Mines and Minerals Development (General) Regulations, 2016 (S.I. No. 7 of 2016)

1. Title

2. Interpretation

3. Cadastre unit

4. Geometric rules for cadastre coordinates

5. Cadastral co-ordinates and beacons setting

6. Cadastral maps PART II Application for a Mining Right or Non-mining Right

7. Application for mining right

8. Application for non-mining right

9. Application to export, import, etc., mineral, ore or mineral product

10. Application to export, sell, etc., radioactive minerals

11. Application for mineral analysis or valuation certificate

12. Authorisation of agent

13. Assignment of identification code

14. Application polygon

15. Offer letter by Director of Mining cadastre

16. Notice of rejection of application by Director of Mining Cadastre

17. Grant of mining right or non-mining right

18. Amendment of licence

19. Change in particulars of holder

20. Monthly sales and exports, purchases and imports by mineral trading permit holders PART III Renewal of Mining Right and Mineral Processing Licence

21. Application for renewal of mining right or mineral processing licence

22. Application polygon for renewal

23. Modification of perimeter

24. Rejection of application for renewal

25. Grant of renewal PART IV Alteration of Exploration or Mining Area

26. Application for alteration of exploration or mining area

27. Application polygon for alteration

28. Approval of alteration PART V Transfer or Assignment of Mining Right or Mineral Processing Licence

29. Application for consent to transfer or to assign

30. Grant of consent to transfer or assign PART VI Abandonment of Mining Right Area

31. Application to abandon land subject to licence

32. Grant of certificate of abandonment PART VII Electronic Submission of Application

33. Documents not permitted to be e-filed

34. General e-filing and e-payment principles

35. Validation of area of interest

36. Format of e-filed documents

37. Acceptable file formats

38. Priority time for applications

39. User ID and electronic signature

40. Responsibility for filing

41. Original documents to be maintained by persons

42. Proof of application or electronic payment

43. Public access

44. Printing of e-filed documents

45. Certified copies

46. Interruption of service

47. Special provisions where rules not complied with

48. Applicable fees PART VIII Reports by Mining Rights and Mineral Processing Licence Holders

49. Reports by holder of exploration licence

50. Monthly return of mineral production by mining and mineral processing licence holders

51. Submission of annual reports by mining and mineral processing licence holders

52. Programme of future operation

53. Submission of geological report

54. Submission of audited financial report PART IX General Provisions

55. Commencement of exploration, mining and mineralprocessing operations

56. Notice of appeal

57. Fees, area, charges, etc.

58. Pegging certificate

59. Construction of temporary beacon

60. Construction of permanent beacon

61. Defacing, alteration, destruction, etc., of temporal or permanent beacon

62. Destruction or disposal of samples

63. Area subject to conflict

64. Revocation of S.I. No. 84 of 2008 FIRST SCHEDULE SECOND SCHEDULE THIRD SCHEDULE IN EXERCISE of the powers contained in section one hundred and nineteen of the Mines and Minerals Development Act, 2015, the following Regulations are made: PART I PRELIMINARY

1. These Regulations may be cited as the Mines and Minerals Development (General) Regulations, 2016.

2. In these Regulations, unless the context otherwise requires- “abandonment” means the voluntary extinction of a mining right which may be total or partial and which is demanded by the holder by renunciation; “Act” means the Mines and Minerals Development Act, 2015; “alteration” in relation to a mining area, means the extension or the reduction of the size of the exploration or mining areal “assignee” means a person who derives a right or interest in a license or mining right from the holder of the license or mining right; “assignor” means a person who grants a right or interest in a license or a mining right to another person; “cadaster coordinates” means the geographic sexagesimal coordinates used in the delineation of an area subject to a license or a mining right in accordance with these Regulations “cadaster unit” has the meaning assigned to it in the Act “cadastral map” means a map record of existing non-mining and mining rights; “certificate of abandonment’ has the meaning assigned to it in the Act; “conventionally file” means the act of filing or saving of paper documents; “Directors” has the meaning assigned to it in the Act; “document management system” means the electronic document storage and imagining system maintained by the Mining Cadastre Office; “e-filing” means electronic transmission of an original document; “electronic” includes digital or online submissions; “electronic document” means an original document in electronic format; “electronic service” means electronic transmission of a document between a person and the Mining Cadastre Office; “exploration area” means an exploration of license granted under Part III of the Act; “exploration operations” means operations carried out in the course of exploration; “filing” means the process of submitting a document online, electronically or in paper form as applicable, at the Mining Cadastre Office; “holder” means a person in whose name a mining right or non-mining right is registered under the Act; “hyperlink” means an electronic connection or reference to another place I a document, such that when selected, the user is taken to the portion of the document to which the hyperlink refers; “ID” means a unique user identification; “mining information management system” means the system used by the Mining Cadastre Office to administer mining rights and non-mining rights; “PDF” means portable document format, a file format that preserves all fonts, formatting colors and graphics of any source document, regardless of the application platform used; “pegging certificate” means a certificate issued by a surveyor after demarcation of a license or mining right in accordance with regulation 58; “perimeter” means the external contour of the ground made up of contiguous cadastral units, which is the subject of a license or mining right or an application of or a license or mining right; “Priority ID” means a unique user identification number assigned in the mining rights management system to assign priority of an application for a mining right or a mineral processing license; and “scanned format” means an electronic document created by scanning a paper format.

3. (1) For the purposes of the Act and these Regulations, the surface area of Zambia is divided into cadaster units in squares of six seconds by six seconds in conformity with the grid defined by geographic sexagesimal coordinates in degrees, minutes and seconds represented at the edge of cadastral aps. (2) The cadastral maps shall be based on the official topographic map of the Republic of Zambia at the scale of 1:50,000 or 1:250,000 and based on the ellipsoid of Clarke 1880.

4. (1) Coordinates values shall be exact multiples of sic seconds and all perimeters shall confirm to the exact division. (2) A polygon that forms an application for a license or mining right shall be composed of an exact number of indivisible cadaster units which are contiguous. (3) An isolated polygon or a polygon which is joined to another polygon by only one vertex shall not be included in a license or mining right application. (4) Mining activity in a polygon that partially falls outside a transnational boundary shall only be undertaken within the national boundaries. (5) An applicable fee shall be payable in respect of a polygon covered by a mining right as set out in the Second Schedule.

5. (1) A setting out on the ground of the cadastral coordinates shall be made by the use of the official parameters for the transformation between the topographical map coordinates and the Global Positioning System (GPS) coordinates. (2) The Mining Cadastre Office shall provide the parameters outlined under sub- regulation (1) in order to guarantee the homogeneity in the positioning of licenses and mining rights. (3) Where there is a contraction between the field topographical data and the cadastral co-ordinates, the cadastral coordinates takes priority.

6. (1) The Mining Cadastre Office shall maintain an updated cadastral map. (2) The cadastral map and the cadaster registry shall be open to the public for inspection. PART II APPLICATION FOR A MINING RIGHT OR NON-MINING RIGHT

7. (1) A person who wishes to undertake exploration or mining shall apply to the Director of Mining Cadastre for an exploration license or a mining license in Form I set out in the First Schedule upon payment of the fees set out in the Second Schedule. (2) A person wishing to carry out mining activities in respect of radioactive minerals shall apply to the Minister for consent in Form I set out in the First Schedule.

8. (1) A person who wishes to undertake mineral processing shall apply to the Director of Mining Cadastre for a mineral processing license in Form II set out in the First Schedule upon payment of the fees set out in the Second Schedule. (2) A person who wishes to trade in minerals shall apply to the Director of Mines for a mineral trading permit in Form III set out in the First Schedule upon payment of the fees set out in the Second Schedule. (3) A mineral trading permit shall cover the following classes of minerals: (a) gemstones; (b) precious metals; (c) base metals; and (d) industrial minerals (4) A person who intends to conduct gold panning shall apply to the Director of mines for a Gold Panning Certificate in Form IV set out in the First Schedule upon payment of the fees set out in the Second Schedule.

9. A person who intends to import or export any mineral, or mineral product shall apply for a permit to the Director of Mines in Form V set out in the First Schedule upon payment of the fees set out in the Second Schedule.

10. A person who intends to acquire, store, transport, sell, import or export radioactive minerals shall apply to the Minister for consent in Form VI set out in the First schedule upon payment of the fees set out in the Second Schedule.

11. A person shall apply to the Director of Geological Survey for a mineral analysis certificate for a valuation certificate in Form VII set out in the First Schedule upon payment of the fees set out in the Second Schedule.

12. An agent who makes an application under these Regulations, on behalf of another person shall submit, together with the application, the authority to act as an agent in Form VIII set out in the Frist Schedule.

13. The Mining Cadastre Office shall, upon receipt of an application under these Regulations, assign an identification code to the application.

14. (1) An application for a mining right or a mineral processing license shall provide a paper copy and an electronic copy of geographical coordinates of the area of land in respect of which the license is sought, except that where there are more than twelve geographical coordinates, a paper copy shall only contain the first twelve geographical coordinates. (2) The geographical coordinates of the area of land referred to in sub-regulation (1) are valid from the date of an application to the date of the grant or rejection of the application. (3) A subsequent application that relates to a part or whole of the perimeter of an area already applied for shall be considered as partially or wholly overlapping with an area which is the subject matter of an application with a right of priority under these Regulations-

15. (1) The Director of Mining Cadastre shall, where the Mining Licensing Committee approves an application made under these Regulations- (a) inform the applicant of the approved application through any of the following: (i) Notification in the print medial (ii) Regular notices at the central or regional Cadastre Offices; (iii) Short messaging system (SM); or (iv) Electronic mail; and (b) issue a letter of offer to the applicant stipulating the conditions of the offer in Form IX set out in the First Schedule. (2) A letter of offer issued under sub-regulation (1) is valid for thirty days from the date of notification. (3) Where an applicant, through payment of area charges set out in the Second Schedule, accepts the offer referred to in sub-regulation (1), the Mining Licensing Committee shall grant the applicant the license.

16. The Director of Mining Cadastre shall where the Mining Licensing Committee rejects an application for a mining right or Mineral Processing License, inform the applicant of the rejection in Form X set out in the First Schedule.

17. (1) A grant of a mining right or non-mining right shall be in Form XVIII, XIX, and XX, as the case may be, set out in the First Schedule. (2) A grant of a certificate, permit or authorization shall be in For XXI, XXII XXIII, XXIV, XXVI ad XXVII, as the case may be, set out in the First Schedule. (3) The terms and conditions of a license, certificate, permit or authorization, as the case may be, as set out I the Third Schedule.

18. (1) An application to amend a mining right or mineral processing license, shall, upon payment of the fees set out in the Second Schedule, be made to the Director of Mining Cadastre in Form XI set out in the First Schedule. (2) Where the application for amendment relates to the inclusion of minerals- (a) for a mining right or mineral processing license, the application shall include a programme of operations for the additional minerals approved by the Director of Mines or Director of Geological Survey, as the case may be; or (b) which are radioactive, the holder of a mining right or mineral processing license shall comply with the requirements of the Act and the Mines and minerals Development (Prospecting, Mining, and milling of Uranium Ore and other Radioactive Mineral Ores) Regulations, 2008.

19. A holder of a mining or non-mining right shall inform the Mining Cadastre Office of any change in the particulars of the holder in Form XII set out in the First Schedule.

20. The holder of a mineral trading permit shall submit to the Director of mines a record of the- (a) monthly sales and exports in Form XXXI set out in the First Schedule; and (b) monthly purchases and imports in Form XXXII set out in the First Schedule. PART III RENEWAL OF MINING RIGHT AND MINERAL PROCESSING LICENSE

21. (1) An application for renewal of a mining right or mineral processing license shall be made- (a) for an exploration license, six months before the expiry of the license; (b) for a mining license, in the case of- (i) artisanal mining, three months before the expiry of the license; (ii) small-scale mining, six months before the expiry of the license and (iii) large-scale mining, one year before the expiry of the license and (c) for a mineral processing license, one year before the expiry of the license. (2) An application for renewal of a mining right shall be in Form XIII set out in the First Schedule. (3) An application for renewal of a mining right in respect of radioactive minerals shall be in Form XIII set out in the First Schedule. (4) An application for renewal of a mineral processing license shall be in the Form XIV set out in the First Schedule.

22. The Mining Cadastre Office shall, in accordance with regulation 5, provisionally plot onto the cadastral maps the perimeter that relates to an application for renewal of a mining right or mineral processing license.

23. (1) The Mining Licensing Committee shall reject an application to modify the current perimeter that covers a new adjacent area where- (a) a part of the proposed area overlaps an area that is already subject to another mining right or license or is under application (b) a minimum of twenty-five percent of the original exploration area is not part of the modified area; and (c) the area falls below the minimum prescribed for safe mining operations. (2) The Director of Mining Cadastre shall, where the Mining Licensing Committee rejects an application under sub-regulation (1), inform the applicant of the rejection in Form X set out in the First Schedule. (3) A new area that is annexed to a license shall conform to the maximum duration, and the prescribed fees, applicable to the original license or mining right.

24. (1) The Director of mining Cadastre shall, where the Mining Licensing Committee rejects an application for renewal of a mining right or non-mining right, inform the applicant of the rejection in Form X set out in the First Schedule. (2) The Director of Mining Cadastre, shall, in addition to sub-regulation (1), endorse the rejection on the license issued I respect of the mining right or non-mining right.

25. The Director of Mining Cadastre shall, where the Mining Licensing Committee approves an application for renewal of a mining right or mineral processing license, endorse the approval on the license issued in respect of the mining right or mineral processing license. PART IV ALTERATION OF EXPLORATION OR MINING AREA

26. (1) A holder intending to alter the holder’s exploration area or mining area shall apply to the Director of Mining Cadastre, in Form XV set out in the First Schedule. (2) A new exploration area or mining area shall conform to the prescribed cadastral units and the geometrical rules specified under regulation 4. (3) The maximum surface area for which a license or mining right may be granted shall not be exceeded the area stipulated in sections twenty one and thirty of the Act

27. The Mining Cadastre Office shall, pending the approval of an application for alteration of an exploration area or a mining area, provisionally plot the new perimeter on the cadastral map and record the new perimeter in accordance with regulation 5.

28. (1) The Mining Licensing Committee shall, where an application for alteration of an exploration area or a mining area meets the requirements of the Act and these Regulations, approve the application. (2) Where the Mining Licensing Committee approves an application for alteration of an exploration area or mining area, the Director of Mining Cadastre shall endorse the approval on the license issued in respect of that mining right. PART V TRANSFER OR ASSIGNMENT OF MINING RIGHT OR MINERAL PROCESSING LICENSE

29. (1) An application for consent to- (a) register the transfer of a share or shares in a company which holds a mining right or mineral processing license (b) transfer control of a company which holds a mining right or mineral processing license or (c) transfer or assign a mining right or mineral processing license; Shall be in Form XVI set out in the First Schedule. (2) An application under paragraph (c) of sub-regulation (1) shall be- (a) made by an assignor at any time during the validity of a mining right but not less than one hundred and twenty days before the expiry of the license; and (b) be accompanied by an application for a mining right or mineral processing license, as the case may be, made by the prospective assignee. (3) The periods stipulated in sub-regulation (1) of regulation 21 apply to this regulation, with the necessary modifications.

30. The Minister shall, where an application made under regulation 29 meets the requirements of the Act and these Regulations, grant consent to assign or transfer a mining right or mineral processing license in Form XXX set out in the First Schedule. PART VI ABANDONMENT OF MINING RIGHT AREA

31. An application for the abandonment of all or any art of any land subject to a mining or exploration license shall be in Form XVII set out in the First Schedule.

32. The Director of Mining Cadastre shall, where the Director of Mining Cadastre approves an application for the abandonment of land, grant the certificate of abandonment in Form XXVIII set out in the First Schedule. PART VII ELECTRONIC SUBMISSION OF APPLICATION

33. Despite any other provisions for electronic and online submissions, the following documents shall be filed conventionally, unless expressly required to be filed electronically by the Director of Mining Cadastre: (a) feasibility of study reports; (b) environmental impact study reports; (c) any other reports and submissions as determined by Director of Mining Cadastre

34. (1) Where a matter under these regulations requires the filing of an application, document or statutory report, the submissions may be filed electronically at the Mining Cadastre Office or online. (2) A person may pay by electronic methods established by the Mining Cadastre Office. (3) A person who wishes to make an electronic application shall, prior to submission, register as a user in the mining rights management system. (4) A person who submits an application for a mining right or mineral processing license shall have the option to select the area of application by- (a) direct entry of geographical coordinates in the system; (b) selection of cadaster units in the system; (c) uploading geographical coordinates from a soft copy medium into the system; or; (d) attachment of prescribed appendices using the PDF format.

35. (1) Following submission of the area of interest electronically, the area of application shall be validated by the system against valid mining rights and earlier mining rights applicable to enable the user identify- (a) if the area of interest is free; or (b) partial or total overlaps. (2) Where the area of interest partially overlaps, the applicant has the option to select free cadaster units for submission. (3) Upon submission of a revised application under sub-regulation (2), the application shall be stored in the system for twenty four hours within which time the application fee must be paid failure to which the application lapses. (4) Upon payment of the application fee, the system shall assign a unique priority user name (ID) which shall also carry priority of the application in relation to other applications.

36. (1) A person shall ensure that an electronically filed document is formatted in accordance with the applicable formatting of paper documents acceptable to the Director of Mining Cadastre. (2) The Director of Mining Cadastre shall specify the format acceptable for submission. (3) The Director of Mining Cadastre may require a person to produce the original of a scanned document that has been filed electronically.

37. (1) A person may electronically submit a document in Microsoft Word, Microsoft Excel, Rich Text Format, Portable Document Format and any standard non proprietary graphic formats. (2) Coordinates to be uploaded shall be submitted in Microsoft Excel format longitudes and latitudes in geographical format.

38. (1) An application submitted online or electronically shall be queued up and assigned priority time and date by the system. (2) A priority time and date assigned shall be based on the Zambian official time zone

39. (1) The Director of Mining Cadastre shall register users and provide each user with a unique user name (ID) and password. (2) The user name referred to in a subregulation (1), when used in conjunction with the personally selected password, constitutes a signature of the registered user on documents and management of licenses and applications in the mining rights management system. (3) Despite subregulation (2), a user may apply an electronic signature to a document to be submitted for purposes of these Regulations. (4) In order to ensure the intent of the holder or applicant, the signature line on an electronically filed document shall bear the printed name of the user preceded by the symbol “/s/”. (5) An electronic document may be signed by the Registrar of Mining Rights through the use of a printed signature preceded by the “/s/” symbol or through the use of the official signature stamp. (6) The official signature stamp shall be merged with the electronic document and shall be visible when the document is printed and viewed electronically. (7) A document which requires the signature of a holder or an applicant shall be filed with the Ming Cadastre Office in paper format, scanned and maintained in a manner consistent with applicable record retention and archival rules. (8) Where the document submitted is free from infection, the document shall be considered submitted and the Mining Cadastre Office shall send acknowledgement of receipt through the mining rights management system. (9) A document which has been successfully received shall be reviewed for compliance with prescribed requirements and filing standards and where it complies with standards, shall be accepted and considered filed as of date and time it was received by mining rights management system.

40. A holder of or applicant for a mining right or mineral processing license shall have the same responsibility as a person filing a document in paper format and shall ensure that the document is properly completed and filed.

41. (1) Despite any other provisions under these Regulations a person filing an application shall not submit a paper copy of the applications unless ordered to do so by the Mining Cadastre Office. (2) Where the Act or these Regulations require that a paper document be submitted in its original form, a person shall submit the original hard copy within five days of a demand by the Director of Mining Cadastre.

42. Where a document has been submitted electronically, the document shall be considered to have been received when it has arrived at the hosting server for incoming communications in connection with which the user ID or signature is associated.

43. (1) The mining rights management system shall make available online basic mining rights information. (2) The Director of Mining Cadastre shall make electronically filed, scanned documents and mining rights information available to the public.

44. An electronically filed document shall be maintained in a printed format with the same content and formatting as if printed from its author program.

45. (1) A certified copy of an electronically filed document may be obtained electronically o be issued in the conventional manner by the Director of Mining Cadastre, as applicable. (2) A certified copy shall be granted in the conventional paper format.

46. The Mining Cadastre Office is not liable for any break in service, malfunction or error occurring in online or electronic transmission or receipt of electronically filed documents.

47. (1) The Director of Mining Cadastre may determine, if necessary, specific instructions connected with online and efiling through an electronic entry in the system. (2) The Director of Mining Cadastre shall determine if any application deadlines may be extended as a result of rejection of efiled documents. (3) The Director of Mining Cadastre may order a person to resubmit any document that is not compliant with the rules or may order the documents to be filed conventionally.

48. (1) All fees applicable to conventional hard copy applications apply to online and electronic applications and submissions. (2) A document, application or statutory report which requires to be accompanied by a fee or penalty may be rejected within twenty-four hours, if the payment has not been rendered. PART VIII REPORTS BY MINING RIGHTS AND MINERAL PROCESSING LICENCE HOLDERS

49. (1) The holder of an exploration license shall- (a) at quarterly intervals, on or before the thirtieth day of the month following the end of each quarter, submit to the Director of Geological Survey and Director of Mines Safety a comprehensive report, which shall consist of a paper and electronic copy, relating to exploration operations carried out during the previous quarter supported by (i) maps and diagrams showing the areas where exploration operations have been carried out, and the locations where excavations have been made and boreholes sunk and the relevant geological data; (ii) documents and maps showing the results of a geological, geochemical or geophysical surveys; (iii) sections showing strata or ore bodies penetrated in an excavation or borehole and assay results; and (iv) Documents showing the average number of employees broken into number and category of Zambian citizens and expatriates employed during the previous quarter in carrying out exploration operations (b) submit to the Director of Geological Survey and Director of Mines Safety an annual comprehensive report of exploration operations, on or before the end of the first month following the end of the year, which shall include (i) a comprehensive summary of all pertinent geological, geochemical and geophysical data supported by maps, diagrams and sections and including in particular details of mineralization revealed, calculations and estimates of ore reserves and the data on which such calculations and estimates are based; (ii) a brief description of work undertaken; and (iii) proof of the holder’s compliance with the approved local business development programme; and (2) A holder of an exploration license who wishes to apply for a mining license shall include information provided for in paragraph (c) of subregulation (1).

50. (1) The holder of a mining license or mineral processing license shall, on or before the fifteenth day of each month, submit to the Director of Mines and Director of Mines Safety in respect of the preceding month a return of the quantities and value of mineral products produced from the mining area or mineral processing area whether by way of trial or regular business of the removal of minerals from the mining area, in Form XXXIII and XXXIV, as the case may be, in the First Schedule. (2) The mineral production return shall include a record of ore hoisted and treated and other information considered necessary to accurately record the value and quantity of minerals produced and processed.

51. (1) The holder of a mining license or mineral processing license shall submit to the Director of Mines and Director of Mines Safety not later than the 28th of February in each year, a report on the operations carried out in the mining area and operations ancillary thereto during the year ending on the previous 31st December. (2) The report referred to in subregulation (1) shall include (a) tonnage, type and grade of ore milled and its source (b) tonnages and grade of ore depleted from or added to reserves or moved from one category of ore reserve to another, (c) a report on exploration work carried on within the mining area; (d) the total footages of primary development, secondary development and exploratory drilling completed; (e) calculations showing the ore recovery and dilution factors; (f) the recovery percentages and efficiency of all mining and metallurgical processes and metallurgical balance sheet showing the disposition of all metal and mineral products depleted from the ore reserves; (g) a brief report on research projects or major technical investigations carried out and results to date; (h) an operating cost sheet showing in detail the average cost of production expressed in cost per ton of ore (i) a statement of work carried out on capital projects, and expenditure thereon; (j) quantities and grade of end products produced, quantities sold and average selling prices; (k) average number of employees broken into number and category of Zambian citizens and expatriates employed during the previous year; (l) the holders compliance with the approved local business development programme; and (m) a brief report on training carried out.

52. (1) The holder of a mining license or mineral processing license shall submit to the Director of Mines and Director of Mines Safety not later than the last day of November in each year a programme of operations in respect of the mining area for the ensuing year commencing on the following 1st January. (2) The programme referred to in sub-regulation (1) shall include- (a) an estimate of the tonnages and grades of ore or other material that will be mined or reclaimed and treated and their source; (b) an estimate of primary and secondary development and exploratory drilling planned for the year; (c) an estimate of the quantities of mineral products which will be produced, estimated average operating costs and anticipated selling prices for the year; (d) details and estimated cost of capital projects to be undertaken; (e) a forecast of changes anticipated in the mining methods, treatment processes or marketing arrangements; (f) a statement of research projects or major investigations to be carried out; (g) estimated number of staff and labour requirements, stating the number of and category of Zambians and expatriates to be employed; (h) a brief preview of the training programme for the year; and (i) a brief preview of the local business development programme for the year.

53. The holder of a mining license shall, at intervals of two years, submit to the Director of Mines and Director of Geological Survey a detailed report of exploration activity including details of mineralization and calculated and estimated ore reserves in the mining area and the data on which the calculation is based.

54. The holder of a mining license or mineral processing license shall submit to the Director of Mines and Director of Mines Safety a copy of audited annual financial statements within three months of the end of each financial year. PART IX GENERAL PROVISIONS

55. (1) The holder of an exploration license shall commence operations in accordance with the approved programme not later than six months from the date of grant of the license. (2) The holder of a mining license or mineral processing license shall commence operations in accordance with the approved programme of operations.

56. A notice of appeal shall be in Form XXXV set out in the First Schedule.

57. (1) The fees set out in the Second Schedule are applicable for the matters stipulated therein. (2) The minimum annual exploration expenditures are as set out in the Second Schedule. (3) A holder of a mining right or mineral processing license shall pay the area charges set out in the Second Schedule on or before the anniversary of the grant of the mining right or mineral processing license. (4) A holder of an exploration license, mining license, or mineral processing license who defaults on payment of the area charges commits an offence and is liable, upon conviction to a fine not exceeding five hundred thousand penalty units.

58. (1) An application under these Regulations shall not be approved if the area covered in the application overlaps a neighboring mining right or mineral processing license. (2) Following the grant of a license under these Regulations, a holder of a mining right or mineral processing license, subject to the direction of the Mining Cadastre Office shall, at the holder’s cost (a) Survey the mining right area and place- (i) temporary beacons for exploration license; or (ii) permanent beacons for a mining or mineral processing license; and (b) obtain a pegging certificate. (3) A pegging certificate shall be in Form XXIX set out in the First Schedule and shall be submitted to the Mining Cadastre Office.

59. A temporary beacon consists of an iron bar, or a hard wood or wooden pole treated with preservative, two metres I length and fifty centimetres into the ground, surrounded by a pile of stones not less than sixty centimetres in diameter at the base and not less than one metre high and having attached to it a plate bearing the following details: (a) the registered number of the exploration license and the name of the holder of the license (b) the date of beaconing; and (c) the beacon number

60. (1) A permanent beacon consist of- (a) an iron pin, not less than thirty eight centimetres long and one and a half centimetres in diameter, set in concrete not less Than one hundred and fifty cubic centimetres, and buried so that the top of the pin is at least twenty five centimetres below the surface of the ground; (b) a masonry or concrete pillar not less than ninety by ninety centimeters at the base, not less than fifty by fifty centimeters at the apex, and not less than one meter high, built centrally over the pin or hole; (c) an iron pin concreted into the pillar plumbed centrally over the buried pin or hole and projecting beyond the apex of the pillar for a distance not more than one and half centimetres; and (d) a rustproof metal plate, not less than five by five centimetres, securely attached to the pillar and bearing on it the following details: (i) the markings for the purpose of identifying the beacon by the land surveyor in accordance with the Survey Regulations; (ii) the registered umber of the mining license or mineral processing license concerned and the name of the holder of the license; and (iii) other information as may be required by the Act. (2) Where the details required under sub-regulation (1)(d), are imprinted upon the pillar, the metal plate shall not be required. (3) The pin, under sub-regulation (1)(a)- (a) in sandy soil, shall not be less than sixty centimeters long; and (b) where the ground is rock and it is impossible to drive an iron pin into it, a hole not less than one and half centimeters in diameter and two centimeters deep shall be drilled in the rock, which hole shall be in lieu of such pin.

61. A person who willfully or maliciously defaces, alters the position of removes, pulls down, injures, destroys or erects or renews in any position other than its proper or original position a temporary beacon or permanent beacon erected under these regulations commits an offence and is liable, on conviction, to a fine not exceeding five hundred thousand penalty units or to imprisonment for a period not exceeding five years, or to both.

62. (1) The holder of an exploration license in whose area geochemical surveying, reverse circulation or diamond drilling has been carried out shall not destroy or dispose of samples or diamond drill cores or the records relating thereto without written authority from the Director of Geological Survey. (2) The Director of Geological Survey may take possession of such samples or cores or records relating thereto.

63. On the commencement of these Regulations, where an area is subject to a conflict or overlap that could affect the mining activity area, that area – (a) shall be blocked off until the resolution of the conflict; and (b) an application over that area shall not be accepted.

64. The Mines and Minerals Development (General) Regulations, 2008 are revoked.

FIRST SCHEDULE (Regulations 7, 8(1), 8(2), 8(4), 9, 10, 11, 12, 15(1), 16, 17, 18(1), 19, 20, 21(2), 21(3), 21(4), 23(2) 24, 26(1), 29(1), 30, 31, 32, 50(1), 56 and 58) Form I (Regulation 7) (To be completed in triplicate) REPUBLIC OF ZAMBIA The Mines and Minerals Development Act, 2015 (Act No. 11 of 2015) The Mines and Minerals Development (General) Regulations, 2016 APPLICATION FOR A MINING RIGHT Shaded fields Licence Code for official use Date and Time only Information Required Information Provided  1 Type of Mining Right Exploration Mining 2 Scale of operation Large scale Large-Scale Small-Scale Small scale Artisanal 3 Minerals Non- Radioactive Radioactive 4 (a) Name(s) of applicant(s) (b) Type of applicant Individual Co-operative (Artisanal mining only) 5 (a) Date of Birth (dd/mm/yyyy) (b) Nationality (c) Identity Card (National Registration Card) No. or Passport No.- Attach certified copies 6 Applicant’s physical and postal addresses Tel: Mobile No: Fax: Email: 7 (a) Company/Cooperative Registration No. (Attach certified copies of registration certificate) (b) Shareholders (Attach Shareholder Shares Nationality NRC/Passport certified copies of identity held No. cards and companies Form 2 issued under the Companies Act Cap. 388) (c) Directors Directors Shares Nationality NRC/Passport held No. (d) Company Chief Name Nationality Executive Officer (e) Company Secretary Name Nationality 8 Current Mining Rights or Mining Location Area (km2) licences in Zambia, if any, by Right/Licence applicant No. (a) (a) (a) (b) (b) (b) (c) (c) (c) (d) (d) (d) (e) (e) (e) (f) (f) (f) 9 Previously held mining rights Mining Location Area (km2) in Zambia, if any, by Right/Licence applicant No. (a) (a) (a) (b) (b) (b) (c) (c) (c) (d) (d) (d) (e) (e) (e) (f) (f) (f) 10 Currently held mining rights Mining Location Area (km2) in Zambia, if any, by Right/Licence subsidiary companies No. (a) (a) (a) (b) (b) (b) (c) (c) (c) (d) (d) (d) (e) (e) (e) (f) (f) (f) 11 Currently held mining rights Mining Location Area (km2) or licences in other countries Right/Licence by applicant No. (a) (a) (a) (b) (b) (b) (c) (c) (c) (d) (d) (d) (e) (e) (e) (f) (f) (f) 12 (a) Has the applicant been convicted of an offence involving fraud or dishonesty or of an offence under the Mines and Minerals Development Act, No. 11 of 2015, or any other law outside Zambia? If yes, specify details: ................................................................................................................................... Nature of offence: ................................................................................................................................... Date of conviction: ................................................................................................................................... (b) Have you been declared bankrupt, or if a company, have you been in liquidation? If yes, specify details: ................................................................................................................................... 13 Has the applicant ever applied for a mining right or licence in Zambia? If yes, please give details .................................................................................................................................. ....................... ................................................................................................................................... ...................... Mining right or licence Location Area km2 Date of applied for application Status of application  Grant  Rejection  Pending 14 Area applied for (all coordinates in exact multiples of 6 seconds, latitude/longitude format, Degree-minute-second format, Arc 1950) (a) Location Province District Locality (b) Size (in sq. km) Exploration (activity) not exceeding 2000 km2 as follows: (i) Large-scale 121-59,880 cadastre units (ii) Small-scale 3-120 cadastre units Mining (activity) (i) Large-scale 121-7,485 cadastre units (ii) Small-scale 3-120 cadastre units (iii) Artisanal Not exceeding 2 cadastre units (c) Coordinates (use additional sheet to Latitude (S) Longitude (E) indicate coordinates if required) D D M M S S D D M M S S Corner 1 Corner 2 Corner 3 Corner 4 Corner 5 Corner 6 Corner 7 Corner 8 Corner 9 Corner 10 Corner 11 Corner 12 15 Appendices (a) Exploration Licence Appendix No. 1 Proposed programme of exploration operations (should include an estimate of the investment commitment in the approved format) Appendix No. 2 Proposals for employment and training of citizens of Zambia Appendix No. 3 Proposals for promotion of local business development Appendix No. 4 Tax clearance certificate issued under Income Tax Act (Cap. 323) Appendix No. 5 Any further information which the Director of Mining Cadastre may require Appendix No. 6 Proof of consent from appropriate authority if activity is in a National Park, Game Management Area (b) Mining Licence- Large Scale Appendix No. 1 A comprehensive statement of the mineral deposits in the area over which the license is sought (should include details of all known minerals proved, estimated or inferred, ore resources and mining conditions) Appendix No. 2 Feasibility study for mining operations (should include a forecast of capital investment, the estimated recovery rate of ore and mineral products, and the proposed treatment and disposal of ore and minerals recovered) Appendix No. 3 Approved Environmental Impact Statement Appendix No. 4 Details of expected infrastructure requirements Appendix No. 5 Proposals for employment and training of citizens of Zambia Appendix No. 6 Proposals for promotion of local business development Appendix No. 7 Tax clearance certificate (issued under Income Tac Act, Cap. 323) Appendix No. 8 Plan of proposed mining area Appendix No. 9 In the case of gemstones, a plan for cutting, polishing and faceting of gemstone in Zambia Appendix No. 10 Any further information which the Director of Mining Cadastre may require (c) Mining Licence- Small-Scale Appendix No. 1 Copy of relevant prospecting permit and prospecting report Appendix No. 2 Proposed programme of mining operations (should include forecast of capital investment, the estimated recovery rate of ore and mineral products, and the proposed treatment and disposal of ore and minerals recovered) Appendix No. 3 Description of the mineral deposit in area over which the licence is sought Appendix No. 4 Statement of duration for which licence is sought (should not exceed ten years) Appendix No. 5 Tax Clearance Certificate issued under Income Tax Act (Cap. 323) Appendix No. 6 Approved Environmental Project Brief Appendix No. 7 Any further information which the Director may require (d) Artisanal Mining Appendix No. 1 Environmental Commitment Plan Appendix No. 2 Programme of intended mining operations (should include proposals for the proper conservation and use of mineral resources in mining area, in the national interest) (e) Radioactive Minerals Appendix No. 1 Plan and description of mine, processing facilities and proposed disposal sites Appendix No. 2 Copy of licence issued under the Ionizing Radiation Protection Act, No. 16 of 2005 Appendix No. 3 Programme to educate persons in the vicinity of the mine or plant on safety, health and the environment in relation to radiation Appendix No. 4 Programme to assist authorities outside the mining area in planning and preparing to limit adverse effects of radiation Appendix No. 5 Proposed programme for selecting, using and maintenance of personal protective equipment Appendix No. 6 Proposed training programme for workers in relation to radiation safety Appendix No. 7 Proposed ventilation and dust control methods and associated equipment Appendix No. 8 Proposed security measures during mining, processing, storage, transportation (including measures to alert the holder of acts of sabotage) Appendix No. 9 Storage, transportation and marketing arrangements in conformity with the Nuclear Non-Proliferation Treaty (NPT) Appendix No. 10 Any further information which the Director may require Application Fee .................................................... ........................................................ Applicant/Authorised Date Representative* ................................................... Officer FOR OFFICIAL USE ONLY Received by: ................................................................ Officer OFFICAL STAMP Amount Received: ....................................................... Serial No. of Application: ........................................... NOTE 1. An application for large-scale or small-scale mining shall only be made by a company. 2. A small-scale mining activity may only be undertaken by a citizen-owned, citizen influenced and citizen empowered company. 3. Artisanal mining shall only be carried out by an individual or a cooperative. 4. *Delete what is not applicable Form II (Regulation 8(1)) (To be completed in triplicate) REPUBLIC OF ZAMBIA The Mines and Minerals Development Act, 2015 (Act No. 11 of 2015) The Mines and Minerals Development (General) Regulations, 2016 APPLICATION FOR A MINERAL PROCESSING RIGHT Shaded fields Licence Code for official use Date and Time only Information Required Information Provided  1 Period 2 Minerals 3 Name of Applicant 4 Applicant’s physical and Postal addresses Tel: Mobile: Fax: Email: 5 (a) Company Registration No.(Attach certified copies of registration certificate) (b) Shareholders Shareholder Shares held Nationality NRC/Passport No. (Attach certified copies of identity cards and companies Form 2 issued under the Companies Act Cap. 388) (c) Directors Directors Shares held Nationality NRC/Passport No. (d) Company Chief Name Nationality Executive Officer (e) Company secretary Name Nationality 6 Current mining rights Mining Right or Licence Location Area (km2) or licences in Zambia, No. if any, by applicant (a) (a) (a) (b) (b) (b) (c) (c) (c) (d) (d) (d) (e) (e) (e) (f) (f) (f) 7 Previously held mining Mining Right or Licence Location Area (km2) rights or licences in No. Zambia, if any, by (a) (a) (a) applicant (b) (b) (b) (c) (c) (c) (d) (d) (d) (e) (e) (e) (f) (f) (f) 8 Currently held mining Mining Right or Licence Location Area (km2) rights or licences in No. Zamiba, if any, by (a) (a) (a) subsidiary companies (b) (b) (b) (c) (c) (c) (d) (d) (d) (e) (e) (e) (f) (f) (f) 9 Currently held mining Mining Right/Licence Location Area (km2) rights or licences in No. other countries by (a) (a) (a) applicant (b) (b) (b) (c) (c) (c) (d) (d) (d) (e) (e) (e) (f) (f) (f) 10 Has the applicant been convicted of an offence involving fraud or dishonesty or of any offence under the Mines and Minerals Development Act, No. 11 of 2015, or any other law within or outside Zambia? If yes, specify details: …………………………………………………………………………………………………… …………………………………………………………………………………………………… Nature of offence: …………………………………………………………………………………………………… …………………………………………………………………………………………………… Date of offence: …………………………………………………………………………………………………… 11 Has the applicant ever applied for a mining right or Licence in Zambia? If yes, please give details: …………………………………………………………………………………………………… …………………………………………………………………………………………………… …………………………………………………………………………………………………… Mining right or Licence Location Area (km2) Date of application applied for Status of application  Grant  Rejection  Pending 12 Area applied for (all coordinates in exact multiples of 6 seconds, latitude/longitude format, degree-minute-second format, Arc 1950) (a) Location Province Date of application Locality (b) Coordinates (use Latitudes (S) Longitudes (E) additional sheet to indicate coordinates if required) D D M M S S D D M M S S Corner 1 Corner 2 Corner 3 Corner 4 Corner 5 Corner 6 Corner 7 Corner 8 Corner 9 Corner 10 Corner 11 Corner 12 13 Appendices Appendix No.1 Description and plan of surrounding developments Appendix No.2 Feasibility study for processing operations (should include a forecast of capital investment, proposed plant capacity, the estimated recovery rate of mineral products and the proposed treatment methods and disposal of ore and minerals recovered) Appendix No.3 Environmental Management Plan (should include proposals for prevention of pollution, treatment of waste, protection and reclamation of land and water resources and for eliminating or minimizing adverse effects on environment) Appendix No.4 Details of expected infrastructure requirements Appendix No.5 Proposals for employment and training of citizens of Zambia Appendix No.6 Tax clearance certificate (issued under Income Tax Act ((Cap.323)) Appendix No.7 Any further information which the Director of Geological Survey may require Appendix No.8 Documentation on title to land or written consent of legal occupier of land Application Fee .................................................... ........................................................ Applicant/Authorised Date Representative* ................................................... Officer FOR OFFICIAL USE ONLY Received by: ................................................................ Officer OFFICIAL STAMP Amount Received: ....................................................... Serial No. of Application: ........................................... Form III (Regulation 8(2)) (To be completed in triplicate) REPUBLIC OF ZAMBIA The Mines and Minerals Development Act, 2015 (Act No. 11 of 2015) The Mines and Minerals Development (General) Regulations, 2016 APPLICATION FOR A MINERAL TRADING PERMIT Shaded fields for Permit Code official use only Date and Time Information Required Information Provided  1 (a) Name(s) of applicant(s) (b) Type of applicant Individual Company1 Co- Partnership operative 2 (a) Date of Birth (dd/mm/yyyy) (b) Nationality (c) Identity Card (National Registration Card No. or Passport No.)- Attach certified copies 3 Applicant’s physical and postal addresses Tel: Mobile No.: Fax: Email: 4 (a) Class of minerals Gemstones Precious metals Base Metals Industrial minerals (b) Type of minerals 5 Applicant’s bank details (a) Name and address of bankers (b) Tel: (c) Mobile No.: (d) Fax No.: (e) Email (f) Company/Cooperative Registration No. (Attach certified copies of registration certificate) (g)Shareholders Shareholder Shares held Nationality NRC/Passport (Attach certified No. copies of identity cards and companies Form 2 issued under the Companies Act. Cap 388) (h) Directors Directors Shares held Nationality NRC/Passport No. (i) Company Chief Name Nationality Executive Officer (j) Company Name Nationality Secretary 7 Appendices Appendix No.1 Certified copy of National Registration Card or Passport Appendix No. 2 Bank account statement or letter from bank Appendix No. 3 Copies of proposed business plan and capital outlay Appendix No. 4 Tax Clearance Certificate I ............................................................................................................ do hereby declare that the information given above is true and correct to the best of my knowledge and belief3. ............................................ ................................................. Signature Date FOR OFFICIAL USE ONLY Received by: .................................................................. Officer OFFICAL STAMP Amount Received: ........................................................ Serial No. of Application: ............................................. Note: 1. Company refers to a citizen-influenced company, citizen-owned company or a citizen-empowered company 2. List the specific minerals that fall under the preferred class in paragraph 4(a) which you want to trade in. 3. Any declaration in this application which is to the knowledge of the maker, false or untrue, shall render this application void ab initio. Form IV (Regulation 8(4)) (To be completed in triplicate) REPUBLIC OF ZAMBIA The Mines and Minerals of Development Act, 2015 (Act No. 11 of 2015) The Mines and Minerals Development (General) Regulations, 2016 APPLICATION FOR A GOLD PANNING CERTIFICATE Shaded fields Licence Code for official use only Date and Time 1 (a) Names of applicant(s) Individual Co-operative 2 (a) Date of Birth (dd/mm/yyyy) (b) Nationality (c) Identity Card (National Registration Card No. or Passport No.) – Attach certified copies 3 Applicant’s physical and postal addresses Tel: Mobile No.: Fax: Email: 4 (a) Co-operative Registration No. (Attach certified copies of registration certificate) (c) Shareholders (attach copies of Shareholder Shares Nationality NRC/Passport identity cards and held No. companies Form 2 issued under the Companies Act Cap 388) (d) Directors Directors Shares Nationality NRC/Passport held No. 5 Current Panning Panning Location Area (km2) certificates or Certificate or licences held in Licences Zambia, if any, by (a) (a) (a) applicant (b) (b) (b) (c) (c) (c) (d) (d) (d) (e) (e) (e) (f) (f) (f) Area applied for (latitudes/longitudes format, Degree-minute-second format, Arc 1950) (a) Location Province District Locality (b) Size (in sq. Km) (c) Coordinates Latitude (S) Longitude (E) (use additional sheet to indicate coordinates if required) D D M M S S D D M M S S Corner 1 Corner 2 Corner 3 Corner 4 Corner 5 Corner 6 Corner 7 Corner 8 Corner 9 Corner 10 Corner 11 Corner 12 1 Appendix 2 1. Programme of intended panning operations 2. Environmental Commitment Plan 3. Copies of Directors/Shareholders Identities 4. Tax clearance certificate Application fee: .......................................................... ................................................... Applicant/Authorised Representative Date .......................................................... Officer FOR OFFICIAL USE ONLY Received by: ............................................................... OFFICIAL STAMP Officer Amount Received: ..................................................... Serial No. of Application: ......................................... Form V (Regulation 9) (To be completed in triplicate) REPUBLIC OF ZAMBIA The Mines and Minerals Development Act, 2015 (Act No. 11 of 2015) The Mines and Minerals Development (General) Regulations, 2016 APPLICATION FOR PERMIT TO IMPORT/EXPORT* MINERAL, ORE OR MINERAL PRODUCT Shaded fields Permit Code for official use only Date and Time Information Required Information Provided  1 Type of minerals or mineral products to be *exported/imported 2 (a) Names of applicant(s) (b) Type of applicant (Artisan and Mining only) 3 (a) Date of Birth (dd/mm/yyyy/) (b) Nationality (c) Identity Card (National Registration Card No.)- Attach copies 4 Applicant’s physical and postal addresses Tel: Mobile No.: Fax: Email: 5 (a) Company/Cooperative Registration No. (Attach certified copies of registration certificate) (b) Shareholders Shareholder Shares held Nationality NRC/Passport (Attach certified No. copies of identity cards and companies Form 2 issued under the Companies Act Cap. 388) (c) Directors Directors Shares held Nationality NRC/Passport No. (d) Company Chief Name Nationality Executive Officer (e) Company Name Nationality Secretary 6 (a) Destination of *export/import (b) Name and address of recipient 7 Quantity, quality and value of mineral commodity to be exported/imported 8 Port of entrance/exit 9 Appendices (a) Export Permit Appendix No. 1 Mineral analysis certificate/mineral valuation report issued by the Director of Geological Survey Appendix No. 2 Verification report on mineral royalty payment from the Commissioner-General Appendix No. 3 Security clearance by the Zambia Police Force Appendix No. 4 Copies of certified production returns made by the holder Appendix No. 5 Mining right, non-mining right or permit No. (b) Import Permit Appendix No. 1 Supply contract documents Appendix No. 2 Mineral analysis report Appendix No. 3 Company registration details Appendix No. 4 Application Fee ........................................................................... .......................................................... Date Applicant/Authorised Representative ......................................................................... ....................................................... Officer Date FOR OFFICIAL USE ONLY Received by: ................................................................... Officer OFFICIAL STAMP Amount Received: ......................................................... Serial No. of Application: ............................................. Note*- Delete whichever is not applicable Form VI (Regulation 10) (To be completed in triplicate) REPUBLIC OF ZAMBIA The Mines and Minerals Development Act, 2015 (Act No. 11 of 2015) The Mines and Minerals Development (General) Regulations, 2016 APPLICATION FOR CONSENT TO ACQUIRE/STORE/TRANSPORT/SELL/EXPORT RADIOACTIVE MINERALS Shaded fields for Authorisation Code official use only Date and Time Information Required Information Provided  1 Type of minerals or mineral products 2 Period 3 (a) Name(s) of applicant(s) (b) Type of applicant Individual Company Co- Partnership operative 4 (a) Date of Birth (dd/mm/yyyy/) (b) Nationality (c) Identity Card (National Registration Card No.)- Attach copies 5 Applicant’s physical and postal addresses Tel: Mobile No.: Fax: Email: 6 (a) Company/Cooperative Registration No. (Attach certified copies of registration certificate) (b) Shareholders (Attach Shareholder Shares held Nationality NRC/Passport certified copies of identity No. cards and companies Form 2 issued under the Companies Act Cap. 388) (c) Directors Directors Shares held Nationality NRC/Passport No. (d) Company Chief Name Nationality Executive Officer (e) Company Secretary Name Nationality 7 (a) Sources of mineral commodity (b) Transportation method (c) Export recipient and full address (d) Export quantity (e) Export value (f) Radiation Protection Officer (attach appointment documentation) 8 (a) Destination of mineral commodity (b) Name and address of recipient/buyer (c) Quantity and value of mineral commodity (d) Intended use of recipient/buyer 9 Appendices Appendix No. 1 Copy of licence from Radiation Protection Authority (acquisition, storage, transportation or export) Appendix No. 2 Security measures (endorsed by Inspector General Police and the Office of the President) Appendix No. 3 Company registration details Appendix No. 4 Mineral analysis certificate by Director of Geological Survey Appendix No. 5 Details of packaging (for both export and import) Application fee I declare that the recipient of this export consignment shall not under any circumstances, return any arising nuclear fuel wa ste to Zambia* ......................................................................... ........................................................... Applicant/Authorised Representative Date ...................................................................... ........................................................... Officer Date FOR OFFICIAL USE ONLY Received by: ......................................................................... Officer Amount Received: .................................................................. OFFICIAL STAMP Serial No. of Application: ........................................................ *Note: Any declaration in this application which is to the knowledge of the maker, false or untrue, shall render this application void ab initio Form VII (Regulation 11) (To be completed in triplicate) REPUBLIC OF ZAMBIA The Mines and Minerals Development Act, 2015 (Act No. 11 of 2015) The Mines and Minerals Development (General) Regulations, 2016 APPLICATION FOR MINERAL ANALYSIS CERTIFICATE/VALUATION CERTIFICATE * Shaded fields Certificate Code for official Date and Time use only Information Required Information Provided  1 (a) Name(s) of applicant(s) (b) Type of applicant Individual Co-operative Company (Artisan and Mining only) 2 (a) Date of Birth (dd/mm/yyyy) (b) Nationality (c) Identity Card (National Registration Card No. or Passport No.) – Attach copies 3 Applicant’s physical and postal addresses Tel: Mobile No.: Fax: Email: 4 (a) Company/Cooperative Registration No. (Attach certified copies of registration certificate) (b) Mining right or non- mining right No. 5 Minerals or mineral products to be analysed 6 Analysis requested 7 Source of minerals Application Fee ....................................................................... ....................................................... Applicant/Authorised Representative Date ...................................................................... ...................................................... Officer Date FOR OFFICIAL USE ONLY Received by: ................................................................ Officer OFFICIAL STAMP Amount Received: ....................................................... Serial No. of Application: ........................................... Note* Delete whichever is not applicable Form VIII (Regulation 12) REPUBLIC OF ZAMBIAT The Mines and Minerals Development Act, 2015 (Act No. 11 of 2015) The Mines and Minerals Development (General) Regulations, 2016 FORM FOR AUTHORISATION OF AGENT (1) Here insert the full I/We (1) …………………………………………………... names of the person have appointed (2) …………………………………………. of authorizing, name of ………………………………………………………………… the company and ………………………………………………………………… company ………………………………………………………………… registration No. and my/our agent for (3) …………………..… and requests that all the name of the notices, requisition and communications relating thereto may authorized company be sent to such agent at the above address. representative. (2) Here insert name and I/We here hereby revoke all previous authorisations, if any, in physical and respect of the same matter or proceedings. postal address of agent. (3) Here state the particular matter or proceeding I/We hereby declare that I am/we are a (4) …………………… for which the agent ………………………………………………………………… is appointed, giving Dated this……………………… day of ……………. 20…… the reference number if known. (4) Here state nationality of principal. (5)……......................................... (5) To be signed by person Signature of principal Address appointing the agent. (6) ………………………………………………. Dated this (6) Here insert the full trade …………………………………. day of ………………. 20….. or business address (7)………………………………..Signature of agent Appendix of principal. (7) To be signed by agent (8)* …………………….................... (8) Here attach a certified (a)Certified copy of identity card copy of the identity (b)Certified copies of registration certificate *Note: card of mine person or registration certificate of the company appointing Delete whichever is not applicable the agent. Form IX (Regulation 15(1)) REPUBLIC OF ZAMBIA The Mines and Minerals Development Act, 2015 (Act No. 11 of 2015) The Mines and Minerals Development (General) Regulations, 2016 LETTER OF OFFER To(1)……………………………………………………………. ………………………………………………………………….. (1)Here insert the full names and address IN THE MATTER OF (2)……………………………………. of applicant. you are hereby notified that your application for (2)Here insert the (3)………………………. Has been accepted on the following reference No. conditions1: of the application. (a)………………………………………………………………. Here insert type (b)………………………………………………………………. of application. (c)………………………………………………………………. (d)………………………………………………………………. Dated this………………………… day of ……… 20………. …………………………………………. Director of Mining Cadastre Notes: 1. Condition may be attached on a separate sheet, if necessary. Form X (Regulation 16, 23(2),24)) REPUBLIC OF ZAMBIA The Mines and Minerals Development Act, 2015 (Act No. 11 of 2015) The Mines and Minerals Development (General) Regulations, 2016 2016 NOTICE OF REJECTION OF APPLICATION (1) Here insert the full To (1). …………………………………………………………. names and address ………………………………………………………………… of applicant. IN THE MATTER OF (2) ………………………… you (2) Here insert the reference are hereby notified that your application for (3) …………….. No. of the application has been rejected on the following grounds: (3) Here insert type of (a)………………………………………………………….... application (b)…………………………………………………………… (c)…………………………………………………………… (d)…………………………………………………………… Dated this ……………………………. Day of ……… 20…. ……………………………………………………………….. (Signature of Minister/Director of Mining Cadastre/Director of Geological Survey/Director of Mines Safety/Director of Mines)* Note* - Delete whichever is not applicable Form XI (Regulation 18(1)) (To be completed in triplicate) REPUBLIC OF ZAMBIA The Mines and Minerals Development Act, 2015 (Act No. 11 of 2015) The Mines and Minerals Development (General) Regulations, 2016 APPLICATION TO AMEND A MINING RIGHT OR MINERAL PROCESSING LICENCE Shaded fields Certificate Code for official use only Date and Time Information Information Provided  Required 1. Type of Mining Right and Licence No. 2. Holder 3. Expiry date 4. (a) Name(s) of applicant(s) (b) Type of Individual Company Co- Partnership applicant operative 5. (a) Date of Birth (dd/mm/yyyy) (b) Nationality (c) Identity Card (NRC No.) or Passport No. (attach copies) 6. Applicant’s Address (a) Tel: (b) Fax: (c) E-mail: 7. (a) Company Registration No. (Attach copies of certificate) (b) Shareholders Shareholder Shares held Nationality NRC/Passport No. (attach copies) (c) Directors Director Shares held Nationality NRC/Passport No. (d) Company Name Nationality Chief Executive Officer (e) Company Name Nationality Secretary 8. Proposed amendment (a) (b) (c) (d) (e) (f) 9. Appendices Appendix No. 1 Justification for proposed amendments Appendix No. 2 Record for company board meeting and resolutions Appendix No. 3 Commitment plan to review the environmental management plan Application Fee ................................................ ............................................................. Applicant Date ............................................... ............................................................ Officer Date FOR OFFICIAL USE ONLY Received by: ............................................................... Officer OFFICAL STAMP Amount Received: ..................................................... Serial No. of Application: ......................................... Form XII (Regulation 19) (To be completed in triplicate) REPUBLIC OF ZAMBIA The Mines and Minerals Development Act, 2015 (Act No. 11 of 2015) The Mines and Minerals Development (General) Regulations, 2016 NOTICE OF CHANGE IN PARTICULARS Licence No.: ………………………………….. Holder: …………………………………. Notice is hereby given that the following particulars have changed: Current Details as Registered Details of Particular Change 1. Business Name: 1. Business Name: ………………………………………… …………………………………………… ……… ………… ………………………………………… …………………………………………… ……… ………… 2. Business Address or Telephone 2. Business Address or Telephone Numbers: Numbers: ………………………………………… …………………………………………… ……….. …….. ………………………………………… …………………………………………… ……….. …….. 3. Change in Directors: 3. Change in Directors: ………………………………………… …………………………………………… ……….. …….. ………………………………………… …………………………………………… ……….. …….. I …………………………………………………… do hereby certify that the information shown above is true and correct. Signature: …………………………….. Designation: ………………………….. Date: ………………………………….. Form XIII (Regulation 21 (2) and (3)) (To be completed in triplicate) REPUBLIC OF ZAMBIA The Mines and Minerals Development Act, 2015 (Act No. 11 of 2015) The Mines and Minerals Development (General) Regulations, 2016 APPLICATION FOR RENEWAL OF A MINING RIGHT Shaded fields for Certificate Code official use only Date and Time Information Required Information Provided  1. Mining Right or Licence No. 2. Minerals 3. Renewal period 4. (a) Name(s) of applicant(s) (b) Type of Individual Company Co- Partnership applicant operative 5. (a) Date of Birth (dd/mm/yyyy) (b) Nationality (c) Identity Card (NRC No.) or Passport No. (attach copies) 6. Applicant’s Address (a) Tel: (b) Fax: (c) E-mail: 7. (a) Company Registration No. (Attach copies of certificate) (b) Shareholders Shareholder Shares held Nationality NRC/Passport No. (attach copies) (c) Directors Director Shares held Nationality NRC/Passport No. (d) Company Name Nationality Chief Executive Officer (e) Company Name Nationality Secretary 8. Current Mining Mining Right or Location Area (km2) Rights held in Licence (Type & Zambia, if any, by Licence No.) applicant (a) (a) (a) (b) (b) (b) (c) (c) (c) (d) (d) (d) (e) (e) (e) (f) (f) (f) 9. Previously held Mining Right or Location Area (km2) mining rights in Licence (Type & Zambia, if any, by Licence No.) applicant (a) (a) (a) (b) (b) (b) (c) (c) (c) (d) (d) (d) (e) (e) (e) (f) (f) (f) 10 Currently held Mining Right or Location Area (km2) . mining rights or Licence (Type & licences in Licence No.) Zambia, if any, by (a) (a) (a) subsidiary (b) (b) (b) companies (c) (c) (c) (d) (d) (d) (e) (e) (e) (f) (f) (f) 11 Currently held Mining Right or Location Area (km2) . mining rights or Licence (Type & licences in other Licence No.) countries by (a) (a) (a) applicant (b) (b) (b) (c) (c) (c) (d) (d) (d) (e) (e) (e) (f) (f) (f) 12 Have you been convicted of an offence involving fraud or dishonesty or of an . offence under the Mines and Minerals Development Act, No. 11 of 2015 or any other law within or outside Zambia? If yes specify details: ........................................................................................................... Nature of offence: ........................................................................................................... Date of Conviction: .................................................................................................... Sentence: .................................................................................................................. 13 Have you ever applied for a mining right or licence in Zambia? If yes, please give . details: ................................................................................................................................... . .................. ................................................................................................................................... . ................. Mining right or licence Location Area km2 Date of applied for application 14 Area applied for renewal(all coordinates in exact multiples of 6 seconds, . latitude/longitude format, Degree-Minute-Second format, Arc 1950) (a) Location Province District Locality (b) Size (in Sq. Km) * Exploration licence area- compulsory relinquishment of at least 50% of original area * Large-scale Mining licence area- not exceeding 250km2 *Small-scale mining licence area- not exceeding 4km2 * Artisan’s mining right area- not exceeding 0.0668km2 (c) Coordinates Latitude (S) Longitude (E) D D M M S S D D M M S S Corner 1 Corner 2 Corner 3 Corner 4 Corner 5 Corner 6 Corner 7 Corner 8 Corner 9 15 Appendices . (a) Exploration Appendix No.1 Report on execution of approved programme of exploration operations including results in digital format on work done Appendix No. 2 Approved Environmental Project Brief Appendix No. 3 Proposed programme of exploration operations for renewal period (should include an indication of the investment commitments) Appendix No. 4 Proposals for employment and training of citizens of Zambia. Appendix No. 5 Proposals for promotion of local business development Appendix No. 6 Tax clearance certificate Appendix No. 7 Any further information which the Mining Licencing Committee may require (b) Large-Scale Mining Appendix No. 1 Report on execution of approved programme of mining operations Appendix No. 2 A latest statement of proved, estimated and inferred mineral deposits in the area over which licence is sought (should include details of all known minerals proved, estimated or inferred, ore resources and mining conditions, expected change in mining activities and estimated life of a mine) Appendix No. 3 Proposed programme for exploration and mining operations (should include a forecast of capital investment, the estimated recovery rate of ore and mineral products, and the proposed treatment and disposal of ore and minerals recovered) Appendix No. 4 Approved Environmental Management Plan Appendix No. 5 Details of expected infrastructure requirements Appendix No. 6 Proposals for employment and training of citizens of Zambia Appendix No. 7 Proposals for promotion of local business development Appendix No. 8 Tax clearance certificate issued under Income Tax Act (Cap. 323) Appendix No. 9 Plan of proposed mining area during renewal period Appendix No. 10 Execution report of plan for cutting, polishing and faceting of gemstones in Zambia during previous tenure; and plan for cutting, polishing and faceting gemstones in Zambia during renewal period Appendix No. 11 Any further information which the Mining Licencing Committee may require (c) Small-Scale Mining Appendix No. 1 Report on the development of mining area during previous tenure Appendix No. 2 Proposed programme of mining operations (should include forecast of investment, estimated recovery rate of ore and applicants proposal for treatment and disposal of ore) Appendix No. 3 Description of the mineral deposit in area over which licence renewal is sought Appendix No. 4 Statement of duration for which licence is sought (should not exceed ten years) Appendix No. 5 Tax clearance certificate Appendix No. 6 Approved Environmental Management Plan Appendix No. 7 Any further which the Mining Licencing Committee may require (d) Artisanal Mining (by citizens of Zambia) Appendix No. 1 Report on the development of mining area during previous tenure Appendix No. 2 Approved Environmental Management Plan Appendix No. 3 Programme of intended mining operations (should include proposals for the proper conservation and use of mineral resources in mining area, in national interest (e) Radioactive Minerals- In addition to requirements at (b) above Appendix No. 1 Plan and description of mine, processing facilities and proposed disposal sites Appendix No. 2 Copy of licence issued under the Ionizing Radiation Protection Act, No. 16 of 2005 Appendix No. 3 Programme to educate persons in the vicinity of the mine or plant on safety, health and the environment in relation to radiation Appendix No. 4 Programme to assist authorities outside the mining area in planning and preparing to limit adverse effects of radiation Appendix No. 5 Proposed programme for selecting, using and maintenance of personal protective equipment Appendix No. 6 Proposed training programme for workers in relation to radiation safety Appendix No. 7 Proposed ventilation and dust control methods and associated equipment Appendix No. 8 Proposed security measures during mining, processing, storage, transportation (including measures to alert the holder of acts of sabotage Appendix No. 9 Storage, transportation and marketing arrangements in conformity with the Nuclear Non- Proliferation Treaty (NPT) Appendix No. 10 Any further information which the Director may require Application Fee ................................................... .................................................... Applicant Date ................................................... .................................................... Officer Date FOR OFFICIAL USE ONLY Received by: ......................................................................... Officer OFFICAL STAMP Amount Received: ............................................................... Serial No. of Application: .................................................... Form XIV (Regulation 21(4)) (To be completed in triplicate REPUBLIC OF ZAMBIA The Mines and Minerals Development Act, 2015 (Act No. 11 of 2015) The Mines and Minerals Development (General) Regulations, 2016 APPLICATION FOR RENEWAL OF A MINERAL PROCESSING LICENCE Shaded fields for Certificate Code official use only Date and Time Information Information Provided  Required 1. Licence No. 2. Minerals 3. Renewal period 4. (a) Name(s) of applicant(s) (b) Type of Individual Company Co- Partnership applicant operative 5. (a) Date of Birth (dd/mm/yyyy) (b) Nationality (c) Identity card (NRC No.) or Passport No.- Attach copies 6. Applicant’s Address (a) Tel: (b) Fax: (c) E-mail: 7. (a) Company Registration No. (Attach copies of certificate of registration issued under the Companies Act) (b) Shareholders Shareholder Shares held Nationality NRC/Passport No. (attach copies) (c) Directors Director Shares held Nationality NRC/Passport No. (d) Company Name Nationality Chief Executive Officer (e) Company Name Nationality Secretary 8. Current Mining Mining Right or Location Area (km2) Rights or Licence (Type & licences in Licence No.) Zambia, if any, (a) (a) (a) by applicant (b) (b) (b) (c) (c) (c) (d) (d) (d) (e) (e) (e) (f) (f) (f) 9. Previously held Mining Right or Location Area (km2) mining rights or Licence (Type & licences in Licence No.) Zambia, if any, (a) (a) (a) by applicant (b) (b) (b) (c) (c) (c) (d) (d) (d) (e) (e) (e) (f) (f) (f) 10. Currently held Mining Right or Location Area (km2) mining rights or Licence (Type & licences in Licence No.) Zambia, if any, (a) (a) (a) by applicant (b) (b) (b) (c) (c) (c) (d) (d) (d) (e) (e) (e) (f) (f) (f) 11. Currently held Mining Right or Location Area (km2) mining rights or Licence (Type & licences in other Licence No.) countries by (a) (a) (a) applicant (b) (b) (b) (c) (c) (c) (d) (d) (d) (e) (e) (e) (f) (f) (f) 12. Have you been convicted of an offence involving fraud or dishonesty or of an offence under the Mines and Minerals Development Act, No. 11 of 2015 or any other law within or outside Zambia? If yes, specify details: ................................................................................................................. Nature of offence: ................................................................................................................ Date of Conviction: .......................................................................................................... Sentence: .............................................................................................................. 13. Have you ever applied for a mining right or licence in Zambia, if yes please give details: ................................................................................................................................... ................... ................................................................................................................................. ................... Mining right or Location Area km2 Date of licence applied for application 14. Area applied for renewal (all coordinates in exact multiples of 6 seconds, latitude/longitude format, Degree-Minute-Second format, Arc 1950) (a) Location Province District Locality (b) Coordinates Latitudes (S) Longitudes (E) D D M M S S D D M M S S Corner 1 Corner 2 Corner 3 Corner 4 Corner 5 Corner 6 Corner 7 Corner 8 Corner 9 Corner 10 Corner 11 Corner 12 14. Appendices Appendix No. 1 Description and plan of surrounding developments Appendix No. 2 Proposed programme for mineral processing operations for renewal period (should include a forecast of capital investment, proposed plant capacity, the estimated recovery rate of mineral products, and the proposed treatment methods and disposal methods and disposal of ore and minerals recovered) Appendix No. 3 Report on execution of Environmental Management Plan (in accordance with the requirements of the Environmental Management Act No. 12 of 2011) Appendix No. 4 Details of expected infrastructure requirements during renewal period Appendix No. 5 Proposals for employment and training of citizens of Zambia during renewal period Appendix No. 6 Tax clearance certificate (issued under Income Tax Act (Cap 323) Appendix No. 7 Any further information which the Director of Mining Cadastre may require Application Fee .......................................................... ..................................................... Applicant Date ........................................................ ......................................................... Officer Date FOR OFFICIAL USE ONLY Received by: .............................................................. Officer OFFICAL STAMP Amount Received: ....................................................... Serial No. of Application: ............................................ Form XV (Regulation 26 (1)) (To be completed in triplicate) REPUBLIC OF ZAMBIA The Mines and Minerals Development Act, 2015 (Act No. 11 of 2015) The Mines and Mineral Development (General) Regulations, 2016 APPLICATION TO ALTER AREA UNDER A MINING RIGHT Shaded fields Certificate Code for official use Date and Time only Information Required Information Provided  1. Mining right or licence No. 2. Reasons for alteration (attach additional sheet if necessary) 3. (a) Name(s) of applicant(s) (b) Type of Individ Company Co- Partnershi applicant ual operative p 4. (a) Date of Birth (dd/mm/yyyy) (b) Nationality (c) Identity Card (NRC No.) or Passport No. (attach copies) 5. Applicant’s Address (a) Tel: (b) Fax: (c) E-mail: 6. (a) Company Registration No. (Attach copies of certificate of registration issued under the Companies Act) (b) Company Name Nationality Secretary 7. Mineral(s) 8. (a) Have you been convicted of an offence involving fraud or dishonesty or of an offence under the Mines and Minerals Development Act, No. 11 of 2015 or any other law within or outside Zambia? If yes, specify details: ......................................................................................................................... Nature of offence: .............................................................................................................................. Date of Conviction: ............................................................................................................................ Sentence: .................................................................................................................................... ......... (b) Have you been declared bankrupt, or if a company, have you been in liquidation? If yes, specify details: .................................................................................................................... .................................................................................................................................... .................... 9. Area applied for (all coordinates in exact multiples of 6 seconds, latitude/longitude format, Degree-Minute-Second format, Arc 1950) (a) Location Province District Locality (b) Size of current area (in Sq. km) (c) Latitudes (S) Longitudes (E) Coordinates D D M M S S D D M M S S Corner 1 Corner 2 Corner 3 Corner 4 Corner 5 Corner 6 Corner 7 Corner 8 Corner 9 Corner 10 Corner 11 Corner 12 (d) Area proposed for alteration (in Sq.km) (a) Coordina tes of altered Latitudes (S) Longitudes (E) area D D M M S S D D M M S S Corner 1 Corner 2 Corner 3 Corner 4 Corner 5 Corner 6 Corner 7 Corner 8 Corner 9 Corner 10 Corner 11 Corner 12 10 Appendices (Adjust proposals, plans, programs in accordance with proposed area . alteration) (a) Large-Scale Exploration Appendix No. 1 Approved Environmental management plan (should include proposals for prevention of pollution, treatment of waste, protection and reclamation of land and water resources and for eliminating or minimising adverse effects on the environment) Appendix No. 2 Proposed programme of exploration operations (should include an indication of the investment commitment) Appendix No. 3 Proposals for employment and training of citizens of Zambia. Appendix No. 4 Proposals for promotion of local business development. Appendix No. 5 Tax clearance certificate issued under Income Tax Act (Cap. 323) Appendix No. 6 Any further information which the Mining Licencing Committee may require. (b) Large-Scale Mining Appendix No. 1 A comprehensive statement of the mineral deposits in the area over which the licence is sought (should include details of all known minerals proved, estimated or inferred, ore resources and mining conditions) Appendix No. 2 Proposed programme for (*prospecting) and mining operations (should include a forecast of capital investment, the estimated recovery rate of ore and mineral products, and the proposed treatment and disposal of ore and minerals recovered) Appendix No. 3 Approved Environmental Management Plan Appendix No. 4 Details of expected infrastructure requirements Appendix No. 5 Proposals for employment and training of citizens of Zambia Appendix No. 6 Proposals for promotion of local business development Appendix No. 7 Tax clearance certificate (issued under Income Tax Act (Cap. 323) Appendix No. 8 Plan of proposed mining area Appendix No. 9 Any further information which the Mining Licencing Committee may require (d) Small-Scale Mining Appendix No. 1 Proposed programme of mining operations (should include forecast of capital investment, the estimated recovery rate of ore and mineral products, and the proposed treatment and disposal of ore and minerals recovered) Appendix No. 2 Description of the mineral deposit in area over which the licence is sought Appendix No. 3 Statement of duration for which licence is sought (should not exceed ten years) Appendix No. 4 Tax clearance certificate issued under Income Tax Act (Cap. 323) Appendix No. 5 Approved Environmental Management plan (Should include proposals for prevention of pollution, treatment of waste, protection and reclamation of land and water resources and for eliminating or minimising adverse effects on the environment Appendix No. 6 Any further information which the Mining Licencing Committee may require (e) Artisanal Mining Appendix No. 1 Approved Environmental Management Plan (should include proposals for prevention of pollution, treatment of waste, protection and reclamation of land and water resources and for eliminating or minimising adverse effects on the environment) Appendix No. 2 Programme of intended mining operations (should include proposals for the proper conservation and use of mineral resources in mining area, in the national interest) Application Fee .................................................................... ................................................. Applicant Date .................................................................... ................................................ Officer Date FOR OFFICIAL USE ONLY Received by: ............................................................ Officer OFFICAL STAMP Amount Received: .................................................. Serial No. of Application: ................................................. Form XVI (Regulation 29(1)) (To be completed in triplicate) REPUBLIC OF ZAMBIA The Mines and Minerals Development Act, 2015 (Act No. 11 of 2015) The Mines and Minerals Development (General) Regulations, 2016 APPLICATION FOR CONSENT TO TRAMSFER A MINING RIGHT, MINERAL PROCESSING LICENCE, OR REGISTER TRANSFER OF SHARES IN, OR TRANSFER CONTROL OF, COMPANY HOLDING MINING RIGHT OR MINERAL PROCESSING LICENCE Shaded fields for Certificate Code official use only Date and Time Information Information provided Required 1. Mining Right or Licence No. 2. Current Holder 3. Name of proposed assignee 4. (a) Name(s) of applicant(s) Individual Company Co- Partnership (b) Type of operative applicant 5. (a) Date of Birth (dd/mm/yyyy) (b) Nationality (c) Identity Card (NRC No.) or Passport No. (attach copies) 6. Applicant’s Address (a) Tel: (b) Fax: (c) E-mail: 7. (a) Company Registration no. (Attach copies of certificate of registration issued under the Companies Act, Cap 388) (b) Current Shareholder Shares held Nationality NRC/Passport shareholders No. (attach (Attach copies copies) of certificate of registration issued under the Companies Act, Cap. 388) (c) Directors Director Shares held Nationality NRC/Passport No. (d) Company Name Nationality Chief Executive Officer (e) Company Name Nationality Secretary 8. Appendices Appendix No. 1 Minutes of company board meeting Appendix No. 2 Resolution of the company’s board meeting Appendix No. 3 Reasons for transferring or assigning mining right, mineral processing licence, share or shares or control of company which holds a mining right or mineral processing licence Appendix No. 4 Application form for a mining right completed by proposed assignee Appendix No. 5 Tax clearance certificate by holder of mining right or mineral processing licence Application Fee .............................................................. .......................................... Applicant Date ............................................................. ............................................ Officer Date FOR OFFICIAL USE ONLY Received by: ............................................................. Officer OFFICAL STAMP Amount Received: .................................................... Serial No. of Application: ............................................. Form XVII (Regulation 31) (To be completed in triplicate) REPUBLIC OF ZAMBIA The Mines and Minerals Development Act, 2015 (Act No. 11 of 2015) The Mines and Minerals Development (General) Regulations, 2016 APPLICATION FOR ABANDONMENT CERTIFICATE Shaded fields for Certificate Code official use only Date and Time Information Information Provided  Required 1. Mining right or Licence No. 2. Minerals 3. (a) Proposed abandonment date (b) Name(s) of applicant(s) Individual Company Co- Partnership operative (c) Type of applicant 4. (a) Date of Birth (dd/mm/yyyy) (b) Nationality (c) Identity Card (NRC No. or Passport No.)- attach copies 5. Applicant’s Address (a) Tel: (b) Fax: (c) E-mail: 6. (a) Company Registration No. (Attach copies of certificate of registration issued under the Companies Act.) (b) Shareholder Shares held Nationality NRC/Passport Shareholders No. (attach copies) (c) Directors Director Shares held Nationality NRC/Passport No. (d) Company Name Nationality Chief Executive Officer (e) Company Name Nationality Secretary 7. Area applied for abandonment (all coordinates in exact multiples of 6 seconds, latitude/longitude format, Degree-Minute-Second format, Arc 1950) (a) Location Province District Locality (b) Original size (in Sq. km) (c) Proposed abandonment area (in Sq. km) (d) Proposed date of abandonment (e) Latitude (S) Longitude (E) Coordinates D D M M S S D D M M S S Corner 1 Corner 2 Corner 3 Corner 4 Corner 5 Corner 6 Corner 7 Corner 8 Corner 9 Corner 10 Corner 11 Corner 12 15. Appendices Appendix No. 1 Board Resolution Report on execution of Appendix No. 2 programme of operations A copy of Closure Certificate granted Appendix No. 3 by Director Mines Safety The receipt of Appendix No. 4 payment of the application fees Company Appendix No. 5 registration details Application Fee .............................................................. ............................................ Applicant Date ............................................................. ............................................. Officer Date FOR OFFICIAL USE ONLY Received by: ............................................................ Officer OFFICAL STAMP Amount Received: ............................................. Serial No. of Application: ..................................................... Form XVIII (Regulation 17(1)) REPUBLIC OF ZAMBIA The Mines and Minerals Development Act, 2015 (Act No. 11 of 2015) The Mines and Minerals Development (General) Regulations, 2016 LICENCE NO……………. EXPLORATION LICENCE (Section 23 of the Mines and Minerals Development Act, No. 11 of 2015) Holder’s name ………………………………………………………………………………… Address ……………………………………………………………………………………….. The Exploration area shall be the area described in the Schedule and annexed hereto and bordered ………………………………………………………………………..on the Plan . The licence relates to the following minerals …………………………………………………. ………………………………………………………………………………………………….. The licence relates to the following level of operation………………………………………… ………………………………………………………………………………………………….. The licence is granted for a period of ………………………. Commencing on the ………… Day of ………………………………20………………. The conditions of grant of the licence are as shown in the Annexures attached hereto. Issued at …………………………………. this ………………………….. day of …………... …………………………………………….. Director of Mining Cadastre Form XIX (Regulation 17(1)) REPUBLIC OF ZAMBIA The Mines and Minerals Development Act, 2015 (Act No. 11 of 2015) The Mines and Minerals Development (General) Regulations, 2016 LICENCE NO……………. EXPLORATION LICENCE (Section 32 of the Mines and Minerals Development Act, No. 11 of 2015) Holder’s name ………………………………………………………………………………… Address ……………………………………………………………………………………….. The mining areas shall be the area described in the Schedule and annexed hereto and bordered ……………………………………………………………………..on the Plan. The licence relates to the following minerals …………………………………………………. ………………………………………………………………………………………………….. The licence relates to the following level of operation………………………………………… ………………………………………………………………………………………………….. The licence is granted for a period of ………………………. commencing on the ………… day of ………………………………20………………. The conditions of grant of the licence are as shown in the Annexures attached hereto. Issued at ………………………………….. this ………………………….. day of …………... …………………………………………….. Director of Mining Cadastre ENDORSEMENT OF REGISTRATION This Mining Licence has this …………………. day of ………………………. 20………….. Been registered in the Register. …………………………………………….. Director of Mining Cadastre Renewals and Amendments Date of Renewal or Details of Renewal Date of Signature of Amendment or Amendment Registration and Director Registration No. Form XX (Regulation 17(1)) REPUBLIC OF ZAMBIA The Mines and Minerals Development Act, 2015 (Act No. 11 of 2015) The Mines and Minerals Development (General) Regulations, 2016 LICENCE NO……………. MINERAL PROCESSING LICENCE (Section 40 of the Mines and Minerals Development Act, No. 11 of 2015) Holder’s name ………………………………………………………………………………… Address ……………………………………………………………………………………….. The mineral processing area shall be the area described in the Schedule and annexed hereto and bordered ..…………………………………………………………………..on the Plan. The licence relates to the following minerals …………………………………………………. ………………………………………………………………………………………………….. The licence is granted for a period of ……………………………commencing on the……… Day of …………………………….. 20……….. The conditions of grant of the licence are as shown in the Annexures attached hereto. Issued at ………………………………….. this ………………………….. day of …………... …………………………………………….. Director of Mining Cadastre ENDORSEMENT OF REGISTRATION This Mineral Processing Licence has this…………………. day of …………………20…. been registered in the Register. …………………………………………….. Director of Mining Cadastre Renewals and Amendments Date of Renewal or Details of Renewal Date of Signature of Amendment or Amendment Registration and Director Registration No. Form XXI (Regulation 17(2)) REPUBLIC OF ZAMBIA The Mines and Minerals Development Act, 2015 (Act No. 11 of 2015) The Mines and Minerals Development (General) Regulations, 2016 PERMIT No……………. MINERAL TRADING PERMIT (Section 45 (2) of the Mines and Minerals Development Act, No. 11 of 2015) Name of Holder ……………………………………………………………………………… Address ……………………………………………………………………………………….. The permit relates to the following class of minerals ................................................................ …………………………………………………………………………………………………. The permit relates to the following minerals ............................................................................. …………………………………………………………………………………………………. The certificate is valid for a period of one year commencing on the ………………………… day of …………………………….. 20……….. The conditions of grant of the certificate are as shown in the Annexures attached hereto. Issued at ………………………………….. this ………………………….. day of …………... …………………………………………….. Director of Mining Cadastre ENDORSEMENT OF REGISTRATION This Mineral Trading Permit has this…………………. day of …………………20…. been registered in the Register. …………………………………………….. Director of Mines Form XXII (Regulation 17(2)) REPUBLIC OF ZAMBIA The Mines and Minerals Development Act, 2015 (Act No. 11 of 2015) The Mines and Minerals Development (General) Regulations, 2016 GOLD PANNING CERTIFICATE (Section 42 of the Mines and Minerals Development Act, No. 11 of 2015) Holder’s name ……………………………………………………………………………… Address ……………………………………………………………………………………….. The panning areas shall be the area described in the Schedule and annexed hereto and bordered ....................................................................................................... on the Plan …………………………………………………………………………………………………. The certificate relates to the following minerals Gold Panning operations only. The certificate is granted for a period of …………….. commencing on the …………….. day of …………………………20…………….. The conditions of grant of the right are as shown in the Annexures attached hereto. Issued at ………………………………….. this ………………………….. day of …………... …………………………………………….. Director of Mines ENDORSEMENT OF REGISTRATION The Gold Panning Certificate has this…………………. day of …………………20…. been registered in the Register. …………………………………………….. Director of Mines Form XXIII (Regulation 17(2)) REPUBLIC OF ZAMBIA The Mines and Minerals Development Act, 2015 (Act No. 11 of 2015) The Mines and Minerals Development (General) Regulations, 2016 PERMIT No……………. MINERAL IMPORT PERMIT (Section 47 of the Mines and Minerals Development Act, No. 11 of 2015) Importer’s name ……………………………………………………………………………… Address ……………………………………………………………………………………….. The permit relates to the following minerals or mineral products (or as per attached schedule) ................................................................................................................................... …………………………………………………………………………………………………. valued at ............................................................................................ and being imported from: …………………………………………………………………………………………………. …………………………………………………………………………………………………. The permit is granted for a period of …………commencing on the ………….………… day of …………………….. 20……….. The conditions of grant of the permit are as shown in the Annexures attached hereto. Issued at ………………………………….. this ………………………….. day of …………... …………………………………………….. Director of Mines ENDORSEMENT OF REGISTRATION This Mineral Import Permit has this……………….……. day of ……………………20…. been registered in the Register. …………………………………………….. Director of Mines Form XXIV (Regulation 17(2)) REPUBLIC OF ZAMBIA The Mines and Minerals Development Act, 2015 (Act No. 11 of 2015) PERMIT No……………. MINERAL IMPORT PERMIT (Section 47 of the Mines and Minerals Development Act, No. 11 of 2015) Exporter’s name ……………………………………………………………………………… Address ……………………………………………………………………………………….. The permit relates to the following minerals or mineral products (or as per attached schedule) ................................................................................................................................... …………………………………………………………………………………………………. valued at ................................................................................................. and being exported to …………………………………………………………………………………………………. …………………………………………………………………………………………………. The permit is granted for a period of …………commencing on the ………….………… day of …………………….. 20……….. and is valid for ……………………………………. Shipments. The conditions of grant of the permit are as shown in the Annexures attached hereto. Issued at ………………………………….. this ………………………….. day of …………... …………………………………………….. Director of Mines ENDORSEMENT OF REGISTRATION This Mineral Export Permit has this……………….……. day of ……………………20…. been registered in the Register. …………………………………………….. Director of Mines Form XXV (Regulation 17(2)) REPUBLIC OF ZAMBIA The Mines and Minerals Development Act, 2015 (Act No. 11 of 2015) The Mines and Minerals Development (General) Regulations, 2016 AUTHORISATION NO……………. AUTHORISATION TO ACQUIRE/STORE/TRANSPORT/SELL/IMPORT/EXPORT* RADIOACTIVE MINERALS (Section 50 of the Mines and Minerals Development Act, No. 11 of 2015) Name of Authorisation holder ……………………………………………………………….. Address ……………………………………………………………………………………….. Radiation Protection Authority Licence No……………………………………………………. …………………………………………………………………………………………………. The authorization relates to the following minerals or minerals products …………………………………………………………………………………………………. valued at ............................................................................................ and being procured from: …………………………………………………………………………………………………. …………………………………………………………………………………………………. The authorisation is granted for a period of ……………………….………commencing on the ………….………… day of …………and is valid for ………………………………..……….. Shipment for the purpose of …………………………………………………………………… The conditions of grant of the authorization are as shown in the Annexures attached hereto. Issued at ………………………………….. this ………………………….. day of …………... …………………………………………….. Minister ENDORSEMENT OF REGISTRATION This authorisation has this……………….……. day of ……………………20………….. been registered in the Register. …………………………………………….. Minister *Delete whichever is not applicable Form XXVI (Regulation 17(2)) REPUBLIC OF ZAMBIA The Mines and Minerals Development Act, 2015 (Act No. 11 of 2015) The Mines and Minerals Development (General) Regulations, 2016 CERTIFICATE NO……………. MINERAL ANALYSIS CERTIFICATE (Section 51 of the Mines and Minerals Development Act, No. 11 of 2015) Client’s name ……………………………………..…………………………………………… Mining Right or Licence No. (where applicable) …………..………………………………….. Address ....................................................................................................................................... The certificate relates to minerals or mineral products analysed as follows (or as per attached schedule) PARAMETERS Item No. Description Analytical Method 1. 2. 3. 4. 5. 6. The conditions of grant of the certificate are as shown in the Annexures attached hereto. ANALYSED BY: NAME: ……………..………..………VERIFIED BY: NAME: ………… POST: …………………………………………. POST: …………………………… SIGNATURE: …………………………… SIGNATURE: …………………… DATE: ………………………………………… DATE: …………………………… Issued at …………………………………. this …………………………. day of …………... …………………………………………….. Director of Geological Survey ENDORSEMENT OF REGISTRATION This Mineral Analysis Certificate has this ……………………. day of ………………20…. Been registered in the Register. …………………………………………….. Director of Geological Survey Form XXVII (Regulation 17(2)) REPUBLIC OF ZAMBIA The Mines and Minerals Development Act, 2015 (Act No. 11 of 2015) The Mines and Minerals Development (General) Regulations, 2016 CERTIFICATE NO……………. VALUATION CERTIFICATE (Section 51 of the Mines and Minerals Development Act, No. 11 of 2015) Name: ……………………………………..…………………………………………… Permit/ Licence No. (where applicable) …………..………………………………….. Address ....................................................................................................................................... The certificate relates to minerals or mineral products analysed as follows (or as per attached schedule) NAME OF DESCRIPTI GRADE QUANTIT COLOUR UNITVAL TOTAL MINERA ON Y UE L TOTAL WT: TOTAL US$: The conditions of grant of the certificate are as shown in the Annexures attached hereto. EXAMINED BY: NAME:……………..………..………VERIFIED BY: NAME:……… POST: …………………………………………. POST:……………………………… SIGNATURE:………………………………… SIGNATURE:……………………… DATE:………………………………………… DATE:……………………………… Issued at ………………………………….. this ………………………….. day of …………... …………………………………………….. Director of Geological Survey ENDORSEMENT OF REGISTRATION This Valuation Certifate has this ……………………. day of ………………20 ………..been registered in the Register. …………………………………………….. Director of Geological Survey Form XXVIII (Regulation 32) REPUBLIC OF ZAMBIA The Mines and Minerals Development Act, 2015 (Act No. 11 of 2015) CERTIFICATE NO……………. CERTIFICATE OF ABANDONMENT (Section 70 of the Mines and Minerals Development Act, No. 11 of 2015) Holder’s name ……………………………………………………………………………… Address ……………………………………………………………………………………….. The abandoned area shall be the area described in the Schedule and annexed hereto and bordered ……………………………………………………………………………………….. on the Plan. The area abandoned was in respect of the following minerals ………………………………. The abandonment certificate takes effect commencing on the ………….………… day of …………………….. 20……….. and I hereby impose the attached conditions of abandonment. Issued at ………………………………….. this ………………………….. day of …………... …………………………………………….. Director of Mining Cadastre ENDORSEMENT OF REGISTRATION This Certificate of Abandonment has this……………….……. day of …………………20…. been registered in the Register. …………………………………………….. Director of Mining Cadastre Form XXIX (Regulation 58(3)) REPUBLIC OF ZAMBIA The Mines and Minerals Development Act, 2015 (Act No. 11 of 2015) The Mines and Minerals Development (General) Regulations, 2016 PEGGING CERTIFICATE Side Distance Angles of CO-ORIDNATES SYSTEM: Geographical Coordinates (Metres Direction System (deg, min, Point Latitude Longitudes Diagram sec) No. Approved By: Sign: ……….. Date: ….…… Scale: 1:500000 SPACE FOR DIAGRAM FIGURE: …………………….. REPRESENTS ……………………… KILOMETRES SQUARED OF LAND FOR ………………………………………………SITUATED IN .............................. DISTRICTSOF ……………………………………………PROVINCE OF ZAMBIA. SURVEYOR: …………………………………………. DATE: ……………………… SIGN: …………….. EXAMINER: …………………………………… SIGN: ……………………………… LICENCE NO: BEACONS DESCRIPTION: Form XXX (Regulation 30) REPUBLIC OF ZAMBIA The Mines and Minerals Development Act, 2015 (Act No. 11 of 2015) The Mines and Minerals Development (General) Regulations, 2016 CONSENT TO ASSIGN/TRANSFER A MINING RIGHT OR MINERAL PROCESSING LICENCE (1)Here insert To (1) ………………………….…………………………………... the full names IN THE MATTER OF (2) …………………………………….. you are and address hereby notified that your application for (3) …………………….. has of applicant been accepted on the following *conditions: (2)Here insert the reference (a) ……………………………………………………………………… No. of the (b) ……………………………………………………………………… application (c) ……………………………………………………………………… (d) ……………………………………………………………………… (3)Here insert Dated this ……………………………….. Day of ……….... 20…… type of application ………………………………………………. Minister *Conditions may be attached on a separate sheet, if necessary Form XXXI (Regulation 20) (To be completed in triplicate) REPUBLIC OF ZAMBIA The Mines and Minerals Development Act, 2015 (Act No. 11 of 2015) The Mines and Minerals Development (General) Regulations, 2016 MONTHLY SALES RETURN Name of Holder ……………………………… Month: ……………………. 20 ……….. Address: ……………………………………… Permit No.: …………………………….. MINERAL SALES AND EXPORTS Date Name Name Weight Local Remarks of of (G/K/G/T) Sales Mineral Buyer (K) Exports Valuation Valued Country of Sale Certificate by Destination Price No. (US$) TOTAL I, …………………………………………… do hereby sincerely declare that the information given above is true and correct; and I make this certificate conscientiously believing the same to be true. Signature: ……………………………………………….. To be submitted to: Director of Mines (2 copies) Form XXXII (Regulation 20) (To be completed in triplicate) REPUBLIC OF ZAMBIA The Mines and Minerals Development Act, 2015 (Act No. 11 of 2015) The Mines and Minerals Development (General) Regulations, 2016 MONTHLY PURCHASES RETURN MINERAL PURCHASES AND IMPORTS Date Type of Mine Name Weight Local Remarks Mineral own of (G/KG/ Sales produc- Seller T) (K) Imports tion Valued Country Sale by of Origin Price (US$) TOTAL I, …………………………………………… do hereby sincerely declare that the information given above is true and correct; and I make this certificate conscientiously believing the same to be true. Signature: ……………………………………………….. To be submitted to: Director of Mines (2 copies) Form XXXIII (Regulation 50(1)) (To be completed in triplicate) REPUBLIC OF ZAMBIA The Mines and Minerals Development Act, 2015 (Act No. 11 of 2015) The Mines and Minerals Development (General) Regulations, 2016 MINERAL PRODUCTION RETURN-NON-METALS Name of Mine: …………………………………… Licence No.: …………………………… Name of Holder: …………………………………. Month: …………………………………. Ore Treated (a) Marketable Products Obtained Waste Ore Tonnes Source Percent Name Quantity Percent Remarks Raised Raised Metal/ of (a) Metal/x (c) (a) (b) Mineral Metal/ Mineral Mineral (a) Unless otherwise stated all quantities are in tonnes (b) Underground, opencast, stockpiles old dumps, etc. (c) Please indicate briefly the reasons for significant changes in production I, …………………………………………… do hereby certify that the information given above is true and correct; and I make this certificate conscientiously believing the same to be true. Signature: ……………………………………………….. (Manager) To be submitted to: Director of Mines (2 copies) Director of Mines Safety (1 copy) (Reverse of Form XXXIII) CHANGES IN STOCK DURING THE MONTH MONTH: ……………………………………… 20 ………………….. Kind of Stocks at Additions to Disposal from Stocks at end of products beginning of stocks during stocks during month (a) month (a) month (a) month (a) TOTAL NOTES: (a) Unless otherwise stated, all quantities are in grams for gemstones production and in tonnes for other minerals. Form XXXIV (Regulation 50(1)) (To be completed in triplicate) REPUBLIC OF ZAMBIA The Mines and Minerals Development Act, 2015 (Act No. 11 of 2015) The Mines and Minerals Development (General) Regulations, 2016 MINERAL PRODUCTION RETURN-METALS Name of Mine: …………………………………… Licence No.: …………………………… Name of Holder: …………………………………. Month: …………………………………. Quantit Metal/Min Metal/Min Metal/Min Other ies eral Grade eral eral Metal/Min (%) Content Recovery eral (1) (%) contained (%,g/t) Undergroun Waste raised d Mining Ore raised Open Pit Waste raised Mining Ore raised Concentrato Ore treated r1 Retreatment of Dumps Concentrate Produced Concentrato Ore treated r1 Retreatment of Dumps Concentrate Produced Marketing Conc. of Stockpiled Concentrate Conc. s Despatched to 2 Conc. Despatched to 2 Conc. Despatched to 2 Conc. Despatched to 2 Conc. Exported Other Total Origin of Own Products Concentrate Smelted Conc. Purchased from 3 Conc. Purchased from 3 Conc. Purchased from 3 Conc. Purchased from 3 Other local purchases Total Smelter Feed Smelter and Intermediary Refinery product 1 Products Intermediary product 2 Slags Rejected Final Marketable Product Total Metal/Mineral from own production Total Metal/Mineral from local purchases Total Metal/Mineral from Imports 1 Insert the name of the concentrator 2 Insert the name of the smelter where concentrates are dispatched 3 Insert the name of the mine where concentrates were produced (a) Unless otherwise stated all quantities are in tonnes (b) Underground, opencast, stockpiles old dumps, etc. (c) Please indicate briefly the reasons for significant changes in production I, …………………………………………… do hereby certify that the information given above is true and correct; and I make this certificate conscientiously believing the same to be true. Signature: ……………………………………………….. (Manager) To be submitted to: Director of Mines (2 copies) Director of Mines Safety (1 copy) (Reverse of Form XXXIV) CHANGES IN STOCK DURING THE MONTH MONTH: ……………………………………… 20 ………………….. Kind of Stocks at Additions to Disposal from Stocks at end of products beginning of stocks during stocks during month (a) month (a) month (a) month (a) TOTAL NOTES: (a) Unless otherwise stated, all quantities are in grams for gemstones production and in tonnes for other minerals. Form XXXV (Regulation 56) (To be completed in triplicate) REPUBLIC OF ZAMBIA The Mines and Minerals Development Act, 2015 (Act No. 11 of 2015) The Mines and Minerals Development (General) Regulations, 2016 NOTICE OF APPEAL IN THE MATTER OF…………………………………………………………………………. (Application reference and matter of appeal) hereby give notice of appeal against the decision of the Director of Mines/Director of Mining Cadastre/Director of Mines Safety/Director of Geological Survey/Mining Licensing Committee due to the following reasons: (a) ……………………………………………………………………………………….. (b) ……………………………………………………………………………………….. (c) ……………………………………………………………………………………….. (d) ……………………………………………………………………………………….. Dated this ………………………….. day of ……………………………. 20………………. ……………………………………………………… Signature of Appellant

SECOND SCHEDULE (Regulations 7(1), 8(1), 8(2), 8(4), 9, 10, 11, 15, (3), 18(1) and 57) PRESCRIBED FEES, AREA CHARGES AND MAXIMUM AREAS FEES TYPE OF MINING RIGHT OR APPLICATION FEE UNITS (1) Exploration Licence (a) Small-scale 3000 (b) Large-scale 10000 (2) Mining Licence (a) Artisanal 3000 (b) Small-scale 15000 (c) Large-scale 160000 (3) Exploration Licence (a) Small-scale 15000 (b) Large-scale 160000 (4) Transferring of Mining Licence (a) Small-scale 15000 (b) Large-scale 160000 (5) Alteration of Exploration Licence (a) Small-scale 2500 (b) Large-scale 3000 (6) Alteration of Mining Licence (a) Artisinal 500 (b) Small-scale 2500 (c) Large-scale 3000 NON-MINING RIGHTS/OTHER CATEGORIES LICENCE, CERTIFICATE OR PERMIT FEE UNITS Mineral Processing Licence 160000 Renewal of Mineral Processing Licence 160000 Transfer of Mineral Processing Licence 160000 Alteration of Mineral Processing Licence 3000 Mineral Trading Permit 7000 Renewal of Mineral Trading Permit 7000 Gold panning certificate 500 Mineral Import Permit 3500 Mineral Export Permit 750 Application for consent to acquire, store, 3500 transport or export radioactive minerals Mineral Analysis Certificate 750 Valuation Certificate 1000 Inspection of documents 2000 Replacement of licence, permit or certificate 3000 AREA CHARGES (FEE UNITS) TYPE OF LICENCE Year Year Year Year 11 1-4 5-7 8 - 10 and later years where applicable Exploration Licence (per hectare per year) (a) Small-scale 2 5 - (b) Large-scale 4 12 16 Mining Licence (per hectare per year) (a) Artisanal Mining 14 14 14 14 (b) Small-scale mining 28 28 28 28 (c) Large-scale mining 56 56 56 56 Mineral Processing Licence (per hectare per 56 56 56 56 year) Excess exploration ground 22 22 22 22 PRESCRIBED MAXIMUM AREAS TYPE OF MINING RIGHT OR LICENCE MAXIMUM AREA Square Hectares Cadastre Kilometers units Exploration Licence (a) Small-scale 10 1000 3000 (b) Large-scale 2000 200000 59880 Mining Licence (a) Artisanal 0.0668 6.68 2 (b) Small-scale 4 400 120 (c) Large-scale 250 25000 7485 MINIMUM ANNUAL EXPLORATION EXPENDITURE PER HECTARE Type of Fee Units per hectare per year licence Year Year Year Year Year Year Year Year Year Year 1 2 3 4 5 6 7 8 9 10 Exploration 40 40 40 40 120 120 120 160 160 160 licence

THIRD SCHEDULE (Regulation 17(3)) CONDITIONS OF LICENCES, CERTIFICATES, PERMITS AND AUTHORISATIONS A. CONDITIONS OF GRANT OF A MINING LICENCE –LARGE-SCALE MINING 1. The holder shall- (a) develop the mining area in accordance with the approved programme of mining operations; (b) execute the environment management plan; (c) implement the local business development programme (d) employ and train Zambians in accordance with the approved program; (e) demarcate the mining area and keep it demarcated; (f) pay mineral royalty in accordance with the Mines and Minerals Development Act, No. 11 of 2015 and the Income Tax Act, Cap. 323; (g) maintain at the holder’s office complete and accurate technical and financial records of the mining operations; (h) permit authorized officers, at any time, to inspect all records, mining and mineral processing operations; (i) submit statutory reports and any other information concerning the mining or mineral processing operations; (j) submit a copy of the annual audited financial statements within three months of the end of each financial year; (k) submit reports on external supplies ;of ore, concentrates, tailings, slimes or any other mineral fed to the plant; (l) provide current information on recovery from ores, mineral products, production costs and sales; (m) conduct operations only upon meeting the requirements of the Environment Management Act No. 12 of 2011; (n) contribute to the Environmental Protection Fund as required under the Mines and Minerals Development Act, 2015; (o) obtain appropriate insurance for all phases of the mining operations; (p) give preference to Zambia products and services; (q) submit a Pegging Certificate for approval within one hundred and eighty days of grant of licence; and (r) comply with the provisions of the Mines and Minerals Development Act, No.11 of 2015 and other relevant laws of Zambia. 2. Illegal mining and trade is not permitted in the licensed area. 3. The holder shall not enter into an agreement or transfer of the licence without the prior consent of the Minister. 4. The holder shall be liable for harm or damage caused by the mining or mineral processing operations and shall compensate a person to whom harm or damage is caused. 5. The holder shall not exercise a right under the licence without the prior consent of the legal occupiers of the land or local chiefs. 6. Other terms and conditions are as follows: ………………………………………………………………………………………… ………………………………………………………………………………………… ………………………………………………………………………………………… ……………………………………………………… B. CONDITIONS OF GRANT OF AN EXPLORATION LICENCE – LARGE- SCALE EXPLORATION 1. The holder shall- (a) pay the relevant taxes under the Income Tax Act, Cap.323; (b) promote local business development; (c) execute the environmental management plan (d) employ and train Zambians; (e) execute the programme of prospecting; (f) commence the exploration operations within one hundred and eighty days of grant of the licence; (g) give notification of any discovered minerals or commercial deposits within thirty days of the discovery; (h) give preference to Zambian products and services; (i) permanently preserve or make safe any water boreholes and surrender water rights on expiry of licence; (j) surrender to Government the drill cores and other mineral samples; (k) remove, within sixty days of the expiry, cancellation or termination of the exploration licence, any camp, temporary buildings or machinery and repair or make good any damage as required under the Mines and Minerals Development Act, No. 11 of 2015; (l) keep and preserve such records as the Minister may prescribe in relation to the environment; (m) submit reports to the Director of Geological Survey, Director of Mines and Director of Mines Safety in both hard and electronic copies; (n) keep full and accurate records of the prospecting operations, at the holder’s office; (o) obtain appropriate insurance for all phases of its operations; (p) submit a Pegging Certificate for approval within one hundred and eighty days of grant of the licence; and (q) comply with the provisions of the Mines and Minerals Development Act, No. 11 of 2015 and other relevant laws of Zambia. 2. The holder shall- (a) expend on exploration operations each year, not less than the minimum annual exploration expenditure set out in the Second Schedule, failing which the holder commits an offence and is liable, on conviction, to a fine- (i) equal to the difference between the minimum annual exploration expenditure and the amount actually expended on exploration operations in that year, if less than five hundred thousand penalty units; or (ii) of five hundred thousand penalty units if the difference between the minimum annual exploration operations in that year exceeds the equivalent of five hundred thousand penalty units; and (b) submit annual exploration expenditure statements accompanied by copies of relevant transaction documents to the Director of Geological Survey. 3. The holder shall be liable for harm or damage caused by the exploration operations and shall compensate a person to whom harm or damage is caused. 4. The holder shall not exercise a right under the licence without the prior consent of the legal occupiers of the land or local chiefs. 5. Other terms and conditions are as follows: ………………………………………………………………………………………… ………………………………………………………………………………………… ………………………………………………………………………………………… ……………………………………………………… C. CONDITIONS OF GRANT OF AN EXPLORATION LICENCE – SMALL- SCALE EXPLORATION 1. The holder shall- (a) pay the relevant taxes under the Income Tax Act, Cap. 323; (b) execute the Environmental Project Brief (c) execute the programme of prospecting operations; (d) commence the prospecting operations within one hundred and eighty days of the grant; (e) give notification of discovered minerals or commercial deposits within thirty days of discover; (f) give preference to Zambian products and services; (g) permanently preserve or make safe any water boreholes and water rights on expiry of the licence; (h) surrender to Government, without compensation, drill cores and other mineral samples; (i) remove, within sixty days of expiry or termination of the exploration licence, any camp, temporary buildings or machinery, and repair or make good any damage as specified by the Director of Geological Survey; (j) keep and preserve such records as the Minister may prescribe in relation to the environment; (k) submit reports to the Director of Geological Survey, Director of Mines or Director of Mines Safety in both hard and electronic copies; (l) keep full and accurate records, at the holder’s office, of the prospecting operations; (m) obtain appropriate insurance for phases of its operations; (n) submit a Pegging Certificate for approval within one hundred and eighty days of grant of permit; and (o) comply with the provisions of the Mines and Minerals Development Act. No. 11 of 2015 and other relevant laws of Zambia. 2. The holder shall be liable for harm or damage caused by the prospecting operations and shall compensate a person to whom harm or damage is caused. 3. The holder shall not exercise a right under the licence without the prior consent of the legal occupiers of the land or local chiefs. 4. Other terms and conditions are as follows: ………………………………………………………………………………………… ………………………………………………………………………………………… ………………………………………………………………………………………… ……………………………………………………… D. CONDITIONS OF GRANT OF INING LICENCE – SMALL-SCALE MINING 1. A holder shall- (a) develop the mining area in accordance with the approved programme of mining operation; (b) execute the environmental management plan; (c) demarcate the mining area and keep it demarcated; (d) pay mineral royalty in accordance with the Mines and Minerals Development Act, No. 11 of 2015 and the Income Tax Act, Cap. 323; (e) maintain at the holder’s office, complete and accurate technical and financial records of mining operations; (f) permit authorized officers, at any time, to inspect all records, mining or mineral processing operations; (g) submit statutory reports, records and other information concerning mining operations; (h) submit copies of annual audited financial statements within three months of the end of each financial year; (i) submit reports on external suppliers of ore, concentrates, tailings slimes or other mineral fed to the plant; (j) provide current information on recovery from ores, mineral products, production costs and sales; (k) conduct operations only upon meeting the requirements under the Environmental Management Act, No. 12 of 2011; (l) contribute to the Environmental Protection Fund as required under the Mines and Minerals Development Act, No. 11 of 2015; (m) obtain appropriate insurance for phases of its operations; (n) submit a Pegging Certificate for approval within one hundred and eighty days of grant of licence; and (o) comply with the provisions of the Mines and Minerals Development Act, 2015 and other relevant laws of Zambia. 2. Illegal mining and trade are not permitted in the mining area. 3. The holder shall not enter into an agreement or transfer of licence without the prior consent of the Minister. 4. The holder shall be liable for harm or damage caused by the mineral processing or mining operations and shall compensate a person to whom harm or damage is caused. 5. The holder shall not exercise a right under the licence without the prior consent of the legal occupiers of the land or local chiefs. 6. Other items and conditions are as follows: ………………………………………………………………………………………… ………………………………………………………………………………………… ………………………………………………………………………………………… ……………………………………………………….. E. CONDITIONS OF GRANT OF A MINERAL PROCESSING LICENCE 1. The holder shall- (a) pay taxes under the Income Tax Act, Cap. 323; (b) pay mineral royalty; (c) commence operations within three years of the grant; (d) execute the approved programme of mineral processing operations; (e) expend not less than the approved amount on mineral processing operations; (f) submit reports on source of ore, concentrates, tailing, slimes or other mineral fed to the plant; (g) submit statutory reports and other information concerning the operation; (h) execute the environmental management plan; (i) provide current information on recovery from ores, mineral products, production costs and sales; (j) conduct operations only upon meeting the requirements of the Environmental Management Act, No. 12 of 2011; (k) contribute to the Environmental Protection Fund as required under the Mines and Minerals Development Act, No. 11 of 2015; (l) obtain appropriate insurance for all phases of its operations; (m) submit a Pegging Certificate for approval within one hundred and eighty days of grant licence; and (n) comply with the provisions of the Mines and Minerals Development Act, No. 11 of 2015 and other relevant laws of Zambia. 2. The holder shall not enter into an agreement or transfer the licence without the prior consent of the Minister. 3. The holder shall be liable for harm or damage caused by the mineral processing operations and shall compensate a person to whom harm or damage is caused. 4. The holder shall not exercise a right under the licence without the prior consent of the legal occupiers of the land or local chiefs. 5. Other terms and conditions are as follows: ………………………………………………………………………………………… ………………………………………………………………………………………… ………………………………………………………………………………………… ……………………………………………………… F. CONDITIONS OF GRANT OF MINING LICENCE – ARTISANAL MINING 1. The holder shall- (a) Submit statutory reports and other information concerning the operation; (b) Pay mineral royalty and other charges in accordance with the Mines and Minerals Development Act, No. 11 of 2015; (c) Execute the environmental project brief; (d) Maintain production and financial records at the holder’s office; (e) Provide current information on recovery from ores, mineral products, production, costs and sales; (f) Conduct operations only upon meeting the requirements of the Environmental Management Act, No. 12 of 2011; (g) Contribute to the Environmental Protection Fund as required under the Mines and Minerals Development Act, No. 11 of 2015; (h) Submit a Pegging Certificate for approval within one hundred and eighty days of grant of the right; and (i) Comply with the provisions of the Mines and Minerals Development Act, 2015 and other relevant laws of Zambia. 2. The holder shall be liable for harm or damage caused by the mineral processing operations and shall compensate a person to whom harm or damage is caused. 3. The holder shall not exercise a right under the licence without the prior consent of the legal occupiers of the land or local chiefs. 4. Other terms and conditions are as follows: ………………………………………………………………………………………… ………………………………………………………………………………………… ………………………………………………………………………………………… ………………………………………………………. G. CONDITIONS OF A MINERAL TRADING PERMIT 1. A Mineral Trading Permit is not transferable. 2. A holder shall submit monthly purchases and sales returns with the names and addresses of the sellers and purchasers. 3. A holder shall at all times make the records available for inspection by an authorized officer. 4. The holder shall comply with the provisions of the Mines and Minerals Development Act, no. 11 of 2015 and other relevant laws of Zambia. 5. The other terms and conditions are as follows: ………………………………………………………………………………………… ………………………………………………………………………………………… ………………………………………………………………………………………… ……………………………………………………… H. CONDITIONS OF GRANT OF A MINERAL EXPORT PERMIT 1. A mineral export permit is not transferable. 2. A mineral export permit shall not be applicable to radioactive minerals. 3. The holder shall comply with the provisions of the Mines and Minerals Development Act, No. 11 of 2015 and other relevant laws of Zambia 4. The other terms and conditions are as follows: ………………………………………………………………………………………… ………………………………………………………………………………………… ………………………………………………………………………………………… ……………………………………………………… I. CONDITIONS OF GRANT OF A MINERAL IMPORT PERMIT 1. A mineral import permit is not transferable. 2. A mineral import permit shall not be applicable to radioactive minerals. 3. The holder shall comply with the provisions of the Mines and Minerals Development Act, No. 11 of 2015 and other relevant laws of Zambia. 4. The other terms and conditions are as follows: .......................................................................................................................................... .......................................................................................................................................... .......................................................................................................................................... .................................................................................... J. CONDITIONS OF GRANT OF AUTHORISATION TO ACQUIRE/STORE/ TRANSPORT/SELL/IMPORT/EXPORT RADIOACTIVE MINERALS 1. The holder shall not transfer the permit. 2. The permit holder shall comply with the requirements of the Ionizing Radiation Protection Act, No. 16 of 2005. 3. The acquisition, storage, transportation, sale or export of radioactive minerals or concentrates shall be done in accordance with the Mines and Minerals Development (Prospecting, Mining and Milling of Uranium Ores and Other Radioactive Minerals) Regulations, 2008. 4. The holder shall comply with the provisions of the Mines and Minerals Development Act, No. 11 of 2015 and other relevant laws of Zambia. 5. The other terms and conditions are as follows: ………………………………………………………………………………………… ………………………………………………………………………………………… ………………………………………………………………………………………… ………………………………………………………. K. CONDITIONS OF GRANT OF AN ABANDONMENT CERTIFICATE 1. The abandonment does not relive the person granted the abandonment certificate of obligations or liabilities incurred before the grant. 2. The abandonment certificate is not transferable to another person or mining right area held by the person granted the abandonment certificate. 3. The holder shall comply with the provisions of the Mines and Minerals Development Act, No. 11 of 2015 and other relevant laws of Zambia. 4. The other terms and conditions are as follows: ………………………………………………………………………………………… ………………………………………………………………………………………… ………………………………………………………………………………………… ……………………………………………………… L. CONDITIONS OF GRANT OF A MINERAL ANALYSIS CERTIFICATE 1. The mineral analysis certificate is granted in respect of the mineral commodity analysed and shall not be transferrable to another consignment or person. 2. The certificate shall be admissible in assessment of mineral royalty. 3. The holder shall comply with the provisions of the Mines and Minerals Development Act, No. 11 of 2015 and other relevant laws of Zambia. 4. The other terms and conditions are as follows: ………………………………………………………………………………………… ………………………………………………………………………………………… ………………………………………………………………………………………… ………………………………………………………. M. CONDITIONS OF GRANT OF A MINERAL VALUATION CERTIFICATE 1. The mineral valuation certificate is granted in respect of the mineral commodity analysed and shall not be transferrable to another consignment or person. 2. The certificate shall be admissible in the assessment of mineral royalty. 3. The holder shall comply with the provisions of the Mines and Minerals Development Act, No. 11 of 2015 and other relevant laws of Zambia. 4. The other terms and conditions are as follows: ………………………………………………………………………………………… ………………………………………………………………………………………… ………………………………………………………………………………………… ……………………………………………………… N. CONDITIONS OF GRANT OF GOLD PANNING CERTIFICATE 1. The holder shall- (a) submit labour and mineral production returns; (b) pay mineral royalty and other charges in accordance with the Mines and Minerals Development Act, 2015; (c) execute the environmental project brief; (d) maintain production and financial records at the holder’s office; (e) provide current information on recovery from ores, mineral products, production costs and sales; (f) conduct operations only upon meeting the requirements of the Environmental Management Act, No. 12 of 2011; (g) not use chemicals in the processing of Gold; and (h) comply with the provisions of the Mines and Minerals Development Act, 2015 and other relevant laws of Zambia. 2. The holder shall be liable for harm or damage caused by the mineral processing operations and shall compensate a person to whom harm or damage is caused. 3. The holder shall not exercise a right under the certificate without the prior consent of the legal occupiers of the land or local chiefs. 4. Other terms and conditions are as follows: ………………………………………………………………………………………… ………………………………………………………………………………………… ………………………………………………………………………………………… ……………………………………………………… C. YALUMA, Minister of Mines and Mineral Development LUSAKA 18th January 2016 [MMMD.111/3/6 CONF]