Decision No. 06/2003/QD-BTNMT promulgating the Regulation on order and procedures of granting permits for mineral activities

Article 1.· Regulation score At the proposal of the director of Vietnam Th is Reg ulat ion prescribes the order and Geological and Mineral Administration and the procedures of granting, extending, permitting the director of the Legal Depa ttme11t, return of, mineral prospection permits, mineral exploration permits, mineral exploitation permits and DECIDES: mineral processing permits; the allowance for transfer of rights to mineral activities or continued

Article 1.- To promulgate together with th is performance of the rights to rnineral activities in case Decision the Regulation on order and procedures of of lawful inheritance (hereinafter referred collectively granting permits for mineral activlties. to as granting of permits for mineral activities) and registration of mineral activities.

Article 2,-This Decision takes implementation effect 15 days after its publication in tile Official Gazette. Article 2.- Subjects of application Jt rnplaces Decision No.17/2001/OD"BCN of ·n1is Regulation applies to ngencie!; performing March 23, 2001 of the Minister of Industry the State management over minerals and the other promulgating the Regulation on procedures for concerned agencies; Vietnamese economic licensing the mineral activities (amended). organizations set up and operating under the Law on State Enterprises, the Law on l::n!erprises, the Law

Article 3.- Tho ministers, the twads of the on Cooperatives and foreign organizations or joint- ministeriat-levol agencies, the heads of the venture organizations involving foreign parties Government-attached agoncies, the presidents of the operating in Vietnam under lhe Law on Foreign provincia 1/m un ici pa I People's Co mrn ittoo:; and Investment in Vietnam when they apply for mineral concerned organization~; as well as indivic.lualc: ~.!1all activity permits. have to implement thif, Decision.

Article 3.·· Compotoncn to grant permits for Minister of rninnrnl activities Natural Hei-:ourcos and E.'11virom1Jtml MAI Al 1TlUC I. f'r10 Ministry ot N,1t1nal Hesou1ce'.: and Environment shall grnnt permits ot the following types: of the prospection area. The boundaries of mineral prospection aroas shall be mnod in squares, each a/ The mineral prospection permits; sizing 1 krn x 1 km on the topographical.maps of a b/ Tho mineral exploration pnrmits; scale being not srnallor than 1: 100,000 according to c/ The permits for exploitation and processing of the system of sqwHG coordinates VN2000 (according assorted minerals, except for mineral exploitation to set form). pmmits and mineral processing permits which fall 2. The mineral prospection scheme clearly stating under the granting competence of the provincial/ the geological foundations and types of mineral to municipal People's Committees as prescribed in be prospected for, prospection methods and volume; Clause 2 of this Article. propection duration, tempo, cost estimate and di Permits tor exploitation, permits for processing financial sources; of minerals tor use as common construction materials in case of granting to foreign organizations or joint- 3. The copy of the written certification of the legal venture organizations involving foreign parties. person status, notarized by State Notary Public, of the organization applying for the mineral prospection 2. The provincial/municipal People's Committees permit. sha!I grant permits of the following types:

Article 5.- Dossiers of application for extension a/ Permits for fullest exploitation of assorted of mineral propection permits minerals in fullest exploitation areas already approved hy the Ministry of Natural Resources and Dossiers of application for permit extension must Environment; be submilled to the receiving agency 30 days before the permits expire, each including: bl Perm its tor exploitation, permits for processing of minerals for use as common construction materials 1. An application for extension (made according and peat for domestic organizations {even for areas to set form). adjacent to provinces or centrally-run cities) after the Ministry of Natural Resources and Environment has 2. The report on mineral prospection results and granted the exploration permits and approved the work volume, funding already implemented by the exploration result reports. time of application for extension. In cases where mineral prospection permits have Chapter II already expired while the dossiers of application for extension thereof are being scrutinized, such permits MINERAL PROSPECTION PERMITS stiall continue to be effective until the extension

Article 4.- Dossiers of application for mineral decision is issued or the written refusal of extension is obtained. r rospection _perm its Such a dossit,r shall include: Article 6.·· Dosi,iern of application for return of mineral prospection ponnits 1. An application !or a mineral prospoction porrnit {made according to irnt form), enclosed with 4 maps Such a do,ii:;ier sh,\1I inclucle 1. rile applicMion for return of a permit (made of mineral exploration permits accordinD to set form); Tfw dossiers of application tor extension of 2. The report on mineral prospection results and minmal exploration pmmit~; must be submitted to the work volumH, funding already implernentHc! by the rocfliving agencies thirty (;➔ o) days before the permits time of returning the permit. expiro, each including: 1. The application for l~xtension of the mineral Chapter Ill exploration permit (according to set form); MINERAL EXPLORATION PERMITS 2. The re port on exp/oration res u Its, the implemented exploration volume and expenditures;

Article 7.~ Dossiers of application for mineral the continued-exploration program, volume and cost exploration permits estimate; Such a dossier shall include: 3, The map of the exploration area, subtracting at 1. The application for a mineral exploration permit least thirty percent (30%) of the area licensed (made according to set form); previously. 2. The scheme on mineral exploration, made In cases where the mineral exploration permits according to regulations, enclosed with 4 maps of have expired while the extension application dossiers the mineral exploration area, drawn on the are being scrutinized, such permits continue to be topographical map of the square coordinate system effective until the extension is granted or the written VN2OO0 according to the principles: refusal of extension is issued. al The boundaries of the mineral exploration areas Article 9.- Dossiers of application for return of of one square kilometre (1 km2) or over shall be mineral exploration permits or return of part of the marked off in closed squares on ~he map of 1::i0,OOO . mineral exploration areas scale (made according to set form); Such a dossier shall include: b/ Exploration areas at less than one square kilometer ("1 km 2) shall be marked off on the map of 1. The application for return of a mineral not !ess than 1: 5,000 scale (according to sot form). exploration permit (according to set form) or return of part of the mineral exploration area (according to 3. The copy of the written certification of the legt1 set form); person status wiU1 authentication by the State Notary Public, for the applicants being domestic 2. The report on mineral exploration results, organizations, or the copy of the investrnent licenso complnted exploration volume and implemented (if any) with authentication of tl1e State Notary Public, exploration expenditures by the time of returning the for the applicants being foreign organizations or joint- porrnit or part of the area inscribod in the permit; ventures involving forei9n parties. :3. The map of the aroa to be continuously

Article 8.- Dossiers of application for oxten:iion 0xpl0rnd; the to bo-contlnued exp!oratlon volume, cost estirnate and proqrmn (for case ol partial rot urn or- individuals are lawful fwir·s of the mineral of exploration aroas). rJxplom1ion riqhts;

Article 10." Do.ss·1ors of applicntlon tor transfm of :3. The copy of the written certification of the legal mineral exploration riqhts person status, with authentication of the State Notary Public, of the organization beino lawful heir. Such a dossif-ir· shall include: The continued peliormance ol mineral exploration 1. The application for transfer of mineral ri~Jhts shall be approved by way of granting exploration right (according lo set form), enclosed exploration permits to organizations being lawful heirs with the contract on transfer of mineral exploration in replacement of the gra.nted permits. rigtlt and the list of to be- transferred assets and their values; Chapter IV 2. The report on exploration results, implemented work volume and expenditures and relevant MINERAL EXPLOITATION PERMITS prescribed obligations already fulfilled by the time of

Article 12.- Dossiers of application for mineral applying for transfer of exploration rights; exploitation permits 3. The copy of a written certification of the legal Such a dossier sha!l include: person status with authentication of the State Notary Public, for the applicants being domestic 1. The application for a mineral exploitation permit organizations, or the copy of the investment license (made according to set form), enclosed with 4 maps (if any) with authentication of the State Notary Public, of the mineral exploitation area, made on the for the applicants being foreign organizations or joint- background of the topographical map of the scale of ventures involving foreign parties. not smaller than 1: 5,000 according to the square coordinate system VN 2000 (according to set forms). The transfer of exploration rights shall be approved by way of granting new explorat"ion pcrmlts 2. The prescribed competent State agency's in replacement of the granted ones. decision approving the report on exploration results and mineral deposit;

Article 11.- Dossiers of application for continued peliorrnance of th0 mineral exploration rights 3. The feasibility study report on mineral exploitation, enclosed with the prescribed approval Such a dossier shall include: decision; 1. The application for continued performance of mineral exploration rights (made according to s<➔ I t\. The report on environmental impact form); the report on explomtion result", irnplemcnted ass es s men t or Hie w r i lien registration for work volumo .'.l.nd expenditures .:rnd proqi-::1n1 fo:· ~tchicvemnnt of environmental stnridarcls approved continued exploration; or certified ~;y a competent State l.1ody according to lc1w provisions on environment pi'Olf)clion; 2. Tllo copy 01 the lqpl rlocurnenti, authontir;atcd by tho State Notary \'ubi1c prnv'ir19 thnt orqa1111:1i1on:: ~). I hu copy ol a writton cmtilication of trm legal person status, with authentication of the State Notary enclo,rnd with the mptH! on mineral explu ltation P u/J lie, for ttw a pp I ic an ts hH in g do nw s tic rnsults by tf10 tin1e of applyino for tho rolurn ot permit organizations other· than those, alrc-iady qranttid the or par·t of the exploitation mca; exploration permit:,, or tho copy of tho irww;tment ~l. The scllerne on field closure, which has already lic0nso with authentication of the Sta to Notary F'ublic, been app1·aised and approvod according to law for the applicants l1eing foreign organizations (it joint- provh-,ions, for cnsos of return of exploitation pei-mits. ventures involving foreinn parties.

Article 15.- Dossiers of i:l.flplicalion for transfer of

Article 13.- Dossiers of application for extension mineral exploitation rights of mineral exploitation permits Such a dossier shall include: The dossiers of extension application must bo filed to the receiving agencies ninety (90) days before the 1. The application for transfer of mineral permits expire, each including: exploitation rights {according to set form) and the contract on transfer of mineral exploitation rights, 1. The application for extension of a mineral enclosed with the list of the to be- transferred assets exploitation permit {according to set form}; wi01 their values; 2. The map of the present exploitation fie le! at the 2. The re po rt on exp I oi tatio n resu Its and time of applying for extension, enclosed with tt1e obligations fulfilled by the time of applying for transfer report on exploitation results by the time of applying of the exploitation rights, enclosed with the map of for extension; the remaining mineral deposits and the present exploitation field at the time of applying areas to be continuously exploited according to the for transfer; appl ica tlon. 3. The copy of the written certification of the legal In cases where the mineral exploitation permits person status with auth<mtication by the State Notary have expired while the extension dossiers are being Public _for the appJlcants l:",,ind domestic processed, such permits continue lo be effective until organizations, or the copy of the investment license the extension is allowed or the wrltten relusal of with authentication by tho State Notary 1:iublic for the extension is issued. applicants being foreign organ·1zations or joint-

Article 14.- Dossiers of application for return of ventures involving forei~Jn parties. mineral exploitation permits or part of the mineral The transfer of tho oxploitation rigt1ts shall be exploitation areas approved by way of grnntinq exploitation permits to the tmnsferoos in replacement of the granted ones. Such a dossier shall include: 1. T\·1e application for return ol a mineral Article 16.- Dossiors ot llppllcation for contlnued exploitation permit (mado accmdinu to :,ct !ot"m) or pertorn1ance ot mino1·a1 exploitation rights return of µart of a minernl explottation area (madr- according to se\ 1mm). Such a dos~ier !>ha!! include: 2. The map ol tho presonl explo1talio11 fiuld, 1. lll{-l application Im cur1ti1•1ucd poriutrnnnce of tho m1nora\ ~lXploitation rights (made according to set Notary Public for tho applicants being foreign form); organizations or joint-- vonttHns involving foreign parties; 2. Jho copy of the legal document with authentication of the State Notary Public, proving that 4. The report on environmental impact the organization or individual is lawful heir of the assessment or tho written registration tor minernl exploitation rights; act1ievement of environmental standards, already approved or certified by \ho competent State body 3. The copy of the written certification of the legal according to law provisions on environment person status, with authentication of the State Notary protection. Public, of tho organization entitled to the {awful inheritance; Article 18.- Dossiers of application for extension of mineral processing permits 4. The map of the present exploitation tie!d, enclosed with the report on mineral exploitation The dossiers o1 application for extension oi results by the time of applying for continued mineral processing permits must be filed to the performance of the mineral exploitation rights. receiving agencies ninety (90) days before the permits expire, each including: The continued performance of mineral exploitation r\gl:\ts sha\\ b~ apprn-'IW 'o'J "Wn'J o, granfog minera\ 1. The appHcation for extens·Ion at a mineral exploitation permHs to organizations being lawful processing permit (according to set form); heirs, in replacement of the granted ones. 2. The report on mineral processing results by the Chapter V time of applying for extension, the volume of minerals to be continuously processed. MINERAL PROCESSING PERMITS In cases where the mineral processing permits have expired while the dossiers of application for

Article 17;- Dossiers of application for mineral extension are being processed, such permits shall processing permits continue to be effective until the extension is granted Such a dossier shall include: or the written refusal at extension ls issued with c\ear reply on the reasons therefor. 1. The application for a mineral processing permit (according to set form); Article 19.- Dossiers o~ application tor re~um of mineral processing permits 2. Tt1e mineral-processing feasibility study report, enclosed w(th the at;iproval decision as prns..cr(bed·, Such a dossier shalf incfude: 1. The application for return of a mineral 3. Thn copy of Um written certification of the le9al pror;essing permit (a(;c:utuing to !:.Ut fotm); person statu'.:l with authentication ol the State Notary Public for the applicants being domestic 2. The report on minornl pmcossing results as organizatlon8, or the copy ot the investment licem,0 frorn the dato the ponnit took eltect till the time of for mineral procossinn with authentication of tho S1c1te returning the permit.

Article 20 ... Dossiors of application for transfer of 4. The repon on mirwrnl processinn results and mineral prnces[-iing riohts the plan on continuing to caiTy out the mineral r,rocessing actlvitios. Such a dossier shall include: The continued perfonnanc .. of the mineral 1. The application tor transfer of the mineral processing right~, shall be permitted by way of processing rights (according to set form); grcl.nting !lie mineral processing permits to lawful 2. The contract on transfer of mineral processing inheriting organlzatlons, in replacement of the granted rights, enclosed with the list of to be transferred assets ones. and their values; the report on mineral processing results and the obligations already fulf Wed by the time Chapter VI of applying for transfer of mineral processing rights; IMPLEMENTATION ORDER 3. The copy of the written certification of the legal person status with authentication of the State Notary Article 22.- Agencies receiving and appraising Public for the applicants being domestic dossiers of mineral activities organizations, or the copy of the investment license 1. Vietnam Geological andM\neralAdministration with authentication of the State Notary Public for the is the body assisting the Ministry of Natural Resources appHcants being foreign organizations or joint- and Environment in receiving and appraising the ventures involving foreign parties. dossiers ol application for min era\ activity permits and The transfer of mineral processing rights shall be propose the Minister of Natural Resources and approved by way ot granting mineral processing Environment to consider and decide on the granting permits to the transferees, in replacement of the of mineral activity permits according to compe-tence granted ones. prescribed in Clause 1, Article 3 of this Regulation.

Article 21.- Dossiers of npplicatlofffor continued 2. The provincial/municipal Services of Natural performance of mineral processing rights Resources and Environment shall act as bodies assisting the provincial/municipal People's Such a dossier stia/I include: Committees in receiving and appraising dossiers of application for mineral activity permits and propose 1. The application for continued performance of the provincial/municipal People's Committee minera! processing rights (according to set form}·, president to consider and decide on the granting of 2. The copy of the(:i"1ga\ docurrient authenticated mineral ac1'1vily perm·11s accordlng to competence . I ,,:.-· by the State Notary Public proving that the prescribed in Clause 2, Article 3 of this Regulation. organization or individual )awfully inherits the mineral 3. Vietnam Geological and Miner,:11 Administration prnr.e%\n9 righl:->,: and the provincial/municipal Services of Natural 3. The copy of thf.} written certification of the lo gal Hesources and Environment shall hav<1 to guide person status of tho lawful inheriting organization, organi,ntions and individuals in implmnenting the which is authentir;Hted by the Sta!(; Notary PulJlic; i-egulationn 011 or·cJor· and rrococlurns of 9ranting permits for mineral activities. receiving agencies. 4. in cases whme the written replies oi the 4. Tho r·oceiving agencies ,,hall have to hand mineral co11cerned agencies contain divergent opinions, the activity permits to tho applying organizations or reply in rocoivinfJ agencies shall have to organize the writing on the reasons for non-gmnting of permits. exGhanges of ideas in order to reach unanimity, and report thfJm to the Minister of Natural Resources and Chapter VII Environment or the provincial/municipal People's Committee presidents for consideration and MINERAL ACTIVITY REGISTRATION, decisions according to competence. NOTIFICATION

Article 2.1.- Implementation order

Article 24. ~ Min era I activity reg ist ration, notification 1. For dossiers of application for mineral activity permits, within 45 days after receiving complete and The registration of, and notification on, mineral valid dossiers of domestic organizations and 60 days activities shall be made on the following principles: after receiving complete and valid dossiers of foreign organizations or joint-ventures involving foreign 1. The mineral activity permits granted by the parties (the above duration does not include the time Ministry of Natural Resources and Environment must for gathering comments of the concerned agencies), be registered at Vietnam Geological and Mineral the receiving agencies .shall have to complete the Administration and sent to the provincfal/municipal appraisal of dossiers, and submit them to the Services of Natural Resources and Environment competent State bodies for considering th@ granting together with the maps of the mineral activity areas of permits. for operation notification and management coordination. 2. For dossiers of application for extension,· return of permits, return part of tho mineral activity areas, 2. The mineral activity permits granted by the transfer of mineral activity rights, continued provincial/municipal People's Committees must be performance of mineral activity rights in cas@ of lawful registered at the provincial/municipal Services of inheritance of mineral activity rights, within 30 days Natural Resources and Environment and filed to after receiving the complete and valid dossiers, the Vietnam Geological and Mineral Administration receiving agencies must complete the appraisal of together with the map of the mineral activity area for the dossiers and submit them to the competent State monitoring and management coordination. bodies for considering and deddlng on the granting 3. In cases where the exploitation of minerals for or non-granting of permits. use as common construction materials does not 3. Within 7 days after receiving the complete and mquire mineral exploitation permits as provided for valid dossiers submitted by the receiving agencies, in Article fi2 of the Government's Decree No. 76/2000/ the competent State bodies shall consider and decide ND-CP of December 15, 2000, detailing the on tile grantin~J or non-•granting of mineral activity irnplementation of the Mineral Law (amended), bofom permits and transfer the dossi(➔ rs back to the conducting the exploitation, organizations and individuals must register their exploitation output, reports to Vietnarn Geological and Minerals volume, methods and equipment, enclosed with Adm in istra lion. exploitation programs and p\ans, at the provincial/ municipal Services of Natural nesources and Chapter Vtll Enviro nrnent. IMPLEMENTATION Pr:tOVISIONS

Article 25.- Managing and monitorinfJ the situation

Article 26. - Implementation organization of granting the mineral activity permits The dlrector of Vietnam Geological and Mineral Vietnam Geological and Mineral Administration shall Administration, the directors of the provincial/ have to assist the Ministry of Natural Resources and municipal Services of Natural Resources and Environment in managing, summing up and making Environment shall h,ive to guide, urge and Inspect biannual, annual reports on the situation of granting the implementation of this Regulation. If any problems mineral activity permits throughout the country. arise in the course of implementation, they should The provincial/municipal Services of Natura\ be promptly reported to the M'inlstry of Natural Resources and Environment shall have to assist the Resources and Environment for consideration and provincial/municipal People's Committees in decision. managing, summing up and making quarterly and annual reports on the situation. bf granting mineral Mlnlsterof activity permits within their localities' scope of Natural Resources and Environment administrative management and send the quarterly MAIAITRUC