Guidance

What is a permit and how to get one?

Updated 31 October 2023

1. Why do I need a permit?

Before any person or company commences any works that may interfere with coal mining property, including any intact coal, they must first obtain a permit from the Coal Authority. The permit covers all works that will enter, disturb or change coal mines or coal managed or owned by the Coal Authority.

A Permit is simply the Coal Authority’s permission to undertake an activity that may disturb property that we control.

Works must not be undertaken, that have the potential to intersect or disturb Coal Authority property, without a permit first being granted by the Coal Authority.

Undertaking works without a permit may constitute a trespass and/or breach of health and safety duties as defined under the Construction, Design and Management Regulations 2015 (CDM) and Health and Safety at Work Act 1974.

The Coal Authority may take action where unauthorised works have been carried out or to prevent unauthorised works being carried out and will seek to recover losses or damages. Where there are severe public safety concerns, the Coal Authority may also report the responsible party to the Health and Safety Executive (HSE).

Coal Authority permitting non-compliance policy

The permit application uses the terms ‘Client’, ‘Designer’ and ‘Contractor’ as defined in the (CDM) Regulations 2015 (which Regulations are referred to for the purposes of these definitions only, and do not impose obligations on the Coal Authority as contained within the Regulations). The Permit Holder is the ‘Client’ under the (CDM) Regulations 2015.

Please note that the Coal Authority has the right to decline permission to disturb or work in or near to its property if it appears that significant risks to public safety or property have not been addressed to our satisfaction.

2. Terms and conditions

A permit is a contract between the Permit Holder and the Coal Authority. A permit application will not be accepted until a copy of the Permit Terms and Conditions, signed by the Client, are submitted with the Permit Application Form. It is a material condition of a permit being granted that the Permit Terms and Conditions are agreed to and signed by the Client; we cannot accept any other party signing the Terms and Conditions.

View the Coal Authority’s Permit Terms and Conditions

The Terms and Conditions are non-negotiable. They protect the taxpayer and govern the liabilities and obligations of the Client for the works being carried out.

This includes the provision of an indemnity by the Client to the Coal Authority against any liability for any claims, losses or damages from any party, arising because of any works carried out on the site (whether permitted, unauthorised, foreseen or otherwise) by the Client, it’s agent or representative or its designers and or contractors. The indemnity lasts for a period of 12 years.

3. How to apply

We currently offer two ways to apply for a Permit:

• online - the online Permit Application Form can be accessed using the following link: https://permit.groundstability.com/login

• paper – the paper copy should be used only when the online system cannot be used. It can be accessed using the following link: https://www.gov.uk/government/publications/coal-mining-permit-application-form and when completed should be emailed to us with all required supporting information at permissions@coal.gov.uk

4. Application and risk assessment

A permit application form must detail the parties involved, information on the site, proposed works and an aspirational start date. The application also includes a risk assessment. Further information is provided below.

4.1 Application form:

The terms ‘Client’, ‘Designer’ and ‘Contractor’ are as defined in the (CDM) Regulations 2015. The Regulations are referred to for the purposes of these definitions only.

The Client can appoint an authorised representative, an Agent, in respect of permitting matters with the Coal Authority. The Agent must be confirmed by the Client in the Permit Terms and Conditions, which require to be signed by the Client. The application form can be submitted by the Client, or by its authorised Agent.

4.2 Risk assessment:

The application must also provide a summary of the risk assessment that has been undertaken to ensure the proposals have been considered under an As Low As Reasonably Practicable (ALARP) approach, as required by the Health and Safety Executive. This risk assessment can only be completed by a person competent in mining legacy risk assessment. More guidance on the ALARP approach is available on the HSE webpage:

https://www.hse.gov.uk/managing/theory/alarpglance.htm

The risk assessment must be based on the professional judgement of the Client’s competent person with consideration of the site specific conditions and available guidance.

Typically, we will only challenge these where it is not clear that they are consistent with best practice. For example, if an air based flush is used within influencing distance of receptors, if insufficient gas monitoring is proposed, if spontaneous combustion hasn’t been robustly considered, etc.

Attention must be paid to the relevant guidance when completing the Permit Application Form. In particular, content within the sections relating to risks and control measures associated with the proposed works should be informed by relevant technical literature.

The following examples are given, however, this list is not exhaustive and the applicant should conduct their own review:

• British Drilling Association – Code of safe drilling practice 2015
• British Standards Institute – BS5930:2015
• CIRIA – C758 – abandoned mine workings manual & C665 Assessing risks posed by hazardous ground gases to buildings
• Planning policy guidance notes – PPG 14 – Development on unstable land & PPG 14 Annex 2 – Subsidence and planning
• NHBC & RSK – Guidance on development proposals on sites where methane and carbon dioxide are present
• Coal Authority – Guidance on managing the risk of hazardous gases
• Local Authority Building Control
• Scottish Building Standards Agency

Where measures and site scenario are consistent with available guidance (good practice), for the proposed works, this is often consistent with ALARP. The competent person must confirm that the risk assessment is consistent with good practice and available guidance. However, some applications may indicate site scenarios and controls that are not consistent with good practice and available guidance.

These applications need to be shown to be consistent with the As Low As Reasonably Practicable approach and this consideration requires some application of ‘first principles’ of risk assessment. The Client’s competent person should summarise the assessment undertaken and outline if lower risk measures are disproportionate.

The HSE provide the following extreme examples:

• to spend £1m to prevent five staff suffering bruised knees is obviously grossly disproportionate
• to spend £1m to prevent a major explosion capable of killing 150 people is obviously proportionate

When the application form is complete, all necessary supporting information has been obtained and the Client has provided signed Terms and Conditions, the application can be submitted to the Coal Authority.

4.3 Application and Risk Assessment Summary

A complete Permit Application Form should include:

• A plan that clearly shows the site location, site boundary, the number and depth of any proposed boreholes or excavations
• Evidence that the mining legacy likely to be encountered had been identified and understood. See section 8 of our guidance on managing the risk of hazardous gases https://www.gov.uk/government/publications/guidance-on-managing-the-risk-of-hazardous-gases
• A suitable and sufficient assessment, covering proposed works. See section 9 of our guidance on managing the risk of hazardous gases https://www.gov.uk/government/publications/guidance-on-managing-the-risk-of-hazardous-gases
• Any relevant technical drawings, calculations/specifications where relevant to the proposals.
  • Please refer to our published Technical Guidance Notes where appropriate:
  • TGN01/2019
  • TGN02/2021

5. Permit processing

When a complete Permit Application Form together with Terms and Conditions (signed by the Client) are received, it is logged by the Coal Authority and the site boundary is digitised by a Technical Officer. An invoice/pro forma invoice along with an initial letter and permitting flow chart are then issued to the applicant.

It is important that the applicant takes this opportunity to confirm the details on the initial documents such as the permit boundary are correct. Refunds for any error in the applicant’s submission will not be available beyond this point.

Upon receipt of the relevant payment, the applicant will receive a copy of the payment receipt.

We aim to issue our determination on a permit application in at least 20 working days for a standard permit instead, and 10 working days for an expedited permit. A 10 working day turnaround permit is charged at twice the rate of a standard permit. Please factor these timeframes when submitting your application.

Please note that the application can only be processed when a complete application, signed terms and conditions and payment has been received by the Coal Authority.

Once payment has been received, the permit application is added to the work list of a nominated Permitting Manager for assessment. At this stage, the Permitting Manager may need to request further information from the Client or their agent if insufficient information is contained within the application. The turnaround times outlined above do not start until all required further information has been provided.

Please note that until all the requested further information has been provided the process for assessing the application for a permit cannot be completed. Works must not be undertaken (to enter, disturb or change coal mines or coal owned by the Coal Authority) until a permit has been issued.

An assessment of the potential mine gas sources, pathways and receptors is undertaken by the Permitting Manager using the desk study and gas risk assessment provided by the applicant alongside information from the Coal Authority’s Mining Information database.

It is the sole responsibility of the Client to employ a competent person to design the works and comply with all relevant legal and regulatory requirements (including, but not limited to, safety) for the works.

By granting a permit, the Coal Authority is not confirming the suitability and/or compliance of the works with statutory requirements or the competence of the parties to undertake works. It is the responsibility of the Client or their Designer to ensure that the proposed works are sufficient for any planned developments at the site, especially if the discharge of a planning condition is necessary.

6. Permit documents

Once the Permitting Manager accepts that the proposals have been shown by the applicant to be ALARP in terms of risk to public safety and to Coal Authority property, a Permit Certificate and letter of mining circumstance will be issued to the applicant and where it is different will also be issued to the Permit Holder (the Client).

A Permit Certificate is valid for 12 months from the effective date as detailed on the permit certificate and confirms the Coal Authority’s agreement for works to start. A permit extension must be sought and obtained (as a variation) if the works are to exceed the 12 month period. Notwithstanding that a permit may have expired the indemnity continues to apply to all the works. Please refer to Condition 9 of the terms and conditions. The defined boundary of the permit and any operating conditions are made clear on the Permit Certificate. A copy of the Permit Certificate should be made available on site for inspection.

In granting permission, the Coal Authority is allowing the works only within the property it controls and as limited by the defined boundary plan. Further permissions from other property controllers or regulators may be required before any works can commence.

The letter of mining circumstance is included in the documents we provide with our permission. It is an important document that may contain mining information and indicate hazards, sources, pathway and receptors that should be considered as part of a suitable and sufficient assessment of risk for the proposed works. The Client should pay particular attention to this document.

As set out above, the Permit Terms and Conditions (signed by the Client and submitted with the application) will govern the parties’ liabilities and obligations for the works.

If you identify that any additional works are required beyond the scope of the permit issued, you must notify and obtain further permission from the Coal Authority. Additional works must not be undertaken (to enter, disturb or change coal mines or coal owned by the Coal Authority) until this further permission has been issued by the Coal Authority.

In the event that additional works are carried out before a Permit Variation Certificate is issued (including emergency works), the provisions of Condition 1 (Indemnity) of the Terms and Conditions will apply. The indemnity applies to all works relating to Coal Authority property that have been carried out. Please refer to Condition 9 of the Terms and Conditions.

7. Permit closure

Following completion of permitted works, the applicant must submit closure information to permitclosures@coal.gov.uk, which must include:

• a completed permit closure form (a blank form is provided with the permit issue documents)
• a final interpretive report for any works carried out containing as relevant; borehole logs (if not included within the report), grout takes (for permits involving treatment), accurate coordinates of any recorded or unrecorded mine entries located during the works, plans of the site showing final locations of boreholes/excavations, plans clearly showing the treatment grid/layout including the proposed development footprint (treatment permits)

This information must be submitted to the Coal Authority within the 12 month validity period of the permit. Where this is not possible, a permit extension request should be made. Once this information has been received (as set out in the Permit Terms and Conditions), the permit will be formally closed.

In accepting the closure information and closing the permit file, the Coal Authority does not confirm the adequacy or accuracy of the works carried out or the sufficiency of the information provided in the permit closure form. The Coal Authority does not provide a written opinion on the completed works.

Please note that selected technical details from the closure information and reports received will be entered on the Coal Authority’s Mining Information database in line with our statutory duties. The Coal Authority will place reliance on the reports and information provided as being true and accurate. In submitting this information to the Coal Authority, the Client (or its authorised agent) is required to warrant its accuracy for the purposes of the Coal Authority updating and maintaining its records and discharging its statutory obligations.

The information will be anonymised and be made available to the public through the Coal Authority mining reports service and through data within our public interactive map viewer

In accepting the closure information and closing the permit file, the Coal Authority does not confirm the adequacy or accuracy of the works carried out or the sufficiency of the information provided in the Permit Closure Form.

The closure of the permit file does not affect the indemnity granted by the Client under the Terms and Conditions, or the requirement for the Client to maintain insurance sufficient to cover the indemnity for a period of 12 years (commencing on the effective date as defined in the Permit Certificate). The indemnity and insurance are reasonably required to provide protection to the Coal Authority in the event of any claims, damage or losses arising as a result of the works at the site.

8. Pre-application advice

The Coal Authority provides a pre-application advice service, charged at a cost recovery rate. This service may be helpful if you are considering submitting a planning application for development in the Coal Authority’s defined Development High Risk Area, or a permit application to investigate or remediate coal-mining features.

Our advice can help you to ensure that your proposals have appropriate regard for associated risks, and that your supporting documentation meets the required standard.

Coal Authority pre-application advice service

9. Non-compliance

For details of the Non-Compliance policy for non-compliance with the permitting process, please see the following link:-

https://www.gov.uk/government/publications/permitting-non-compliance-policy

Please note that if breaches of Health and Safety law become apparent, the Coal Authority reserves the right to make a complaint to the HSE.

10. Frequently asked questions

10.1 Can I negotiate the terms and conditions?

No. The terms and conditions have been set by legal advice and are designed to protect the taxpayer.

10.2 Who can be a Client/Permit Holder?

As per the definition in the (CDM) Regulations 2015, a Client is the party having construction work carried out as part of their business or for themselves. This could be an individual, partnership or company but it is the person with the greatest interest/control in any proposal. It is the party for whom work is being carried out. Examples include the landowner, developer, utility provider, public service undertaker, local authority, etc.

The Client (Permit Holder) must be the significant and intrinsic party to the proposal and it cannot be one party acting on behalf of another. Third-parties such as consultants/contractors are not sufficiently central to any proposal for them to have the control necessary to reasonably ensure the adherence to our agreement. For example, if your proposal were for a housing development, we would accept the Developer as the Permit Holder. If the proposal is at a very early stage and the exercise is to sell the land ‘with information’ to a developer, then the landowner may be the preferred Permit Holder.

The Permit process must consider applications from any competent person. Therefore, where each party falls in each application may differ and may include multiple designations.

We have applicants who may simultaneously be Applicant, Permit Holder (Client) and Designer.

The Applicant = whoever submits the application. They should be technically competent to complete the risk assessment elements of the form.

The Client = Permit Holder = The person benefiting from the proposal (typically land owner, developer, utility company, statutory undertaker, public authority).

The Client is the party who must sign the permit terms and conditions.

10.3 Must the terms and conditions be signed by the Client (Permit Holder)?

Yes. Our legal advice was specific on this matter. We must have the person who is responsible for the liability period signing the document and it must be beyond reasonable doubt that they have themselves signed it.

10.4 Must the terms and conditions be signed by hand by the Client (permit Holder)?

We are currently accepting electronic signature only where:

• the Client (Permit Holder) is representing themselves in discussions with the Coal Authority, or
• the signed Terms and Conditions are supported by an email, from an email address identifiable as belonging to the Client (Permit Holder), confirming they have themselves signed and accepted the Terms and Conditions. We cannot accept any Terms and Conditions signed on behalf of the Client (Permit Holder)

The email must be sent to the Agent completing the application form so it is included in the submission. We are currently looking at alternative methods for providing electronic signatures.

10.5 Why is the indemnity under the terms and conditions unlimited?

The Coal Authority may become responsible for the consequences of your proposal. There is no financial limit on the Coal Authority’s liability so we must ask that those proposing to interact with our property indemnify that liability.

10.6 Why is the indemnity for a period of 12 years?

The Coal Authority is under a statutory duty to carry out remedial works or pay compensation in respect of damage or loss arising from coal mining subsidence. The indemnity must cover a sufficient period of time when the damage would reasonably be expected to manifest. It is possible that damage arising from works on site may not be known for a number of years. The Coal Authority does not seek an indemnity for an indefinite period of time for damage to arise. The Coal Authority considers that the period of 12 years is a proportionate period of time and balances the interests of both parties.

The indemnity period does not affect limitation periods (or “prescription periods” in Scotland). The indemnity lasts for a period of 12 years commencing on the effective date (as set out in the permit certificate) – ie the indemnity does not commence on the date when the damage manifests.

Where damage arises, the normal limitation (or prescription) periods apply to raising a claim against the Client. However, recovery under the indemnity would only apply for the period of the indemnity (i.e. 12 years from the effective date in the permit certificate).

10.7 What insurance value limits are required?

We do not specify limits as the Indemnity provided in the contract (terms and conditions) is unlimited to reflect the unlimited liabilities the Coal Authority may incur as a result of the works. The value of insurance cover is a matter for the Client to determine, and the Coal Authority will not comment on the matter. The insurance must also be obtained and maintained for a period of 12 years from the effective date.

Whilst the indemnity is unlimited, the value of any claim under the contract may be related to factors such as the scale of the works, nature of the Coal Authority property disturbed, causation and adequacy of the works undertaken. Any claims by the Coal Authority would be transparent and limited to our losses and damages as a result of claims made against us or in fulfilment of our statutory duties. The adequacy of the insurance value is something that the Permit Holder may be guided on by their Designer/Contractor and legal advisors.

The ultimate responsibility is on the Client to obtain and maintain insurance. We cannot advise on this matter. The value/adequacy of cover is something that should be routinely considered by all parties offering services or providing goods.

10.8 What is meant by ‘suitable and sufficient insurance’ as mentioned in the terms and conditions?

There is no definition of ‘suitable and sufficient’. The value (or level) of insurance cover held by the Client must be enough to cover the liability of the Client under the indemnity. The indemnity applies to all claims against the Coal Authority and all losses and damages arising as a result of any works carried out by the Client (and its designers and/or contractors). It is related to the nature and scope of the works.

The level of liability under the indemnity will vary in each case, but may be related to factors such as scale of the works, nature of the Coal Authority property to be disturbed, and adequacy of the works to be undertaken. The indemnity value is a matter for the Client. The Client should consider the likely level of damages and losses that could arise under the indemnity.

Unfortunately, as we grant c.2000 Permits per year, we must apply a standard approach and use terms such as ‘suitable and sufficient’. We do not have the resource to consider detailed site specific legal agreements or bespoke limitations on liabilities.

10.9 How can insurance cover me for 12 years?

‘Run-off’ cover may be obtained that extends the cover provided to a specified period. This may be referred to differently by different providers but the Permit Holder (Client) should be satisfied that they have reliance on suitable insurance, held by themselves or their others.

10.10 The proposed works are very limited, why require 12 years unlimited indemnity?

Even a single borehole may act as a pathway and result in a building being demolished in the future. We have a duty to protect the taxpayer from any claims and costs the Coal Authority may incur in the remediation of sites.

10.11 What insurance policy is needed in respect of the indemnity?

We do not comment on or stipulate the type (or value) of insurance required.

The insurance should be adequate to provide the Permit Holder with sufficient funds to furnish any likely claim on the indemnity by the Coal Authority.

10.12 Must the Permit Holder (Client) hold the insurance policy?

The insurance may be held by the Permit Holder (Client) or may be held/taken out by the Client’s supply chain but the Client (Permit Holder) should ensure they have appropriate reliance on it. In the event of a future claim, the Coal Authority would claim directly from the Permit Holder (Client).

10.13 Do the terms and conditions have any separate referenced documents that the Client needs to examine?

This guidance document should be considered.

There are no other separate documents to examine prior to our decision to grant our permission. On award of our permission, we will provide a Letter and Permit Certificate that may contain conditions; these are often technical or safety-based conditions e.g. gas monitoring, flushing medium, presence of the document on site.

10.14 Clarification on the indemnity for works that go beyond the scope of the permit unauthorised, foreseen or otherwise?

In the event that additional works are to be carried out, a Permit Variation Certificate must be sought from the Coal Authority for those works.

However, the Permit Terms and Conditions (including the indemnity) apply to all works carried out on the site, whether authorised by the Coal Authority and included in the scope of the permit or not.

As work progresses, it is not uncommon for site works to differ, by act or omission, from those we initially authorise as part of a Permit application. It has also been the case (on occasion) that Permit Holders may fail to engage with us in subsequent phases of the development, or for additional works to not require a Permit at the time of activity/construction but that which ultimately affect our property resulting in future claims, damages and losses.

In the application of the indemnity to all claims, losses or damages arising from works carried out, the Permit Terms and Conditions (including the indemnity in Condition 1) must apply to all works, including those which go beyond the scope of the Permit or were not foreseen. This is required to give proper effect to the indemnity and permitting process, and to protect the Coal Authority (and the taxpayer) in the event of claims, losses and damages arising.

10.15 Will the Coal Authority accept a warranty from a consultant instead of the indemnity?

No. The Coal Authority requires an indemnity as warranties may be more difficult to claim against.

Are these terms and conditions downgraded to suit the resultant risk found after the permit application has been processed?

No. The terms and conditions are not revisited. However, the risks assessed by the works may offer some reassurance to the Permit Holder.

10.16 Are there any particular requirements on the level of experience/competence of the Authorise Agent or Designer? For example the ICE Specification for an experienced Ground Engineer.

No. This is something we are considering in the future but the permission process must remain accessible to the public for a wide range of purposes and interactions with our property and not all will necessarily require definable benchmarks of competence such as graduate qualifications or significant relevant experience.

The Applicant must satisfy the Coal Authority of its competence in assess the risks and preparing the application form. We consider each application on the details provided. If we have concerns regarding the competence available to a proposal, we will contact the applicant to discuss it. We will not provide our permission if you cannot assure us of the competence available to you.