DEALINGS IN MINERALS REGULATIONS,

Transcription

1 MINISTRY OF MINING DEALINGS IN MINERALS REGULATIONS, 2016 Intrductin MEMORANDUM This regulatin is t give effect t sectin 223(1) f the Mining Act in s far as it relates t dealings in minerals. Essentially, it is t prvide fr the scpe (applicatin f these regulatins), prcedures t be fllwed by a persn wh requires a licence r permit t deal in a mineral, the qualificatins, the varius frms that are required t accmpany an applicatin, the terms and cnditins, renewal, revcatin and the reprting requirements by the hlder f the licence r permit as the case may be. The scpe r applicatin f these regulatins is largely infrmed by the definitins f a mineral dealer and mineral dealings in the interpretatin sectin f the Mining Act and als sectins 158(1), 164, 171(1) and 172 f the Act. The regulatins shall nt apply t the imprt and exprt f rugh diamnds. This is because any dealing in diamnds which includes the shipment (imprt and exprt f rugh diamnds int r frm Kenya) has t be gverned by the Kimberley Prcess Certificatin Scheme. In any case, sectin 171(4) cvers this smewhat, albeit in relatin t exprts. Currently, there is n diamnd dealer s licence that has been issued under Cap 306 althugh there are number f applicatins pending at the Ministry f Mining. A separate regulatin will be written t deal with dealings in diamnds under the Kimberley Prcess. In summary, these regulatins are t apply t the fllwing dealings in minerals: (a) the exprt by a hlder f a mining licence, mining permit and artisanal mining permit ; (b) the remval f minerals by a hlder f a mineral right fr the purpses f sampling, assay r analysis; (c) the buying and selling f any mineral in Kenya r exprt by a persn ther than a hlder f a mineral right: (d) the imprt f any mineral; and (e) any ther persn wh is nt a hlder f a mineral right, dealers licences and permits but requires the remval f minerals fr analysis r testing fr purpses ther than explratin r mining. The regulatins cver the fllwing specific licences r permits as the case may be: Page 1

2 (a) Mineral dealer s licence; (b) Mineral dealer s permit; (c) Exprt permit; and (d) Imprt permit Table f Cntents/Arrangement f Regulatins 1. Citatin 2. Interpretatin 3. Applicatin f Regulatins 4. Applicatins fr Dealings in Minerals 5. Purpse f a Mineral Dealer s Licence 6. Frm f a Mineral Dealer s Licence 7. Term f Mineral Dealer s Licence 8. Applicatin fr Mineral Dealer s Licence 9. Rights and Obligatins f a Hlder f Mineral Dealer s Licence 10. Renewal f a Mineral Dealer s Licence 11. Purpse f a Mineral Dealer s Permit 12. Qualificatin fr a grant f a Mineral Dealer s Permit 13. Frm f a Mineral Dealer s Permit 14. Term f a Mineral Dealer s Permit 15. Applicatin fr Mineral Dealer s Permit 16. Rights and Obligatins f a Hlder f a Mineral Dealer s Permit 17. Renewal f a Mineral Dealer s Permit 18. Exprt f Minerals 19. Qualificatins fr the grant f an Exprt Permit 20. Applicatin fr an Exprt Permit 21. Frm f an Exprt Permit 22. Recrds and Reprting Requirements 23. Imprt f Minerals 24. Sale f Minerals by Hlders f Artisanal Mining Permits 25. Recrds and Reprting Requirements 26. Mineral Samples Page 2

3 27. Savings and Transitinal Prvisins Frms Page 3

4 IN EXERCISE f the pwers cnferred by Sectins 223(1) and 223(2)() f the Mining Act, 2016, the Cabinet Secretary fr Mining makes the fllwing Regulatins: DEALINGS IN MINERALS REGULATIONS, Citatin These Regulatins may be cited as the Dealings in Minerals Regulatins, Interpretatin In these Regulatins, unless the cntext therwise requires:- Cabinet Secretary means the Cabinet Secretary fr the time being respnsible fr matters relating t mining; cmplete shall include cmpleted and: (a) in reference t an applicatin, means that all the infrmatin required by the nline mining cadastre and nt bviusly errneus, and all required dcuments submitted and nt bviusly spurius have been submitted; r (b) in reference t a reprt, means that the cntents f the reprt meet the criteria f the Mining Act r any regulatins r guidelines made thereunder. mineral has the meaning assigned t it in the Mining Act; mineral dealer has the meaning assigned t it in the Mining Act; mineral dealer s licence means a licence granted in accrdance with the Mining Act and the regulatins made thereunder which authrises the hlder t carry ut mineral dealings; mineral dealer s permit means means a permit granted in accrdance with the Mining Act and the regulatins made thereunder which authrises the hlder t carry ut mineral dealings; Mining Act means the Mining Act, 2016; Ministry means the Ministry fr the time being respnsible fr matters relating t mining in Kenya; mining right means an artisanal mining permit, mining permit r mining licence; nline mining cadastre means the nline interactive, digital system fr administering the prvisins f the Act and these Regulatins in relatin t the rights and bligatins f Licence and Permit hlders. Page 4

5 3. Applicatin f Regulatins (1) Except therwise prvided fr in the Mining Act and under these regulatins, a persn shall nt deal in minerals unless the persn hlds a licence r permit granted by the Cabinet Secretary fr that purpse. (2) Withut limiting the generality f sub regulatin (1), these regulatins shall apply t: (a) exprt f a mineral by a hlder f a mining licence, mining permit and artisanal mining permit; (b) the remval f minerals by a hlder f a mineral right fr the purpses f sampling, assay r analysis; (c) dealer s licence r permit; (d) the imprt f any mineral; and (e) any ther persn wh is nt a hlder f a mineral right, dealer s licence r permit but requires the remval f minerals fr analysis r testing fr purpses ther than explratin r mining. (3) These regulatins shall nt apply t the exprt and imprt f rugh diamnds. 4. Applicatins fr Dealings in Minerals (1) An applicatin fr, r a renewal f, any licence r permit t deal in minerals shall be submitted thrugh the nline mining cadastre. (2) An applicatin shall be deemed cmplete nly if all infrmatin required in the relevant applicatin frm, including any required attachments in digital frmat, is submitted. An applicatin that has been accepted as cmplete may be subsequently deemed incmplete if deficiencies in cntent are fund. (3) It is the applicant s respnsibility t ensure that all dcumentatin is crrect and cmplete accrding t the Mining Act and any regulatins r guidelines that may be made thereunder. (4) It is similarly the applicant s respnsibility t maintain a valid address fr fficial cmmunicatins with the Mining Cadastre Office and t advise immediately if this is changed. (5) The applicant cmpletes an nline applicatin frm, attaches and uplads all mandatry dcuments against a checklist prvided. (6) The payment f the nn-refundable fee shall be an acknwledgement and undertaking by the applicant that the applicatin has been cmpleted truthfully t the best f his r her knwledge and that he r she wishes t register the applicatin. (7) The submissin f any dcument r the making f any statement which the applicant knws t be false r spurius shall render the applicatin null and vid. Where it emerges at a later stage that a false statement was made during the applicatin, the resultant licence r permit shall be immediately revked and the date f revcatin recrded in the relevant Register. (8) An applicant, having submitted and had registered an applicatin fr grant r renewal f a licence r permit fr a dealing in a mineral, may withdraw the applicatin nline. Regardless f the reasn, the applicatin fee is nt refundable. N additinal fee is payable fr withdrawing an applicatin. Page 5

6 (9) An applicatin, nce registered, shall be recrded in the register f Dealings in Minerals and published n the Ministry website. 5. Mineral Dealer s Licence A mineral dealer s licence grants a qualifying persn the right t buy, sell a mineral and exprt a mineral. 6. Frm f a Mineral Dealer s Licence (1) A mineral dealer s licence shall be issued digitally tgether with a paper cpy using Frm L-10 [Mineral Dealer s Licence] (2) A mineral dealer s licence shall specify and have appended t it, by the Mining Cadastre Office: (a) the name, natinality and address f the licence hlder; (b) the mineral r minerals in respect f which the licence is granted; (c) the type f mineral dealings t be carried ut; (d) the persn r persns the hlder can buy frm r sell t; (e) the term f the licence; and (f) ther such dcuments as apprpriate r ther special cnditins r bligatins that may apply. 7. Term f Mineral Dealer s Licence A mineral dealer s licence shall be issued fr a year and shall expire n the thirty-first (31 st ) day f December f the year in which it is issued. 8. Applicatin fr Mineral Dealer s Licence (1) Pursuant t sectin 160(1) f the Act, an applicatin fr the grant f a mineral dealer s licence shall be made t the Cabinet Secretary using Errr! Reference surce nt fund., and shall be submitted thrugh the nline mining cadastre. (2) The applicatin shall include r have appended the fllwing: (a) the full name, natinality and cntact and physical address f the applicant; (b) in the case f a cmpany: (i) memrandum f assciatin; and (ii) articles f assciatin; (c) the name f the mineral r minerals fr which the licence is sught; (d) a certified r signed statement r frmal letter f intent frm a bank r any financial institutin f the funds available t the applicant; (e) a descriptin f the knwledge r experience f the applicant in relatin t any previus dealings in minerals; and (f) any ther infrmatin that may be requested. (3) The Cabinet Secretary shall, unless delay ccurs because f a request fr further infrmatin frm an applicant r a delay is caused by the applicant, make a decisin and ntify the applicant f the decisin n the applicatin within thirty (30) days f receipt f a cmplete Page 6

7 applicatin, and where the applicatin is apprved the licence shall be issued in the manner as specified in sub-regulatin (2) f this regulatin. (4) A mineral dealer s licence shall be granted nly fr minerals in the same grup r classificatin as specified in the First Schedule f the Mining Act. 9. Rights and Obligatins f a hlder a Mineral Dealer s Licence (1) Subject t the Mining Act and the Regulatins made thereunder, a mineral dealer s licence cnfers n the hlder the right t deal in the mineral r minerals t which the licence relates and t cnduct ther ancillary r incidental activity attached t the licence. (2) Fr the purpses f exercising the right cnferred under sub regulatin (1), the hlder may appint agents t carry ut any activity authrised by the licence n his r her behalf. (3) Any agent appinted by the hlder shall be cmmunicated t the Ministry and the hlder shall be held liable fr all acts r activities dne r carried ut by the agent under the licence. (4) All agents appinted by a hlder shall be issued with an identity card which shall be carried by the agent in the perfrmance f any activity t which the licence relates. (5) The hlder f a mineral dealer s licence shall: (a) cmmence r engage in mineral dealings in accrdance with the terms and cnditins f the licence within thirty (30) days after the date f the issue f the licence r at any time specified by the Cabinet Secretary; (b) nt deal in any mineral ther than the mineral r minerals specified in the licence; (c) nt deal in minerals except in accrdance with the terms and cnditins set ut in the licence; (d) nt engage in mineral dealings permitted under the licence with a persn wh has nt acquired the minerals lawfully r is therwise nt lawfully entitled t deal in minerals; (e) pay all taxes, charges r levies that are required under the terms and cnditins f the licence, the Mining Act r any ther written law in Kenya; (f) keep cmplete and accurate recrds f all activities cnducted under the licence at the registered ffice and submit a true cpy t the Cabinet Secretary in the manner as may be requested and permit an authrised fficer f the Ministry t inspect the any dcuments r recrds; (g) submit if any, a sales cntract r agreement the hlder may sign with a buyer, seller r hlder f a mineral right; and (h) Nthing in this regulatin shall preclude a persn frm dispsing f persnal jewellery, gld cins and mineral artifacts r a dealer frm buying frm such a persn. 10. Renewal f a Mineral Dealer s Licence (1) A hlder f a mineral dealer s licence wh wishes t renew the licence shall, nt later than the thirtieth (30 th ) day f Nvember f the licence year, apply fr a renewal f the term f the licence using Frm A-29 [Applicatin t Renew Mineral dealer s Licence]. Page 7

8 (2) Where an applicatin fr a renewal f the term f the licence is made under sub-regulatin (1) and the applicant has materially cmplied with the bligatins impsed by the Mining Act and these regulatins with respect t: (a) the hlding f the licence; and (b) the activities required t be cnducted under the preceding term f the licence, the Cabinet Secretary shall renew the term f the licence. (3)The term f any renewal shall be granted by the Cabinet Secretary fr a year and shall expire n the thirty-first (31 st ) day December f the year in which it is issued. (4) Where the Cabinet Secretary has rejected an applicatin fr a mineral dealer s licence r a renewal theref, the affected applicant may apply t the High Curt within thirty (30) days frm the date f ntice f the decisin. (5) Where the hlder f a mineral dealer s licence has applied fr the renewal f the licence in accrdance with sub-regulatin (1) but the applicatin is nt determined befre the expiry f the term f the licence, the licence shall cntinue in frce until the applicatin is determined. 11. Mineral Dealer s Permit (1) A mineral dealer s permit grants a qualifying persn the right t buy and sell a mineral r minerals in Kenya. (2) A hlder f a mineral dealer s permit shall nt exprt any mineral. 12. Qualificatins fr grant f a Mineral Dealer s Permit (1) A persn shall nt be qualified t apply fr r hld a mineral dealer s permit unless: (a) the persn is a citizen f Kenya; r (b) in a case f a bdy crprate, sixty (60) per cent f the sharehlding is held by citizens f Kenya. 13. Frm f a Mineral Dealer s Permit (1) A mineral dealer s permit shall be issued digitally tgether with a paper cpy using Frm L-11 [Mineral Dealer s Permit] (2) A mineral dealer s permit shall specify and have appended t it, by the Mining Cadastre Office: (a) the name, natinality and address f the permit hlder; (b) the mineral r minerals in respect f which the licence is valid; (c) the type f mineral dealings t be carried ut; (d) the persn r persns the hlder can buy frm r sell t; (e) the term f the licence; and (f) ther such dcuments as apprpriate r ther special cnditins r bligatins that may apply. 14. Term f Mineral Dealer s Permit A mineral dealer s permit shall be issued fr a year and shall expire n the thirty first (31 st ) day f December f the year in which it is issued. Page 8

9 15. Applicatin fr Mineral Dealer s Permit (1) Pursuant t sectin 164(2) f the Mining Act, an applicatin fr the grant f a mineral dealer s permit shall be made t the Cabinet Secretary using Errr! Reference surce nt fund., and shall be submitted thrugh the nline mining cadastre. (2) The applicatin shall include r have appended the fllwing: (a) the full name, natinality, cntact and physical address f the applicant; (b) in the case f a cmpany: (i) memrandum f assciatin; (ii) articles f assciatin; and (c) the name f the mineral r minerals fr which the permit is sught; and (d) any ther infrmatin that may be requested. (3) The Cabinet Secretary shall, unless delay ccurs because f a request fr further infrmatin frm an applicant, make a decisin and ntify the applicant f the decisin n the applicatin within thirty (30) days f the receipt f a cmplete applicatin and where the applicatin is apprved, the permit shall be issued in the manner as specified in regulatin 13(1) f these regulatins. (4) Pursuant t the First Schedule f the Mining Act, a mineral dealer s permit shall be granted nly fr minerals in the same grup r classificatin. 16. Rights and Obligatins f a Hlder a Mineral Dealer s Permit (1) Subject t the Mining Act and the Regulatins made under this Act, a mineral dealer s permit cnfers n the hlder the right t deal in the mineral t which the permit relates and t cnduct ther ancillary r incidental activity attached t the permit. (2) The hlder f a mineral dealer s permit shall: (a) cmmence r engage in mineral dealings in accrdance with the terms and cnditins f the licence within thirty (30) days after the date f the issue f the permit r at any time specified by the Cabinet Secretary; (b) nt deal in any mineral ther than the mineral r minerals specified in the permit; (c) nt deal in minerals except in accrdance with the terms and cnditins set ut in the permit; (d) nt engage in mineral dealings permitted under the permit with a persn wh has nt acquired the minerals lawfully r is therwise nt lawfully entitled t deal in minerals; (e) pay all taxes, charges r levies that are required under the terms and cnditins f the permit, the Mining Act r any ther written law in Kenya; (f) keep cmplete and accurate recrds f all activities cnducted under the permit at the registered ffice and submit a true cpy t the Cabinet Secretary in the manner as may be requested and permit an authrised fficer f the Ministry at any reasnable time t inspect the dcuments and recrds; and Page 9

10 (g) submit any marketing r sales cntract r agreement the hlder may sign with a buyer, seller r hlder f a mineral right. 17. Renewal f a Mineral Dealer s Permit (1) A hlder f a mineral dealer s permit wh wishes t renew the permit shall, nt later than the thirtieth (30 th ) day f Nvember f the permit year, apply fr a renewal f the permit using Frm A-30 [Applicatin t Renew Mineral dealer s Permit]. (2) Where an applicatin fr a renewal f the term f the permit is made under subregulatin (1) and the applicant has materially cmplied with the bligatins impsed by the Mining Act and these regulatins with respect t: (a) the hlding f the permit; and (b) the activities required t be cnducted under the preceding term f the permit; the Cabinet Secretary shall renew the term f the permit. (3) The term f any renewal shall be granted by the Cabinet Secretary fr a year and shall expire n the thirty-first (31 st ) day December f the year in which it is issued. (4) Where the hlder f a mineral dealer s permit has applied fr the renewal f the permit in accrdance with sub-regulatin (1) but the applicatin is nt determined befre the expiry f the permit, the permit shall cntinue in frce until the applicatin is determined. (5) Where the Cabinet Secretary has rejected an applicatin fr a mineral dealer s permit r a renewal theref, the affected applicant may apply t the High Curt within thirty (30) days frm the date f ntice f the decisin. 18. Exprt f Minerals Except as therwise prvided in the Mining Act r under these regulatins, a persn shall nt exprt r imprt a mineral unless the persn hlds a permit granted by the Cabinet Secretary fr that purpse. 19. Qualificatins fr grant f an Exprt Permit A persn r cmpany shall nt be qualified t apply fr an exprt permit unless it is the Natinal Mining Crpratin r a hlder f a mining licence, mining permit r a dealer s licence granted in accrdance with the Mining Act. 20. Applicatin fr an Exprt Permit (1) Pursuant t sectin 171(2) f the Act, an applicatin fr the grant f an exprt permit shall be made t the Directr f Mines using Errr! Reference surce nt fund., and shall be submitted thrugh the nline mining cadastre. (2) Every exprt r shipment f a mineral shall require an exprt permit. (3) The applicatin shall include r have appended the fllwing: (a) the name, surce, quantity, grade and value f the mineral t be shipped r exprted; (b) the name, address f the purchaser/cnsignee and destinatin where the mineral is t be shipped r exprted; (c) the sales r marketing agreement between the applicant and the buyer if any; Page 10

11 (d) a refining cntract r fftake agreement where the applicant has signed such an agreement; (e) a cpy f the recnciliatin statement fr the mineral t be shipped r exprted; (f) any ther infrmatin r dcument as the Directr f Mines shall specify r request. (4) An exprt permit shall be signed by any fficer authrised by the Cabinet Secretary. 21. Frm f an Exprt Permit (1) An exprt permit shall be issued digitally in lcked pdf frmat tgether with a paper cpy using FrmL-12 [Exprt Permit] (2) An exprt permit shall specify and have appended t it by the Mining Cadastre Office: (a) the name and address f the permit hlder; (b) the mineral r minerals in respect f which the permit is valid; (c) the quantity, grade, purity, value and ther particulars f the mineral r minerals; (d) the name, address f the purchaser/cnsignee and destinatin where the mineral is t be shipped r exprted; (e) the validity perid; (f) the amunt f recnciliatin due and paid; and (g) such ther dcuments as apprpriate r ther special cnditins that may apply. 22. Recrds and Reprting Requirements (1) The Natinal Mining Crpratin r a hlder f a mineral dealer s licence r permit shall: (a) keep at its registered address cmplete and accurate recrds f all purchases r sales made under every permit r licence as the case may be; (b) submit quarterly and annual reprts f all purchases r sales made under every permit t the Ministry f Mining as set ut in: 23. Imprt f Minerals (i) Frm AR-29 [Exprt f Mineral Quarterly Reprt]; (ii) Frm AR-30 [Exprt f Mineral Annual Reprt] (iii) Frm AR-31 [Dealer s Licence/Permit-Quarterly Reprt] (iv) Frm AR-32 [Dealer s Licence/Permit-Annual Reprt] (1) Where a persn imprts a mineral, the persn shall make a declaratin at the pint f entry using Frm L-13 [Declaratin f Mineral Imprted]. (2) A cpy f the Frm L-13 shall be submitted t the Ministry f Mining after the declaratin. Page 11

12 24. Sale f Minerals in Kenya by hlders f Artisanal Mining Permits (1) A hlder f an artisanal mining permit shall sell any mineral prduced t the Natinal Mining Crpratin, a hlder f a mineral dealer s licence r permit r t such designated persns r bdies that the Cabinet Secretary may specify. (2) A hlder f an artisanal mining permit may exprt the mineral prduced with the apprval f the Cabinet Secretary and n such terms and cnditins that the Cabinet Secretary may publish in the Kenya Gazette. 25. Recrds and Reprting Requirements (1) A hlder f a mining licence, mining permit r artisanal mining permit shall: (a) keep at the hlder s registered address cmplete and accurate recrds f all minerals sld; and (b) submit quarterly and annual reprts t the Ministry f Mining f all minerals sld as set ut in: 26. Mineral Samples (i) Frm AR-34 [Sale f Mineral Quarterly Reprt]; and (ii) Frm AR-35 [Sale f Mineral Annual Reprt] (1) Except as therwise prvided in the Mining Act and any regulatins made thereunder, a hlder f a mineral right shall nt, withut a permit frm the Cabinet Secretary and n the recmmendatin f the Directr f Gelgical Survey, remve any mineral frm a recnnaissance, prspecting r mining area except fr the purpse f having the mineral analysed, valued r tested. (2) An applicatin by a hlder fr a permit under sub-regulatin (1) shall be made t the Directr f Gelgical Survey and submitted thrugh the nline mining cadastre using Frm A-33 [Applicatin fr a Permit t Remve Samples] (3) The size f each sample must be cnsistent with what is rdinarily required fr labratry analysis r testing. (4) The hlder shall prvide access t the Directr f Gelgical Survey r any authrised fficer t inspect and examine the samples befre any permit is issued. (5) The hlder shall submit cpies f the results f all tests and analyses f all samples t the Directr f Gelgical Survey. 27. Savings and Transitinal Prvisins (1) Ntwithstanding the repeal f the enactments pursuant t sectin 225 f the Mining Act, a dealer s licence r permit granted under an enactment and subsisting immediately befre the cming int frce f the Mining Act and these regulatins, shall cntinue under the laws applicable immediately befre the cmmencement f the Mining Act and these regulatins until expiratin. (2) Subject t sub-regulatin (1), any new r pending applicatin made under any repealed enactments pursuant t sectin 225 f the Mining Act shall be determined in accrdance with the prvisins f the Mining Act and these regulatins. Page 12

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14 FIRST SCHEDULE THE GOVERNMENT OF THE REPUBLIC OF KENYA MINING (DEALINGS IN MINERALS) REGULATIONS Frm A-27[Applicatin fr a Mineral Dealer s Licence] Sectin 160(1) f the Mining Act and Regulatin 8(1) f the Mining (Dealings in Minerals) Regulatins O F F I C I A L U S E Applicatin verified as cmplete: Date verified as cmplete and registered: Day Mnth Year Time verified as cmplete and registered: Hr. Min Officer verifying applicatin is cmplete and has been registered as cmplete in the Register: Name: Signature: All required attachments have been appended t this applicatin Applicatin registratin number: * * * * * * * * * * * * * * * * * Applicatin is apprved Applicatin is denied Reasn fr denial: If apprved, Dated seal here Date applicatin was registered in the Register f Mineral Dealings: Date applicant was ntified f the apprval decisin: If denied, Date denial was registered in the Register: Date applicant was ntified f the denial decisin: _ Cabinet Secretary s signature: Date f signature: Page 14

15 1. Instructins: This frm is used t apply fr a Mineral Dealer s Licence and shall be submitted nline t the Mining Cadastre Office. The OMC cannt accept the applicatin unless this frm is cmpleted in full and all required, supprting dcumentatin is appended in electrnic frmat. All dcuments shall be submitted in English. Where a title fr the dcument appears in the list, the dcument shall be named with that title. 2. Applicant s identity and cntact infrmatin a. If the applicant is an individual cmplete all infrmatin in this sectin: Full Name: b. Physical Lcatin Street: Building Flr/Office # Twn/City:_ Cunty: c. Address P.O. Bx: Cde: Twn/City:_ Cunty: Phne #: Mbile: address (mandatry): d. If the applicant is a cmpany cmplete all infrmatin in this sectin: Registered cmpany name: City Cmpany is incrprated: _ e. Physical Lcatin Street: Building Flr/Office # Twn/City:_ Cunty: f. Address P.O. Bx: Cde: Twn/City:_ Cunty: Phne #: Mbile: address (mandatry): g. Name f authrised agent r representative: Physical Lcatin Street: Building Flr/Office # Twn/City:_ Cunty: h. Address P.O. Bx: Cde: Twn/City:_ Cunty: Page 15

16 Phne #: Mbile: Fax (if any) address (mandatry): 3. Type f Mineral r Minerals as set ut in the First Schedule f the Mining Act Name the class f minerals fr which the licence is required: Cnstructin and Industrial Minerals [gypsum, limestne, diatmite etc.]; Precius Stnes [diamnds, emeralds, rubies etc]; Precius Metals [gld, platinum etc]; Semi-Precius Stne Grup [amaznite, amber, cheryl etc]; Base and Rare Metals [Cpper, manganese, tantalum etc]; 4. Attachments (tick the item attesting that the required dcument is attached t this applicatin) duplicate cpy f First Schedule; a certified cpy f the applicant cmpany s certificate f incrpratin and certified cpy f its memrandum and articles f assciatin; Directr Infrmatin, a sheet listing the full names and natinalities f all the applicant cmpany s directrs; Sharehlder Infrmatin, a sheet listing the name f every sharehlder f the applicant cmpany wh is the beneficial wner f the f the issued share capital; Knwledge and Experience, a descriptin f the applicant s Knwledge r experience f mineral dealings in Kenya and elsewhere; Technical and Financial Qualificatins, a statement giving particulars f the financial resurces available t the applicant; 5. Declaratin (Nte: where any declaratin made in this frm is fund t be false the persn whse signature appears belw shall be guilty f an ffence and subject t a penalty). I am the applicant r its authrised agent r representative and declare that the infrmatin cntained in this applicatin and attached t it is true and accurate: Name: Signature: Date: Page 16

17 THE GOVERNMENT OF THE REPUBLIC OF KENYA THE MINING ACT MINING REGULATIONS Frm A-28 [Applicatin fr a Mineral Dealer s Permit] Sectin 164(1) f the Mining Act and Regulatin 15(1) f the Mining (Dealings in Minerals) Regulatins O F F I C I A L U S E Applicatin verified as cmplete: Date verified as cmplete and registered: Day Mnth Year Time verified as cmplete and registered: Hr. Min Officer verifying applicatin is cmplete and has been registered as cmplete in the Register: Name: Signature: All required attachments have been appended t this applicatin Applicatin registratin number: * * * * * * * * * * * * * * * * * Applicatin is apprved Applicatin is denied Reasn fr denial: If apprved, Dated seal here Date applicatin was registered in the Register f Mineral Dealings: Date applicant was ntified f the apprval decisin: If denied, Date denial was registered in the Register: Date applicant was ntified f the denial decisin: _ Cabinet Secretary s signature: Date f signature: 1. Instructins: This frm is used t apply fr a Mineral Dealer s Permit and shall be submitted nline t the Mining Cadastre Office. The OMC cannt accept the applicatin unless this frm is cmpleted in full and all required, supprting dcumentatin is appended in electrnic frmat. When attaching required dcuments, they shall be arranged in the rder appearing belw. All dcuments shall be submitted in English. Where a title fr the dcument appears in the list, the dcument shall be named with that title. Page 17

18 2. Applicant s identity and cntact infrmatin a. If the applicant is an individual cmplete all infrmatin in this sectin: Full Name: b. Physical Lcatin Street: Building Flr/Office # Twn/City:_ Cunty: c. Address P.O. Bx: Cde: Twn/City:_ Cunty: Phne #: Mbile: address (mandatry): d. If the applicant is a cmpany cmplete all infrmatin in this sectin: Registered cmpany name: City Cmpany is incrprated: _ e. Physical Lcatin Street: Building Flr/Office # Twn/City:_ Cunty: f. Address P.O. Bx: Cde: Twn/City:_ Cunty: Phne #: Mbile: address (mandatry): g. Name f authrised agent r representative: Physical Lcatin Street: Building Flr/Office # Twn/City:_ Cunty: h. Address P.O. Bx: Cde: Twn/City:_ Cunty: Phne #: Mbile: address (mandatry): 3. Type f Mineral r Minerals Name the type f mineral r minerals fr which the permit is required: 4. Attachments (tick the item attesting that the required dcument is attached t this applicatin) Page 18

19 duplicate cpy f First Schedule Errr! Reference surce nt fund.; a certified cpy f the applicant cmpany s certificate f incrpratin and certified cpy f its memrandum and articles f assciatin; Directr Infrmatin, a sheet listing the full names and natinalities f all the applicant cmpany s directrs; Sharehlder Infrmatin, a sheet listing the name f every sharehlder f the applicant cmpany wh is the beneficial wner f the f the issued share capital; 5. Declaratin (Nte: where any declaratin made in this frm is fund t be false the persn whse signature appears belw shall be guilty f an ffence and subject t penalty) I am the applicant r its authrised representative r agent and declare that the infrmatin cntained in this applicatin and attached t it is true and accurate: Name: Signature: Date: Page 19

20 THE GOVERNMENT OF THE REPUBLIC OF KENYA THE MINING ACT MINING REGULATIONS Frm L-10 [Mineral Dealer s Licence] Sectin 159(1) f the Mining Act and Regulatin 17(1) f the Mining (Dealings in Minerals) Regulatins Mineral Dealer s Licence Registratin N. MDL This Licence is valid frm 1 January 20. t 31 December Subject t the cnditins set ut in the Mining Act, in these regulatins and in this Mineral Dealer s Licence, Name : (Hereinafter referred t as the hlder ) whse registered ffice in Kenya is at Address (Physical Lcatin): City/Twn Phne number: Mbile: Fax number (if any): address: : Cunty: Natinality: is by this licence granted the right t buy and sell [insert type f minerals] in Kenya r exprt the same. 2. The hlder, during the term f this licence, shall: (a) (b) (c) carry ut mineral dealings in accrdance with the cnditins set ut in the licence; cmmence mineral dealings within thirty(30) calendar days frm the date the licence is issued; buy the minerals specified herein frm nly hlders f- (i) artisanal mining permits; (ii) mining permits; and (iii) mineral dealer s permit r licence; (d) sell the mineral t the Natinal Mining Crpratin r t any persn in Kenya wh is lawfully entitled t deal in minerals r sell the mineral that the Cabinet Secretary may direct. 3. The hlder during the term f the licence shall: (a) Keep a register f the mineral dealings in the frm as may be prescribed by the Directr f Mines; (b) Recrd the fllwing infrmatin in respect f each transactin- (i) the name, grade and weight f the minerals purchase r sld; (ii) the price paid r received fr the minerals; (iii) the date f the purchase r sale; and (iv) The name and address f the vendr r the purchaser r cnsignee. Page 20

21 4. The hlder shall submit t the Cabinet Secretary a true cpy f the register in duplicate fr the preceding three mnths, tgether with a statutry declaratin f the crrectness theref, in the mnths f January, April, July and Octber f every year. DATED This Day f 20 Cabinet Secretary (name) (signature) In the presence f: Directr f Mines (name) (signature) (dated seal here) Page 21

22 THE GOVERNMENT OF THE REPUBLIC OF KENYA THE MINING ACT MINING REGULATIONS Frm L-11 [Mineral Dealer s Permit] (Sectin 159(1) f the Mining Act and Regulatins 13(1) and 15(2)(d) f the Mining (Dealings in Minerals) Regulatins Mineral Dealer s Permit Registratin N. MPL This Licence is valid frm 1 January 20. t 31 December Subject t the cnditins set ut in the Mining Act, in the regulatins made under the Act and in this Mineral Dealer s Permit, Name : (Hereinafter referred t as the hlder ) whse registered ffice in Kenya is at Address: City/Twn Phne number: Mbile: address: : Cunty: Natinality: is by this licence granted the right t buy and sell [insert mineral(s) t be bught r sld] nly in Kenya. 2. The hlder, during the term f this permit, shall: (a) (b) (c) (d) carry ut mineral dealings in accrdance with the cnditins set ut in the permit; cmmence mineral dealings within thirty(30) calendar days frm the date the permit issued; buy the minerals specified herein frm nly hlders f- (i) artisanal mining permits (ii) mining permits; and (iii) mineral dealer s permit r licence. (e) sell the mineral t the Natinal Mining Crpratin r t any persn wh is lawfully entitled t deal in minerals in Kenya that the Cabinet Secretary may direct. 3. The hlder during the term f this permit, shall: (a) Keep a register f the mineral dealings in the prescribed frm; (b) Recrd the fllwing infrmatin in respect f each transactin- (i) the name and weight f the minerals purchase r sld; (ii) the price paid r received fr the minerals; (iii) the date f the purchase r sale; and (iv) The name and address f the vendr r the purchaser. 4. The hlder shall submit t the Cabinet Secretary a true cpy f the register in duplicate fr the preceding three mnths, tgether with a statutry declaratin f the crrectness theref, in the mnths f January, April, July and Octber f every year. Page 22

23 DATED This Day f 2 Cabinet Secretary (name) (signature) In the presence f: Directr f Mines (name) (signature) (dated seal here) Page 23

24 THE GOVERNMENT OF THE REPUBLIC OF KENYA THE MINING ACT MINING REGULATIONS Frm A-29 [Applicatin t Renew Mineral Dealer s Licence] Sectin 161(2) f the Mining Act and Regulatin 10(1) f the Mining (Dealings in Minerals) Regulatins Mineral Dealer s Licence Registratin Number: 1. The term f the licence applied fr: 2. Declaratin (Nte: where any declaratin is made in this frm is fund t be false the persn whse signature appears belw shall be guilty f an ffence and subject t a penalty) I am the Mineral Dealer s Licence hlder r duly authrised agent/representative (r in the case f a cmpany the hlder s authrised representative) and by this applicatin request that a renewal be granted fr the licence identified herein. By my signature belw, I declare that the fllwing statements are true (as f the date f signature belw): All reprts required t be submitted by the terms and cnditins applying t the licence have been submitted and submissin receipts have been btained. 2. All fees, taxes and ther charges required t be paid fr the licence r under any ther written law in Kenya have been paid and receipts btained. 3. All returns required t be submitted as at the time f the applicatin fr the renewal have been submitted and the applicant is nt in default. 4. Dealings in minerals under the licence have been carried ut in accrdance with the apprved terms and cnditins. Name: Title r Psitin: Signature: Date: Page 24

25 THE GOVERNMENT OF THE REPUBLIC OF KENYA THE MINING ACT MINING REGULATIONS Frm A-30 [Applicatin t Renew Mineral Dealer s Permit] Regulatin 17(1) f the Mining (Dealings in Minerals) Regulatins Mineral Dealer s Permit Registratin Number: O F F I C I A L U S E Attached dcuments: Dated seal here Duplicate cpy f First Schedule Errr! Reference surce nt fund. is attached; Applicatin verified as cmplete: Date verified as cmplete and registered: Day Mnth Year Time verified as cmplete and registered: Hr. Min Officer verifying that the applicatin is cmplete and has been registered as cmplete in the Register f Mineral Dealings: Name: Signature: The renewal f the permit is apprved The renewal f the permit is denied Reasn fr denial:_ If apprved, Date the renewal was registered in the Register f Mineral Dealings: Date hlder/applicant was ntified f the apprval decisin: _ Date the renewal was nted in the Register f Mineral Dealings: If denied, Date denial was registered in the Register f Mineral Dealings: Date hlder/applicant was ntified f the denial decisin: _ Cabinet Secretary s signature: Date f signature: 1. Instructins: This frm is used t apply fr a renewal f a Mineral Dealer s Permit term and shall be submitted nline t the Mining Cadastre Office. The OMC cannt accept the applicatin unless this frm is cmpleted in full and all required, supprting dcumentatin is appended in electrnic frmat. All dcuments shall be submitted in English. Where a title fr the dcument appears in the list, the dcument shall be named with that title. Page 25

26 2. Applicant s identity and cntact infrmatin a. If the applicant is an individual cmplete all infrmatin in this sectin: Full Name: b. Physical Lcatin Street: Building Flr/Office # Twn/City:_ Cunty: c. Address P.O. Bx: Cde: Twn/City:_ Cunty: Phne #: Mbile: Fax (if any) address (mandatry): d. If the applicant is a cmpany cmplete all infrmatin in this sectin: Registered cmpany name: City Cmpany is incrprated: _ e. Physical Lcatin Street: Building Flr/Office# Twn/City:_ Cunty: f. Address P.O. Bx: Cde: Twn/City:_ Cunty: Phne #: Mbile: address (mandatry): g. Name f authrised agent r representative: Physical Lcatin Street: Building Flr/Office# Twn/City:_ Cunty: h. Address P.O. Bx: Cde: Twn/City:_ Cunty: Phne #: Mbile: address (mandatry): 3. The term f the permit applied fr: Page 26

27 4. Declaratin (Nte: when any attestatin prvided in this frm is fund t be false the persn whse signature appears belw shall be guilty f an ffence and subject t penalty.) I am the Mineral Dealer s Permit hlder (r in the case f a cmpany the hlder s authrised representative) and by this applicatin request that a renewal be granted fr the permit identified herein. By my signature belw, I declare that the fllwing statements are true (as f the date f signature belw): -- (a).all reprts required t be submitted by the terms and cnditins applying t the permit have been submitted and submissin receipts have been btained. (b)all fees, taxes and ther charges required t be paid fr the permit r under any ther written law in Kenya have been paid and receipts btained.(c)all returns required t be submitted as at the time f the applicatin fr the renewal have submitted. (d)dealings in minerals under the permit have been carried ut in accrdance with the apprved terms and cnditins and the applicant is nt in default. Nte: at the ptin f the applicant, evidentiary dcuments may be attached t this frm Name: Title r Psitin: Signature: Date: Page 27

28 THE GOVERNMENT OF THE REPUBLIC OF KENYA THE MINING ACT MINING REGULATIONS Frm A-31 [Applicatin fr an Exprt Permit] Sectin 171(1) f the Mining Act and Regulatin 20(1) f the Mining (Dealings in Minerals) Regulatins) O F F I C I A L U S E Applicatin verified as cmplete: Date verified as cmplete and registered: Day Mnth Year Time verified as cmplete and registered: Hr. Min Officer verifying applicatin is cmplete and has been registered as cmplete in the Register: Name: Signature: All required attachments have been appended t this applicatin Applicatin registratin number: * * * * * * * * * * * * * * * * * Applicatin is apprved Applicatin is denied Reasn fr denial: If apprved, Dated seal here Date applicatin was registered in the Register f Mineral Dealings: Date applicant was ntified f the apprval decisin: If denied, Date denial was registered in the Register: Date applicant was ntified f the denial decisin: _ Cabinet Secretary s signature: Date f signature: Page 28

29 1. Instructins: This frm is used t apply fr an Exprt Permit and shall be submitted nline t the Mining Cadastre Office. The OMC cannt accept the applicatin unless this frm is cmpleted in full and all required, supprting dcumentatin is appended in electrnic frmat. All dcuments shall be submitted in English. Where a title fr the dcument appears in the list, the dcument shall be named with that title. 2. Applicant s identity and cntact infrmatin a. If the applicant is an individual cmplete all infrmatin in this sectin: Full Name: b. Physical Lcatin Street: Building Flr/Office # Twn/City:_ Cunty: c. Address P.O. Bx: Cde: Twn/City:_ Cunty: Phne #: Mbile: address (mandatry): d. If the applicant is a cmpany cmplete all infrmatin in this sectin: Registered cmpany name: City Cmpany is incrprated: _ e. Physical Lcatin Street: Building Flr/Office # Twn/City:_ Cunty: f. Address P.O. Bx: Cde: Twn/City:_ Cunty: Phne #: Mbile: address (mandatry): g. Name f authrised agent r representative: Physical Lcatin Street: Building Flr/Office # Twn/City:_ Cunty: h. Address P.O. Bx: Cde: Twn/City:_ Cunty: Page 29

30 Phne #: Mbile: Fax (if any) address (mandatry): 3. Type f Mineral r Minerals Name the type f mineral r minerals fr which the permit is required: 4. Attachments (tick the item attesting that the required dcument is attached t this applicatin) the name, quantity, and value f the mineral t be shipped r exprted; the assay certificate frm a recgnised; the name, address f the purchaser/cnsignee and destinatin where the mineral is t be shipped r exprted; the sales r marketing agreement between the applicant and the buyer; a refining cntract r fftake agreement where the applicant has signed such an agreement; and; any ther infrmatin r dcument as the Directr f Mines shall specify r request. 5. Declaratin (Nte: where any declaratin is made in this frm is fund t be false the persn whse signature appears belw shall be guilty f an ffence and subject t a penalty) I am the applicant r its authrised representative r agent and attest that the infrmatin cntained in this applicatin and attached t it is true and accurate: Name: Signature: Date: Page 30

31 THE GOVERNMENT OF THE REPUBLIC OF KENYA THE MINING ACT MINING REGULATIONS Frm L-12 [Exprt Permit] Sectin 171(1) f the Mining Act and Regulatin 21(1) f the Mining (Dealings in Minerals) Regulatins This exprt permit is valid frm 20. t Subject t the cnditins set ut in the Mining Act and in the regulatins made under the Act, Name : (Hereinafter referred t as the hlder ) whse registered ffice in Kenya is at Address: City/Twn : Cunty: Natinality: [where hlder is an individual] Phne number: Mbile: address: is by this permit granted the right t exprt [Insert mineral r minerals in respect f which permit is granted and ther particulars such as the quantity, grade, value, purity and ther particulars f the mineral r minerals as set ut in the table] Type f Mineral Quantity Grade Value Purity Other Particulars t.[insert the name, address f the purchaser/cnsignee and destinatin where the mineral is t be shipped r exprted] thrugh..[insert the prt f exit/shipment]. DATED this day f 20 Cabinet Secretary (name) (signature) In the presence f: Directr f Mines (name) (signature) (dated seal here) Page 31

32 Page 32

33 THE GOVERNMENT OF THE REPUBLIC OF KENYA THE MINING ACT MINING REGULATIONS Frm AR-31 [Mineral Dealer s Licence/Permit Quarterly Reprt] Regulatin 22(1)(b)(iii) f the Mining (Dealings in Minerals) Regulatins Mineral Dealer s Licence/Permit Registratin Cde Number: Year:, Mnth: Dated seal here Date reprt received: Declaratin has been signed (tick ptin): Yes N (nte: if declaratin signature is absent, the reprt cannt be accepted) Reprt is cnfirmed cmplete: Receiving fficer s name: Receiving fficer s signature: Page 33

34 1. Instructins: This frm shall be cmpleted in full and signed by an authrised fficer f the Mineral Dealer s Licence/Permit hlder. This frm shall be attached t the Mineral Dealer s Licence/Permit Quarterly Reprt as the case may be and be submitted thrugh the OMC. Use a separate reprting frm and a separate reprt fr each registered Mineral Dealer s Licence/Permit as the case may be (cmbined reprts are nt permissible). This frm and its accmpanying reprt shall be submitted quarterly, nt later than furteen (14) calendar days after the end each quarter. Failure t submit a cmplete quarterly reprt may result in the revcatin f the Licence r Permit as the case may be. The Mineral Dealer s Licence/Permit Quarterly Reprt shall cntain fr the entire quarter the fllwing particulars as set ut in the table belw. Type f Mineral Quantity purchased, date and price paid fr each purchase Name and address f the vendr/seller Quantity sld, date and the price fr each sale Quantity sld and the price paid fr each purchase Name and address f the purchaser/buyer Others (specify) 2. MINERAL DEALER S LICENCE/PERMIT HOLDER DETAILS Name f hlder: (Hereinafter referred t as the hlder ) whse registered ffice in Kenya is at Address (Physical Lcatin): Twn/City : Cunty: Phne number: Mbile: address: 3. Declaratin (Nte: where any declaratin made in this frm is fund t be false, the persn whse signature appears belw shall be guilty f an ffence and subject t a penalty). I hereby declare that the Mineral Dealers Licence/Permit quarterly Reprt attached t this frm was prepared under my supervisin. The infrmatin as prvided abve and in the attached reprt is truthful and substantially accurate in all its details. (a) Hlder s (r Authrised Directr s) name: Page 34

35 Hlder s (r Authrised Directr s) signature: Address (Physical Lcatin): Twn/City: Cunty: Phne number: Mbile:_ address: Page 35

36 THE GOVERNMENT OF THE REPUBLIC OF KENYA THE MINING ACT MINING REGULATIONS Frm AR-32 [Mining Dealer s Licence/Permit Annual Reprt] Regulatin 22(1)(b)(iv) f the Mining (Dealings in Minerals)Regulatins Mining Dealer s Licence/Permit Registratin Cde Number: Year:, Mnth: Date reprt received: Attestatin has been signed (tick ptin): Yes N 1. Instructins: (nte: if attestatin signature is absent, the reprt cannt be accepted) Reprt is cnfirmed cmplete: Receiving fficer s name: Receiving fficer s signature: Dated seal here This frm shall be cmpleted in full and signed by an authrised fficer f the Mineral Dealer s Licence/Permit hlder. This frm shall be attached t the Mineral Dealer s Licence/Permit Annual Reprt as the case may be and be submitted thrugh the OMC. Use a separate reprting frm and a separate reprt fr each registered Mineral Dealer s Licence/Permit as the case may be (cmbined reprts are nt permissible). This frm and its accmpanying reprt shall be submitted annually, nt later than furteen (14) calendar days after the end f the year. Failure t submit a cmplete annual reprt may result in the revcatin f the Licence r Permit as the case may be. The Mineral Dealer s Licence/Permit Annual Reprt shall cntain the quantity f all the minerals purchased r sld, the price paid r received fr each purchase r sale, the date f each purchase r sale, the name and address f the purchaser r persn frm whm the minerals were purchased fr the year and any ther infrmatin that may be required as set ut in the table belw. Page 36

37 Type f Mineral Quantity purchased, date and price paid fr each purchase Name and address f the vendr/seller Quantity sld, date and the price fr each sale Quantity sld and the price paid fr each purchase Name and address f the purchaser/buyer Others (specify) 1. MINERAL DEALER S LICENCE/PERMIT HOLDER DETAILS Name f hlder: (Hereinafter referred t as the hlder ) whse registered ffice in Kenya is at Address (Physical Lcatin): City Cunty Phne number: Mbile: address: 2. Declaratin : : (Nte: when any declaratin prvided in this frm is fund t be false, the persn whse signature appears belw shall be guilty f an ffence and subject t a penalty.) I hereby attest that the Mineral Dealers Licence/Permit Annual Reprt attached t this frm was prepared under my supervisin. The infrmatin as prvided abve and in the attached reprt is truthful and substantially accurate in all its details. (b) Hlder s (r Authrised Directr s) name: Hlder s (r Authrised Directr s) signature: Address: Twn/City: Cunty: Phne number: Mbile: address: Page 37

38 THE GOVERNMENT OF THE REPUBLIC OF KENYA THE MINING ACT MINING REGULATIONS Frm AR-29 [Exprt f Mineral Quarterly Reprt] Regulatin 22(1)(b)(i) f the Mining (Dealings in Minerals) Regulatins Mineral Dealer s Licence/Mining Licence/Permit Registratin Cde Number: Year:, Mnth: Date reprt received: Attestatin has been signed (tick ptin): Yes N 1. Instructins: (nte: if declaratin signature is absent, the reprt cannt be accepted) Reprt is cnfirmed cmplete: Receiving fficer s name: Receiving fficer s signature: Dated seal here This frm shall be cmpleted in full and signed by an authrised fficer f the Mineral Dealer s Licence r Mining Licence/Permit hlder. This frm shall be submitted thrugh the OMC. Use a separate reprting frm and a separate reprt fr each registered Mineral Dealer s Licence r Mining Licence/Permit as the case may be (cmbined reprts are nt permissible). This frm and its accmpanying dcument r reprt shall be submitted quarterly, nt later than furteen (14) calendar days after the mnth end. Failure t submit a cmplete quarterly reprt may result in the revcatin f the Licence r Permit as the case may be. The Mineral Dealer s Licence r Mining Licence/Permit Quarterly Reprt shall cntain the name, quantity, grade and value f the mineral shipped r exprted under each exprt permit, the exprt permit number and date f issue fr each shipment, the date f each shipment/exprt, the name, address f the purchaser/cnsignee and destinatin where the mineral was shipped r exprted and any ther infrmatin that may be required as set ut in the table belw. Type f Mineral Quantity exprted under each permit Grade Value f each shipment (US$) Permit number fr each shipment and date f issue Date f each shipment Name and Address f the Purchaser/Cnsignee Others (specify) Page 38