 1, 1986 are exempt. Surface
disturbances less than five acres in extent are exempt.
A one-time submission fee, equal to three dollars per acre of surface disturbances covered by
the plan, is assessed. Substantial changes require an amendment to the plan with a fee. A
status report (yearly) is required within 60 days after the anniversary day which the original
plan was approved.
Notification of administrative completeness or incompleteness is given within thirty days of
plan submittal. A plan is either approved or disapproved within 120 days of an
administratively complete determination.
Arizona Mining Permitting Guide
Private Lands
Aggregate Mined Land Reclamation Plan
Arizona State Mine Inspector (ASMI)
1700 West Washington Street, Suite 400
Phoenix, AZ 85007
Aggregate Mined Land Reclamation Plan
A.R.S § 27-1201 et seq.
Reclamation plans, associated costs, and financial assurance mechanisms must be submitted
and approved for all aggregate mining units and exploration operations with surface
disturbances on private lands greater than five acres. The term 'aggregate' includes cinders,
crushed rock or stone, decomposed granite, gravel, pumice, pumicite and sand. The amount of
financial assurance is based on the actual estimated costs of reclamation. Allowable financial
assurance mechanisms include any or a combination of and of several forms including surety
bond, certificate of deposit, trust fund with pay-in period, letter of credit, insurance policy,
certificate of self-insurance, cash deposit with the state treasurer, evidence of ability to meet a
corporate financial test or corporate guarantees as provided by 40 Code of Federal Regulations
section 264.143(f), annuities, bonding pools, additional financial assurance mechanisms that are
acceptable to the inspector.
Surface disturbances located on state lands are exempt. Surface disturbances created prior to
and not active since April 1, 2007 - are exempt. Surface disturbances less than five acres in
extent are exempt. Some specific government intermittent-use projects disturbing less than 20
acres are exempt, if meeting qualifications per A.R.S. § 27-1203.01.
The state mine inspector may establish by rule a fee from the owner or operator of each
exploration operation and aggregate mining unit at the time the owner or operator submits a
Notification of administrative completeness or incompleteness is given within thirty days of
plan submittal. A plan is either approved or disapproved within 120 days of an
administratively complete determination.
Arizona Mining Permitting Guide
State Lands - Locatable Minerals
Arizona State Land Department
1616 West Adams Street
Phoenix, AZ 85007
Exploration Permit
A.R.S. §§ 27--231 through 27-256
Description: The exploration permit is issued for a period of one year subject to renewal on an
annual basis and for an aggregate period not to exceed five years. During the period the
permit is in effect, the permittee has the exclusive right to conduct exploration type activities
on the state land covered by the permit. An exploration permit covers all or part of an
individual section.
Authorization: Prior to conducting any exploration activities on the land encompassed by the
permit, the permittee must receive authorization from the department in the form of an
approved exploration plan of operation. Dependent on the activities proposed, archaeological
and native plant clearances may be required.
An application fee of $500 is required to obtain an exploration permit. A rent in the amount of
$2 per acre is required for the first year of the permit, no rent for the second year of the
permit, and a rent of $1 per acre for years three, four, and five of the permit (A.R.S. § 27-251
and A.R.S. § 27-253). Although, not a fee, there is a required minimum work expenditure for
each exploration permit of $10/acre per year years 1 and 2 and $20/acre per year for years 3
through 5. Exploration expenditures do not include travel, lodging and similar expenses. If no
work is performed, the permittee pays the required annual amount to the Department.
Permit issuance requires 30 to 45 days (A.R.S. § 27-251). Approval of an exploration plan
requires 30 to 60 days.
Arizona Mining Permitting Guide
State Lands - Locatable Minerals
Arizona State Land Department
1616 West Adams Street
Phoenix, AZ 85007
Mineral Leases - Locatable Minerals (base and precious metals and certain industrial
A.R.S. §§ 27-231 through 27-256
Mineral Lease:
Description: Mineral leases are issued for a period of 20 years with a preferred right to renew
the lease for an additional term of twenty years. Mineral leases grant the exclusive right to
conduct mining operations on the land covered by the lease.
A Mineral Development Report, which is a comprehensive document, comprised of a
geologic evaluation, economic feasibility, environmental assessment, mine operation and
reclamation and closure plans, must be submitted with the mineral lease application. An
archaeological survey and biological evaluation is required.
Authorization: Prior to conducting any mining operations on the land covered by the lease, the
lessee must receive authorization from the Department in the form of approved Mine
Operation and Reclamation and Closure Plans.
An application fee of $500 is required for each mineral lease application. The lessee is also
required to pay for an appraisal of the property (A.R.S. § 27-234). Appraisal costs can vary
but typically cost between $5,000 and $8,000. Rents and royalties are based on the
aforementioned appraisal and in the case of rents will vary directly with surface values. Rents
are typically assessed at 5 percent of land value while production royalties range from two
percent to eight percent of gross mineral values. A minimum annual royalty, based on the
proposed production, is required.
The issuance of a mining lease generally requires six to nine months from the time of
application. Approval of a Mine Operation and Reclamation and Closure Plans may require
60 days from the date of receipt.
Arizona Mining Permitting Guide
State Lands - Common Variety Mineral Materials
Arizona State Land Department
1616 West Adams Street
Phoenix, AZ 85007
Common Varity Mineral Materials (Salable Minerals)
As defined by A.R.S. § 27-271, "Common Variety Minerals:"
Deposits of petrified wood, stone, pumice, pumicite or cinders, decomposed granite,
sand, gravel, boulders, common clay, fill dirt and waste rock.
Deposits that, although they may have value for use in trade, manufacturing and the
construction, landscaping and decorative rock industries, do not possess a distinct,
special economic value for those uses beyond the normal uses of those deposits.
Material used as road base material, rip-rap, ballast, borrow, fill, facing stone,
landscaping or ornamental uses and other similar uses.
Does not include limestone suitable for use in producing cement, metallurgical or
chemical grade limestone or gypsum.
If the Department determines that leasing of Common Variety Minerals is in the best interest
of the Trust, the state's Constitution and Enabling Act require that natural products must be
sold to the highest bidder at public auction. When a sale occurs, the Department issues a
"Common Variety Minerals Lease" authorizing the mining, processing and sale of Common
Variety Minerals.
A Mineral Development Report (MDR) must be submitted in support of the application
process. The MDR includes a geologic assessment, economic feasibility, environmental
assessment, mine operating plan, and reclamation and closure plan. A thirty (30) day
comment period is required, soliciting review and input from other Department sections, other
State and Federal agencies, and interested parties.
Arizona Mining Permitting Guide
Common Variety Mineral Material Leases - Continued
Application Filing Fee: $500 for any single parcel located in the same section or across two
contiguous sections (noncontiguous parcels located within the same section or in other
sections require separate application).
Advertising Fees: Range between $2,000 and $3,000. It is required that each sale be
advertised in two separate newspapers for 10 weeks. Each sale is always advertised in the
Arizona Capitol Times and the newspaper located the closest to the proposed mining
Archaeological Surveys: Cost varies. Surveys are the responsibility of the applicant and are
usually handled through contract with an archeologist qualified through the Arizona State
Appraisal Fees: Paid for by the applicant generally cost between $5,000 and $8,000 and
contracted through the Department.
Royalties: Paid for products sold (normally valued on a per ton basis). The Department is
required to obtain fair market value for products sold which is accomplished through the
public auction process.
Rents: Based upon a percentage of the appraised land value.
Bonds and Indemnity Insurance: Amounts vary with the scope and location of the operation.
Processing time can vary between nine months and one year. Statute requires 10 weeks of
advertising. Other factors impacting processing time are: environmental and cultural issues,
mine operating plan approval and land-use conflicts.
Arizona Mining Permitting Guide
Federal Lands
Addresses - U.S. Department of the Interior, Bureau of Land Management, Arizona Offices
Arizona State Office
One North Central Ave., Suite 800
Phoenix, AZ 85004-4427
602-417- 9200
District and Field Offices
Arizona Strip District
345 E. Riverside Dr.
St. George, UT 84790-6714
Lake Havasu Field Office
2610 Sweetwater Ave.
Lake Havasu City, AZ 86406-
Tucson Field Office
12661 E. Broadway
Tucson, AZ 85748-7208
Arizona Strip Field Office
345 E. Riverside Dr.
St. George, UT 84790-6714
Yuma Field Office
2555 E. Gila Ridge Rd.
Yuma, AZ 85365-2240
Phoenix District
21605 N. 7th Ave.
Phoenix, AZ 85027-2929
Colorado River District
2610 Sweetwater Ave.
Lake Havasu City, AZ 86406-
Gila District
1763 Paseo San Luis
Sierra Vista, AZ 85635-4611
Hassayampa Field Office
21605 N. 7th Ave.
Phoenix, AZ 85027-2929
Kingman Field Office
2755 Mission Blvd.
Kingman, AZ 86401-5308
Safford Field Office
711 14th Ave.
Safford, AZ 85546-3337
Lower Sonoran Field
21605 N. 7th Ave.
Phoenix, AZ 85027-2929
Arizona Mining Permitting Guide
Federal Lands - U.S. Department of Agriculture, Forest Service
U.S. Forest Service
Southwestern Regional Office
517 Gold Ave.
Albuquerque, NM 87102
National Forests and Ranger Districts in Arizona
Apache-Sitgreaves National
P.O. Box 640
Springerville, AZ 85938
Coconino National Forest
1824 S. Thompson St.
Flagstaff, AZ 86001
928- 527-3600
Coronado National Forest
300 W. Congress, 6th Fl.
Tucson, AZ 85701
Alpine Ranger District
P.O. Box 469
Alpine, AZ 85920
Mogollon Rim Ranger District
8738 Ranger Rd.
Happy Jack, AZ 86024
Douglas Ranger Dist.
1192 W. Saddleview Rd.
Douglas, AZ 85607
Black Mesa Ranger District
P.O. Box 968
Overgaard, AZ 85933
Peaks/Mormon Lake Ranger
5075 N Highway 89
Flagstaff, AZ 86004
Nogales Ranger Dist.
303 Old Tucson Rd.
Nogales, AZ 85621
Clifton Ranger District
Duncan, AZ 85534
Red Rock Ranger Dist.
P.O. Box 20429
Sedona, AZ 86341-0429
8375 State Route 179
Safford Ranger Dist.
711 14th Ave., Suite D
Safford, AZ 85546
Lakeside Ranger District
2022 W White Mtn. Blvd.
Lakeside, AZ 85929
Santa Catalina Ranger Dist.
5700 N. Sabino Canyon Rd.
Tucson, AZ 85750
Sierra Vista Ranger Dist.
5990 S. Highway 92
Hereford, AZ 85615
Continued on next page
Arizona Mining Permitting Guide
National Forests and Ranger Districts in Arizona - Continued
Kaibab National Forest
800 S. 6th St.
Williams, AZ 86046
Prescott National Forest
344 S. Cortez St.
Prescott, AZ 86303
Tonto National Forest
2324 E. McDowell Rd.
Phoenix, AZ 85006
N. Kaibab Ranger Dist.
P.O. Box 248
430 South Main St.
Fredonia, AZ 86022
Chino Valley Ranger Dist.
735 N. Hwy 89
Chino Valley, AZ 86323
Cave Creek Ranger Dist.
40202 N. Cave Creek
Scottsdale, AZ 8 5262
Tusayan Ranger Dist.
P.O. Box 3088
176 Lincoln Log Loop
Tusayan, AZ 86023
Verde Ranger Dist.
P.O. Box 670
300 East Highway 260
Camp Verde, AZ 86322
Globe Ranger Dist.
7680 S. Six Shooter
Canyon Rd.
Globe, AZ 85501
Williams Ranger Dist.
742 South Clover Rd.
Williams, AZ 86046
Mesa Ranger Dist.
5140 E. Ingram St.
Mesa, AZ 85205
Payson Ranger Dist.
1009 E. Highway 260
Payson, AZ 85541
Pleasant Valley Ranger Dist.
P.O. Box 450
Forest Road 63
Young, AZ 85554
Tonto Basin Ranger District
28079 N. Arizona Highway 188
Roosevelt, AZ 85545
Arizona Mining Permitting Guide
Federal Lands - Mining Claims
Addresses for the Recordation of Mining Claims:
Bureau of Land Management
One North Central Ave.
Suite 800
Phoenix, AZ 85004-4427
Apache County Recorder
75 West Cleveland St.
P.O. Box 425
St. Johns, AZ 85936
Greenlee County Recorder
5th and Leonard St.
P.O. Box 1625
Clifton, AZ 85533
Pima County Recorder
115 North Church
Tucson, AZ 85701
Cochise County Recorder
1415 Melody Lane, Bldg. B
Bisbee, AZ 85603
La Paz County Recorder
1112 Joshua Ave., Ste. 201
Parker, AZ 85344
Pinal County Recorder
31 North Pinal St., Bldg. E
P.O. Box 848
Florence, AZ 85232
Coconino County Recorder
110 East Cherry Ave.
Flagstaff, AZ 86001
Maricopa County Recorder
111 South Third Ave.
Phoenix, AZ 85003
Santa Cruz County Recorder
2150 North Congress Dr.
Nogales, AZ 85621
Gila County Recorder
1400 East Ash St.
Globe, AZ 85501
Mohave County Recorder
700 West Beale St.
P.O. Box 70
Kingman, AZ 86402-0070
Yavapai County Recorder
1015 Fair St.
Prescott, AZ 86305 1852
Graham County Recorder
921 Thatcher Blvd.
Safford, AZ 85546
Navajo County Recorder
100 East Carter Dr.
P.O. Box 668
Holbrook, AZ 86025
Yuma County Recorder
410 South Maiden Ln., Ste. B
Yuma, AZ 85364-2311
Arizona Mining Permitting Guide
Mining Claims (Lode and Placer)
Millsite Claims
Mining Law of 1872 as amended 30 U.S.C. § 22 et seq.
43 C.F.R. 3830 Location of Mining Claims
43 C.F.R. 3833 Recordation of Mining Claims
A.R.S. Title 27
In general the following procedures apply to locating a mining claim:
Lode Claims:
1. Discover (locate) minerals in place (in solid rock).
2. Place a location monument containing a location notice on the centerline and within
the boundaries of the claim. The location monument may not be a corner monument.
3. Place monuments at each corner of the claim and at the center of each claim end line.
Angle points are considered to be corners.
4. May not exceed 1500 feet in length or 600 feet in width (300 ft on either side of the
Location of Placer Claims:
1. Discover minerals not in solid rock but "loose" as in free gold in gravel.
2. Place location monument containing a location notice at one corner and within the
boundaries of the claim. This monument cannot be a corner monument.
3. Place location monuments at each corner of the claim and angle point of the claim.
4. May not exceed 20 acres per locator with up to 8 locators. If possible, the claim must
be located by legal subdivision.
1. Must be located on ground which is non-mineral in character.
2. Cannot exceed five acres.
3. Must be located and monumented in the same manner as a placer claim.
4. The number of millsites is limited to one per lode mining claim.
Monuments may be a post 1.5 inches in cross section and projecting four feet above
the surface of the ground or a stone monument three feet high. Monuments must be
marked to identify the corners of the claim or end corner for which they were erected.
Arizona Mining Permitting Guide
Mining Claims - Continued
1. Draw a map or sketch of each claim to be to be filed in the county together with your
location notice.
2. File your location notice in the county where the claims are situated within 90 days of
the date of location.
3. File an exact copy of the location notice in the BLM State Office within 90 days of the
date of location.
New claim fees: Location fee $34, Service fee $15 and Maintenance Fee $140. These fees are
paid to the BLM at the time of filing.
By August 31st of each year you must pay a $140 maintenance fee for the subsequent
assessment year or;
File a waiver from the payment of the maintenance fee if you have 10 or fewer claims
nationwide. If qualified for this waiver, you must complete $100 worth of assessment work
prior to September 1 and you must file an Affidavit of Labor with the BLM and in the county
where the claim is located by December 30th of the same year. There is a $10 per claim fee
required by the BLM to file an Affidavit of Labor or Notice of Intent to Hold.
BLM fees are increased from time to time. Check with the Arizona State Office for any fee
The fees charged by the counties varies. Consult the Recorders Office in the county where
your claim is located for more information.
Additional Information:
Arizona Mining Permitting Guide
Federal Lands, Bureau of Land Management (BLM)
BLM Notices, Plans of Operation and Occupancy (Mining Claims)
Notices, Plan of Operations, Concurrence for Occupancy
Mining Law of 1872 as amended, 30 U.S.C. § 22 et seq.
Pub. L. -167 of 1955, 30 U.S.C. § 601 et seq.
Federal Land Policy Management Act of 1976, 43 U.S.C. § 1701 et seq.
43 C.F.R. 3715 and 43 C.F.R. 3802, 3809.
Locatable minerals are those minerals that may be located and removed from federal lands
under authority of the general Mining Law of 1872, as amended. They include all "valuable
mineral deposits" not specifically excluded by various statutes enacted subsequent to 1872. In
general, the locatable minerals are those hardrock minerals which are mined and processed for
the recovery of metals. They also include certain nonmetallic minerals and uncommon
varieties of mineral materials.
Activities that ordinarily result in no or negligible disturbance of the public lands or resources
are termed "casual use." In general, the operator may engage in casual use activities without
consulting, notifying or seeking approval from the BLM.
For exploration activity greater than casual use and which causes surface disturbance of five
(5) acres or less of public lands; the operator must file a complete Notice with the responsible
BLM Field Office. Notice is for exploration only and only 1000 tons may be removed for
A Plan of Operations is required for surface disturbance greater than casual use, unless the
activity qualifies for a Notice filing. Surface disturbance greater than casual use on certain
special category lands always require the operator to file a Plan of Operations and receive
BLM approval (i.e., the Notice provision of the regulations at 43 C.F.R. 3809.21 do not
apply). Special category lands include the following:
Lands in the California Desert Conservation Area (CDCA) designated by the CDCA
plan as "controlled" or "limited" use areas.
Areas in the National Wild and Scenic Rivers System, and areas designated for
potential addition to the system.
Designated Areas of Critical Environmental Concern (ACEC). This does not include
lands merely nominated for ACEC designation, but lands that have been designated
through the land use planning process.
Arizona Mining Permitting Guide
BLM Notices, Plans and Occupancy for Mining Claims - Continued
Areas designated as part of the National Wilderness Preservation System administered
by BLM. Because such lands are withdrawn, the processing of a Plan of Operations is
also subject to the mineral examination procedures under 3809.100.
Areas designated as "closed" to off-road vehicle use, as defined in 43 C.F.R. 8340.0-5.
However, a Plan of Operations is not required for areas with a "limited" designation,
even if such a designation limits travel to existing roads and trails and the surface
disturbance would occur off-road. An accepted Notice or approved Plan of Operations
constitutes OHV authorization in limited or closed areas, respectively. A separate
authorization is not required for operations in these areas.
Any lands or waters known to contain Federally proposed or listed threatened or
endangered species or their proposed or designated critical habitat, unless BLM allows
for other action under a formal land-use plan or threatened or endangered species
recovery plan.
National Monuments and National Conservation Areas administered by BLM. A Plan
of Operations is always required for surface disturbance greater than casual use in
these areas. In addition, many of these areas are withdrawn and the processing of a
Plan of Operations is also subject to the mineral examination procedures under
Lands patented under the Stock Raising Homestead Act (SRHA) with Federal
minerals. A Plan of Operations is always required for activity greater than casual use
on these lands where the operator does not have the written consent of the surface
owner. The requirements at 43 C.F.R. 3814 are also applicable for processing these
On split estate lands other than those patented under the SRHA, either a Notice or Plan
of Operations must be filed with BLM regardless of whether the operator has surface
owner consent.
Concurrence for occupancy is required whenever residential occupancy is proposed or when
fences, gates or signs will be used to restrict public access or when structures (permanent or
temporary) that could be used for shelter in nonemergency situations are placed on a mining
claim, millsite, or federal lands. To obtain concurrence, a claimant must submit a 43 C.F.R.
3715 filing.
Arizona Mining Permitting Guide
BLM Notices, Plans and Occupancy for Mining Claims - Continued
It is the claimant or operator's responsibility to prepare a complete notice or plan of
operations or 43 C.F.R. 3715 filing. BLM is required to assist the claimant in developing
methods to prevent unnecessary or undue degradation.
Concurrence for Occupancy is not required for split estate lands or Federal lands administered
by an agency other than the BLM.
An applicant for a plan of operations must pay a processing fee on a case-by-case basis as
described in 43 C.F.R. §3000.11 whenever BLM determines that consideration of the plan of
operations requires the preparation of an Environmental Impact Statement.
An applicant for any action for which a mineral examination, including a validity examination
or a common variety determination, and their associated reports, is performed under 43 C.F.R.
§3809.100 or 43 C.F.R. §3809.101 must pay a processing fee on a case-by-case basis as
described in section 3000.11 for such examination and report.
Within fifteen (15) calendar days of receipt of a Notice, the Field Office will review the filing
to determine if it is complete. If the Field Manager takes any of the following actions,
operations may not begin fifteen (15) calendar days after filing a complete Notice and
providing BLM with an acceptable financial guarantee.
Notifies the operator that BLM needs additional time, not to exceed 15 calendar days,
to complete its review.
Notifies the operator that he/she must modify the notice to prevent unnecessary or
undue degradation.
Requires the operator to consult with BLM about the location of existing or proposed
access routes.
Determines that an on-site visit is necessary.
BLM determines the operation qualifies as a notice -level operation
Operations may not commence until an acceptable financial guarantee has been submitted,
accepted and obligated by the BLM.
The amount of time required to review and approve a Plan of Operations will vary
considerably depending upon the type and complexity of the activity being proposed, the
resources potentially affected, the required level of NEPA analysis, the amount of interagency
coordination needed, and the level of public controversy.
Arizona Mining Permitting Guide
Federal Lands, U.S. Forest Service (F.S.)
F.S. - Notice of Intent of Operate and Plans of Operation
Forest Service Minerals and Geology Management website:
Notice of Intent to Operate, Plan of Operations
Mining Law of 1872 as amended 30 U.S.C. § 22 et seq.
Pub. L. -167 of 1955, 30 U.S.C § 601 et seq.
Federal Land Policy Management Act of 1976, 43 U.S.C. § 170 et seq.
36 C.F.R. 228, Subpart A for "locatable" minerals
Locatable minerals are those minerals that may be located and removed from Federal lands
under authority of the general Mining Law of 1872, as amended. They include all "valuable
mineral deposits" not specifically excluded by various statutes enacted subsequent to 1872. In
general, the locatable minerals are those hardrock minerals which are mined and processed for
the recovery of metals. They also include certain nonmetallic minerals and uncommon
varieties of mineral materials.
The requirements for mining activities on National Forests are specified in the Code of
Federal Regulations (36 C.F.R. 228, Subpart A). These regulations require that anyone
proposing to prospect for or mine locatable minerals that might cause disturbance of surface
resources to file a "Notice of Intention to Operate" with the local Forest Service office. This
will generally be the appropriate District Ranger Office. If the Forest Service determines that
such operations will cause a significant disturbance to the environment, the operator must
submit a proposed Plan of Operations. The Plan must describe such things as the type of
operation proposed and how it will be conducted; proposed roads or access routes and means
of transportation; and the time period during which the proposed activities will take place. All
operations must be conducted in a manner that will minimize adverse environmental impacts
and take into consideration requirements for meeting air and water quality standards and solid
waste disposal, harmony with scenic values, protection of fish and wildlife habitats and
minimization of road construction damage. The Plan of Operations must also indicate the
measures to be taken to rehabilitate areas where mining activities have been completed. An
operator shall also be required to furnish a bond commensurate with the expected cost of
rehabilitation. Details of the requirements for a Plan of Operations are given in 36 C.F.R. 228,
subpart A or 36 C.F.R. 228.4 (c).
Arizona Mining Permitting Guide
F. S. Notice of Intent to Operate and Plans of Operation (Mining Claims) Continued
The numerous statutes and associated rules and policies governing mining on National Forests
are comprehensive in nature and generally do not allow for exemptions.
There are no fees associated with processing notices of intent or plans of operations needed
for locatable minerals. A bond is required for a plan of operations, in an amount that would
be adequate to reclaim the surface resources. In addition, the Forest Service may require an
applicant to submit environmental information and may authorize an applicant to prepare an
environmental assessment (40 C.F.R. 1506.5) to expedite the review and approval of a plan.
The length of time required to analyze and render a decision varies considerably depending on
the type of operation proposed, public issues, and potential environmental impacts. The Forest
Service must comply with the National Environmental Policy Act (NEPA) and the appeal
regulations at 36 C.F.R. 251 Subpart C concerning notice, comment and appeal procedures for
projects on National Forest System lands. The hardrock "locatable" regulations at 36 C.F.R.
228, subpart A, contain time limits under which the Forest Service must respond to operating
proposals. The Forest Service appeal regulations however, published in 1993, can supersede
the timing limits set out in the locatable regulations. If the proposal is large in scope,
controversial with the public, could potentially impact important Forest resources, and
requires the involvement of numerous other agencies, the process can take a number of years.
Arizona Mining Permitting Guide
U.S. Bureau of Land Management
Surface Mining Regulations
Forest Service and BLM
Regulations 36 CFR 228, Subpart A
(locatable minerals)
43 CFR 3802 (Wilderness Study Areas - only
two in Arizona)
43 CFR 3809 (All other Public Land including
Designated Wilderness Area s in conjunction
with Wilderness Regulations) also 43 CFR 3809
standards apply Split Estate Lands.
43 CFR 3715 All Public Lands where BLM is
the managing agency for both the surface and
mineral estates.
Casual Use N/A Casual use definition applicable only to 43 CFR
3809. Activities causing no or negligible
surface disturbance, which require no notice to
or approval from the BLM.
No definition of casual use under 43 CFR
3802. Occupancies over 15 days in any 90 day
period require concurrence under 43 CFR 3715
regardless of surface disturbing activities.
Notice All activities that might cause
surface disturbance require a
Notice of Intent to Operate (36
CFR 228.4 (a)). Such notice of
intent shall be submitted to the
District Ranger having
jurisdiction over the area in
which the operations will be
conducted. If the District Ranger
determines that such operations
will likely cause significant
disturbance of surface resources,
the operator must submit a
proposed Plan of Operations.
Exploration activities exceeding casual use that
will disturb five acres or less on lands outside
Wilderness, Wild-Scenic Rivers, Areas of
Critical Environmental Concern, etc. No
Notices allowed under 43 CFR 3802. Contents
of a Notice described at 43 CFR 3715.3-2 and
43 CFR 3809.301 and 43 CFR 3715 for
occupancies. Review time frame for a complete
notice is 15 days. Notices that incorporate 43
CFR 3715 occupancies are not subject to this
time frame for concurrence of the occupancy.
Plan If proposed operations will likely
cause significant disturbance of
surface resources, a Plan of
Operations must be submitted (36
CFR 228.4 (a)). Contents of the
Mining activities greater than Notice level use
or that will affect certain protected categories of
land; require the submission of a Plan of
Operations. Contents of a Plan described at 43
CFR 3715.3-2 and 43 CFR 3802.401. All
Arizona Mining Permitting Guide
Plan of Operations are described
at 36 CFR 228.4 (c).
A plan of operations can be
submitted initially and
independently of a notice if
significant disturbance of surface
resources is anticipated by the
activities which occur in a Wilderness,
Wilderness-Study Area, Wild-and-Scenic River,
etc. need a Plan of Operation regardless of their
size or type 43 CFR 3809.11.
Bonding Any operator who conducts
operations under an approved
plan of operations will be
required to furnish a bond in an
amount specified by the
authorized officer. In calculating
bonds, the authorized officer
shall consider the estimated cost
of stabilizing, rehabilitating and
reclaiming areas disturbed by the
If you conduct operations under a notice or a
plan of operations then you must provide BLM
or the State a financial guarantee that meets the
requirements of this subpart before starting
operations. 43 CFR 3809.551 through
Closure and
The operator and agency should
ensure that all requirements of
the approved Plan of Operation
are met and that the
environmental effects of the
operations are as predicted in the
NEPA document. When all or
part of reclamation has been
completed in accordance with the
approved plan, the authorized
officer may release that portion
of the reclamation bond which
covers the work, providing it
meets standards established in the
Plan of Operations.
The operator and agency should ensure that all
requirements of the notice or approved plan are
met. When all of these conditions are met, the
authorized officer will release the bond.
NEPA Forest Service mining regulations
contain guidelines for
environmental protection, (36
CFR 228.8) and require the
Forest Service to conduct an
analysis which meets NEPA
requirements. This analysis is the
3809 regulations require that at a minimum, an
Environmental Assessment (EA) is to be
prepared for all plans of operation to determine
if an EIS is required. No NEPA review
required for casual use or Notice level
operations. Unless those operations involve
occupancy as defined by 43 CFR 3715. Any
Arizona Mining Permitting Guide
basis upon which the agency
requires changes or modifications
to the plan of operations if
needed and serve as a basis for
development of required
mitigation measures.
operation involving occupancy under 43 CFR
3715 requires NEPA analysis. Most occupancy
at the casual use and notice level in Arizona are
covered by a programmatic EA. Operations
disturbing more than 640 acres always require
an EIS.
Operator's failure to comply with
36 CFR 228 regulations or
approved operating plans, which
results in surface resource
damage, will result in being
served a Notice of Non-
Compliance. Continued non-compliance
can result in court
actions. In cases where
unnecessary or unreasonable
damage is occurring and where
reasonable attempts fail to obtain
an operating plan or to secure
compliance with an approved
operating plan, the operator may
be cited for criminal violation (36
CFR 261 or 262).
BLM may issue various types of enforcement
orders, including Noncompliance and
Suspension orders under 43 CFR 3809 or an
Immediate Suspension, Cessation Order or
Notice of noncompliance pursuant to 43 CFR
3715. Failure to comply with a BLM order may
result in civil or criminal penalties.
A claimant to an unpatented
mining claim is entitled to uses of
the surface that are reasonably
necessary to the accomplishment
of a bona fide prospecting,
exploration, mining and
processing of locatable minerals.
In order for structures to be
authorized under the U.S. mining
laws and regulations requiring the
management of surface resources,
two conditions must be met.
First, the structure must be
reasonably necessary for use in
prospecting, mining or processing
of locatable mineral resources
and, second, the structure must be
covered by an approved operating
plan. Occupancy is generally not
authorized except in special
Can occur at casual use level, under a Notice or
a Plan when requirements of 43 CFR 3715 are
met. Generally no occupancy authorized except
in cases where production is occurring
continuously and/or there is a need to protect
the public, equipment or valuable minerals from
accidents, theft or loss.
Arizona Mining Permitting Guide
Use and
Upon a finding that the
occupancy or use is not
reasonably incident to mining, or
approved in an approved plan of
operations, willing cooperation in
resolving the trespass will be
sought. A notice of non-compliance
and/or legal remedies
will be utilized as needed.
Upon a finding that the occupancy or use is not
reasonably incident to mining, four avenues for
resolution of trespass:
1) Temporary Suspension Order
2) Cessation Order
3) Notice of Non-Compliance
4) Authorization by other means
Appeals Related NEPA decisions are
subject to appeal in accordance
with 36 CFR 215 regulations for
those actions on Forest Service
lands. Decisions affecting
authorization for mining
activities are subject to appeal by
the proponent under 36 CFR 251
regulations. The proponent may
appeal under 251 or 215, but not
Matters such as mining claim
validity are heard before the
Department of the Interior, Office
of Hearings and Appeals.
Appeal filed with the decision issuing office.
The appeal by an operator is reviewed by the
State Director under 43 CFR 3809.801.
Decisions of the State Director appealed to the
Interior Board of Land Appeals (43 CFR Part
4). Where questions of fact need to be resolved
in 3809 cases, there is a hearing before
Administrative Law Judge, with appeal of
adverse decision to the IBLA. 3802 appeals go
directly to IBLA.
3715 Notices of Non-Compliance, Suspension
Orders and Cessation Orders are appealed
directly to IBLA.
Appeals filed by a third party for a 3809 action
are sent directly to IBLA.
Undue or
N/A Surface disturbance greater than what would
normally result when an activity is being
accomplished by a prudent operator in usual,
customary, and proficient operations of similar
character and taking into consideration the
effects of operations on other resources and
land uses, including those resources outside the
area of operations. Failure to initiate and
complete reasonable mitigation measures,
including reclamation of disturbed areas or
creation of a nuisance may constitute
unnecessary or undue degradation.
Arizona Mining Permitting Guide
Federal Lands - BLM
Salable Minerals
Salable Minerals, Mineral Materials Contract
Sampling and Testing, Free Use Permits, Nonexclusive Sales, Sales Contracts for Salable
Materials Act of 1947, 30 U.S.C. § 601, as amended
Pub. L. -167 of 1955, 30 U.S.C §§ 601 et seq.
Federal Land Policy Management Act of 1976, 43 U.S.C. § 1701 et seq.
The Materials Act authorizes the Secretary of the Interior to sell "common varieties" of sand,
stone, gravel, pumice, pumicite, cinders and clay. In 1955, Public Law 167 (P.L.167) was
passed to prohibit further location of common variety minerals under the mining law. Pub.
L.167 states that common varieties of sand, stone, gravel, pumice, pumicite or cinders and no
deposit of petrified wood (as specified by the Petrified Wood Act of 1962) shall be deemed a
valuable deposit within the meaning of the mining law and cannot be used to give effective
validity to any mining claim. In other words, these materials cannot be located with a mining
claim but must be purchased with a mineral materials sales contract issued by the BLM.
Prices are set by an appraisal based on the market price for similar types of minerals.
A letter of authorization is required whenever an entity wishes to extract a bulk sample for
examination and/or testing from BLM administered lands, prior to pursuing a free use permit
or sales contract.
Mining and reclamation plans are normally be required by the authorized officer prior to
allowing extractions. Mineral material sales are discretionary actions.
Free use permits may be issued to non-profit or governmental agencies. There are no other
exemptions from obtaining rights from BLM to sample, test and mine sand, gravel, decorative
landscape rock, cinders, clay, scoria or other mineral materials.
The BLM is authorized to collect fees and to require reimbursement of its costs. BLM will
charge the purchaser under a contract a processing fee on a case-by-case basis depending
upon the associated cost to the BLM.
Arizona Mining Permitting Guide
BLM Salable Minerals - Mineral Materials Contracts - Continued
When purchasing material from a community pit or common use area, you may be required to
pay a reclamation fee based on the amount of mineral materials you extract from the
community pit or common use area. The reclamation fee you pay is a proportionate share of
the total estimated cost of reclamation, determined by using the ratio of the material that you
extract under your permit or contract to the total volume of the material BLM estimates will
be extracted from the site.
Processing a request for a Letter of Authorization to conduct sampling and testing, and a free
use permit or non competitive sale involving five acres or less and no more than 50,000 cubic
yards, often takes less than 30 days to process. This is because only minimal environmental
documentation is required.
In addition, sales from BLM designated "community pits," where BLM has prepared the
necessary environmental review work in advance, can be processed quickly.
Larger sales or free use permits may take as little as two months to as much as several years
depending on the level of environmental documentation that is required to analyze the
Arizona Mining Permitting Guide
Federal Lands - Forest Service - Salable Minerals
F.S. Salable Minerals - Mineral Material Contracts
Prospecting Permits, Free Use Permits, Nonexclusive Sales, Sale Contracts for Mineral
Materials Act of 1947, 30 U.S.C.§ 601, as amended
Pub. L. -167 of 1955, 30 U.S.C § 601 et seq.
Federal Land Policy Management Act of 1976, 43 U.S.C. § 1701 et seq.
36 C.F.R. 228 Subpart C
The Materials Act authorizes the Secretary of the Interior to sell "common varieties" of sand,
stone, gravel, pumice, pumicite, cinders and clay. In 1955, Public Law 167 was passed to
prohibit further location of common variety minerals under the mining law. Public Law 167
states that "common varieties of sand, stone, gravel, pumice, pumicite or cinders and no
deposit of petrified wood (as specified by the Petrified Wood Act of 1962) shall be deemed a
valuable deposit within the meaning of the mining law and cannot be used to give effective
validity to any mining claim. In other words, these materials cannot be located with a mining
claim but must be purchased with a mineral materials sales contract issued by the Forest
Service. Prices are set by an appraisal based on the fair market value for similar types of
minerals. Uncommon varieties of these minerals may qualify as locatable under the Mining
Law of 1872.
The Forest Service has the authority to dispose of common varieties of mineral materials from
lands under its jurisdiction and to specify the terms and conditions of operations. A Forest
Service permit is required prior to any exploration activity for these minerals. If a suitable
deposit is located, the Forest Service weighs the relative values of the surface and mineral
resources and determines if the site should be operated. The Forest Service sets the terms and
conditions of operation and enters into sale contracts.
Under certain circumstances the Forest Service may issue free use permits for the disposal of
mineral materials to a non-profit entity or agency.
The length of time required to analyze and render a decision varies considerably depending on
the type of operation proposed, public issues and potential environmental impacts. The Forest
Service must comply with the National Environmental Policy Act (NEPA). If the proposal is
simple in nature, such as the removal of relatively small quantities of a mineral material such
as sand, the entire process may be categorically excluded from documentation in an
environmental impact statement or environmental assessment (Forest Service Handbook
1909.15). If the proposal is large in scope, controversial with the public, could potentially
Arizona Mining Permitting Guide
F.S Salable Minerals - Continued
impact important Forest resources, and require the involvement of numerous other agencies,
the process can take a number of years.
Contract for sale of mineral materials:
Arizona Mining Permitting Guide
Federal Lands
(Other than Coal or Oil Shale - BLM Lands and Lands administered by other Federal
Agencies, including the Forest Service, National Park Service, and the Department of Defense.
Leasing of Solid Minerals
Prospecting Permit, Preference Right Lease, Exploration License,
Competitive Lease
Mineral Leasing Act of 1920, as amended, 30 U.S.C § 181 et seq.
Mineral Leasing Act for Acquired Lands of 1947, as amended, 30 U.S.C § 351 et seq.
Section 402 of Reorganization Plan No. 3 of 1946
Solid Leasable Minerals are those minerals which are subject to leasing under the authority of
the statutes listed above. Included in this group of minerals are phosphate; chlorides, sulfates,
carbonates, borates, silicates and nitrates of sodium and potassium; sulfur (in Louisiana and
New Mexico); gilsonite, including all vein type hydrocarbons; all minerals (except salable
minerals) on acquired lands; and, asphalt (in Oklahoma). Acquired lands are those lands,
including mineral estates, which are not public domain lands and which the United States
obtained through purchase, donation or condemnation, and includes lands previously disposed
of under the public land laws including the General Mining Law of 1872, as amended.
In areas where prospecting or exploratory work is necessary to determine the existence of
mineral deposits, prospecting permits and preference right (noncompetitive) leasing
procedures are involved. In areas which are known to be valuable for the occurrence of
mineral deposits, exploration licenses may be issued. Exploration licenses authorize
exploration of known, unleased deposits to obtain geologic, engineering, and mineral reserve
data. Such lands may be leased only by competitive bidding to the qualified bidder who offers
the highest acceptable bonus bid. If the surface is administered by a federal agency other than
the BLM, permits or leases shall only be issued after the BLM has consulted with the
appropriate land management agency.
The BLM is authorized to charge fees to recover the costs of providing services, i.e.
reasonable filing and service fees for applications and other documents, based on a fee
schedule or on case-by-case basis.
Arizona Mining Permitting Guide
Leasing of Solid Minerals (Other than Coal or Oil Shale) - Continued
The length of time required to process applications for prospecting permits, preference right
leases, exploration licenses, and competitive leases will vary, depending on the type of
operation proposed, public issues and the potential environmental effects. The process may
take several years, in some cases.
Arizona Mining Permitting Guide
Federal Lands
(For a list of lands not available for leasing, please refer to Federal Regulations 43 C.F.R.
Coal Leasing on Federal Lands
Exploration License, Competitive Lease, Lease by Application
Mineral Leasing Act of 1920, as amended, 30 U.S.C § 181 et seq.
Federal Coal Leasing Amendments Act of 1976, as amended, 90 Stat. 1083-1092
Coal exploration licenses authorize exploration of known, unleased coal deposits to obtain
geologic, engineering, and reserve data. Exploration licenses authorize removal of only such
quantities of coal which are necessary for analysis and study.
The Federal Coal Lease Amendments Act of 1976 requires that all federal coal be leased
competitively, either on government initiative or in response to applications. Such lands may
be leased only by competitive bidding to the qualified bidder who offers the highest
acceptable bonus bid. Specific tracts are delineated, analyzed for environmental impacts and
scheduled for lease sale by Departmental initiative. The Secretary of Interior makes the final
leasing decisions after considering the recommendations of the Regional Coal Team, and
consulting with state governors, affected Indian Tribes and any other surface management
The lease by application process is designed to make coal available for leasing in response to
applications submitted by private industry. Leasing by application may occur outside of
designated coal production regions, or within designated coal production regions under
emergency situations.
The leasing process for federal coal is very complicated and beyond the scope of this
publication. Please refer to Federal Regulations 43 C.F.R. 3400 for additional information.
Fees associated with exploration licenses and coal leases include filing fees, rental payments,
production royalties and bonus bids.
The length of time required to analyze and render a decision and issue exploration licenses
and leases will vary considerably, depending on the type of operation proposed, public issues
and potential environmental impacts. The entire process can take several years.
Arizona Mining Permitting Guide
Federal Lands
Operations Conducted on Mining Claims
Bonding Requirements, Federal Lands
Presently, the only agencies with authority to require a bond for operations conducted on
lands administered by the BLM in Arizona are the BLM and the ADEQ. The ADEQ requires
a bond for operations that require an Aquifer Protection Permit (APP). This bond is required
to ensure that operations conducted under an APP are closed (ended) in a manner to prevent
contamination or degradation of ground water resources. BLM requires a bond for the
protection and restoration of surface resources. Because these two bonds are for the protection
of different resources and they are administered by different agencies with different bond
release standards, BLM Arizona does not consider these bonds to represent a case of "double
bonding." Double bonding occurs when two different agencies require a bond for essentially
the same reclamation.
Bureau of Land Management
The regulations at 43 C.F.R. 3809 use the term "financial guarantee" in reference to the
contracted document and any financial instrument used to guarantee an operator will perform
reclamation required by the regulations. The financial guarantee requirements apply to all
operations authorized by the Mining Law on public lands where the mineral interest is
reserved to the United States.
Operators of activities that are considered by the BLM to be casual use are not required to
provide the BLM with a financial guarantee. Casual use is defined at 43 C.F.R. 3809.5 as
activities ordinarily resulting in no or negligible disturbance of the public lands or resources.
Prior to commencing operations under a notice or plan of operations, an operator must
provide the BLM with an acceptable financial guarantee. The financial guarantee can cover
only the cost of reclaiming areas disturbed under a single notice or plan of operations or a
blanket financial guarantee covering statewide or nationwide operations may be provided. An
individual financial guarantee must cover the estimated reclamation cost as if BLM were
hiring a third-party contractor to perform reclamation of an operation after a project area has
been abandoned. The financial guarantee must include construction and maintenance cost for
any treatment facilities necessary to meet Federal and State environmental standards and must
also cover any interim stabilization and infrastructure maintenance costs needed to maintain
the area of operations in compliance with applicable environmental requirements while third-party
contracts are developed and executed.
Arizona Mining Permitting Guide
Bonding Requirements - Continued
Forest Service
Any operator required to file a Plan of Operations, must furnish a bond (36 C.F.R. 228.13)
prior to approval of the plan. The purpose of the bond is to assure compliance with the
reclamation provisions of the regulations [36 C.F.R. 228.8 (g)] and the operating plan. The
amount of the bond will be determined on a case by case basis, and shall be based on the
estimated cost of the work needed to stabilize, rehabilitate and reclaim surface resources
disturbed by the mining operation.
If the operator fails to do the work, the bond will be used by the Forest Service to do the work
or have it done. The Forest Service will accept several different types of bonding instruments
including: certificates of deposits, savings accounts, irrevocable letters of credit, and
corporate sureties shown on the latest approved list issued by the U.S. Treasury Department
and executed on an approved standard form, cash, and Negotiable securities of the United
Throughout the life of the Plan of Operations, the bond will be reviewed for adequacy and, if
necessary, adjusted to conform to changing conditions as needed. When a portion of the
reclamation has been satisfactorily completed, the amount of the bond may be reduced. When
all reclamation work has been completed, the bonding instrument will be released by the
Forest Service. Where other agencies require bonds for reclamation purposes within the
National Forests, every effort is made to avoid double bonding.
Forest Service reclamation bonding guide: www.fs.fed.us/geology/bond_guide_042004.pdf
Operations Conducted with a Mineral Materials Contract:
Bureau of Land Management
For contracts of $2,000 or more, BLM requires a performance bond of an amount sufficient to
meet the reclamation standards provided for in any contract, but at least $500. Bonding for
Free Use Permits is discretionary. BLM may require a performance bond for contracts of less
than $2,000 but will not require a bond amount greater than 20 percent of the total contract
Forest Service
The Forest Service requires a bond to ensure performance of payment and reclamation. For
sales of 10,000 cubic yards or more, a bond of not less than 10 percent of the total contract
price or value of estimated production, plus reclamation costs is required. For sales under
10,000 cubic yards, bond requirements are at the discretion of the authorized officer.
Arizona Mining Permitting Guide
Bonding Requirements - Continued
Operations Conducted on Federal Leases:
Coal Leases: BLM does not have responsibility for reclamation bonds on a Federal Coal
Lease. Reclamation bonds are under the jurisdiction the Surface Mine Control and
Reclamation Act (SMCRA) administered by the Office of Surface Mining (OSM). The bond
held by BLM in the case of a federal coal lease is to protect against default on the terms and
conditions of the lease (rents and royalties). Lease bond amounts are calculated on the basis of
rents and royalties and are to protect the government in case the lease holder defaults on the
terms of the lease.
Non Coal Leases: Individual permit and lease bond amounts are established on a case by case
basis by the BLM. Minimum bond amounts are set forth in the regulations for specific
minerals. All permits and leases require a bond.
Arizona Mining Permitting Guide
County Aggregate Mining Operations Zoning Districts
The main purpose of this provision is to address complaints of residents near sand and gravel
operations. Title 11 - 830 of the Arizona Revised Statutes states that "the board of supervisors
of any county with a population of more than two million persons shall designate and
establish the boundaries of an aggregate mining operations zoning district on the petition of at
least one hundred persons who reside within one-half mile of an existing aggregate mining
In addition, the board of supervisors of any county may establish, in its discretion and on the
board's initiative, one or more aggregate mining operations zoning districts. Aggregate
mining operations zoning districts may only be located in areas that are inventoried and
mapped as areas of known reserves or in areas with existing aggregate mining operations.
It was further established that a county and the state mine inspector may jointly adopt, as
internal administrative regulations, reasonable aggregate mining operations zoning district
The State Mine Inspector's office has oversight over the aggregate mining operations zoning
districts and acts as an advisor.
At this time, only one aggregate mining district has been established, the West Valley
Aggregate Mining District in Maricopa County, which was formed in January of 2004. The
district boundary of the district is a 1 mile radius from the Agua Fria River Floodway
between Grand Avenue and the CAP Canal.
The West Valley Mining District Recommendation Committee consists of five industry
members and five community members. They make recommendations based on a majority
vote, must adhere to Public Meeting rules, and meet once per quarter at a public facility. New
operations are required to file a Community Notice that must be approved before mining may
Residents within 1/2 mile of operation have right to file complaints with the mine operator,
and if those complaints are not addressed to the resident's satisfaction, to the State Mine
Inspector. The Zoning Committee may hear the complaints and the State Mine Inspector
investigates complaints. The State Mine Inspector may issue compliance order, may
withdraw or revoke a notice, or may take court action.
Arizona Mining Permitting Guide
Section 3
Arizona Mining Permitting Guide
Notice of Intention to Drill
Arizona Department of Water Resources (ADWR)
3550 N. Central Avenue
Phoenix, AZ 85012
Notice of Intention to Drill and Abandon an Exploration/Specialty Well
Notice of Intention to Drill, Deepen, Replace, or Modify a Well Notice of Intent to Drill,
Deepen, or Modify a Monitor / Piezometer / Environmental Well, Notice of Intent to
Abandon a Well
A.R.S. § 45 Waters, Article 10 Wells
A notice of intent is required for any manmade openings in the earth through which water
may be withdrawn or obtained from beneath the surface of the earth, including water wells,
monitor wells and piezometer wells. It shall also apply to geothermal wells to the extent
provided by A.R.S. § 45-591.01 and all exploration wells and grounding or cathodic
protection holes greater than 100 feet in depth. Also, please note that all well drillers must be
Arizona licensed. Licensing is done through ADWR.
A Notice of Intent is not required for the following activities:
1. Manmade openings in the earth not commonly considered to be wells, such as
construction and mining blast holes, underground mines and mine shafts, open pit mines,
tunnels, septic tank systems, caissons, basements and natural gas storage cavities.
2. Injection wells and vadose zone wells which are subject to regulation by the Arizona
Department of Environmental Quality.
3. Oil, gas and helium wells drilled pursuant to the provisions of Title 27, A.R.S..
4. Drilled bore holes in the earth less than 100 feet in depth which are made for purposes
other than withdrawing or encountering groundwater, such as exploration wells and
grounding or cathodic protection holes; except in the event that groundwater is
encountered in the drilling of the bore hole.
The filing fee for a Notice of Intent to Drill is $150, except wells located outside Active
Management Areas to be used for domestic purposes only have a filing fee of $100. There is
no filing fee for a Notice of Intent to Abandon a Well.
Arizona Mining Permitting Guide
Notice of Intention to Drill - Continued
ADWR has a maximum of 15 days to process notices, except the Notice of Intent to Drill and
Abandon an Exploration/Specialty Well and the Notice of Intent to Abandon a Well have 30
days. When a variance, or request to deviate from the minimum construction standards, is
submitted review period increases to 50 days.
General Permits:
Well Drilling Permits:
Notice of Intention to Drill:
Arizona Mining Permitting Guide
Arizona Geological Survey (AZGS)
416 W. Congress St., Suite 100
Tucson, Arizona 85701-1381
Permit to Drill or Re-enter in Helium-producing Regions
Stratigraphic wells drilled for potash in the known helium producing region in the Holbrook
Basin require a permit from the Arizona Oil and Gas Conservation Commission. Before
drilling or re-entering any well or conducting any surface disturbance associated with such
activity, the operator shall submit to the Commission an application for permit to drill or re-enter
and obtain approval pursuant to A.A.C. R12-7-104.
Any hole drilled for stratigraphic, core, or seismic purposes shall comply with all rules in 12
A.A.C. 7 pertaining to the drilling of a well except the spacing provisions of R12-7-107.
A filing fee of $25.00 per well
Average processing time is 5 to 10 working days.
Arizona Mining Permitting Guide
Appropriations of Surface Water
Arizona Department of Water Resources
3550 N. Central Avenue
Phoenix, AZ 85012
Appropriations of Surface Water
Appropriable water as defined in A.R.S. § 45-141(A) is subject to appropriation and
beneficial use by the public. Its use is governed by the provisions of Title 45, Chapter 1,
A.R.S. Appropriation of water for mining purposes, a recognized beneficial use in Arizona,
requires that an application for permit to appropriate be made to ADWR. The application
requirements are discussed in A.R.S. § 45-152. If reservoir construction is contemplated, the
applicant must also comply with A.R.S. § 45-161.
In addition to the universal application requirements listed in A.R.S. § 45-152(A), an
application for a permit to appropriate public water for mining purposes must include the
location and character of the mine to be served and the methods of supplying and utilizing the
waters (A.R.S. § 45-152 [B]5). If the water use includes reservoir storage, the application
must include a description of the retention structure, the capacity of the reservoir, and a
description of the lands to be submerged. If the size of the dam falls within the jurisdiction of
the Dam Safety Section of ADWR, a permit for storage will not be issued until the dam is
approved by that Section.
Applications for permit to appropriate public water must be approved by the Director and are
assessed on the following grounds:
1. Potential conflicts with vested water rights.
2. Potential threats to public safety.
3. Potential threats to public interest and welfare. A.R.S. § 45-153 [A].
The approval or rejection of a permit to appropriate is an administrative action which is
subject to the Uniform Administrative Appeal Procedure statutes.
Individuals initiating new uses are also encouraged to register their new water rights under
Title 45, Chapter 1, Article 9. These statutes govern General Stream Adjudications in Arizona
and require that all potential claimants in a general stream adjudication register their claims
by filing a Statement of Claimant (A.R.S. § 45-254).
Arizona Mining Permitting Guide
Appropriations of Surface Water - Continued
A.A.C. R12-15-151 establishes various fees for processing applications for permits. To
appropriate surface water for an application in excess of 50 acre-feet per year, the application
fee is $75 plus $50 for issuance of the certificate. An application to sever and transfer a water
right is $500.
A permit to appropriate water must be reviewed for completeness within 30 days and a
substantive review must be completed in 420 days, totaling an overall time frame of 450 days.
Permits for reservoir storage must be reviewed for completeness within 30 days and
substantive review completed by 420 days. Severance and transfer of water rights must be
completed in an overall time frame of 420 days, including 30 days for completeness review
and 390 days for substantive review.
Arizona Mining Permitting Guide
Withdrawal and Use of Groundwater
Arizona Department of Water Resources (ADWR)
3550 N. Central Avenue
Phoenix, AZ 85012
Withdrawal and Use of Groundwater
Use of groundwater in Arizona is subject to Chapter 2 of the A.R.S. § 45 and is administered
by the Arizona Department of Water Resources.
Outside of active management areas, the use of groundwater may be used for any reasonable
and beneficial use. Inside active management areas groundwater use may be withdrawn and
used only in accordance with the allocation and use concepts described in the Groundwater
Code. Groundwater rights for mines may be obtained through the acquisition of a
Groundwater Withdrawal Permit, a Type 1 Non-Irrigation Grandfathered Right (GFR), or a
Type 2 Non-Irrigation GFR. Before a new well may be drilled, a well construction permit
must be obtained pursuant to A.R.S. § 45-599.
Groundwater Withdrawal Permits are issued for a specific duration and amount of water when
GFRs are not available. A specific category of groundwater withdrawal permit is for mineral
extraction and metallurgical processing (A.R.S. § 45-514). A mineral extraction permit is
issued when other sources of supply are insufficient or would incur an unreasonable cost.
A Type 1 Non-Irrigation GFR applies to land that has been retired from irrigation after
January 1, 1965 in anticipation of specific non-irrigation use (A.R.S. § 45-463). A Type 1
GFR may not be transferred to another location, although water pumped from the original
location may be transported to a new location. A Certificate of Grandfathered Right is issued
for these rights by the Arizona Department of Water Resources.
A Type 2 Non-Irrigation GFR is a right to use non-irrigation withdrawals of groundwater
equal to the maximum groundwater withdrawal and use for any one year during the five year
period prior to 1980 (A.R.S. § 45-4640). Certificates of Grandfathered Rights for Type 2
Non-Irrigation GFRs are transferrable anywhere within the active management area.
Arizona Mining Permitting Guide
Withdrawal and Use of Groundwater - Continued
Conservation Requirements for Mines Inside AMAs
Chapter 2, Article 9 of the A.R.S. § 45 establishes a series of management plans applicable
within the five active management areas (AMA). These plans establish conservation
requirements for all water users within the AMAs. One of the regulated sectors is mining.
Conservation requirements in the management plans for metal mines include provisions to:
1. Regulate transport tailings density.
2. Reduce water loss from tailings impoundments.
3. Minimize water use in leaching processes.
4. Prepare a long-range conservation plan.
Exemptions are provided when these requirements conflict with other environmental
regulations. An alternative program is also provided if the mine demonstrates that the best
available conservation technologies consistent with reasonable economic return are being
applied to the mine.
There are various fees associated with groundwater withdrawal applications and well drilling
set forth in A.A.C. R12-15-151, including an application for groundwater withdrawal permit
($150 submitted with the application and $50 with the issuance of the permit), application for
hydrologic testing ($50), conveyance of a groundwater withdrawal permit ($35) and the
registration of an existing well ($10). A notice of intent to drill a new non-exempt well is $10.
A permit for a new non-exempt well or the enlargement of an existing well is $80.
The deadlines for processing Type 1 and Type 2 GFRs are 120 days, including 30 days to
determine completeness and 90 days for substantive review. The time frame for processing
groundwater withdrawal permits are 30 days for completeness and 70 days for substantive
review. The time frame for processing a Notice of Intention (NOI) to drill, deepen or modify a
well is 15 days (A.R.S. § 45-596.D.) after receipt of a complete and correct notice. The time
frame for processing a non-exempt well permit is 60 days (A.R.S. § 45-599.D.) after receipt
of a complete and correct application.
Arizona Mining Permitting Guide
Dam Construction
Arizona Department of Water Resources (ADWR)
3550 N. Central Avenue
Phoenix, AZ 85012
Construction, Enlargement, Repair, Alteration, or Removal of Dams
Chapter 6 of the A.R.S. delineates the responsibility of the Arizona Department of Water
Resources regarding the supervision of dams and reservoirs. A.R.S. § 45-1202 states that
"All dams shall be under the jurisdiction of the director of water resources."
A dam is defined in A.R.S. § 45-1201 as:
"Any artificial barrier, including appurtenant works for the impounding or diversion of water
except those barriers for the purpose of controlling liquid borne material, 25 or more feet in
height or the storage capacity of which will be more than 50 acre feet, but does not include
any such barrier which is or will be less than six feet in height, regardless of storage capacity,
or which has or will have a storage capacity not in excess of 15 acre feet, regardless of
A.R.S. § 45-1202 states that: "It is unlawful to construct, repair, operate, maintain, enlarge,
remove or alter any dam except upon approval of the director." Application procedures and
inspection procedures during construction are specified in subsequent sections. A.R.S. § 45-
1212.A, states that: "Supervision over maintenance and operation of dams to safeguard life
and property is vested exclusively in the director." A.R.S. § 45-1212 continues by defining
the ability of the director to enforce remedial actions when a dam is determined to be
A jurisdictional dam is either 25 feet or greater in height or has capacity to store more than 50
acre-feet, except that:
If a dam is less than six feet in height, regardless of storage capacity, it is exempt and is not
If a dam has 15 acre-feet or less of storage capacity, regardless of height, it is exempt and is
not jurisdictional.
Arizona Mining Permitting Guide
Construction, Enlargement, Repair, Alteration, or Removal of Dams - Continued
Height: Equals the vertical distance measured from the lowest elevation of the outside
limit of the dam (usually the downstream toe) to the emergency spillway crest,
or top of emergency spillway gates if so equipped. In unusual circumstances
where a dam does not have an em
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