Issuance of a license for exploration of solid minerals
Documents required for submission to service provider:
1. The application includes the following information:
1) for individuals – the applicant's name, surname and patronymic (if it is indicated in the identity document), place of residence, citizenship, information on the identity documents of the recipient;
for legal entities – the name of a service recipient; its location, information on state registration as a legal entity (extract from the commercial register or other legalized document certifying that the applicant is a legal entity under the legislation of a foreign state), information on managers, legal entities and individuals, states and international organizations that directly or indirectly control the recipient of the service;
2) a document certifying the authority of a person to act on behalf of the recipient in submitting an application, if such a person has been appointed by the applicant;
3) a written description of the types, methods, approximate dates by year and extent of the exploration work that the service recipient intends to carry out in the subsurface area applied for;
4) the consent of a person to the granting of a solid minerals exploration licence, if that person is carrying out hydrocarbon extraction operations under a Subsurface Use Contract on all or part of the area applied for;
5) documents confirming that the service recipient has the financial and professional capacity to carry out solid mineral exploration activities;
6) an agreement on the socio-economic support of the local population, as provided for in Article 25, paragraph 3, subparagraph 1, of the Code, if the territory of the subsoil area applied for is wholly or partly included in the territories of settlements and adjacent territories at a distance of 1,000 metres;
7) a certificate issued by the tax authority not earlier than 10 calendar days prior to the date of submission of the application, stating that the service recipient has no tax arrears exceeding six times the monthly calculation index established by the Law on the Republican Budget for the relevant financial year.
In addition to the documents specified in paragraph 5 of these Rules, an application for a licence for the exploration of solid minerals submitted in accordance with paragraph 2 of Article 5 of these Rules shall be accompanied by the conclusion of the authorized body in the field of state industrial promotion confirming that the production activity (technological process) of the applicant is related to the use of the subsoil.
2. To confirm that the service recipient has sufficient financial resources to carry out exploration activities, one of the following documents should be provided:
1) a statement on the balance and movement of funds in a bank account with a second-tier bank of the Republic of Kazakhstan or with the National Postal Operator confirming the constant availability (balance) of funds of the service recipient for a period of thirty days within the three months preceding the date of submission of the application for a licence in an amount sufficient to cover the required minimum exploration costs in the first year of the licence applied for.
If, on any day of the specified thirty-day period, as a result of operations on the movement of funds, the balance of funds is less than the amount required by subparagraph 1) of the first part of this paragraph, such statement shall not be recognized as a document confirming the applicant's financial capacity. If an applicant has several accounts with a second-tier bank, information on the balance and cash flow of several accounts for which statements are provided may also be taken into account for the purpose of confirming financial capacity;
2) a copy of the money loan agreement (preliminary loan agreement) or an activity financing agreement which specifies the financing of the applicant's solid mineral exploration activities as the intended purpose of the loan and confirms the amount of the loan (financing) sufficient to cover the required minimum exploration costs in the first year of the licence applied for;
3) financial statements of the service recipient with an audit report prepared in accordance with the legislation of the Republic of Kazakhstan on auditing for six consecutive calendar months or the previous calendar year preceding the date of the licence application, in which the net assets of the applicant exceed its obligations by the amount of the minimum exploration costs in the first year of the licence applied for;
4) a letter from a rating agency recognized by the stock exchange operating in the Republic of Kazakhstan on the applicant's rating for the year preceding the date of submission of the application, which shall not be lower than the minimum rating determined by the service provider.
If a copy of a loan agreement (preliminary loan agreement) or an activity financing agreement is submitted as a document confirming that the service recipient is financially capable and the lender is a person who is not a financial organisation, the application should also be accompanied by one of the documents confirming that this person is financially capable as specified in subparagraphs 1), 3) or 4) of this paragraph..
3. One of the following documents should be provided to confirm that the service recipient has sufficient professional skills to carry out exploration work:
1) a certificate of the availability of a specialist in the staff or a copy of the service agreement with a specialist in the field of geology or geophysics;
2) a copy of the service agreement with the contractor or the service agreement of the operator appointed by the applicant in accordance with Chapter 6 of the Code, if the exploration licence applied for is granted to the service recipient who employs one of the specialists referred to in subparagraph 1) of this paragraph.
If a copy of the service agreement with the contractor or the service agreement with the operator appointed by the applicant in accordance with Chapter 6 of the Code is submitted as a document confirming that the service recipient has professional competence, the application shall also be accompanied by a certificate confirming the presence of one of the specialists referred to in the first subparagraph of this paragraph or a copy of the service agreement with the relevant specialist.
Documents required for submission to service provider:
1. The application includes the following information:
1) for individuals – the applicant's name, surname and patronymic (if it is indicated in the identity document), place of residence, citizenship, information on the identity documents of the recipient;
for legal entities – the name of a service recipient; its location, information on state registration as a legal entity (extract from the commercial register or other legalized document certifying that the applicant is a legal entity under the legislation of a foreign state), information on managers, legal entities and individuals, states and international organizations that directly or indirectly control the recipient of the service;
2) a document certifying the authority of a person to act on behalf of the recipient in submitting an application, if such a person has been appointed by the applicant;
3) a written description of the types, methods, approximate dates by year and extent of the exploration work that the service recipient intends to carry out in the subsurface area applied for;
4) the consent of a person to the granting of a solid minerals exploration licence, if that person is carrying out hydrocarbon extraction operations under a Subsurface Use Contract on all or part of the area applied for;
5) documents confirming that the service recipient has the financial and professional capacity to carry out solid mineral exploration activities;
6) an agreement on the socio-economic support of the local population, as provided for in Article 25, paragraph 3, subparagraph 1, of the Code, if the territory of the subsoil area applied for is wholly or partly included in the territories of settlements and adjacent territories at a distance of 1,000 metres;
7) a certificate issued by the tax authority not earlier than 10 calendar days prior to the date of submission of the application, stating that the service recipient has no tax arrears exceeding six times the monthly calculation index established by the Law on the Republican Budget for the relevant financial year.
In addition to the documents specified in paragraph 5 of these Rules, an application for a licence for the exploration of solid minerals submitted in accordance with paragraph 2 of Article 5 of these Rules shall be accompanied by the conclusion of the authorized body in the field of state industrial promotion confirming that the production activity (technological process) of the applicant is related to the use of the subsoil.
2. To confirm that the service recipient has sufficient financial resources to carry out exploration activities, one of the following documents should be provided:
1) a statement on the balance and movement of funds in a bank account with a second-tier bank of the Republic of Kazakhstan or with the National Postal Operator confirming the constant availability (balance) of funds of the service recipient for a period of thirty days within the three months preceding the date of submission of the application for a licence in an amount sufficient to cover the required minimum exploration costs in the first year of the licence applied for.
If, on any day of the specified thirty-day period, as a result of operations on the movement of funds, the balance of funds is less than the amount required by subparagraph 1) of the first part of this paragraph, such statement shall not be recognized as a document confirming the applicant's financial capacity. If an applicant has several accounts with a second-tier bank, information on the balance and cash flow of several accounts for which statements are provided may also be taken into account for the purpose of confirming financial capacity;
2) a copy of the money loan agreement (preliminary loan agreement) or an activity financing agreement which specifies the financing of the applicant's solid mineral exploration activities as the intended purpose of the loan and confirms the amount of the loan (financing) sufficient to cover the required minimum exploration costs in the first year of the licence applied for;
3) financial statements of the service recipient with an audit report prepared in accordance with the legislation of the Republic of Kazakhstan on auditing for six consecutive calendar months or the previous calendar year preceding the date of the licence application, in which the net assets of the applicant exceed its obligations by the amount of the minimum exploration costs in the first year of the licence applied for;
4) a letter from a rating agency recognized by the stock exchange operating in the Republic of Kazakhstan on the applicant's rating for the year preceding the date of submission of the application, which shall not be lower than the minimum rating determined by the service provider.
If a copy of a loan agreement (preliminary loan agreement) or an activity financing agreement is submitted as a document confirming that the service recipient is financially capable and the lender is a person who is not a financial organisation, the application should also be accompanied by one of the documents confirming that this person is financially capable as specified in subparagraphs 1), 3) or 4) of this paragraph..
3. One of the following documents should be provided to confirm that the service recipient has sufficient professional skills to carry out exploration work:
1) a certificate of the availability of a specialist in the staff or a copy of the service agreement with a specialist in the field of geology or geophysics;
2) a copy of the service agreement with the contractor or the service agreement of the operator appointed by the applicant in accordance with Chapter 6 of the Code, if the exploration licence applied for is granted to the service recipient who employs one of the specialists referred to in subparagraph 1) of this paragraph.
If a copy of the service agreement with the contractor or the service agreement with the operator appointed by the applicant in accordance with Chapter 6 of the Code is submitted as a document confirming that the service recipient has professional competence, the application shall also be accompanied by a certificate confirming the presence of one of the specialists referred to in the first subparagraph of this paragraph or a copy of the service agreement with the relevant specialist.
Issuance of a license for exploration of solid minerals or a reasoned rejection.
The service provider rejects to issue a license if one of the following grounds exists:
1) the set of the inaccuracy of the documents submitted by the service recipient to receive the public service, and (or) data (information) contained therein;
2) the non-compliance of the service recipient and (or) submitted materials, objects, data and information necessary for the public service provision with the requirements established by the regulatory legal acts of the Republic of Kazakhstan;
3) the absence of consent of the service recipient provided in accordance with Article 8 of the Law of the Republic of Kazakhstan "On Personal Data and Their Protection", to access sensitive personal data which are required to provide the public service.
4) the application or the documents attached thereto do not meet the requirements stipulated by the Code;
5) the documents required by these Rules are not attached to the application;
6) within one year prior to filing the application, a license for exploration or a license for extraction of solid minerals that includes, in whole or in part, the requested subsoil plot had been revoked from the service recipient or person who directly or indirectly oversees the service recipient or is under his oversight;
7) the requested territory is in full ownership of the territory and (or) blocks specified in paragraph 6 of these Rules;
8) within one calendar year prior to filing the application, the requested subsoil plot or part thereof had been revoked by the service recipient or a person who directly or indirectly oversees the applicant or is under his oversight;
9) the issuance of a license would pose a threat to the national security of the country or concentration of the subsoil use rights;
10) the territory of the requested subsoil plot exceeds the size limit or does not meet the requirements established by these Rules;
11) during the five years preceding the date of filing the application, the service recipient or a person who directly or indirectly oversees the service recipient or is under his oversight had failed to fulfill or improperly fulfilled obligations to eliminate the consequences of the subsoil use operations in the subsoil areas that were in their use/exploitation;
12) the failure by the service recipient to comply with the deadline for fulfillment of obligations to eliminate the consequences of the solid minerals exploration operations in accordance with the requirements of the Code.
- appeal;
- initiative of an administrative body or official.
General requirements for the appeal
The appeal submitted in hard copy or electronic form shall indicate:
- Full name, IIN, postal address of a natural person, BIN of a legal entity;
- name of administrative body, official to whom the appeal is submitted;
- the essence of an appeal;
- date of filing an appeal;
- signature of the applicant or his representative;
- other information provided for by legislation of the Republic of Kazakhstan.
If the administrative procedure is on a paid basis, the applicant must submit a document confirming the payment.
Source: Administrative Procedural Code of Republic of Kazakhstan,
The Law of the RK "On Public services"
Service fee, paid according to the Code of the Republic of Kazakhstan "On Taxes and Other Compulsory Payments to the Budget (Tax Code)".