Exploration Licence Application Procedures Coal, Minerals ... · Place1 x sheet on front of physical file (when available) Minerals: Give 1 x sheet to drafting Create Reference Documents

Exploration Licence Application Procedures – 25/11/2015 Page 1

Exploration Licence Application Procedures Coal, Minerals & Geo-thermal Table of Contents – page 1

Receipt of Application ___________

Process Application Fee Payment ___________

Enter in TAS ___________

Prepare Acknowledgement of Application (complete & incomplete) ___________

Receive Outstanding Document – Incomplete Applications ___________

Create File and Scan Application in RM8 ___________ - Includes saving the Work Program

KPI Calculator ___________

Create Reference Documents - Titles and Sub-Units ___________

RM8 Reference Documents for or a Complete Application ___________

Refer to Case Supervisor & Send ACK letter ___________

Advertisement & Public Submissions for Application ___________

Conflicts & Encumbrances – Identified by Drafting ___________

Refer to Titles Review Committee (TRC) ___________

Proposed Decision received from TRC ___________

Coal & Geothermal – Seeking Approval & Licence Document Process (6 Steps) ___________

Minerals Prepare Draft Licence Document ___________

Mineral Applications – Offer Accepted – Prepare final documents for Approval ___________

Minerals - Approval to Grant from DMO & Enter DAP & Finalise DOCs for Holder ___________

Minerals complete application Process ___________


Additional Processes

If Review Request Received ___________

Security, Rent & Levy (includes process for security certificate after EL granted) ___________

Refusal ___________

Low Impact or RTN ___________ Put Diagram into Licence Document

Turnaround time for Ministerial & DMO approvals


Receipt of Application

Reject application if:

application not in approved form (application form or on-line application)

applicant is an Individual not aged 18 years

area, group and low impact information have not been provided

Ministers consent is older than 6 months for Coal (Group 9) or Uranium (Group 11)

Check application is correctly completed:

fee paid

all documents are attached as per checklist

certification is complete

If more than 1 applicant ensure all applicants provide:

Statement of corporate, compliance and environmental performance history

Proof of identity (individuals)

If full application fee has not been paid, if the fee:

is being waived record on Assessment Summary

isn’t being waived & applicant does not make correct payment reject application

For a company verify ASIC details - Search Company and Other Registers: If check fails, Reject Application

Note:

1. If Right to negotiate (RTN) is ticked: a. when application is finalised update TAS workflow, then b. place STOP THE CLOCK (STC) in workflow c. refer to RTN procedures

2. If Low Impact Application refer to Case Manager (CM) for current process

Steps up to and including Refer to Case Supervisor & Send ACK letter should be completed within 24 hours of receipt of application

https://connectonline.asic.gov.au/RegistrySearch/faces/landing/SearchRegisters.jspx?_afrLoop=1596841302282802&_afrWindowMode=0&_adf.ctrl-state=mz87p0acn_4


Process Application Fee Payment

Paid by Direct Deposit, Online or SecurePay (includes on-line applications)

email [email protected] to allocate funds (include payment details)

Further information can be found at Payment Received (version 24 August 2015) Note: a receipt is not issued for these payments

Paid by Cash or Cheque:

Refer to Corporate Services to process payment and provide a receipt/tax invoice

Paid by credit card:

process payment

prepare receipt/tax invoice

black out credit card details on application form

Copy receipt for file, retain original to send with acknowledgement letter or PDF if emailing

Cheque payment bounces start refusal process

Complete receipt section on application Form

Enter in TAS

Enter APP Dealing in TAS:

a TAS file number and Exploration Licence Application (ELA) number will generate. Note the details for step Create File and Scan Application in RM8

Print dealing for file

Update TAS with applicant details if applicant/s:

details not current

do not exist in TAS

Note:

1. An application must be verified in TAS within 24 hours of receipt 2. On-line applications are automatically entered and verified in TAS and they have a TAS file

number automatically generated

mailto:[email protected]


Prepare Acknowledgement of Complete & INCOMPLETE Application

Prepare ELA acknowledgement letter (ACK letter)

Complete applications:

Attach fee receipt/tax invoice

Print 2 x TAS full details reports for ACK letter and file

Print 2 x ACK letters for the client and file (Case Supervisor (CS) will check & initial)

Incomplete applications:

list all deficiencies and attach fee receipt/tax invoice

CS to check & approve

Send to applicant by email or post - RM8 email (as per preferred method)

Receive Outstanding Document – Incomplete Applications

Incomplete applications: If outstanding documentation is not received within:

10 business days, prepare Proposed Refusal Letter , seek CS approval & send by registered post

14 business days of Proposed Refusal Letter start Refusal process

If required information and reason received within 14 days and:

no complete competing applications have been received prepare a Section 135 waiver and add to Assessment Summary

complete, competing applications have been received Start Refusal Process

Create File and Scan Application in RM8

Create new record - TAS physical file (use file number generated from APP dealing)

Classification: DEVELOPMENT EXPLORATION & TITLES - Applications & Approvals/Exploration Licence

Title: Application Number: xxxxx by Company Name

Add action Create Physical File Cover to Responsible Location – Maitland file creation

Create sub-folder (new record) within TAS physical file, titled: Application YEAR

Save all document in sub folder (colour scan or digitally from emailed application):

Application cover letter - ELAXXXX_Application cover letter

Receipt-tax invoice and/or email to finance - ELAXXXX_Receipt/Tax Invoice xxxx

Application form as RDA (only complete mandatory fields)

If on-line application save application email

Supporting information separately as per application form checklist as ELAXXX_DOCUMENT NAME

Work Program (WP) - refer to following step Note: all emails relating to an application should be printed & placed on the file & saved to RM8

Save the WP:

as INW document (WP_ELA XXXX) then;

Open in view mode and save as an OUT document (WP_ELA XXXX) (this process allows C&PG and MEA to edit the document)


KPI Calculator for application

Determine KPI’s:

Calculate dates at: http://australia.workingdays.org/

Record on KPI calculations sheet and print KPI Calculations.

Place1 x sheet on front of physical file (when available)

Minerals: Give 1 x sheet to drafting

Create Reference Documents - Titles and Sub-Units

In RM8 open V15/994#1, refer to:

ELA - Titles checklist template

Minerals: MEA assessment checklist for ELA

Coal: CPG Checklist for assessing ELA

ESU ELA checklist

Compliance checklist

ELA Assessment Summary

On the templates complete details relating to the application in the top section of the template. MAY BE CHANGED TO A CUT & PASTE TEMPLATE Save template into the application sub-folder as per the following examples:

ELA XXX_ESU Checklist

ELAXXX_Titles Checklist

http://australia.workingdays.org/


RM8 reference Documents TO SUB-UNITS 4 Complete Applications

reference sub-units as per table when all supporting information is received Coal:

prepare a request for Shape, ID & diagram ELA Drafting

write request on board give file to Drafting

Date to sub-units

as sub-units respond update TAS workflow

Sub-unit RM8 Recipient Action Name Minerals - Drafting Michael Golden Process Work (on RDA)

Coal - Drafting Peter Hord Process Work (on RDA)

Minerals - MEA Principal Geologist TRC Referral

ESU ESU Administrator TRC Referral

Coal - C&P GEO Geological Administrator TRC Referral

Compliance Intel Analyst TRC Referral

Refer to Case Supervisor & Send ack letter

The Case Supervisor (CS) will:

Check and verify APP dealing

Check ACK letter, Assessment Summary & update Check List

Check TAS workflow actions

When returned send ACK letter

Update TAS workflow with: Application Finalised Date


Advertisement & Public Submissions for Application Coal & Geo-thermal Advertisement – when received:

Refer to Drafting to review

Update TAS workflow If advertisements provided but unsatisfactory:

Request amendments and re-advertisement by the applicant

Update Issues Register, request amendments and re-advertisement

If advertisements and reason received within 14 day response period then add a s.135 waiver to Issues Register

Prepare proposed refusal letter, get approval from CS and send

If all information not received within 14 day response period then Start Refusal Process

Minerals Advertisement – when received


Update TAS workflow with advertisement details If advertisements provided but unsatisfactory

Update Issues Register


If advertisement is not provided by the time the draft licence documents are sent include a request for a copy in the ELA Grant Proposal letter

Coal - Public Submissions from Advertisement (if received) is this for minerals as well

When Public Submissions are received

RM8 Public Submission into ELA file

Compile Public Submissions for the Applicant how?

RM8 & Send Public Submissions to the Director of Operations & Programs and the Applicant

RM8 any Applicant’s responses

Prepare and Send Web Notice for submission on web


Conflicts & Encumbrances – Identified by Drafting

If Drafting Identify a Title Conflict for the same Mineral Group Send Conflict Letter to the Applicant:

ELA Conflict with EL Part Area Same Mineral Group.doc

ELA Conflict with EL Whole Area Same Mineral Group.DOC

ELA conflict with earlier ELA same group.DOC

If consent is provided:

Save response in RM8 application sub-folder

Add to Assessment Summary and note the consent provided

Minerals: action Consent Letter to Drafting to prepare/amend diagram accordingly

Coal: prepare request to drafting to prepare/amend diagram accordingly & write on board

If consent is not provided update the Assessment Summary with Exclusion/s

If Drafting identify any Encumbrances, notifications or there is a need for non-standard conditions refer: Minerals:

to the Guide for Conditions for Pre 1 July 2015 applications, or

to Case Manager for instructions for Post 1 July 2015 applications Coal:

Place STC on application in TAS

Prepare correspondence and refer to relevant authority LINK

Refer to Titles Review Committee (TRC)

When a response has been received from all sub-units:

Confirm Application has been gazetted (NSW Legislation), print gazette notice, scan and save to RM8 and File

Conduct a Dead Titles Search, if Applicant has outstanding Dead Titles copy & paste information to ELA Assessment Summary http://oranprodbo1:8080/InfoViewApp/logon.jsp (password = titles)

In RM8 assign to TRC

Refer to CS to check file, complete check list, Assessment Summary, TAS workflow, add comments and signature

CS refers the file to the CM who refers to TRC Note: if application has been reviewed by sub-units under the old process (ie: pre Assessment Summary refer to CM for procedure)

http://www.legislation.nsw.gov.au/

http://oranprodbo1:8080/InfoViewApp/logon.jsp


PROPOSED DECISION RECEIVED from TRC Following TRC: CM receives file and proposed decision in Assessment Summary via RM8 action from Ministerial Coordinator (MC). File will be forwarded to Case Officer from CS When file received from CS in RM8 application file:

Ensure there is a PDF copy of TRC minutes

Rendition the assessment summary, and;

TAS workflow is updated with ETC finalised date (date file is referred to CM – refer RM8) Note: if application has been reviewed by sub-units under the old process - refer to CM for procedure)

Proposed decision is deferred:

STC in TAS, if required request additional information from sub-unit/s – follow-up after 7 days

Return file to TRC when new information is received.

Proposed decision is to offer refer to: Coal Prepare Ministerial Submissions and Draft Documents

Minerals Prepare Draft Licence Documents

Decision is not to grant OR offer OR reduced units has been re-referred and upheld:

refer to Refusal Process

Right to Negotiate (RTN) has been requested:

refer to RTN officer/procedures

place a STC on application in TAS

wait until the RTN process has been completed

ID is older than 6 months or there is a Title Conflict (check status of conflict - example: the underlying title may have expired or been renewed for smaller area) In RM8 create an action to Drafting

give file to drafting – place request in notes:

Coal –prepare minute & write request on the board

Drafting completes ID check and returns file

Decision Maker has proposed Approval of two Titles from the Application:

Create RM8 Action to Drafting requesting new Diagram/s, give file to drafting – put request in notes

Coal - write on board

Email Rents & Levies to create two Titles in TAS (ie ELA #### A and ELA#### B) and request two Titles to be created by Finance


Coal & GEOTHERMAL- Seeking Approval & Licence Document Process (6 Steps)

Step 1- (Coal & Geothermal) Prepare brief & documents to seek ‘Ministers Approval to

offer’

Coal Application Lodged Pre 1 July 2015 Coal Application Lodged Post 1 July 2015 Prepare Ministerial Submission – to seek approval to offer (refer to Ministerial Submission Instructions – template & Instructions 2b developed) Save into RM8 as per procedure

Prepare Ministerial Submission – to seek approval to offer licence (refer to Ministerial Submission Instructions – template & Instructions 2b developed) Save into RM8 as per procedure

Prepare Draft conditions: Coal: Draft Conditions Geothermal: Geo Draft Conditions

Ensure DRAFT Licence documentation has a DRAFT watermark

Prepare Draft Licence Document COAL LINK ELA IMER COAL GEOTHERMAL – 2B prepared LOW IMPACT – 2B prepared

Complete all blank fields – refer to Assessment summary for additional information such as Security amount

Insert diagram after schedule 1 and before schedule 2 - Included any special conditions from

Assessment Summary - Include Work Program details – refer

instructions below Ensure DRAFT Licence documentation has a DRAFT watermark

Schedule 5 Work Program

Check RM8 to identify if the WP is approved - the OUT WP document will have "approved" at the end of the file name. Contact relevant unit if WP has not been approved

insert ‘To Be Advised’ in the unique ID field (as EL no. won’t generate until after the DAP is entered)

a separate electronic copy of the approved WP is to be emailed with the proposed licence document (obtain email address for WP if offer being mailed)

Note: ‘To Be Advised’ in the unique ID field’ will remain like this until after the DMO has approved and an EL number is generated

Note: 9a Coal & oil shale may need noting after 18-12-2015


Step 2- (Coal & Geothermal) Refer for Ministerial Approval

Refer file to CS to check TRC recommendation, draft licence documentation, workflow and

Assessment Summary

Refer to Minister for approval

Update TAS workflow

If not approved start Refusal process If approved refer to Step 3

Step 3 - (Coal & Geothermal) Prepare Proposal letter & refer to applicant

When approval received:

Prepare ELA grant proposal letter

Refer to CS to check Ministerial approval and letter of offer

Send Draft Documents to Applicant and save in RM8 (if by email save email to RM8)

Email electronic copy of approved WP (refer step 1)

Make a note of due date, follow up if not received

Step 4 – (Coal & Geothermal) – Offer Accepted –Security, Rent/Levy received

Review Request received refer to procedure

Offer accepted and security, rent & levy received:

Remove draft watermark from licence document, check decision maker name is current

Save to RM8 as ELA### Final Licence Document

Print licence document

In RM8 complete grant submission section of Assessment Summary (if new process) WILL THIS BE DONE FOR COAL

Refer to Step 5 Prepare Brief for ‘Decision Maker’ – Approval to Grant (or above process?)

Step 5 – (Coal & Geothermal) - Prepare brief for ‘Decision Maker - Approval to grant’

Coal Application Lodged Pre 1 July 2015 Coal Application Lodged Post 1 July 2015 Prepare:

Submission for Decision maker: LINK

Collate attachments for BN

Coal: Ministerial Brief for approval & signature of Local MP letter - LINK.

To prepare the MP letter refer to:

Drafting ID for local electorate

the following link for MP details http://www.parliament.nsw.gov.au

Prepare:







http://www.parliament.nsw.gov.au/



Refer to CS for checking & referral for approval

Note: for a Geothermal ELA – correspondence is not sent to the local member



COAL NEEDS A PROCESS FOR PREPARING A BN – WHERE TO SAVE AND SAVING ATTACHMENTS, WHITE TABS ETC. CHECK IF NEEDED FOR BOTH OFFER & GRANT & WHAT IS THE PROCESS THE MP LETTER TAKES

Step 6 – (Coal & Geothermal) Approval Received from Decision Maker – Enter DAP

Dealing in TAS

Approval to Grant ELA is received from the Decision Maker

Enter DAP dealing in TAS as granted

the received & determined date on the DAP should be the same

use the date when the licence document was signed

if RTN completed before grant include details of the result in the detailed comments field

an EL number will generate Does DAP cancel or part cancel an authority – if yes refer to ‘part cancellation’ or cancellation procedure LINK

Update licence document:

with EL number

Grant date – as per date signed by DMO

Term – as granted ie: Three (3) years

Due Expiry Date eg: 1 January 2019

WP identifier on schedule 5 – example: WP-ELXXXX-20YY-20YY (term of licence) Update Licence History table:

Effective date: grant date

Notes: Grant of EL XXXX Mining Act (1992) Update Work Program:

Update ID no. on the approved WP Password: nswtitles ID no: WP-ELXXXX-20YY-20YY

Prepare Grant Letter & Minute to CS & Drafting

Prepare ELA IMER Grant letter holder

Prepare minute: ELA DAP Drafting (coal)

Refer to CS and Drafting

Write on drafting board

Refer file to CS – CS will refer to drafting after checking DAP

Drafting will refer to CS to verify DAP dealing & check licence documents & Grant Letter


Minerals – Prepare Draft Licence Document Note: ensure all DRAFT Licence documentation has a DRAFT watermark

Mineral Application Lodged Pre 1 July 2015

Mineral Application Lodged Post 1 July 2015

1. ELA grant proposal.doc 2. ELA licence Document (Minerals).doc 3. EL Conditions June 2014 - INTERIM

For TRC Proposed reduced units refer below

1. ELA grant proposal.doc 2. ELA Exploration – Licence Instrument IMER

Licence document


Insert diagram after schedule 1 and before schedule 2

When returned from CS: Create a Licence Document virtual file:

Classification: Development Exploration & Titles – Applications & Approvals Title: LICENCE DOCUMENT EL XXXX

Update properties – (related documents) to ‘alternatively within’ the ELA TAS Physical file

Place Diagram into licence after Schedule 1 information page: save diagram as JPEG to desktop click on page after schedule 1 insert picture insert diagram from desktop RM8 licence document to ELA TAS Physical file & relate to the EL virtual file Print licence document

Update Work Program, in RM8:

Rename WP sub folder (in ELA TAS Physical file) to: ELXXXX Work Program YYYY to YYYY (period of grant) - create folder if not created by C&PGeo & place INW & OUT WP in folder

Relate WP sub-folder to the Licence virtual file

Finalise Documents:

Rendition signed ELA IMER Grant letter holder

Print full details report for EL number – RM8 & place copy on file

Place hard-copy of documents on physical file

Send Grant letter & licence documents by NEXT DAY DELIVERY

Email applicant electronic copy of approved WP from WP folder – RM8 email to WP sub folder Note: the Licence Document virtual file will contain the Licence Document for period of grant. Any updates such as Activity Approvals will be updated into this file/licence document. Process to be prepared


Included any special conditions from Assessment Summary

Include Work Program details – refer

instructions below

For TRC Proposed reduced units and Schedule 5 Work

Program refer below

Refer Documentation for Checking

Refer file to CS to check TRC recommendation, draft licence documentation, workflow and Assessment Summary

Send Draft Documents to Applicant and save in RM8 – if sent by email save email to RM8

Make a calendar note in Gmail of due date

When offer accepted and security & rents & levy’s paid refer - Receipt Security, Rent & Levy procedure

If Review Request received refer to procedure

TRC Proposed reduced Units Pre and Post 1 July 2015 Applications

Request Reduced Units from applicant in Grant Proposal Letter

If Reduced Units not provided within 14 days send Reminder

If Reduced Units not provided by Reminder Due Date start Refusal process Post 1 July 2015 applications - Schedule 1 of the Licence Document Exploration Area

for (click here and type number of units) insert (units to be advised)

on the table reduce to 1 row and insert (units to be advised)







MINERAL APPLICATIONS – Offer accepted - Prepare Final Documents for approval

Offer accepted - security, rent & levy received:


WP information will remain as “to be advised”



In RM8 complete grant submission section of Assessment Summary (or submission for APP under old process – refer to CM for details)

Place licence document in yellow folder with a printout of Assessment Summary

Refer to CS – who will organise referral to Director Minerals Operations (DMO) for approval and signature of licence document

When received back from DMO file will be allocation to CO for finalisation.

Minerals: Approval TO GRANT EL received from DECISION MAKER – enter dap dealing in TAS & Prepare & finalise documents for holder



this date is the date the licence document has been signed


the EL number will generate Does DAP cancel or part cancel an authority – if yes refer to ‘part cancellation’ or cancellation procedure on G Drive

Signed Assessment Summary Rendition Signed Assessment Summary to RM8

Update Licence Document with:

EL number


Term – as granted ie: Thirty six (36) months

Due Expiry Date – 1 January 2019

WP identifier on schedule 5 – example: WP-EL8404-2015-2018 Update Licence History table & print:


Notes: Grant of EL XXXX (1992)

Print updated licence Work Program

Update ID no. on the approved WP Password: nswtitles ID no: WP-ELXXXX-20XX-20XX


Prepare Grant Letter

ELA IMER Grant letter holder

Hint: if unsure of Licence document requirements refer to the hidden text contained in the Draft licence template

Create a Licence Document virtual file: Classification: Development Exploration & Titles – Applications & Approvals

Title: LICENCE DOCUMENT EL XXXX Update properties – (related documents) to ‘alternatively within’ the ELA TAS Physical

file Work Program, in RM8:



Refer to CS Refer file to CS to check licence document and grant letter Finalise Documents:



Send Grant letter & licence documents to applicant - place hard-copy of documents on physical file

Email electronic copy of approved WP from WP folder – RM8 email

Refer file to Drafting to enter DAP shape

When returned from Drafting Print full details report for EL number – RM8 & place copy on file Note: the Licence Document virtual file will contain the Licence Document for period of grant. Any updates such as Activity Approvals will be updated into this file/licence document. Procedure to be prepared


Complete Application Process

Refund required Process a refund of fees if required refer to Refund Guide and Refund Process

Confirm EL Gazetted at: NSW Legislation:

Place a copy on file

Save to RM8

If a Coal Exploration Licence has been granted

update Public Monies spreadsheet if applicable More info required?

DIGS:

Place Licence Documentation into DIGS – refer to DIGS procedures

Refer to another team member to QA Report and documents in DIGS

RM8:

When complete mark file in RM8 to home location

Write on front of file resubmit details – this is date of renewal

Take file to records management

NOTE: 1. The documentation to be placed into DIGS is to be confirmed, consult CM until a decision is made.

If Review Request Received

If a Review Request is received within 14 days:

Record on Assessment Summary

Prepare Review Request ACK Letter LINK? Where is it

RM8 Actions and new information to MEA or C&P GEO, Compliance & ESU

After advice received from sub-units, refer to CS to update the R4R register and action to TRC Secretary to re-submit to TRC Meeting

After TRC proceed with application as directed

Security, Rent & Levy (includes process for security certificate after EL granted)

Note: 1. Security, Fees, Rent & Levy Payments must be received before referring to Decision Maker for

approval 2. If cheque payment bounces and re-collection attempt fails start Cancellation process 3. Any Rent & Levy enquiries email: [email protected]




Security Certificate received - Security Certificate Guide

Check certificate is in the correct format and & all details are correct – refer to applicable template from folder: Security - sample Security templates

Certificate must include Company Name, ACN, Title ID and Amount

Ensure that no extra clauses have been added

Make a copy for file

Minerals: save to RM8 and G Drive: Scanned Security Documents put original in plastic sleeve on front of file

Coal: save to RM8 and G:\Titles and relevant colliery holding file and file original in coal security filing cabinet and update spreadsheet

Security Certificate after EL Granted:

Write EL number on the original security certificate in pencil

Minerals: File certificate in the Print Room on shelf opposite northern door. If this is first certificate for the company, create a new file

Coal: File original in Coal Security Cabinet and update spreadsheet

Credit Card. Cash or Cheque received:

Process credit card payment, refer cash or cheque payment to Corporate Services to process, prepare or obtain receipt/tax invoice to accompany Final Documents

Copy Receipt for the file and Scan to RM8

Direct Deposit, online or SecurePay :

Obtain Customer ID from SAP to include with email to finance.support

email [email protected] for the allocation of funds (include a copy of the payment details). Further information is contained in the Payments Received Link: Payment Received (version 24 August 2015) .

Request a copy of the SAP dump for the file.

If the Unit Fees, Security, Rent & Levy are not provided within 42 days (from Draft documents sent): 1. Send a 14 day Reminder to the Applicant 2. If not received within 14 days then start Refusal process



Refusal

Prepare Proposed Refusal letter Refusal letter

Case Supervisor checks letter and workflow

Case Officer refers Proposed Refusal letter to Applicant

If a Review Request is received within 14 days


Prepare ACK to Applicant

RM8 Actions and new information reference to applicable sub-units

When advice received from sub-units, CS updates R4R register and actions to TRC Secretary to re-submit to TRC Meeting

Update Assessment Summary

CS allocates file

If original decision is upheld prepare Refusal letter

Update DAP Dealing

CO checks letter and verifies DAP dealing

Send Refusal letter & Confirm Proof of Delivery with Australia Post

Insert Diagram into Licence Document

save diagram as JPEG to desktop

click on the page after schedule 1

click insert picture

locate and insert diagram from desktop


Ministers Approval: The turnaround time for a BN sent for Ministerial Approval is approximately one month from the date when the brief was submitted to the Ministers Office. If you have not received a response within six weeks of referring for Ministers approval:

view notes and workflow actions in RM8 to determine the current location of the BN

if this provides no assistance and you can determine that the BN has reached the Ministers office send a follow up email to: [email protected]

Director Minerals Operations approval:

to be determined – similar to above with checking RM8



Low Impact or RTN

If a Low Impact licence has been requested:

RM8 Action a Diagram Request to Drafting and Send a Search request to NNTT – ELA NNTT search request form.doc

Save NNTT Search results in RM8 & Review once received

Update issues register

If Claimants exist complete and send:

Notification to Claimant

Notification to NTSCorp - ELA low impact notices ntscorp.DOC

Wait 4 months before Grant

If a Right To Negotiate (RTN) is requested:

Request RTN Invoice from Finance

Attach RTN Fees Invoice to RTN Acknowledgement

Process RTN Fee Payment

Record RTN Dealing in TAS

Request NNTT Search

Create Drafting action in RM8 to prepare Ads

If Claimants exist then send s.29 Notification to Claimants REN Low impact NT claimants

Send s.29 notifications to the Applicant, NNTT, NTSCorp & Lands

Publish Ads

Once 4 months have passed since the notification date Request 2nd NNTT Search

Update Dealing in TAS with Claimant details or Nullity if no Claimants exist

If Claimants exist:

Notify Applicant that Claimants exist and request info to send to Claimants giving 2 weeks to respond

Send s.31 letter and Information Pack to the Claimants giving 8 weeks to respond

Arrange meeting between Applicants and Claimants to sign Ancillary Agreement

Send s.31 Deed to Applicant and Claimant to sign

Prepare and Send Submission to Minister to sign s.31 Deed

Update RTN Dealing in TAS

If signed s.31 Deed received

Send copy of s.31 Deed to the Applicant, Claimant & NNTT

Send original Deed to Legal Services for /rage

Notify Attorney General


Exploration Licence & Authorisation Renewal Application Procedures Coal, Geo-thermal, Minerals & Petroleum Table of Contents

Receipt of Application ___________ � Process Application Fee Payment ___________ � Enter in TAS ___________ � Obtain File and Scan Application in RM8 ___________ � Prepare Acknowledgement of Application (complete & incomplete) ___________ �

Receive Outstanding Document for Incomplete Applications ___________ � KPI Calculator ___________ � Create Reference Documents - Titles and Sub-Units ___________ �

RM8 Reference Documents for or a Complete Application ___________ �

Refer to Case Supervisor & Send ACK letter ___________ � Refer to Titles Review Committee (TRC) ___________ �

Proposed Decision received from TRC ___________ � Coal & Geothermal – Prepare Ministerial Submission & Draft Document Process (6 Steps) (includes Schedule 5 Work program & TRC reduced units) ___________ � Minerals Prepare Draft Renewal Licence Document ___________ � (includes Schedule 5 Work program & TRC reduced units) Mineral Applications – Offer Accepted – Prepare final documents for Approval ___________ � Minerals - Approval from DMO, Update REN Dealing & Prepare & Finalise DOCs for Holder ___________ � Petroleum Renewal Applications – Prepare Cabinet Minute ___________ � All Applications - Complete application Process ___________ �

Exploration Licence Renewal Application Procedures – 25/11/2015 Page 1

Additional Processes & Information If Review Request Received page

Security, Rent & Levy page Refusal page Stop the Clock Process LINK to G Drive Insert Diagram into Licence Document Turnaround times for Ministerial Submissions & DMO Approvals Review of Conditions (includes a table explaining conditions under IMER)

PREPARE LICENCE DOCUMENT PROCEDURE TO BE INCLUDED FAQS FINANCIAL CAPABILITY GUIDELINE TO BE INCLUDED & TIPS ON DOCS TO ACCEPT

⇑


Receipt of Application Renewal received after Expiry Date:

• advise applicant of option to submit Exploration Licence Application • Coal application - advise Minister’s consent required • Petroleum -

Check application submitted within legislated time limits • Petroleum applications must be received no earlier than two months and no later than 1 month

before expiry of the licence • All other applications must be received within the period two months before expiry

If received out of these time limits refer to Case Manager (CM) for process Reject application if:

• application was not submitted on approved form or on-line application • applicant is an Individual not aged 18 years

Check application is correctly completed: • confirm application details match TAS – refer Full Details Report (print copy for file) • all documents are attached as per checklist • certification is complete

Note: Coal applications for 100% of area do not require co-ordinates in electronic format If more than 1 applicant ensure all applicants provide:

• Statement of corporate, compliance and environmental performance history If full application fee has not been paid, if the fee:

• is being waived record on Assessment Summary • isn’t being waived & applicant does not make correct payment reject application


Note:

1. If Low Impact Application refer to Case Manager (CM) for current process Steps up to and including Refer to Case Supervisor & Send ACK letter should be completed within 24 hours of receipt of application

⇑



Process Application Fee Payment Paid by Direct Deposit, Online or SecurePay (includes on-line applications)

• email [email protected] to allocate funds (include payment details)

Further information can be found at Payment Received (version 24 August 2015) Note: a receipt is not issued for these payments Paid by Cash or Cheque:

• Refer to Corporate Services to process payment and provide a receipt/tax invoice Paid by credit card:

• process payment • prepare receipt/tax invoice • black out credit card details on application form

Copy receipt for file, retain original to send with acknowledgement letter or PDF if emailing Cheque payment bounces start refusal process Complete receipt section on application Form

Enter in TAS Enter REN Dealing in TAS:

• Coal & Petroleum use file number as per last renewal • Mineral renewal use file from last dealing ` • Print REN dealing for file • Update TAS with applicant details if required

New Agent’s letter received • Update TAS and CAG Dealing if required

⇑



OBTAIN File and Scan Application in RM8 Obtain physical file from records (refer to RM8 for location or CS)

• assign file to your name in RM8 • create sub-folder (new record) within RM8 file, titled: REN YEAR – Dealing XX (no. in TAS)

Save documents to sub folder (colour scan or digitally from emailed application): • Application cover letter from Agent or applicant as ELXXXX_Application cover letter • Receipt-tax invoice and/or email to finance as ELXXXX_Receipt/Tax Invoice xxxx • Application form • Save all supporting information separately as per application form checklist as:

ELXXX_DOCUMENT NAME • Coal – save electronic co-ordinates • Work Program (WP) - refer below ⇓

Save Work Program in RM8 • Create sub-folder: ELXXXX Work Program Year XXXX-XXXX (include the year of renewal to the

year of expiry as per requested renewal term) • Save WP to the folder as INW document (WP_EL XXXX) and save alternatively within the REN

Physical File then; • Open the WP in view mode and save as an OUT document (WP_EL XXXX) (this process allows

C&PG and MEA to edit the document) and save alternatively within the Physical File

Prepare Acknowledgement of Complete & INCOMPLETE Application & Receipt of Outstanding Documents Prepare REN acknowledgement letter (ACK letter) Complete applications:

• Print 2 x ACK letters for the client and file (Case Supervisor (CS) will check & initial) • Attach fee receipt/tax invoice • Place TAS full details report on file • Update Application Finalised date in TAS workflow

Incomplete applications: • list all deficiencies and attach fee receipt/tax invoice • CS to check & approve • Send to applicant by email or post - RM8 email (as per preferred method)

⇑


Receive Outstanding Document for Incomplete Applications Documents received within 10 business days:

• Update Application Finalised date in TAS workflow • Refer to next step – KPI’s

If outstanding documentation is not received within: • 10 business days, prepare Proposed Refusal Letter , seek CS approval & send by registered post • 14 business days of Proposed Refusal Letter start Refusal process

If required information and reason received within 14 days and: • no complete competing applications have been received prepare a Section 135 waiver and add to

Assessment Summary • complete, competing applications have been received start Refusal Process


Determine KPI’s: • Calculate dates at: http://australia.workingdays.org/ • Record on KPI calculations sheet and print KPI Calculations. • Place1 x sheet on front of physical file (when available) • Minerals: Give 1 x sheet to drafting

Minerals KPI - 45 working days Coal KPI – 85 working days Petroleum – KPI’s to be determined Create Reference Documents – Titles Services and Sub-Units RM8 open V15/994#1 refer to:

• Titles checklist – Exploration licence renewals – Template 1 July 2015 • Minerals: MEA checklist for EL renewals – MEA Ver 8 • Coal: CPG Checklist for assessing EL Renewal • Petroleum: CPG Checklist for assessing PEL Renewal • ESU Final EL Renewal checklist V4.0 3 September 2015 • Compliance checklist • Assessment Summary


• EL XXX_ESU Checklist – EL Renewal • ELXXX_Titles Checklist – Exploration Licence Renewal

For Minerals: MEA checklist for EL renewals – MEA Ver 8 • (If the REN is for more than 50% of the area save as EL xxxx MEA Checklist SCR) • If the REN is for 50% or less of the area save as EL xxxx MEA Checklist Normal

⇑



Create Titles Services - Drafting Reference Documents Coal Drafting (reference document):

• prepare a request for Shape, ID & Conflicts REN Drafting (Coal-8) • if geo-thermal prepare drafting request REN Drafting (Coal-8) - note geothermal on request • write request on board give file to Drafting – if geothermal note this on request on board

Minerals (reference document): • place REN dealing as 1st document on file & give file to drafting

Petroleum: • drafting templates to be confirmed

RM8 reference Documents TO SUB-UNITS 4 Complete Applications Reference sub-units only when ALL supporting information has been received Create workflow actions in RM8 on reference documents in previous step & Drafting

Sub-unit RM8 Recipient Action Name Minerals - Drafting Michael Golden Process Work Coal - Drafting Peter Hord Process Work Minerals - MEA Principal Geologist TRC Referral Petroleum - Drafting Peter Hord TRC Referral ESU ESU Administrator TRC Referral Coal & Petroleum - C&P GEO Geological Administrator TRC Referral Compliance Intel Analyst TRC Referral

Refer to Case Supervisor & Send Ack letter The Case Supervisor (CS) will:

• Check REN dealing • Check ACK letter, Assessment Summary & update the Check List • Check workflow actions • When returned send ACK letter email or post as per preferred method – if emailed save outgoing

email to RM8

⇑

Update TAS workflow with: • REN application Finalised Date • Date to sub-units • Update TAS workflow as sub-units and drafting respond


Refer to Titles Review Committee (TRC) When a response is received from all sub-units:

• Confirm Renewal application has been gazetted (NSW Legislation), print gazette notice, RM8 and place on file

• Conduct Dead Titles Search, if Applicant has outstanding Dead Titles copy & paste information to Assessment Summary http://oranprodbo1:8080/InfoViewApp/logon.jsp (password = titles).

• Print Assessment Summary • If application has been reviewed by sub-units under the old process (pre assessment summary)

prepare TRC Minute • In RM8 assign file to TRC • Refer to CS to check file, complete check list, Assessment Summary, TAS workflow, add comments

and signature • CS refers the file to the Case Manager (CM) to refer to TRC

PROPOSED DECISION RECEIVED from TRC Mineral Applications: the Decision Maker will make a recommendation at TRC

After TRC: CM receives file and proposed decision in Assessment Summary via RM8 from Ministerial Coordinator (MC). File will be forwarded to Case Supervisor for distribution. When file received from CS:

• Ensure copy of TRC minutes are saved in REN file in RM8, and; • TAS workflow is updated with TRC finalised date (date file is referred to CM – refer RM8)

Proposed decision is deferred: • STC in TAS, if required request additional information from sub-unit/s – follow-up after 7 days • Return file to TRC when new information is received REN TRC Re-referral

Proposed decision is to Renew: • Coal Prepare Ministerial Submission • Minerals Prepare Draft Renewal Licence Documents • Petroleum – Prepare Cabinet minute

Decision is not to renew OR reduced units has been re-referred and upheld: • refer to Refusal Process

Right to Negotiate (RTN) has been requested: • refer to RTN officer/procedures • place STC on application in TAS • wait until the RTN process has been completed

⇑




Coal & Geothermal - Prepare Ministerial Submission & Draft Documents STEP 1- (COAL & GEOTHERMAL) PREPARE BRIEF & DOCUMENTS TO SEEK MINISTERS APPROVAL TO OFFER RENEWAL

Coal Application Lodged Pre 1 July 2015 Coal Application Lodged Post 1 July 2015 Prepare Ministerial Submission – to seek approval to offer renewal Save into RM8 with attachments as per procedure 2b prepared

Prepare Ministerial Submission – to seek approval to offer renewal (need clarification this link is correct) Save into RM8 with attachments as per procedure 2b prepared

Prepare Draft conditions. Refer to previous conditions for any special conditions to apply to the renewal conditions. Refer to CS if unsure of what conditions to apply Coal: Draft Conditions Geothermal: Geo Draft Conditions Low Impact: refer to CM for further advice Authorisation: Draft Conditions - change Exploration Licence to Authorisation and act to Coal Mining Act 1973

DRAFT Licence must have a DRAFT watermark

Prepare Draft Licence Document - the complete document is referred to the Minister. COAL – EL REN Licence document GEOTHERMAL – 2B prepared LOW IMPACT – 2B prepared AUTHORISATION – 2B prepared On licence document reveal hidden text & complete blank fields as appropriate, and:

– Insert diagram after schedule 1 and before schedule 2

– Include any special conditions from Assessment Summary

– Include approved Work Program – refer instructions below ⇓

Condition 2 Native title: – Remove if title has been through RTN (refer to

TAS dealings) – If not refer to Section 26D for further

clarification – Where the condition is removed include the

words xxxxx????

Security: – Remove condition not required

– Where the condition is removed include the words xxxxx????



⇑



Check RM8 to confirm the WP is approved - the OUT WP document will have "approved" at the end of the file name. Contact relevant unit (MEA or C&PGeo) if WP has not been approved.

• insert in the identification number field the work program number as: WP-ELXXXX-YEAR-YEAR

(YEAR-YEAR = the renewal term from TRC)

STEP 2- (COAL & GEOTHERMAL) REFER FOR MINISTERIAL APPROVAL TO OFFER RENEWAL

• Refer file to CS to check TRC recommendation, draft licence documentation, workflow and

Assessment Summary • Refer to Minister for approval PROCESS • Update TAS workflow • If not approved start Refusal process • If approved refer to Step 3

STEP 3 - (COAL & GEOTHERMAL)

PREPARE REN OFFER LETTER & REFER TO APPLICANT When approval from Minister received check for outstanding:

• Rent & Levy payments in SAP – if last invoice payment is paid put SAP dump on file & RM8, if not paid print invoice and advise in REN offer payment required before renewal

• Security reviews (SRV) in TAS, if so note in REN offer letter • Requirements to be resolved prior to renewal on Assessment Summary & TRC minute

REN Offer letter • Prepare REN offer letter - print 2 copies • Refer to Case Supervisor to check Ministerial approval & REN offer & documents • Send REN offer, Draft licence & approved WP to Applicant • Save in RM8 (if by email save email to RM8) • Make a note of due date, follow up if not received

If applicant has indicated to receive documents by mail – request an email address on REN Offer letter so an electronic version of the WP can be emailed to them on renewal.

⇑


STEP 4 – (COAL & GEOTHERMAL

RENEWAL OFFER ACCEPTED (NO OUTSTANDING SECURITY REVIEWS (SRV’S) & RENT & LEVY PAYMENTS ARE UP TO DATE)

• Review Request received refer to procedure • Security and/or Rent & Levy received – refer to process

Offer accepted (SRV’s & Rent & levy payments are up to date)

• Remove draft watermark from licence document • WP information will remain as “to be advised” • Check decision maker name is current • Save to RM8 as ELXXXX Renewal Licence Document • Print licence document • In RM8 complete grant submission section of Assessment Summary • Refer to Step 5 Prepare Brief for ‘Decision Maker’ – Approval to Grant Renewal

STEP 5 – (COAL & GEOTHERMAL)

PREPARE BRIEF FOR DECISION MAKER - APPROVAL TO GRANT RENEWAL

Application Lodged Pre 1 July 2015 Application Lodged Post 1 July 2015 Prepare: Approval brief for Decision maker (DMO) Ministerial Brief for approval & signature of

Local MP letter refer below ⇓ 1. Refer all documents to CS for checking &

referral for approval 2. Collate attachments for both BN’s & save

to RM8 3. Refer all documents to CS for checking &

referral for approval 4. Follow up if a response is not received from

DMO within xxxx?

To prepare Local MP letter refer to: • Drafting ID for local electorate • the following link for MP details

http://www.parliament.nsw.gov.au • referral instructions are found on the Local

MP letter

NOTE: for a Geothermal Renewal – Local MP letter is NOT sent.

Prepare: Approval brief for Decision maker (DMO) Ministerial Brief for approval & signature of

Local MP letter refer below ⇓ 1. Refer all documents to CS for checking &



referral for approval 4. Follow up if a response is not received

from DMO within xxxx? To prepare Local MP letter refer to:

• Drafting ID for local electorate • the following link for MP details

http://www.parliament.nsw.gov.au • referral instructions are found on the

Local MP letter


⇑





APPROVAL TO RENEW RECEIVED FROM DECISION MAKER

⇑

Update REN dealing in TAS to Approved • determined date is the date DMO has signed the licence document

Update Licence Document • Renewal date – the date DMO has signed the licence document • Confirm term & expiry date are correct • Confirm WP identification number dates are correct

RM8 Licence Document • Create a Licence Document virtual file:

Classification: Development Exploration & Titles – Applications & Approvals Title: LICENCE DOCUMENT EL XXXX_YEAR to YEAR

• Update the file properties to ‘alternatively within’ the EL Physical file • RM8 the signed licence document to the virtual file • If renewal date differs to application update the WP Virtual file name to reflect period of grant

Prepare REN Letter • REN IMER holder after renewal (use for both pre & post 1 July 2015 renewals)

Prepare Minute to Drafting • REN EL Drafting Post renewal (coal)

Refer to Case Supervisor (CS) and Drafting • write on drafting board Shape (Post REN) • refer file to CS to check REN Dealing & give to Drafting • when returned from Drafting, if diagram updated place into licence document & RM8 to

RENEWAL file • refer to CS to verify REN dealing & check licence documents & Grant Renewal Letter

When returned from CS: • rendition signed REN IMER holder letter & place copy on physical file • print full details report from TAS – RM8 & place copy on file • send renewal documents to holder • send applicant a separate email with an electronic copy of approved WP (RM8 email) - advise

applicant: The WP is to be retained and returned in the same format when annual reporting is due.

Note: the Licence Document virtual file will contain the Licence Document for period of renewal. Any updates such as Activity Approvals will be updated into this file/licence document. Refer to Prepare Licence Document Procedure LINK to be prepared


Minerals Prepare Draft Renewal Licence Document Note: ensure all DRAFT Licence documentation has a DRAFT watermark ensure correct act is noted ie: Mining Act 1992 or Mining Act 1973

Application Lodged Pre 1 July 2015 Application Lodged Post 1 July 2015 Prepare:

1. REN Offer standard (Minerals) 2. EL Conditions June 2014 - INTERIM

Prepare Draft conditions. Refer to previous conditions for any special conditions to apply to the renewal conditions. Refer to CS if unsure of what conditions to apply

TRC Proposed reduced units refer next page ⇒

– REN IMER Offer standard (Minerals) – EL Exploration – Licence Instrument IMER

Licence document Licence document:

– Complete all blank – Insert diagram after schedule 1 and before

schedule 2 – Include any special conditions from Assessment

Summary – Update Work Program unique identifier – refer

instructions below ⇓



clarification – Where the condition is not used include the

words xxxxx???? Security:

– Remove security condition not required – Refer to Assessment summary for Security

amount – Where the condition is not used include the

words xxxxx???? TRC Proposed reduced units and Schedule 5 Work Program refer next page ⇒

⇑


Refer Documentation for Checking • Refer file to CS to check Decision Maker approval, draft licence documentation, workflow and

Assessment Summary • Send Draft Documents to Applicant and save in RM8 – if emailed RM8 email • Make a calendar note in Gmail of due date • When offer accepted and security & rents & levy’s paid refer - Receipt Security, Rent & Levy

procedure • If Review Request received refer to procedure

MINERAL APPLICATIONS – OFFER ACCEPTED - PREPARE FINAL DOCUMENTS FOR APPROVAL Offer accepted - security, rent & levy received:

• remove draft watermark from licence document • check decision maker name is current • update if reduced units • save to RM8 as EL### Renewal Final Licence Document • print licence document

REN Application with Assessment Summary: • In RM8 complete grant submission section of Assessment Summary and print • Place printed licence document & assessment summary in yellow folder and give with file to CS to

refer to DMO for approval and signature of licence document • When DMO has completed, file will be allocated back to Case Officer (CO) for finalisation.

REN Applications PRE - Assessment Summary: • Prepare BN to DMO for approval LINK • Place brief and licence document in yellow folder • Give yellow folder & file to Case Supervisor who will refer to DMO for approval and signature of

licence document • When DMO has completed, file will be allocated back to CO for finalisation. ⇑


• Request reduced units from applicant in REN Offer Letter • If reduced units not provided within 14 days send Reminder • If reduced units not provided by reminder due date start Refusal process

Post 1 July 2015 applications - Schedule 1 of the Licence Document Exploration Area

• for (click here and type number of units) insert (units to be advised) • on the table reduce to 1 row and insert (units to be advised)

Schedule 5 Work Program Check RM8 to confirm WP is approved - the OUT WP document will have "approved" at the end of the file name. Contact relevant unit if WP has not been approved.

• insert in the identification number field the work program number as: WP-ELXXXX-YEAR-YEAR (YEAR-YEAR = the renewal term from TRC)


Minerals: Approval TO Renew EL received from DECISION MAKER – Update REN dealing in TAS & Prepare & finalise documents for holder

Update REN dealing in TAS to Approved • the determined date is the date the Decision Maker has signed the licence document


Update Licence Document with: • Renewal date – as per date signed by DMO • Term – as granted ie: Thirty six (36) months • Due Expiry Date – 1 January 2019 • WP identifier on schedule 5 – example: WP-EL8404-2015-2018

Update Licence History table & print: • Effective date: Renewal date (date signed by Decision Maker) • Notes: Renewal of EL XXXX (1992) • Print updated licence

Work Program • Update ID no. on the approved WP

Password: nswtitles ID no: WP-ELXXXX-20XX-20XX

Hint: if unsure of Licence document requirements refer to the hidden text contained in the Draft licence template Prepare REN Letter

• REN IMER holder after renewal (this letter is for pre & post 1 July 2015 renewals) RM8 Licence Document. Create a Licence Document virtual file:

• Classification: Development Exploration & Titles – Applications & Approvals Title: LICENCE DOCUMENT EL XXXX

• Update properties – (related documents) to ‘alternatively within’ the EL physical file • RM8 the signed licence document to the virtual file

If renewal date differs to application update the WP Virtual file name to reflect period of grant Work Program, in RM8:

• Check WP sub folder name, rename if REN period differs to REN Application. Naming convention ELXXXX Work Program YYYY to YYYY (renewal period) - create folder if not created by MEA & place INW & OUT WP in folder

• Relate WP sub-folder to the Licence virtual file Refer to Case Supervisor (CS)

• Refer file to CS to check licence document and grant letter

When returned from CS: • Send renewal letter and signed licence document by mail - place hard-copy of documents on

physical file, email if requested – RM8 email • Email electronic copy of approved WP from WP folder – RM8 email. Advise applicant: The WP is

to be retained and returned in the same format when annual reporting is due. • Refer file to Drafting for ID ⇑


⇑

• When returned from Drafting Print full details report for EL number – RM8 & place copy on file Note: the Licence Document virtual file will contain the Licence Document for period of renewal. Any updates such as Activity Approvals will be updated into this file/licence document. Refer to Prepare Licence Document Procedure


PETROLEUM RENEWAL APPLICATIONS – Prepare Cabinet Minute

• After TRC Petroleum Renewal Applications are referred to Cabinet.

• All Petroleum applications will receive a new licence document – regardless if received pre 1 July 2015

• The process is not finalised refer to Case Manager

⇑


ALL APPLICATIONS - Complete Application Process

Refund required Process a refund of fees if required refer to Refund Guide and Refund Process Confirm EL Gazetted at: NSW Legislation:

• Place a copy on file • Save to RM8

DIGS: • Place Renewal Licence Documentation into DIGS – refer to DIGS procedures • Refer to another team member to QA Report and documents in DIGS

RM8: • When complete mark file in RM8 to home location • Write on front of file resubmit details – this is date of expiry of renewal • Take file to records management



If a Review Request is received within 14 days: • Record on Assessment Summary • Prepare Review Request ACK Letter • RM8 Actions and new information to MEA or C&P GEO, Compliance & ESU • After advice received from sub-units, refer to CS to action to TRC Secretary to re-submit to TRC

Meeting • After TRC proceed with application as directed


• save diagram as JPEG to desktop • click on the page after schedule 1 • click insert picture • locate and insert diagram from desktop

⇑



Security, Rent & Levy Note:

1. Security, Fees, Rent & Levy Payments must be received before referring to Decision Maker for approval

2. If cheque payment bounces and re-collection attempt fails start Cancellation process 3. Any Rent & Levy enquiries email: [email protected]

Replacement Security Certificate received - Security Certificate Guide

• Check certificate is in correct format and & all details are correct – refer to applicable template from folder: Security - sample Security templates

• Certificate must include Company Name, ACN, Title ID and Amount • Ensure that no extra clauses have been added • Make a copy for file • Minerals: save to RM8 and G Drive: Scanned Security Documents file certificate in the Print

Room on shelf opposite northern door, remove security that is being replaced, finalise in TAS and return by NEXT DAY DELIVERY

• Coal: save to RM8 and G:\Titles and relevant colliery holding file and file original in coal security filing cabinet and update spreadsheet, remove security that is being replaced, finalise in TAS and return by NEXT DAY DELIVERY

NOTE: Refer to Security Review Procedures for further instructions Credit Card. Cash or Cheque received:

• Process credit card payment, refer cash or cheque payment to Corporate Services to process, prepare or obtain receipt/tax invoice to accompany Final Documents

• Copy Receipt for the file and Scan to RM8 Direct Deposit, online or SecurePay :

• Obtain Customer ID from SAP to include with email to finance.support • email [email protected] for the allocation of funds (include a copy of the

payment details). Further information is contained in the Payments Received Link: Payment Received (version 24 August 2015) .

• Request a copy of the SAP dump for the file. If the Unit Fees, Security, Rent & Levy are not provided within 42 days (from Draft documents sent):

1. Send a 14 day Reminder to the Applicant 2. If not received within 14 days then start Refusal process

⇑




Refusal

• Prepare Proposed Refusal letter Refusal letter • Case Supervisor checks letter and workflow • Titles Administrator Sends Proposed Refusal letter to title holder

If a Review Request is received within 14 days • Record on Assessment Summary • Prepare Request ACK Letter to Applicant • RM8 Actions and new information reference to applicable sub-units • When advice received from sub-units, CS updates R4R register and actions to TRC Secretary to re-

submit to TRC Meeting • Update Assessment Summary or prepare TRC Minute (if old system) • CS allocates file • If original decision is upheld prepare Refusal letter • Update REN Dealing to refused • CO checks letter and verifies REN dealing • Send Refusal letter & Confirm Proof of Delivery with Australia Post



• view notes and workflow actions in RM8 to determine the current location of the BN • if this provides no assistance and you can determine that the BN has reached the Ministers office send a follow up email to: [email protected]


• to be determined – similar to above with checking RM8

⇑



LOW IMPACT OR RTN If a Low Impact licence has been requested:

• RM8 Action a Diagram Request to Drafting and Send a Search request to NNTT – ELA NNTT search request form.doc

• Save NNTT Search results in RM8 & Review once received • Update issues register

If Claimants exist complete and send: • Notification to Claimant • Notification to NTSCorp - ELA low impact notices ntscorp.DOC • Wait 4 months before Grant

If a Right To Negotiate (RTN) is requested: • Request RTN Invoice from Finance • Attach RTN Fees Invoice to RTN Acknowledgement • Process RTN Fee Payment • Record RTN Dealing in TAS • Request NNTT Search • Create Drafting action in RM8 to prepare Ads • If Claimants exist then send s.29 Notification to Claimants REN Low impact NT claimants • Send s.29 notifications to the Applicant, NNTT, NTSCorp & Lands • Publish Ads • Once 4 months have passed since the notification date Request 2nd NNTT Search • Update Dealing in TAS with Claimant details or Nullity if no Claimants exist

If Claimants exist: • Notify Applicant that Claimants exist and request info to send to Claimants giving 2 weeks to

respond • Send s.31 letter and Information Pack to the Claimants giving 8 weeks to respond • Arrange meeting between Applicants and Claimants to sign Ancillary Agreement • Send s.31 Deed to Applicant and Claimant to sign • Prepare and Send Submission to Minister to sign s.31 Deed • Update RTN Dealing in TAS

If signed s.31 Deed received • Send copy of s.31 Deed to the Applicant, Claimant & NNTT • Send original Deed to Legal Services for /rage • Notify Attorney General • Update RTN Dealing in TAS

⇑


Review of Conditions

• The tables show how each title condition was treated:

• Conditions reworked into a new standard condition in yellow • Conditions deleted (unnecessary, already regulated elsewhere) in red • Conditions moved to environment code in green • Conditions moved to other codes (e.g. drilling code) in blue • Purple refer below

NB: the requirement for a nominated person/position to be the contact for all matters is for Compliance reasons. An agent can be the contact. The community consultation condition remains unchanged until the code of practice is finalised NOTE:

• Special conditions have not been finalised, refer to IMER project team if you have a renewal with them

• Aboriginal Land Council Notification (Brigalow Belt) condition is not required (contrary to table) as these areas will be defined on the diagram.

⇑


Checklist for Titles relating to Exploration Licence Applications

TITLE INFORMATION: File Number:

ELA number:

Applicant: KPI Dates

To TRC: Offer Made:

Admin Officer:

Senior Titles Officer:

Decision Maker:

Supporting Information Due Date:

Advertising Due Date:

NOTE: This checklist is not to be used for exploration (mineral owner) licences or small-scale titles

Exploration Licence Applications - Titles Checklist - 28/07/2015 Page 1 of 23

FORM No. XX

Relevance of consideration

Requirements YES NO N/A

Senior Titles Officer Checks Before Drafting

EL1.9 Mining Act 1992 (NSW) No 29 s.13(4)(c), s. 135 Policy

(a) Has the full Application Fee been received?

(b) If the answer to (a) is No, is the Application fee being waived?

(c) If the answer to (b) No, has the applicant been contacted and asked to pay full amount?

If the answer to (b) is No, the application is not to be processed until full application fee is received.

EL1 Mining Act 1992 (NSW) No 29 s.382

Application made in or to the effect of the approved form?

If No, added to acknowledgement letter as deficiency?

EL1.1 Mining Act 1992 (NSW) No 29 s.13(1), Interpretation Act 1987 No 15 s.21

If the applicant is a Company/ies, are they registered on ASIC?

If No, do not prepare acknowledgement letter refer to supervisor

EL1.2 Mining Act 1992 (NSW) No 29 s.129

Individual Applicant aged 18 or over?

If No, added to Assessment Summary?

Refusal Submission forwarded to Team Leader?

EL1.3, 1.10(h)

Mining Regulation 2010 (NSW) cl.14(1)(a) Mining Act 1992 (NSW) No 29 s.22(2)(a), s.380A

Convicted person section answered?



FORM No. XX



EL1.6 Mining Act 1992 (NSW) No 29 s.32D

(a) Low Impact Methods?

(b) If Low Impact Methods are nominated, have NNTT and NTSCorp letters been sent?

(c) If Low Impact Methods are not nominated, has Right to Negotiate been requested to prospect on NT claimable Land?

(d) If the answer to (c) is Yes, has RTN advertising fee been supplied or requested in acknowledgement letter?

EL1.7 Mining Act 1992 (NSW) No 29 s.13.4A

Groups of Minerals Sought provided?

If No, added to acknowledgement letter as deficiency? EL1.8 Mining Act 1992 (NSW) No

29 s.27 Licence Period sought provided?

If No, added to acknowledgement letter as deficiency? EL1.10(a) (Groups 9 & 11 only)

Mining Act 1992 (NSW) No 29 s.13(3)

Has Minister’s Consent been granted if required?

Date Granted:

Has application been lodged within 6 months of consent being granted (or any other relevant timeframe)?

Does the area applied for match that granted in Minister’s Consent?

Have the other conditions of consent (if any) been complied with? EL1.10(d) Mining Act 1992 (NSW) No

29 s.13.5B Available Financial Resources particulars provided for each applicant in

approved template?



FORM No. XX



EL1.10(e) Mining Act 1992 (NSW) No 29 s.13.5B

Available Relevant Technical Advice particulars provided for each applicant? (Including contact details, qualifications and letter of acceptance) If No, added to acknowledgement letter as deficiency?

EL1.10(f) Mining Act 1992 (NSW) No 29 s.13.5C

Program of Work particulars provided in new work program template? If No, added to acknowledgement letter as deficiency?

EL1.10(g) Proof of Identity ASIC Company extract – (If Company extract not supplied note on Compliance Checklist and keep going) Documents as per POI factsheet http://www.resourcesandenergy.nsw.gov.au/__data/assets/pdf_file/0003/56628

EL1.10(h) Mining Regulation 2010 (NSW) cl.14.(1)(a)

Each applicant’s environmental performance record provided in statutory declaration? If No, added to acknowledgement letter as deficiency?

EL1 Appendix 1 & 2

Mining Act 1992 (NSW) No 29 s.13.5A Mining Regulation 2010 (NSW) cl.16

Area described correctly? If No, added to acknowledgement letter as deficiency?

Procedure Has Full Details Report been printed and added to Acknowledgement Letter?

Procedure Has acknowledgement letter been sent to the applicant (including any deficiencies)?

Procedure Has Dealing been printed and added to front of File?


Relevance of consideration Requirements YES NO N/A Mining Regulation 2010 (NSW) cl.76(9) Mining Act 1992 (NSW) No 29 s.135Policy(2 weeks)

Mining Act 1992 (NSW) No 29 s.135Policy

Have Workflow dates been correctly entered in TAS?

Procedure (a) Was the Application lodged online?

(b) If the answer to (a) is No, has the APP dealing been entered correctly?

(c) If the answer to (b) is Yes, has the APP dealing been verified?

(a) Has all required information been received within 10 business days?

(b) If the answer to (a) is No, has all required information been received?

(c) If the answer to (b) is No, see Page 11 - Proposed Decision is to Refuse

(d) If the answer to (b) is Yes, are there any competing applications?

(e) If the answer to (d) is Yes, see Page 11 - Proposed Decision is to Refuse

(g) If the answer to (d) is No (i.e. there are no competing applications), has late lodgement of the required information been added to the Assessment Summary noting the requirement for a s 135 waiver?


Relevance of consideration Requirements YES NO N/A Procedure RM8 Actions completed for Drafting, MEA/Coal Advice, ESU and Compliance?

Date: Mining Act 1992 (NSW) No 29 s.135

Can the application proceed without a S135 waiver?

Comment:Procedure Has KPI calculator date sheet been placed on front of file?

First Stage of checking completed - Insert electronic signature for Senior Titles Officer:After Drafting Identification prepared Procedure Diagrams Reviewed (Labels correct, No. of units, Applicant Name & No.)?

Mining Act 1992 (NSW) No 29 s.136

Application gazetted in State publication?

Date: Mining Act 1992 (NSW) No 29 s.18, s.19

All or some Area available for Grant?

If none or some only, details recorded in Assessment Summary?

Comments:


Relevance of consideration Requirements YES NO N/A Mining Act 1992 (NSW) No 29 s.19, s.21

(a) Are there any Conflicts (same area and group)?

(b) If the answer to (a) is Yes, has notification been sent to applicant?

(c) If the answer to (a) is Yes, has consent been supplied?

(d) If the answer to (c) is Yes, has the file for conflicting Title been retrieved and attached to application file so cancellation of the overlapping title can be effected on Grant?

(e) If the answer to (c) is No, or land is within a Colliery Holding, has this been recorded in the Assessment Summary? (The conflict area is to be excluded from any grant of the application).

Policy (Internal Decision Making Framework)

Does any applicant have outstanding reports for any Dead Titles?

If Yes, has this been added to the Assessment Summary?

(For Coal Only) Policy

(a) Have public submissions been received within 28 days?

(b) If the answer to (a) is Yes, have public submissions been sent to applicant?

(c) If the answer to (b) is Yes, have submission responses been received by 3 days before due date?

(d) If the answer to (c) is No, has a reminder been sent?

(e) If the answer to (d) is Yes, have submission responses been received within 28 days?


Relevance of consideration Requirements YES NO N/A Procedure Does the Drafting Identification indicate that special conditions are required?

If Yes, add them here and confirm relevant outwards correspondence has been sent.

ie: SCA or Essential Energy letters, list letters here

e.g. Special Condition – XYZ – letter sent to relevant party

Comments:

Policy Input from Drafting MEA/Coal Advice, ESU and Compliance provided? (If No, application cannot proceed to TRC.)

Policy Workflow updated correctly in TAS?

Team Leader Checks Before TRC

Procedure Has information been checked by Senior Titles Officer or above? - (electronic signature provided)?

TRC Meeting Occurs


Relevance of consideration Requirements YES NO N/A

Senior Titles Officer Checks after TRC

Proposed Decision to Approve Procedure (a) Is the proposed decision to Approve the Application?

(b) If the answer to (a) is Yes then, is the Approval for the Area sought?

(c) If the answer to (b) is Yes then, are the following documents prepared correctly:

a. Grant Proposal?

b. Licence Document?

c. EL Conditions?

(d) If the answer to (b) is No then, has Licence document been prepared correctly? Procedure Have the Draft documents been emailed to the Applicant?

Date: Procedure Has the Applicant requested a review?

(If Yes then, go to Page 12 - Review Requested section.) Procedure (a) Does the Applicant have outstanding payments (unit fees, security, rent & levy)?

(b) If the answer to (a) is Yes then, have the payments been received within 14 days of the Draft documents being sent?

(c) If the answer to (b) is No then, has a reminder been sent with no response?

(d) If the answer to (c) is Yes then, go to Page 11 - Proposed Decision to Refuse



Senior Titles Officer Checks before Decision Maker Final Checks Procedure Have the Final Documents and Assessment Summary been prepared correctly?

Procedure Has Assessment Summary been actioned to the Decision Maker and Physical File taken to his Personal Assistant?

Date: Senior Titles Officer Checks after Decision Maker Final Checks Procedure Has final decision been signed by the Decision Maker on Licence and Assessment Summary?

Procedure Has the TAS dealing been updated correctly to a DAP?

Procedure Has the DAP been printed and added to the top of the physical file?

Procedure Has the Final Licence been renditioned to the Licence Instrument in RM8?

Procedure Have the signed Final Licence, conditions and diagram been saved to G Drive and DIGS?

Procedure Have the signed Final Licence and conditions been printed and added to physical file?

Procedure Has the ELA Grant Letter been prepared correctly?

Senior Titles Officer Checks after Final Documents Mailed to Applicant Procedure Have the Final Documents been mailed to the Applicant?

Procedure Have Drafting added the DAP shape to the file?




Procedure Has Gazette date been recorded on DAP printout?

Procedure Have the report and documents been Quality Assured in DIGS?

Proposed Decision to Refuse Procedure Has the proposed Refusal letter been prepared correctly?

(If Yes then give file to Titles Administrator to Mail and return file for further checking)

Procedure Has the proposed Refusal Letter been mailed by Registered Post?

Proof of Delivery Date: ________________

Procedure (a) Is the Refusal due to a pre-TRC requirement not being met? (b) If the answer to (a) is Yes then, have they failed to respond within 14 days?

(If No then, return to pre-TRC check-list.) (c) If the answer to (a) is No then, has no Request for Review been received from the Applicant within 14

days? (If No then go to Page 12 – Review Requested)

Procedure Has the Assessment Summary been update correctly?

Procedure Has the Assessment Summary been updated correctly and signed by Decision Maker?

Procedure Has the Dealing been updated correctly in TAS?

Procedure Has Final Refusal letter been prepared correctly?

Procedure Has any required Refund been processed?

Procedure Has Dealing been verified?

Procedure Has Final Refusal letter been sent to the Applicant?


Relevance of Consideration


Review Requested Procedure Has request for Review been recorded on Assessment Summary and R4R register?

Has Acknowledgement letter been prepared correctly?

Has additional information been saved in RM8 and Actioned to relevant business units? (Return to After TRC section on Page 9)


Mining Act 1992 No 29 13 Application for exploration licence

(1) Any person may apply for an exploration licence. (2) To avoid doubt, the owner of privately owned minerals may apply for an exploration (mineral owner) licence or any other exploration licence with respect to those minerals. Note. The owner of privately owned minerals may choose to apply for an ordinary exploration licence with respect to those minerals, rather than an exploration (mineral owner) licence. In relation to exploration (mineral owner) licences see section 24 (4). (3) An application that relates to land in a mineral allocation area may not be made, except with the Minister’s consent, in relation to any group of minerals that includes

an allocated mineral. (4) An application for an exploration licence must:

(a) specify the group or groups of minerals in respect of which the application is made, and (c) be accompanied by the required information and the application fee prescribed by the regulations, and (d) if the application is for an exploration (mineral owner) licence with respect to privately owned minerals that have more than one owner, be made by all the owners.

(5) The required information is as follows: (a) a description, prepared in the approved manner, of the proposed exploration area, (b) particulars of the financial resources and relevant technical advice available to the applicant, (d) particulars of the estimated amount of money that the applicant proposes to spend on prospecting in that area, (e) if the application is for an exploration (mineral owner) licence, evidence that the minerals to which the application relates are owned by the applicant,

(6) If there is more than one applicant for the licence, a reference in subsection (5) to the applicant is a reference to each applicant.

13A Notice of application for exploration licence

(1) Within 14 days (or such other period as may be prescribed by the regulations) after lodging an application for an exploration licence, the applicant must cause notice of the application to be published in a newspaper circulating generally in the State and in at least one newspaper circulating in the locality of the proposed exploration area.

(2) The notice must: (a) state that an application for an exploration licence has been lodged, and (b) contain a plan of the proposed exploration area, and (c) comply with any other requirements that are prescribed by the regulations for the purposes of this subsection.

18 Land in reserve or opal prospecting area

An exploration licence may not be granted over any land within: (a) an opal prospecting area, or (b) a reserve in respect of which an order prohibiting the granting of exploration licences is in force under section 367.


19 Land subject to authority

(1) An exploration licence may not be granted over any land: (a) the subject of some other exploration licence that includes a group of minerals in respect of which the firstmentioned exploration licence is sought, or (b) the subject of a mining lease, assessment lease or mineral claim, or (c) the subject of an application for any of the following that was lodged before the application for the firstmentioned exploration licence:

(i) an exploration licence that includes a group of minerals in respect of which the firstmentioned exploration licence is sought, (ii) an assessment lease, (iii) a mining lease, (iv) a mineral claim.

otherwise than to or with the written consent of the holder of, or the applicant for, that licence, lease or claim. (2) A written consent given under this section is irrevocable. (3) If, as a result of such a consent, an exploration licence is granted over any such land, that land:

(a) ceases to be subject to the exploration licence, assessment lease, mining lease or mineral claim concerned, or (b) is excluded from the application for the exploration licence, assessment lease, mining lease or mineral claim concerned, as the case requires, unless the decision-maker makes a determination under subsection (4).

(4) The decision-maker may determine that subsection (3) does not apply with respect to the land or to a part of the land if the decision-maker is satisfied that having the land or that part subject to both the licence and the other authorisation concerned is not likely to make the exercise of rights under the licence or the other authorisation impracticable.

21 Colliery holdings

An exploration licence may not be granted over land within a colliery holding unless the Chief Inspector appointed under the Coal Mine Health and Safety Act 2002 is satisfied that prospecting operations may be carried out under the licence without any adverse effect on, and without any risk to the safety of the persons engaged in, the carrying out of coal mining operations in the exploration area.

22 Power of decision-maker in relation to applications

(1) After considering an application for an exploration licence, the decision-maker: (a) may grant to the applicant an exploration licence over all or part of the land over which a licence was sought, or (b) may refuse the application.

(2) Without limiting the generality of subsection (1) or any other provision of this Act, an application may be refused on any one or more of the following grounds: (a) that the decision-maker is satisfied that the applicant (or, in the case of an applicant that is a corporation, a director of the corporation) has contravened this Act or

the regulations (whether or not the person has been prosecuted or convicted of any offence arising from the contravention) or has been convicted of any other offence relating to mining or minerals,

(b) that the decision-maker is satisfied that the applicant provided false or misleading information in or in connection with the application. (3) The decision-maker may grant a single exploration licence in respect of 2 or more applications or 2 or more exploration licences in respect of a single application.


http://www.legislation.nsw.gov.au/xref/inforce/?xref=Type%3Dact%20AND%20Year%3D2002%20AND%20no%3D129&nohits=y

27 Term of exploration licence

An exploration licence: (a) takes effect on the date on which it is granted or on such later date, or on the occurrence of such later event, as the decision-maker may determine, and (b) ceases to have effect on the expiration of:

(i) 2 years after the date on which it took effect, in the case of an exploration (mineral owner) licence, or (ii) such period (not exceeding 5 years) as the decision-maker determines, in the case of any other exploration licence.

28 Form of exploration licence

An exploration licence is to be in the approved form and is to include the following particulars: (a) a description of the land over which it is granted, (b) a list of the group or groups of minerals in respect of which it is granted, (c) the conditions to which it is subject, (d) the period for which it is to have effect.

32D Provisions relating to applications for low-impact licence

(1) A person may not be granted a low-impact exploration licence unless notice of the application for the licence has been served on all: (a) registered native title bodies corporate, and (b) registered native title claimants, and (c) representative Aboriginal/Torres Strait Islander bodies, in relation to any of the land that will be affected by the proposed prospecting operations to be authorised

by the licence. (2) The notice must contain a map or other description of the land over which the exploration licence is sought and a description of the kind of prospecting operations that

may be authorised by the licence. (3) An applicant may request the Minister to grant a low-impact exploration licence either at the time the application for a licence is made or at any later time before the

grant of the licence. (4) The regulations may make other provision for or with respect to the making and grant of applications for low-impact exploration licences. (5) In this section, application includes tender.

129 Holder of authority must be at least 18

An authority may not be granted to an individual who has not attained the age of 18 years.


135 Waiver of minor procedural matters

(1) The decision-maker may grant or renew an authority even though the applicant has failed to comply with a requirement of this Act or the regulations: (a) as to the time within which anything is required to be done, or (b) as to the details to be contained in any notice served, lodged or caused to be published by the applicant, or (c) as to the information to accompany any application, or (d) as to the furnishing of declarations and other information by the applicant.

(2) This section does not authorise the decision-maker to grant or renew an authority in the case of an applicant who has failed to comply with such a requirement unless the decision-maker is satisfied that the failure is unlikely: (a) to adversely affect any person’s rights under this Act or the regulations, or (b) to result in any person being deprived of information necessary for the effective exercise of those rights.

136 Gazettal of certain matters

As soon as practicable after: (a) an invitation for tenders for an authority is made or withdrawn, or (b) an application for an authority, for the renewal of an authority or for approval of the transfer of an authority is made, withdrawn or refused, or (b1) a request for the cancellation of an authority is made, or (c) an authority is granted, renewed, transferred or cancelled,

the Director-General is to cause notice of that fact to be published in the Gazette.

292E Liability for annual rental fee

(1) Liability for an annual rental fee arises on the grant of an authorisation and on each grant anniversary date that occurs during the term of the authorisation. (2) An annual rental fee for which liability arises on the grant of an authorisation must be paid, in advance, before the authorisation is granted. (3) An authorisation for which an annual rental fee is payable must not be granted until the first annual rental fee is paid. (4) In subsection (3), a reference to the granting of an authorisation includes a reference to the taking of any action under this Act as a result of which an authorisation is

taken to have been granted under this Act. Note. For example, a partial transfer of an authorisation cannot be registered under section 122 (5) until the annual rental fee is paid.

(5) An annual rental fee for which liability arises on a grant anniversary date must be paid within the period (of not less than 7 days) specified by the Secretary by notice in writing served on a person liable.


292I Liability for annual administrative levy

(1) The administrative levy payable under this Part for an authorisation (other than a small-scale title) is an annual administrative levy. (2) Liability for an annual administrative levy arises on the grant of an authorisation and on each grant anniversary date that occurs during the term of an authorisation. (3) An annual administrative levy for which liability arises on the grant of an authorisation must be paid, in advance, before the authorisation is granted. (4) An authorisation for which an annual administrative levy is payable must not be granted until the first annual administrative levy is paid. (5) In subsection (4), a reference to the granting of an authorisation includes a reference to the taking of any action under this Act as a result of which an authorisation is

taken to have been granted under this Act. Note. For example, a partial transfer of an authorisation cannot be registered under section 122 (5) until the administrative levy is paid.

(6) An annual administrative levy for which liability arises on a grant anniversary date must be paid within the period (of not less than 7 days) specified by the Secretary by notice in writing served on a person liable.

292K Amount of annual administrative levy (1) The amount of an annual administrative levy is one percent of the security deposit amount. (2) The security deposit amount is the amount of the security deposit required to be provided and maintained under a security deposit condition that has effect in relation to the authorisation for which the administrative levy is payable when liability for the levy arises. (3) If a single security deposit is required to be provided and maintained in respect of more than one authorisation, the amount of the annual administrative levy is:

(a) one percent of the relevant proportion of the security deposit amount, or (b) one percent of the minimum deposit for the authorisation at the date liability arises, whichever is the greater.

(4) The relevant proportion is the proportion that one bears to the number of authorisations for which the security deposit is required to be provided and maintained (disregarding any authorisations that have been cancelled or have otherwise ceased to have effect before liability arises). (5) A security deposit is required to be provided and maintained under a security deposit condition even if the condition requires the security deposit to be provided at a future date or within a period ending on a future date. (6) If no security deposit is required to be provided and maintained in respect of an authorisation on a date liability for an annual administrative levy arises, and there is a minimum deposit for the authorisation at that date, the security deposit amount is taken to be that minimum deposit. (7) For the purpose of enabling payment of the first annual administrative levy in advance of liability arising, a decision-maker is to give notice to an applicant for the grant of an authorisation of any security deposit condition that will be imposed on the grant.


380A Fit and proper person consideration in making certain decisions about mining rights

(1) Despite anything to the contrary in this Act, any of the following decisions under this Act may be made on the ground that, in the opinion of the decision-maker, a relevant person is not a fit and proper person (without limiting any other ground on which such a decision may be made): (a) a decision to refuse to grant or renew a mining right (a relevant person in such a case being an applicant for the grant or renewal of the mining right), (b) a decision to refuse to transfer a mining right (a relevant person in such a case being the proposed transferee), (c) a decision to cancel a mining right or to suspend operations under a mining right (in whole or in part), a relevant person in such a case being a holder of the

mining right, (d) a decision to restrict operations under a mining right by the imposition or variation of conditions of a mining right (a relevant person in such a case being a holder

of the mining right). (2) For the purpose of determining whether a person is a fit and proper person, the decision-maker may take into consideration any or all of the following matters (but

without limiting the matters that can be taken into consideration for that purpose): (a) whether the person or (in the case of a body corporate) a director of the body corporate or of a related body corporate has compliance or criminal conduct issues

(as defined in this section), (b) in the case of a body corporate, whether a director of the body corporate or of a related body corporate is or has been a director of another body corporate that

has compliance or criminal conduct issues (as defined in this section) but only if the person was a director of that other body corporate at the time of the conduct that resulted in the compliance or criminal conduct issues,

(c) the person’s record of compliance with relevant legislation (established to the satisfaction of the decision-maker), (d) in the case of a body corporate, the record of compliance with relevant legislation (established to the satisfaction of the decision-maker) of any director of the body

corporate or a related body corporate, (e) whether, in the opinion of the decision-maker, the management of the activities or works that are or are to be authorised, required or regulated under the mining

right are not or will not be in the hands of a technically competent person, (f) whether, in the opinion of the decision-maker, the person is not of good repute, (g) in the case of a body corporate, whether, in the opinion of the decision-maker, a director of the body corporate or a related body corporate is not of good repute, (h) whether, in the opinion of the decision-maker, the person is not of good character, with particular regard to honesty and integrity, (i) in the case of a body corporate, whether, in the opinion of the decision-maker, a director of the body corporate or a related body corporate is not of good character,

with particular regard to honesty and integrity, (j) whether the person, during the previous 3 years, was an undischarged bankrupt or applied to take the benefit of any law for the relief of bankrupt or insolvent

debtors, compounded with his or her creditors or made an assignment of his or her remuneration for their benefit, (k) in the case of an individual, whether he or she is or was a director of a body corporate that is the subject of a winding up order or for which a controller or

administrator has been appointed during the previous 3 years, (l) in the case of a body corporate, whether the body corporate or a related body corporate is the subject of a winding up order or has had a controller or administrator

appointed during the previous 3 years, (m) whether the person has demonstrated to the decision-maker the financial capacity to comply with the person’s obligations under the mining right, (n) whether the person is in partnership, in connection with activities that are subject to a mining right or proposed mining right, with a person whom the decision-

maker considers is not a fit and proper person under this section,


(o) whether the person has an arrangement (formal or informal) in connection with activities that are subject to a mining right or proposed mining right with another person whom the decision-maker considers is not a fit and proper person under this section, if the decision-maker is satisfied that the arrangement gives that other person the capacity to determine the outcome of decisions about financial and operating policies concerning those activities,

(p) any other matters prescribed by the regulations. (3) A person or body corporate has compliance or criminal conduct issues if:

(a) the decision-maker is satisfied that the person or body corporate has contravened any relevant legislation, whether or not the person or body corporate has been prosecuted for or convicted of an offence arising from the contravention, or

(b) in the previous 10 years, the person or body corporate has been convicted in New South Wales or elsewhere of a serious offence or an offence involving fraud or dishonesty, or

(c) the person or body corporate has held a mining right, or any other instrument issued or granted under relevant legislation, that has been suspended, cancelled or revoked.

(4) The grant, renewal or transfer of a mining lease can be refused on the ground that the Minister is of the opinion that the applicant is not a fit and proper person even if: (a) the mining lease is necessary for the carrying out of State significant development that is authorised by a development consent, despite section 89K of

the Environmental Planning and Assessment Act 1979 (the Planning Act), or (b) the mining lease is necessary for the carrying out of approved State significant infrastructure under Part 5.1 of the Planning Act, despite section 115ZH of that Act,

or (c) the mining lease is necessary for the carrying out of a transitional Part 3A project under Schedule 6A to the Planning Act, despite section 75V of that Act, or (d) section 91A or 93 of the Planning Act would otherwise prevent that refusal. (5) To avoid doubt, sections 127 (1) and 205 (1) of this Act extend to the cancellation of a mining right under this section. (6) A relevant person who is aggrieved by a decision referred to in subsection (1) made on the ground that in the opinion of the decision-maker the person is not a fit

and proper person may apply to the Land and Environment Court for a review of the decision-maker’s opinion, and the following provisions apply to such a review: (a) the review is to be by way of redetermination of the question of whether the relevant person is a fit and proper person, and fresh material or material in addition to,

or in substitution for, the material considered by the decision-maker in the determination of that question may be given on the review and taken into consideration by the Court,

(b) on a review the Court is to decide whether or not the relevant person is a fit and proper person, (c) the decision of the Court on a review is final and is to be given effect to by the decision-maker, (d) the decision-maker is to take whatever action may be necessary to give effect to the Court’s decision including action to revoke and remake any decision referred

to in subsection (1). (7) In this section:

director of a body corporate includes any person involved in the management of the affairs of the body corporate.

mining right means an exploration licence, an assessment lease, a mining lease, a mineral claim or an opal prospecting licence.

related body corporate has the same meaning as in the Corporations Act 2001 of the Commonwealth.

relevant legislation means the following legislation:

(a) this Act, (b) the Petroleum (Onshore) Act 1991, (c) the environment protection legislation, Exploration Licence Applications - Titles Checklist - 28/07/2015 Page 19 of 23


http://www.comlaw.gov.au/


(d) the Environmental Planning and Assessment Act 1979, (e) the work health and safety legislation, (f) any other legislation prescribed by the regulations under this Act.

serious offence means:

(a) an offence committed in New South Wales that is punishable by imprisonment for life or for a term of 5 years or more or by a fine of $500,000 or more, or an offence committed elsewhere than in New South Wales that if committed in New South Wales would be an offence so punishable, or

(b) an offence committed under a law of the Commonwealth that is punishable by imprisonment for life or for a term of 5 years or more or by a fine of $500,000 or more.

382 Applications and tenders generally

(1) An application or tender under this Act must be in or to the effect of the approved form.

382A Waiver or refund of fees

(1) The Director-General may refund or waive payment of the whole or any part of a fee that this Act requires to be paid, on his or her own initiative or on the application of the person who is required to pay the fee, if the Director-General is satisfied that there is good cause for doing so. (2) The regulations may make further provision for the waiver or refund of fees payable under this Act.

Mining Regulation 2010 14 Application for exploration licence

(1) For the purposes of section 13 (5) (f) of the Act, the following information is prescribed: (a) the environmental performance record of the applicant, (b) in the case of an exploration (mineral owner) licence:

(i) the privately owned mineral or minerals in relation to which the licence is sought, and (ii) evidence of the applicant’s ownership of any such mineral.

(2) For the purposes of confirming an applicant’s ownership of any mineral, the Director-General may require the applicant to provide further information, which may include written advice from an Australian legal practitioner certifying that the relevant evidence establishes that the applicant owns the mineral.

15 Notice of application for exploration licence (1) For the purposes of section 13A (1) of the Act, the prescribed period is within 45 days after receipt of confirmation from the Director-General that the application has

been lodged. (2) For the purposes of section 13A (2) (c) of the Act, the notice of an application for an exploration licence must be in the form, and include the information, required by

the Director-General.

16 Size and shape of land subject to exploration licence (1) For the purposes of section 25 (1) of the Act, the land over which an exploration licence is granted must be measurable in units, but any area of land to which the

exploration licence does not apply may be excluded from any particular unit.



(2) Despite subclause (1), the land over which an exploration (mineral owner) licence or an exploration licence is granted in respect of a Group 9 mineral may be of any shape or size.

17 Applications for low-impact exploration licences For the purposes of section 32D (4) of the Act, a low-impact exploration licence is not to be granted during the period of 4 months following service of the notice of the application for the licence on the representative bodies referred to in section 32D (1) (c) of the Act.

65C Calculation of annual rental fee (1) An annual rental fee specified in Schedule 10 as per hectare, per square kilometre, per square metre or per unit is to be calculated on the basis of the annual rental fee area. (2) The annual rental fee area is the number of hectares, square kilometres, square metres or units of land comprised in the annual rental fee area for the authorisation for which the annual rental fee is payable, as specified in the record kept by the Director-General under the Act. (3) If the annual rental fee area includes a part of a unit, that part is to be disregarded. (4) If the annual rental fee area includes a part of a hectare, square kilometre, or square metre, that part is to be included in the calculation. (5) If there is no annual rental fee area for an authorisation for which an annual rental fee is payable, the annual rental fee is to be calculated as if the authority area, as specified in the record of the authority kept by the Director-General under the Act, were the annual rental fee area. (6) To avoid doubt, subclause (5) continues to apply until an annual rental fee area is determined for the authorisation under this Division and specified in the record kept by the Director-General under the Act.


75 Minimum deposit—security deposit condition

For the purposes of section 261BF of the Act, the minimum deposit for an authorisation is: (a) $200 for a small-scale title, and (b) $1,000 for an environmental assessment permit, and (c) $10,000 for any other authorisation.

76 Applications

(6) Despite any other provision of this clause, if an application is required to be accompanied by a fee, the application is taken to have been lodged on the date determined in accordance with this clause only if the fee is paid to and received by the Department.

Schedule 10 Fees

(Clause 65A)

Column 1 Column 2 Matter Fee ($) Exploration licences 1 Application for exploration licence—Groups 1–8, 10 and 11 minerals (section 13 of the Act):

(a) application fee, and 1,000 (b) per year of tenure for each unit or part unit of land to which the application relates: (i) for initial group of minerals, and 12.50 (ii) for each additional group of minerals 6.25

2 Application for exploration licence—Group 9 minerals (section 13 of the Act): (a) application fee, and 1,000 (b) per year of tenure for each hectare or part hectare of land to which the application relates 2

3 Application for exploration (mineral owner) licence (section 13 of the Act): (a) application fee, and 1,000 (b) per year of tenure for each hectare or part hectare of land to which the application relates 2

4 Tender for exploration licence—Groups 1–8, 10 and 11 minerals (section 15 of the Act): (a) tender fee, and 1,000


(b) per year of tenure for each unit or part unit of land to which the tender relates: (i) for initial group of minerals, and 12.50 (ii) for each additional group of minerals 6.25

5 Tender for exploration licence—Group 9 minerals (section 15 of the Act) 2,200 6 Application for variation of prospecting operations authorised by low-impact exploration licence (section 32E of

the Act) 250

7 Application for review of determination under section 32E (section 32EA of the Act) 600 8 Application for renewal of exploration licence—Groups 1–8, 10 and 11 minerals (section 113 of the Act):

(a) application fee, and 2,000 (b) per year of tenure for each unit or part unit of land to which the application relates: (i) for initial group of minerals, and 12.50 (ii) for each additional group of minerals 6.25

9 Application for renewal of exploration licence—Group 9 minerals (section 113 of the Act): (a) application fee, and 2,000 (b) per year of tenure for each hectare or part hectare of land to which the application relates 2

10 Application for renewal of exploration (mineral owner) licence (section 113 of the Act): (a) application fee, and 2,000 (b) per year of tenure for each hectare or part hectare of land to which the application relates 2

10A Annual rental fee (section 292F of the Act) $0.20 per ha or $20 per sq km or $0.00002 per sq m or $60 per unit


Checklist for Titles relating to Exploration Licence Renewals

TITLE INFORMATION: File Number:

EL / ELA number: Applicant: KPI datesTo TRC:

Offer Made:

Admin Officer: Senior Titles Officer:

Decision Maker: Supporting Information

Due Date:

NOTE: This checklist is not to be used for exploration (mineral owner) licences or small-scale titles.

Exploration Licence Renewals - Titles Checklist - 20/07/2015 Page 1 of 19

FORM No. XX



Senior Titles Officer Checks Before Drafting EL5.3 Mining Regulation

2010 cl.18(1)(a) Licence Expiry Date provided?

Has the Licence already expired?

EL5.10(a) Mining Act 1992 (NSW) No 29 s.13(4)(c), s. 382(a)Policy

(a) Has the full Application Fee been received?

(b) If the answer to (a) is No, is the Application fee being waived?

(c) If the answer to (b) is No, has the applicant been contacted and asked to pay the full amount?

If the answer to (b) is No, do not process the application until full application fee is received.

EL5 Mining Act 1992 (NSW) No 29

Application made in or to the effect of the approved form?

If No, added to acknowledgement letter as deficiency? Proposed form change

Mining Regulation 2010 (NSW) cl.14(1)(a) Mining Act 1992 (NSW) No 29 114(2)(a)

Convicted person section answered?


EL5.1 Mining Regulation 2010 cl.18(1)(a)

Licence Information provided?



FORM No. XX



EL5.2 Mining Act 1992 (NSW) No 29 s.13(1),Interpretation Act 1987 No 15 s.21

If the applicant is a Company/ies, are they registered on ASIC?

If No, Do not prepare acknowledgement letter refer to supervisor

EL5.5 Mining Act 1992 (NSW) No 29 s.27

Licence Period sought provided?


EL5.6 Mining Act 1992 (NSW) No 29 s.13.4A, s.28(b)

Groups of Minerals Sought provided?


EL5.7 Mining Act 1992 (NSW) No 29 s.114(6)

Has question "Is Renewal of the whole area being sought" been answered?

If no answer was provided, was this added to acknowledgement letter as deficiency? EL5.8 Policy Have all Activity Approvals questions been answered?

(If answered "No" to a) and b) no other answers required - ie: c) to g) If any answer was not provided, added to acknowledgement letter as deficiency?

EL5.10(c) Mining Regulation 2010 (NSW) cl.18(1)(c)

Has a Rehabilitation Cost Estimate been provided?


EL5.10(d) Mining Regulation 2010 (NSW) cl. cl.18(1)(d), 57(1)(c) & (d)

Has Renewal Justification Report been provided in correct template?


EL5.10(e) Mining Act 1992 (NSW) No 29 s.135(5),

Available Financial Resources particulars provided for each applicant in approved template?



EL5.10(f) Mining Act 1992 (NSW) No 29 s.135(5),

Available Relevant Technical Advice particulars provided for each applicant? (Including contact details, qualifications and letter of acceptance) If No, added to acknowledgement letter as deficiency?

Proof of Identity

For companies only - ASIC Company extract provided?(If Company extract not supplied note on Compliance Checklist and keep going)

Documents provided as per POI factsheet? http://www.resourcesandenergy.nsw.gov.au/__data/assets/pdf_file/0003/566283/FACTSH EET-Proving-my-identity.pdf

Mining Regulation 2010 (NSW) cl.14.(1)(a)

Each applicant’s environmental performance record provided in statutory declaration?


Mining Act 1992 (NSW) No 29 s.13.5C

Program of Work particulars provided in new work program template?


Environmental Management Report Minerals or Environmental and Rehabilitation Report

(Coal) in relation to the licence.


For Group 9 only Standard map provided if not applying for whole area?

MS excel spreadsheet for co-ordinates?


FORM No. XX



FORM No. XX



EL5 Appendix 1 & 2 EL5.10(b)

Mining Act 1992 (NSW) No 29 s.13.5AMining Regulation 2010 (NSW) cl.18(2),cl.16

Area described correctly?


Procedure Is the TAS Dealing correct?

Procedure Does acknowledgement letter include all applicable deficiencies?

If No, return to Titles Admin Officer for amending.

Procedure Has acknowledgement letter been sent to the applicant (including any deficiencies)?

Procedure Has Dealing been printed and added to front of File?


Relevance of consideration Requirements YES NO N/A Mining Regulation 2010 (NSW) cl.76(9) Mining Act 1992 (NSW) No 29 s.135

(a) Has all required information been received within 10 business days?

(b) If the answer to (a) is No, has all required information been received?

(c) If the answer to (b) is No, see Page 11 - Proposed Decision is to Refuse

(d) If the answer to (b) is Yes, are there any competing applications?

(e) If the answer to (d) is Yes, see Page 11 - Proposed Decision is to Refuse

(g) If the answer to (d) is No (i.e. there are no competing applications), has late lodgement of the required information been added to the Assessment Summary noting the requirement for a s135 waiver?

Policy Have Workflow dates been correctly entered in TAS?

Procedure Has the REN Dealing been updated properly?

Procedure TRIM Actions completed for Drafting, MEA/Coal Advice, ESU and Compliance?

Date: Mining Act 1992 (NSW) No 29 s.135

Can the application proceed without a s135 waiver?

Comment:

First Stage of checking completed - Insert name for Senior Titles Officer:



After ID prepared by Drafting

Senior Titles Officer Checks Before TRC

Procedure Diagrams Reviewed (Labels correct, No. of units, Applicant Name & No.)? Mining Act 1992 (NSW) No 29 s.136

Application gazetted in State publication?

Procedure Date:

Does the Drafting Identification indicate that special conditions are not required?

If No, add them here and confirm relevant outwards correspondence has been sent. ie: SCA or Essential Energy letters, list letters here; e.g. Special Condition – XYZ – letter sent to relevant party

Comments:

Policy Assessment from Drafting, ESU, MEA/C&P GeoSc. and Compliance provided?

(If No, application cannot proceed to TRC.)

Procedure Workflow updated correctly in TAS?

Procedure Dead Titles Reports section completed correctly in Assessment Summary?


Relevance of consideration Requirements YES NO N/A Team Leader Checks Before TRC Procedure Has information been signed off by Senior Titles Officer or above?

TRC Meeting Occurs


Relevance of consideration Requirements YES NO N/A Senior Titles Officer Checks After TRC Proposed Decision to Approve (For Refusal, see Page 11)

Procedure (a) Have the following documents been prepared correctly?

a. REN Offer Standard

b. Instrument of Renewal

c. EL Conditions

(b) If there are pending SRV dealings has letter been amended properly including Security guidelines and template?

(c) Has Rent & Levy information been printed from SAP and added to file?

(d) If there are outstanding Rents or Levies has invoice been printed and included with letter and letter amended?

(e) Have any additional requirements from the TRC or Decision Maker been added to the letter?

(f) If the proposed Approval is for reduced units has the Licence document been amended properly?

(g) If there is a verified RTN dealing since last Grant or Renewal, has condition 8 been deleted from the EL conditions?

(h) Are all the documents and workflow completed properly?


Relevance of consideration Requirements YES NO N/A Senior Titles Officer Checks After TRC Procedure Have the Draft documents been emailed to the Applicant?

Procedure Has the Applicant requested a review? (If Yes, then go to Page 12 - Review Requested section)

Procedure If the Applicant has not responded within 14 days, has a reminder been sent?

Procedure Has the Applicant accepted the conditions and provided security and any outstanding Rent & Levy payments?

If Yes, then has workflow been updated to “Offer Accepted”?

Procedure If the proposed Approval is for reduced units, have the reduced units been provided?

Procedure Has the Receipt for any payments been added to the file?

Procedure If there is a pending SRV dealing, has the Security Certificate been copied and added to the file, RM8 and G: Drive?

Procedure Have final documents been prepared correctly?

Senior Titles Officer Checks After Decision Maker’s Final Decision Procedure Has Decision Maker completed Assessment Summary correctly?

Procedure Has REN dealing been updated in TAS?

Procedure Has Dealing been printed and added to the file?


Relevance of consideration Requirements YES NO N/A Procedure Have the Final Licence and conditions been saved to the Final Licence Instrument in RM8?

Procedure Have signed Licence, conditions and diagram been saved to G: Drive and DIGS?

Procedure Have signed Licence and conditions been printed and added to file?

Procedure Has the “REN Holder After Renewal” document been prepared correctly?

Senior Titles Officer Checks After Final Documents Mailed to Applicant Procedure Have the original documents been mailed to the Applicant?

Procedure Has Drafting amended the shape if required?

If Yes, then has a Refund been processed?

Procedure Has Gazette date been recorded on the REN dealing printout?

Procedure Have the report and documents been Quality Assured in DIGS?


Relevance of consideration Requirements YES NO N/A Proposed Decision to Refuse Procedure (a) Is the proposed decision to Refuse the Application?

(b) If the answer to (a) is Yes then, has the proposed Refusal letter been prepared correctly?

(c) If the answer to (b) is Yes then, has the proposed Refusal been sent by Registered Post?

Proof of Delivery Date: _____________________________

Procedure (a) Is the Refusal due to a pre-TRC requirement?

(b) If the answer to (a) is Yes then, have they failed to remedy it within 14 days? (If No then, return to pre-TRC checklist)

(c) If the answer to (a) is No, then has no request for Review been received from the Applicant within 14 days? (If No, then go to Page 12 - Review Requested section)

Procedure Has the Assessment Summary been updated correctly and signed by Decision Maker?

Has the REN dealing been updated correctly in TAS?

Has Final Refusal letter been prepared correctly?

Has any required refund been processed?

Has Dealing been Verified?

Has the Refusal letter been sent to the Applicant?


Relevance of consideration Requirements YES NO N/A Review Requested Procedure Has request for Review been recorded on Assessment Summary and R4R register?

Has Acknowledgement letter been prepared correctly?

Has additional information been saved in RM8 and actioned to relevant business units? (Return to After TRC section on Page 9)


Mining Act 1992 No 29 13 Application for exploration licence

(4) An application for an exploration licence must: (a) specify the group or groups of minerals in respect of which the application is made, and (c) be accompanied by the required information and the application fee prescribed by the regulations, and (d) if the application is for an exploration (mineral owner) licence with respect to privately owned minerals that have more than one owner, be made by all the owners.

(5) The required information is as follows: (a) a description, prepared in the approved manner, of the proposed exploration area, (b) particulars of the financial resources and relevant technical advice available to the applicant, (d) particulars of the estimated amount of money that the applicant proposes to spend on prospecting in that area, (e) if the application is for an exploration (mineral owner) licence, evidence that the minerals to which the application relates are owned by the applicant,

(6) If there is more than one applicant for the licence, a reference in subsection (5) to the applicant is a reference to each applicant.



(2) Without limiting the generality of subsection (1) or any other provision of this Act, an application may be refused on any one or more of the following grounds: (a) that the decision-maker is satisfied that the applicant (or, in the case of an applicant that is a corporation, a director of the corporation) has contravened this Act or

the regulations (whether or not the person has been prosecuted or convicted of any offence arising from the contravention) or has been convicted of any other offence relating to mining or minerals,

(b) that the decision-maker is satisfied that the applicant provided false or misleading information in or in connection with the application. (3) The decision-maker may grant a single exploration licence in respect of 2 or more applications or 2 or more exploration licences in respect of a single application.

27 Term of exploration licence

An exploration licence: (a) takes effect on the date on which it is granted or on such later date, or on the occurrence of such later event, as the decision-maker may determine, and (b) ceases to have effect on the expiration of:

(i) 2 years after the date on which it took effect, in the case of an exploration (mineral owner) licence, or (ii) such period (not exceeding 5 years) as the decision-maker determines, in the case of any other exploration licence.


28 Form of exploration licence

An exploration licence is to be in the approved form and is to include the following particulars: (a) a description of the land over which it is granted, (b) a list of the group or groups of minerals in respect of which it is granted, (c) the conditions to which it is subject, (d) the period for which it is to have effect.

136 Gazettal of certain matters

As soon as practicable after: (a) an invitation for tenders for an authority is made or withdrawn, or (b) an application for an authority, for the renewal of an authority or for approval of the transfer of an authority is made, withdrawn or refused, or (b1) a request for the cancellation of an authority is made, or (c) an authority is granted, renewed, transferred or cancelled, the Director-General is to cause notice of that fact to be published in the Gazette.

261BE Review of assessed deposit by Minister

(4) Following the review, the Minister may: (a) affirm the Secretary’s assessment, or (b) amend the Secretary’s assessment, or (c) set aside the Secretary’s assessment and substitute a new assessment.

292E Liability for annual rental fee

(1) Liability for an annual rental fee arises on the grant of an authorisation and on each grant anniversary date that occurs during the term of the authorisation. (2) An annual rental fee for which liability arises on the grant of an authorisation must be paid, in advance, before the authorisation is granted. (3) An authorisation for which an annual rental fee is payable must not be granted until the first annual rental fee is paid. (4) In subsection (3), a reference to the granting of an authorisation includes a reference to the taking of any action under this Act as a result of which an authorisation is

taken to have been granted under this Act. Note. For example, a partial transfer of an authorisation cannot be registered under section 122 (5) until the annual rental fee is paid.

(5) An annual rental fee for which liability arises on a grant anniversary date must be paid within the period (of not less than 7 days) specified by the Secretary by notice in writing served on a person liable.


292I Liability for annual administrative levy

(1) The administrative levy payable under this Part for an authorisation (other than a small-scale title) is an annual administrative levy. (2) Liability for an annual administrative levy arises on the grant of an authorisation and on each grant anniversary date that occurs during the term of an authorisation. (3) An annual administrative levy for which liability arises on the grant of an authorisation must be paid, in advance, before the authorisation is granted. (4) An authorisation for which an annual administrative levy is payable must not be granted until the first annual administrative levy is paid. (5) In subsection (4), a reference to the granting of an authorisation includes a reference to the taking of any action under this Act as a result of which an authorisation is

taken to have been granted under this Act. Note. For example, a partial transfer of an authorisation cannot be registered under section 122 (5) until the administrative levy is paid.

(6) An annual administrative levy for which liability arises on a grant anniversary date must be paid within the period (of not less than 7 days) specified by the Secretary by notice in writing served on a person liable.

292K Amount of annual administrative levy

(1) The amount of an annual administrative levy is one percent of the security deposit amount. (2) The security deposit amount is the amount of the security deposit required to be provided and maintained under a security deposit condition that has effect in relation

to the authorisation for which the administrative levy is payable when liability for the levy arises. (3) If a single security deposit is required to be provided and maintained in respect of more than one authorisation, the amount of the annual administrative levy is:

(a) one percent of the relevant proportion of the security deposit amount, or (b) one percent of the minimum deposit for the authorisation at the date liability arises, whichever is the greater.

(4) The relevant proportion is the proportion that one bears to the number of authorisations for which the security deposit is required to be provided and maintained (disregarding any authorisations that have been cancelled or have otherwise ceased to have effect before liability arises).

(5) A security deposit is required to be provided and maintained under a security deposit condition even if the condition requires the security deposit to be provided at a future date or within a period ending on a future date.

(6) If no security deposit is required to be provided and maintained in respect of an authorisation on a date liability for an annual administrative levy arises, and there is a minimum deposit for the authorisation at that date, the security deposit amount is taken to be that minimum deposit.

(7) For the purpose of enabling payment of the first annual administrative levy in advance of liability arising, a decision-maker is to give notice to an applicant for the grant of an authorisation of any security deposit condition that will be imposed on the grant.

382A Waiver or refund of fees

(1) The Director-General may refund or waive payment of the whole or any part of a fee that this Act requires to be paid, on his or her own initiative or on the application of the person who is required to pay the fee, if the Director-General is satisfied that there is good cause for doing so.

(2) The regulations may make further provision for the waiver or refund of fees payable under this Act.


Mining Regulation 2010 14 Application for exploration licence

(1) For the purposes of section 13 (5) (f) of the Act, the following information is prescribed: (a) the environmental performance record of the applicant, (b) in the case of an exploration (mineral owner) licence:

(i) the privately owned mineral or minerals in relation to which the licence is sought, and (ii) evidence of the applicant’s ownership of any such mineral.

(2) For the purposes of confirming an applicant’s ownership of any mineral, the Director-General may require the applicant to provide further information, which may include written advice from an Australian legal practitioner certifying that the relevant evidence establishes that the applicant owns the mineral.

16 Size and shape of land subject to exploration licence (1) For the purposes of section 25 (1) of the Act, the land over which an exploration licence is granted must be measurable in units, but any area of land to which the

exploration licence does not apply may be excluded from any particular unit. (2) Despite subclause (1), the land over which an exploration (mineral owner) licence or an exploration licence is granted in respect of a Group 9 mineral may be of any

shape or size.

17 Applications for low-impact exploration licences For the purposes of section 32D (4) of the Act, a low-impact exploration licence is not to be granted during the period of 4 months following service of the notice of the application for the licence on the representative bodies referred to in section 32D (1) (c) of the Act.

65C Calculation of annual rental fee (1) An annual rental fee specified in Schedule 10 as per hectare, per square kilometre, per square metre or per unit is to be calculated on the basis of the annual rental fee area. (2) The annual rental fee area is the number of hectares, square kilometres, square metres or units of land comprised in the annual rental fee area for the authorisation for which the annual rental fee is payable, as specified in the record kept by the Director-General under the Act. (3) If the annual rental fee area includes a part of a unit, that part is to be disregarded. (4) If the annual rental fee area includes a part of a hectare, square kilometre, or square metre, that part is to be included in the calculation. (5) If there is no annual rental fee area for an authorisation for which an annual rental fee is payable, the annual rental fee is to be calculated as if the authority area, as specified in the record of the authority kept by the Director-General under the Act, were the annual rental fee area. (6) To avoid doubt, subclause (5) continues to apply until an annual rental fee area is determined for the authorisation under this Division and specified in the record kept by the Director-General under the Act.


Schedule 10 Fees

(Clause 65A)

Column 1 Column 2 Matter Fee ($) Exploration licences 1 Application for exploration licence—Groups 1–8, 10 and 11 minerals (section 13 of the Act): (a) application fee, and 1,000 (b) per year of tenure for each unit or part unit of land to which the application relates: (i) for initial group of minerals, and 12.50 (ii) for each additional group of minerals 6.25 2 Application for exploration licence—Group 9 minerals (section 13 of the Act): (a) application fee, and 1,000 (b) per year of tenure for each hectare or part hectare of land to which the application relates 2 3 Application for exploration (mineral owner) licence (section 13 of the Act): (a) application fee, and 1,000 (b) per year of tenure for each hectare or part hectare of land to which the application relates 2 4 Tender for exploration licence—Groups 1–8, 10 and 11 minerals (section 15 of the Act): (a) tender fee, and 1,000 (b) per year of tenure for each unit or part unit of land to which the tender relates: (i) for initial group of minerals, and 12.50 (ii) for each additional group of minerals 6.25 5 Tender for exploration licence—Group 9 minerals (section 15 of the Act) 2,200 6 Application for variation of prospecting operations authorised by low-impact exploration licence (section 32E of

the Act) 250

7 Application for review of determination under section 32E (section 32EA of the Act) 600 8 Application for renewal of exploration licence—Groups 1–8, 10 and 11 minerals (section 113 of the Act): (a) application fee, and 2,000 (b) per year of tenure for each unit or part unit of land to which the application relates:


(i) for initial group of minerals, and 12.50 (ii) for each additional group of minerals 6.25 9 Application for renewal of exploration licence—Group 9 minerals (section 113 of the Act): (a) application fee, and 2,000 (b) per year of tenure for each hectare or part hectare of land to which the application relates 2 10 Application for renewal of exploration (mineral owner) licence (section 113 of the Act): (a) application fee, and 2,000 (b) per year of tenure for each hectare or part hectare of land to which the application relates 2 10A Annual rental fee (section 292F of the Act) $0.20 per ha or $20 per sq km or $0.00002 per

sq m or $60 per unit

Native Title Act 1993

Subdivision P—Right to negotiate

25 Overview of Subdivision

(1) In summary, this Subdivision applies to certain future acts done by the Commonwealth, a State or a Territory that are of any of the following kinds:

(aa) certain acts covered by section 24IC (which deals with permissible lease etc. renewals);

(a) certain conferrals of mining rights;

(b) certain compulsory acquisitions of native title rights and interests;

(c) other acts approved by the Commonwealth Minister.

(2) Before the future act is done, the parties must negotiate with a view to reaching an agreement about the act.


Title:

RM8 Ref:

EL Assessment Summary - Grant - Version 3 – 5/6/2015 Page 1 of 8

ASSESSMENT SUMMARY OF EXPLORATION LICENCE APPLICATION

Application number: ELAxxx

Applicant: [name of applicant]

Mineral Group/s: Group (number)

Date lodged: [day month year]

Licence type: Standard or Low impact

Area applied: [number] units/hectares/blocks

Location: [location]

Term sought: [number] years

Mining Division:

Due Date to advise holder:

Date due to meet KPIs

A. DEPARTMENTAL ASSESSMENT

Geoscientific assessment

Assessed statutory requirements/criteria complied with (refer to checklist): Yes/No

(Insert comment here if required)

Do you have any objections to the grant of the exploration licence: Yes/No

Summary of advice:

(Insert summary of advice from checklist)

Assessor’s name / position

Date: (day/month/year)

Environmental assessment

1. Has the Applicant complied with the required statutory requirements? Yes/No

If no, provide details.

2. Does ESU have any objections to the grant of the exploration licence? Yes/No

If no, detail key issues/advice to the Decision Maker.

3. For further assessment information, refer to the ESU Checklist and ESU Assessment

Report – RM8 Reference:


date: (day/month/year)

Compliance assessment

Do you have any objections to the grant of the exploration licence: yes/no

Summary of advice:

Title:

RM8 Ref:





Titles assessment

All statutory requirements/criteria complied with (refer to checklist): Yes / No

Was a s.135 waiver of minor procedural matters required: Yes / No

If yes, has the waiver been signed: Yes / No

Issues Identified:

Summary of advice:

Gazette Date

Dead Titles

Conflicts

Exclusions

Special features

Special conditions Name Titles Administrator, Eastern Date Team Leader comment

Do you have any objections to the grant of the exploration licence: Yes / No Name Acting Team Leader, Eastern Date

Title:

RM8 Ref:


B. TITLES RECOMMENDATION COMMITTEE

Recommendation: Grant / Refuse / Defer

Term: x years

Area: x blocks/units

Cover letter to applicant (ie. should it include a statement of Departmental exploration

expectations) required?

Note: If relevant, also specify if application should be granted as multiple licences or one licence

for multiple applications.

Reasons for recommendation:

[Refer to standard reasons below – delete those not applicable]

Reasons for grant:

Meets all required criteria

Reasons for refusal (non-exhaustive)

The application has insufficient evidence of the financial capacity to conduct the proposed exploration program

The application has insufficient detail of an effective proposed exploration program

The proposed work program is inadequate

The application has insufficient evidence of the technical capacity to conduct the proposed exploration program (this would normally need some elaboration)

The decision-maker is satisfied that the applicant has previously contravened this Act or the regulations or has been convicted of any other offence relating to mining or minerals

The Applicant has contravened an Activity Approval Conditions and/or Authority Conditions relating to rehabilitation/environmental management/reporting under the Mining Act 1992 in relation to other authorisations held in the same name or related companies.

The decision-maker is satisfied that the applicant provided false or misleading information in or in connection with the application

The applicant is not a fit and proper person to hold an EL

There is insufficient information to allow the consideration of the need to conserve and protect the environment and natural resources (including but not limited to flora, fauna, fish, fisheries and scenic attractions, and the features of Aboriginal, architectural, archaeological, historical or geological interest)

Reasons for granting a licence over only part of the area sought (non-exhaustive)

Part of the ELA is affected by [specify other authorities, reserves, etc.] Reasons for recommending an initial term shorter than that sought (non-exhaustive) An initial term of 3 years is not supported due to:

The proposed exploration program could be effectively conducted in 2 years

Insufficient evidence of the technical/financial capability of the applicant to conduct an effective exploration program over more than 2 years

Chair of TRC: [name/position]

Date: [day/ month/ year]

Title:

RM8 Ref:


C. PROPOSED DECISION OF DECISION MAKER

Decision Maker (or delegate): name / position

Date: [day / month / year]

Proposed decision:

Having read this document and for the reasons stated below I propose to make the

following decision.

grant the exploration licence

refuse the exploration licence

defer consideration of this application (eg. while I seek further information)

Proposed Term: [x years]

Proposed Area: [x blocks/units]

Proposed security deposit to be collected in advance: $[insert sum]

Conditions:

Note: If relevant, also specify if application should be granted as multiple licences or one licence

for multiple applications.

Reasons for proposed decision:

[Refer to standard reasons below – delete those not applicable]

Reasons for grant:




The application has insufficient detail of an effective proposed exploration program


The application has insufficient evidence of the technical capacity to conduct the proposed exploration program (this would normally need some elaboration)


The Applicant has contravened Activity Approval Conditions and/or Authority Conditions relating to rehabilitation/environmental management/reporting under the Mining Act 1992 in relation to other authorisations held in the same name or related companies.



There is insufficient information to allow the consideration of the need to conserve and protect the environment and natural resources (including but not limited to flora, fauna, fish, fisheries and scenic attractions, and the features of Aboriginal, architectural, archaeological, historical or geological interest)?

Title:

RM8 Ref:


Reasons for granting a licence over only part of the area sought (non-exhaustive)

Part of the ELA is affected by [specify other authorities, reserves, etc.] Reasons for recommending an initial term shorter than that sought (non-exhaustive) An initial term of 3 years is not supported due to:


Insufficient evidence of the technical/financial capability of the applicant to conduct an effective exploration program over more than 2 years

Title:

RM8 Ref:


D. PROCEDURAL FAIRNESS (completed by Titles Unit)

Date proposed decision sent to applicant: [day/month/year]

Applicant’s Response: Insert summary of applicant’s submissions in response (if any)

Date response received: [day / month / year]

Referred back to relevant units (MEA /C&PG/ESU/Compliance) for applicant’s response to

be considered: [day/month/year] [Did the submissions raise any new issues relevant to

consideration of the application? If yes, how do the submissions affect the issues raised by the

TRC and the proposed decision?]

Consideration of response by TRC: [Did the submissions raise any new issues relevant to



Comment:

[if the TRC’s final recommendation departs from the TRC’s proposed decision, clearly state

reasons why]

Notes:

1. Units are only required to re-assess the application if there is new information submitted relevant to their area of

expertise.

2. The application only returns to the TRC for reconsideration if new relevant information is submitted

Title:

RM8 Ref:


E. ISSUES TO BE FINALISED PRIOR TO THE GRANTING OF AN EXPLORATION

LICENCE (to be completed by Titles unit)

Security of $[insert sum] has been received from the applicant in advance.

Rent of $[insert sum] received

Administrative Levy of $[insert sum] received

Advertising received and assessed as satisfactory

Notify Geosurvey to complete Work Program document and Schedule 5 (for I.D number)

Title:

RM8 Ref:


F. DECISION

Decision maker (or delegate): [name / position]


Final compliance check in ACES completed and no issues identified: yes / no

Given my proposed decision in Section C of this document, and having considered any further

relevant submissions, I have decided to:

grant the exploration licence

refuse the exploration licence

I have reached this decision for the reasons:

listed above in Section C above (Reasons for proposed decision)

for other reasons (please stipulate) __________________________________________

Signed: ____________________________________________

Revision history

Version Date issued Notes By

1 25.2.2015 Final version approved

1.2 4.3.2015 Titles process checks added to procedural fairness and final decision sections. Checked by legal.

L.Shields

2 5.3.2015 Addition of sections A, B, C,D, E & F to clearly define process as suggested by legal. Additions to decision maker section. Notes for section D. Change of heading.

V.Newell / L.Shields

3 5.6.2015 Section A. All statutory requirements/criteria complied with changed to Assessed statutory requirements/criteria complied with. Section A. Departmental assessments have been streamlined to Summary Advice – Insert summary of advice from checklist.

L Keevill

TITLE: RM8 REF:

EL Assessment Summary – Renewal – V.3 – 5/6/2015 Page 1 of 11

ASSESSMENT SUMMARY OF EXPLORATION LICENCE RENEWAL

APPLICATION

EL number:

Holder:

Mineral Group/s:

Grant date:

Initial grant term

Units at grant

Expiry date:

Date renewal lodged:

Licence type:

Current area:

Area sought for renewal:

Location:

Term sought:

Mining Division:

Due date to advise holder:

A. DEPARTMENTAL ASSESSMENT

Geoscientific assessment

Assessed statutory requirements/criteria complied with (refer to checklist): Yes/No

(Insert comment here if required)

Do you have any objections to the renewal of the licence: Yes/No

Summary of advice:

Justification for renewal….. Renewal/refusal of the exploration licence advised.

Have all policy criteria for renewal been met?

If applicable, have special circumstances been demonstrated?

If applicable, are there valid extenuating factors to support renewal?

Should the licence be renewed over the area sought?

Should the licence be renewed for the term sought?

Are special conditions required to be included? Assessor’s name / position


TITLE: RM8 REF:


Environmental assessment

1. Has the Applicant complied with the required statutory requirements? Yes/No

If no, provide details.

2. Does ESU have any objections to the renewal of the exploration licence? Yes/No

If no, detail key issues/advice to the Decision Maker.

3. For further assessment information, refer to the ESU Checklist and ESU Assessment

Report – RM8 Reference:



Compliance assessment

Do you have any objections to the renewal of the licence: yes/no Summary of advice:




Titles assessment

All statutory requirements/criteria complied with (refer to checklist): yes/no

Was a s.135 waiver of minor procedural matters required: yes/no

If yes, has the waiver been signed: yes/no

Issues Identified:

Summary of advice:

Gazette Date:

Section 135 waiver requirements

Dead Titles

Conflicts

Exclusions

Special features

Special conditions

WP created in RM8 as separate sub-file as an OUT document

Rent and Levy paid? Yes/No If not is payment overdue? Yes/ No



TITLE: RM8 REF:


Team Leader comment

Do you have any objections to the renewal of the licence: yes/no

Name

Acting Team Leader, Eastern

Date

TITLE: RM8 REF:


B. TITLES RECOMMENDATION COMMITTEE

Recommendation: Renew / Refuse

Term: x years

Area: x blocks/units

Cover letter to applicant regarding inclusions (eg. should it include a statement of Departmental

exploration expectations) required?

Reasons for recommendation:

[Refer to standard reasons below when documenting reason – remove those not applicable]

Renew for area and term requested:



Insufficient exploration was conducted on the licence in the last term

Insufficient exploration has been conducted on the licence since grant

(An annual report has /Annual reports have) not been submitted in accordance with s. 163C of the Mining Act (this refers to non-submission of reports, not timeliness of reporting or report quality)

The application has insufficient detail of an effective proposed exploration program for the renewal term



The application has insufficient evidence of the technical capacity to conduct the proposed exploration program

No valid extenuating factors apply to support renewal


The Applicant has an Activity Approval Conditions and/or Authority Conditions relating to rehabilitation/environmental management/reporting under the Mining Act 1992 in relation to [this authorisation] [and] [other authorisations held in the same name or related companies.] The compliance record of the Applicant is considered to be unsatisfactory.



In instances where special circumstance renewal has been requested - reasons for recommending refusal of special circumstances but still allowing normal renewal Special circumstances do not apply because:

The exploration program proposed (in the exploration licence application/in the last renewal application/in the request for review submission of [date]) was not completed

Condition(s) [specify] of the licence has/have not been satisfactorily complied with

The full area of the licence was not explored effectively in the last term

The proposed exploration program does not effectively cover the full area of the licence sought for renewal

No valid extenuating factors apply to support special circumstance renewal of more than half the area

Reasons for recommending a renewal term shorter than that sought

TITLE: RM8 REF:


A renewal term of 3 years is not supported due to:

The low level of exploration conducted in the previous term


Insufficient evidence in the application of the technical/financial capability of the applicant to conduct an effective exploration program over more than 2 years

A renewal term of 4/5 years is not supported due to:

The licence does not surround an operating mine held in the same interests

Chair of TRC:

Date: [day/ month/ year]

TITLE: RM8 REF:


C. PROPOSED DECISION OF DECISION MAKER

Decision Maker (or delegate): name / position


Proposed decision:

Having read this document and for the reasons state below I propose to make the

following decision:

renew the exploration licence

refuse the exploration licence renewal application

defer consideration of this application (eg. while I seek further information)

Proposed Term: x years

Proposed Area: x blocks/units

Proposed security deposit to be collected in advance: $[insert sum]

Conditions:

Reasons for proposed decision:

[Refer to standard reasons below when documenting reason – remove those not applicable]

Renew for area and term requested:


Reasons for refusal (non-exhaustive):

Insufficient exploration was conducted on the licence in the last term

Insufficient exploration has been conducted on the licence since grant

(An annual report has /Annual reports have) not been submitted in accordance with s. 163C of the Mining Act (this refers to non-submission of reports, not timeliness of reporting or report quality)

The application has insufficient detail of an effective proposed exploration program for the renewal term



The application has insufficient evidence of the technical capacity to conduct the proposed exploration program

The application does not nominate a suitable technical manager responsible for conducting the exploration program and reporting the results to the Department

No valid extenuating factors apply to support renewal


The Applicant has contravened anActivity Approval Conditions and/or Authority Conditions relating to rehabilitation/environmental management/reporting under the Mining Act 1992 in relation to [this authorisation] [and] [other authorisations held in the

TITLE: RM8 REF:


same name or related companies.] The compliance record of the Applicant is considered to be unsatisfactory.



In instances where special circumstance renewal has been requested - reasons for recommending refusal of special circumstances but still allowing normal renewal (non-exhaustive): Special circumstances do not apply because:

The exploration program proposed (in the exploration licence application/in the last renewal application/in the request for review submission of [date]) was not completed

Condition(s) [specify] of the licence has/have not been satisfactorily complied with

The full area of the licence was not explored effectively in the last term

The proposed exploration program does not effectively cover the full area of the licence sought for renewal

No valid extenuating factors apply to support special circumstance renewal of more than half the area

Reasons for recommending a renewal term shorter than that sought (non-exhaustive): A renewal term of 3 years is not supported due to:

The low level of exploration conducted in the previous term


Insufficient evidence in the application of the technical/financial capability of the applicant to conduct an effective exploration program over more than 2 years

A renewal term of 4/5 years is not supported due to:

The licence does not surround an operating mine held in the same interests

TITLE: RM8 REF:


D. PROCEDURAL FAIRNESS (completed by Titles unit)

Date proposed decision sent to applicant: [day/month/year]

Applicant’s Response: Insert summary of applicant’s submissions in response (if any)

Date response received: [day / month / year]

Referred back to relevant units (MEA /C&PG/ESU/Compliance) for applicant’s response to

be considered: [day/month/year] [Did the submissions raise any new issues relevant to



Consideration of response by TRC: [Did the submissions raise any new issues relevant to



Comment:

[if the TRC’s final recommendation departs from the TRC’s proposed decision, clearly state

reasons why]

Notes:

1. Units are only required to re-assess the application if there is new information submitted relevant to their area of

expertise.

2. The application only returns to the TRC for reconsideration if new relevant information is submitted

TITLE: RM8 REF:


E. ISSUES TO BE FINALISED PRIOR TO THE RENEWAL OF AN EXPLORATION

LICENCE (completed by Titles unit)

If required, an increase in security of $[insert sum] has been received from the applicant in

advance.

Rent of $[insert sum] received or up to date

Administrative Levy of $[insert sum] received or up to date

Part 5 Assessment not required or Part 5 Assessment undertaken by ESU

TITLE: RM8 REF:


F. DECISION

Decision maker (or delegate): [name / position]


Final compliance check in ACES completed and no issues identified: yes / no

Given my proposed decision in Section C of this document, and having considered any further

relevant submissions, I have decided to:

renew the exploration licence

refuse the exploration licence renewal application

I have reached this decision for the reasons:

listed above in Section C above (Reasons for proposed decision)

for other reasons (please stipulate) __________________________________________

Signed: ____________________________________________

Revision history

Version Date issued Notes By

1 25.2.2015 Final version approved

2 5.3.2015 Titles process checks added to procedural fairness and final decision sections. Checked by legal. Addition of sections A, B, C, D, E & F to clearly define process as suggested by legal. Additions to decision maker sections. Notes for section D. Change of heading.

V.Newell / L.Shields

3 5.6.2015 Section A. All statutory requirements/criteria complied with changed to Assessed statutory requirements/criteria complied with Section A. Departmental assessments have been streamlined to Summary Advice – Insert summary of advice from checklist.

L Keevill

4 22.9.2015 Section A – Titles Assessment - WP created in RM8 as separate sub-file as an OUT document

TITLE: RM8 REF:


August 2015 (v.3)

Checklist for the Compliance Coordination Unit’s review of authorisation decisions relating to all authority types TITLE INFORMATION: RM8 Ref:

Title Type and Number:

Applicant:

Date request received:

Location:

Assessing Officer:

Date of Assessment:

NOTE: For applications for the grant of a licence, please fill out all sections of the checklist below. For applications for renewal of a licence:

section 1 and 4 must be completed; and

section 2 and 3 only need to be completed on an exceptions basis.

# Relevance of consideration

Factors to consider Y N

1. Due Process

CE1.2 Mining Act 1992

s.22(2)(a),S.41(2)(a), s.63(2)(a), 114(2)(a)

Is the applicant the subject of an Alleged Breach Notification? Comments:

CE1.2 Mining Act 1992

s.22(2)(a),S.41(2)(a), s.63(2)(a), 114(2)(a)

If response to 1.2 was YES, is the applicant the subject of a current investigation or enforcement action? Comments:

2. Fit & Proper Person

CE2.1 CE2.1.1

Mining Act 1992 s.380A(2)(a)

Compliance & Criminal Conduct Issues

Has the applicant or (in the case of a corporation) any of its directors, held an authorisation or other instrument under relevant legislation1 that has been suspended, cancelled or revoked? Comments:

CE2.1.2 Mining Act 1992 s.380A(2)(b)

Are there known links or subsidiaries of the authorisation holder to another company subject of an

1 See end of checklist for definition of ‘relevant legislation’

August 2015 (v.3)

Page 2 of 5

Alleged Breach Notification? Comments:

CE2.1.3 Mining Act 1992 s.41(2)(a), s.63(2)(a),

380A(2)

Has the applicant or (in the case of a corporation) any of its directors, been previously investigated and/or prosecuted and/or penalised for non-compliance with relevant legislation, or convicted of any other offence relating to mining or minerals? Comments:

CE2.1.4 Mining Act 1992 s.380A(2)(a)

Has the applicant or (in the case of a corporation) any of its directors, been convicted of a serious offence or an offence involving fraud or dishonesty in the previous 10 years?

Comments:

CE2.1.5 Mining Act 1992 s.380A, 13(5), s33(5),

51(5), Mining Regulation 2010

schedule 5

Has the applicant, or (in the case of a corporation) any of its relevant persons 2, had convictions under relevant Acts and or compliance history in any other state? (QLD & WA) Comment:

CE2.2 CE2.2.1

Mining Act 1992 s.380A(2)(j),

s.13(5)(b), s.33(5)(b), s.51(5)(b).

Financial Capacity & History

Has the applicant been an undischarged bankrupt, legally applied for relief of bankrupt or insolvent debtors, or compounded with creditors/made an assignment of remuneration for their benefit, at any time in the previous three years? Comments:

CE2.2.2 Mining Act 1992 s.380A(2)(k),(l),

s.13(5)(b), s.33(5)(b), s.51(5)(b).

Has the applicant been the subject of a winding up order or had a controller or administrator appointed at any time in the previous three years? Comments:

CE2.2.3 Mining Act 1992 s.380A (m),

s.13(5)(b), s.33(5)(b), s.51(5)(b).

What is the current financial standing of the applicant? Is the applicant a listed company on a major stock exchange? What is the value of the applicant’s net revenue for the most recent financial year? What is the value of the applicant’s assets for the most recent financial year? What is the value of the applicant’s liabilities for the most recent financial year? What is the applicant’s growth/decline trend over the past 5 financial years (or similar)? What is the size/scope of the applicant’s likely financial

2 See end of checklist for definition of ‘relevant person’

August 2015 (v.3)

Page 3 of 5

commitments and risks over the next financial year? Comments:

CE2.3 CE2.3.1

Mining Act 1992 s.380A(2)(g)

Good Repute

Has the applicant or (in the case of a corporation) any of its directors or related body corporates, been the subject of an ICAC or similar investigation? Comments:

CE2.3.2 Mining Act 1992 s.380A, s.22(2)(b), , s.41(2)(b), s.63(2)(b)

s.114(2)

Has the applicant, or (in the case of a corporation) any of its relevant persons, been investigated and/or prosecuted and/or penalised for providing false and misleading information to a regulatory agency or authority? Comments:

CE2.3.3 Mining Act 1992 s.380A

Has the applicant, or (in the case of a corporation) any of its relevant persons, been the subject of a court matter or hearing for acting unprofessionally, dishonestly and/or not in good faith? Comments:


Is the applicant, or (in the case of a corporation) any of its relevant persons, in partnership with or otherwise in connection to persons or groups of ill-repute? Comments:


Has the applicant, or (in the case of a corporation) any of its relevant persons, been linked to major or sustained governance, community, environmental or safety incidents? Comments:

3. Environmental Performance Record

CE3.1 Mining Act 1992 s.13(4)(c), s.33(4)(c),

s.51(4)(c), Mining Regulations 2010 cl.14, cl.20, cl.24

Has the applicant had any approvals (consent, licence or permission or permission or any form of authorisation), under environmental protection legislation or other relevant legislation, revoked or suspended in the 5 years immediately before the application is made? Comment:

CE3.2 Mining Act 1992 s.13(4)(c), s.33(4)(c),

s.51(4)(c), Mining Regulations 2010 cl.14, cl.20, cl.24

Has the applicant had any convictions under environmental protection legislation or other relevant legislation in the past 5 years immediately before the application is made?

August 2015 (v.3)

Page 4 of 5

Comment:

4. TRC Advice

CE4.1 Grant / Renewal / Transfer of EL / AL / ML

CE4.2 Conditional grant / renewal Comments:

CE4.3 Request further information from applicant regarding compliance history (PPIPA) Comments:

CE4.4 Additional information for consideration Comments: Notes:

5. Assessment Summary To be copied into the Assessment Summary Document for TRC (if required)

CE5.1 Assessment:

relevant legislation means the following legislation:

(a) the Mining Act 1992,

(b) the Petroleum (Onshore) Act 1991,

(c) the environment protection legislation, being (as at February 2015):

(i) Contaminated Land Management Act 1997,

(ii) Dangerous Goods (Road and Rail Transport) Act 2008,

(iii) Environmental Trust Act 1998,

(iv) Environmentally Hazardous Chemicals Act 1985,

(v) Ozone Protection Act 1989,

(vi) Pesticides Act 1999,

(vii) Protection of the Environment Operations Act 1997,









August 2015 (v.3)

Page 5 of 5

(viii) Radiation Control Act 1990,

(ix) Recreation Vehicles Act 1983,

(x) Waste Avoidance and Resource Recovery Act 2001.

(d) the Environmental Planning and Assessment Act 1979,

(e) the work health and safety legislation,

(f) any other legislation prescribed by the regulations under the Act (none prescribed as at

February 2015).

relevant person means any office bearer (director, non-executive director, secretary, chief executive

officer, mine manager) of a company; any shareholder (majority or controlling person) for the

company.





TRIM ref:

EXPLORATION LICENCE APPLICATION

Assessment checklist for Mineral Exploration Assessment’s input into a decision on an exploration licence application

ELA no. Applicant Lodged date Location Area sought (units) Nominated TM Term sought (years) Mineral group(s) Group 1 (Metallics)

No. of separate parts Group 2 (Non-metallics)

Group 3 (Semi-precious)

Group 4 (Marine agg.)

Group 5 (Clays)

Group 6 (Gemstones)

Group 7 (Opal)

Group 10 (Mineral sands)

Group 11 (Uranium)

Assessing geologist name Date of assessment Approving geologist signature, name & position

Date of approval Titles region

Applicable policies: Policy on Exploration Licence Applications over Existing Titles Policy on Renewal of Exploration Licences for Minerals

Applicable forms: Form EL 1

Applicable guidelines: Instructions for Lodging an Exploration Licence Application

MEA assessment checklist for an ELA, version 5, 31/3/2015

TABLE 1 EXPLORATION PROGRAM AND EXPENDITURE: Complete details for exploration activities and expenditure for each year if the proposed exploration program. Only list exploration activities—environmental management, rehabilitation and community consultation are considered elsewhere, and relevant administrative and reporting activities are assumed.

Exploration Activities Expenditure

Criteria Factors to Consider Commentary BACKGROUND

MEA1.1 Mining Act s. 22(2)(a)

Information about the applicant: • Describe whether the applicant is a private

person, private company, listed company, mining company, multinational, junior explorer? Does it have a parent company?


Other titles and applications by the same applicant or related entities: • Does the applicant hold or has the applicant

recently held any other titles and/or applications in similar interests in NSW?

Yes No


Other titles and applications by the same applicant or related entities over the same area: • If the answer to the previous question is YES,

does the applicant hold, or has the applicant recently held any other titles and/or applications in similar interests over the same area as the current application?

Yes No N/A

MEA1.4 Mining Act s. 22(2)(a);Mining Regulation cl. 57

Past technical reporting performance: If the answer to MEA1.2 is YES: • Is reporting on other current authorities up-to-

date? Yes No N/A

• Is reporting on dead authorities up-to-date?Yes No N/A

• Has the applicant generally submitted completereports in accordance with guideline requirements and on time?

Yes No N/A


Past exploration performance: • If the answer to MEA1.2 is YES, has the applicant

or related entities had any authorities cancelled or applications refused or not fully supported on the basis of poor exploration performance?

Yes No N/A

Page 2 of 5

Proposed initial term

Criteria Factors to Consider Commentary ASSESSMENT OF THIS APPLICATION

MEA2.1 Mining Act s. 19; Policy on ELAs over Existing Titles

Available area: • Does the ELA conflict with any other authorities or

applications for authorities, reserves, water catchments, etc?

Yes No

MEA2.2 Mining Act s. 13(5)(c); Form EL1 10(f)

Exploration objectives and rationale for applying over this area? • Has the applicant provided satisfactory

exploration objectives? Yes No Does the applicant have an exploration model (e.g. porphyry copper-gold)? Yes No • Has the applicant provided a satisfactory rationale

for why is this area considered prospective for these commodities?

Yes No

MEA2.3 Mining Act s. 13(5)(c)-(d); Form EL1 10(d) and (f)-(g)

Proposed exploration program (Table 1) : • Is the proposed exploration program appropriately

detailed for the term sought, and appropriate for the exploration objectives, model and rationale, as well as the known geology and previous exploration?

Yes No

MEA2.4 Mining Act s. 13(5)(b) and (d); Form EL1 10(g)

Estimated expenditure: • Is the estimated expenditure on the exploration

activities listed in Table 1 reasonable for the area, minerals group and term applied for and exploration program proposed?

Yes No

MEA2.5 Form EL1 10(c), (f) & (g)

Large area: • Is the area sought over 100 units? Yes No • If YES, has the applicant reasonably justified the

larger area? Yes No N/A

MEA2.6 Mining Act s. 13(5)(b); Form EL1 10(e)

Technical resources: • Are the technical resources appropriate for the

proposed exploration program? Yes No • Does the nominated technical manager

responsible for conducting the exploration program and reporting the results have relevant geoscience or related/equivalent qualifications and experience in exploration for the minerals sought and has the person accepted the role if not an employee?

Yes No

Page 3 of 5

Criteria Factors to Consider Commentary MEA2.7 Mining Act s. 13(5)(b);Form EL1 10(d)

Financial capability: • Has evidence of financial capability to conduct the

proposed exploration program has been supplied?

Yes No • Is there evidence of a significant risk that the

applicant does not have sufficient financial capability to satisfactorily complete the proposed exploration program?

Yes No

Action: If YES to the last question, notify Compliance Co-ordination Unit for investigation of s. 380A(2)(m) regarding fit and proper person consideration.

MEA2.8 Mining Act ss. 22(2)(b), 378C

False and misleading information: • Has the applicant provided information that is

potentially false or misleading in relation to the renewal application?

Yes No

Action: If YES, notify Compliance Co-ordination Unit for investigation of s. 378C.

MEA2.9 Mining Act s. 16

Further information: • Is further information required from the applicant

to be able to assess the application? Yes No

Action: If YES, request information, notify Titles immediately to stop the clock, notify Titles when information has been received so the clock can be restarted, and incorporate the additional information into this assessment.

MEA2.10 Mining Act s. 3A, s. 22;EL renewal policy

Other comments on assessment of the application: • Are there any other relevant factors that should

be considered? Yes No

Page 4 of 5

Criteria Factors to Consider Commentary SUMMARY OF ADVICE

MEA3.1 Mining Act ss. 22, 28(a)

Grant advice: Should a licence be granted over all the available area?

Yes No

MEA3.2 Mining Act ss. 22(3), 28(a)

Multiple parts: If the application has multiple parts, should one licence be granted from all parts?

Yes No N/A

MEA3.3 Mining Act ss. 22(3), 28(a)

Multiple applications: Should one licence be granted from more than one application including this application?

Yes No N/A

MEA3.4 Mining Act s. 28(b)

Mineral group(s): Should a licence be granted for all mineral groups sought?

Yes No

MEA3.5 Mining Act s. 28(d)

Term: Should a licence be granted for the term sought?

Yes No

MEA3.6 Mining Act ss. 26(1), 28(c)

Special conditions: Should any special conditions be imposed in a licence?

Yes No

MEA6.7 Written statement of the Department’s exploration expectations: Should the EL holder be notified, at the time the EL is granted, that the Department expects particular exploration to be completed prior to renewal being sought?

Yes No

Page 5 of 5

Titles Assessment Form 1 – Exploration Licence applications under the Mining Act 1992

Checklist for the Delegated Decision Maker TITLE INFORMATION:

EL / ELA number:

Applicant:

KPI dates to TRC and Offer made:

Decision Maker:

Good Decision Making Principles Proposed Decision:

YES NO

Have all relevant considerations been taken into account when making the proposed decision including:

Legislation (Mining Act 1992, Mining Regulations 2010) ETC recommendation Internal decision making framework Principles for Good Decision Making and Procedural Fairness Ombudsman’s Reasons for Decisions?

Is the proposed decision reasonable?

Has weight been given to different factors in accordance with their relative importance?

Are the facts that the decision is based on correct? Can the decision be justified?

Is the proposed decision supported by evidence?

All assessments and recommendations have been adequately documented

This evidence is clear and factual

Have relevant policies and procedures been applied in a flexible way that takes into account the circumstances of the individual case?

Is the proposed decision unbiased?

There is no real or perceived conflict of interest.

Has discretion been properly exercised? The decision maker has made up their own mind and avoided commitments to decide the matter in a particular way.

Is legal advice required?

Page 2 of 2

The decision maker is unsure about the interpretation or application of the legislation in this instance.

Does the proposed decision match the TRC recommendation?

If No, have clear and factual reasons been documented to justify this?

Return to TRC for Review. Comments:

Final Decision:

Have all of the decision making principles listed above still been applied regarding the finalisation of the decision?

Has procedural fairness been followed: - The applicant has been advised of the proposed decision and offered

the right of reply

- The applicant has been granted a review of the proposed decision if requested?

- The right of reply has been taken into consideration before finalising the decision to grant or refuse

If the final decision is different from the proposed decision, have the reasons for this been clearly documented? Comments:

Is the application in the best interests of the State?

Mining Act 1992 No 29



(2) Without limiting the generality of subsection (1) or any other provision of this Act, an application may be refused on any one or more of the following grounds:

(a) that the decision-maker is satisfied that the applicant (or, in the case of an applicant that is a corporation, a director of the corporation) has contravened this Act or the regulations (whether or not the person has been prosecuted or convicted of any offence arising from the contravention) or has been convicted of any other offence relating to mining or minerals,

(b) that the decision-maker is satisfied that the applicant provided false or misleading information in or in connection with the application.

(3) The decision-maker may grant a single exploration licence in respect of 2 or more applications or 2 or more exploration licences in respect of a single application.

MINING ACT 1992 & MINING REGULATION 2010

Internal decision making framework for Exploration Licences, Assessment Leases and Mining Leases for non coal minerals

Published by NSW Department of Trade and Investment, Regional Infrastructure and Services

Internal decision making framework for Exploration Licences, Assessment Leases and Mining Leases

First published June 2014

ISBN: 978 1 74256 574 3

www.trade.nsw.gov.au / www.resourcesandenergy.nsw.gov.au

© State of New South Wales through the Department of Trade and Investment, Regional Infrastructure and Services 2013.

This publication is copyright. You may download, display, print and reproduce this material in an unaltered form only (retaining this notice) for your personal use or for non-commercial use within your organisation. To copy, adapt, publish, distribute or commercialise any of this publication you will need to seek permission from the NSW Department of Trade and Investment, Regional Infrastructure and Services.

Disclaimer: The information contained in this publication is based on knowledge and understanding at the time of writing (June 2014). However, because of advances in knowledge, users are reminded of the need to ensure that information upon which they rely is up to date and to check currency of the information with the appropriate officer of the NSW Department of Trade and Investment, Regional Infrastructure and Services or the user’s independent advisor.

1 NSW Trade & Investment, June 2014

Table of Contents DEFINITIONS .............................................................................................................3 Regulation means the Mining Regulation 2010 Overview .....................................3 Overview ....................................................................................................................4 1. Applying for an Authority .....................................................................................6 1.1 Issues to consider when completing an application ..........................................................6

1.1.1 Mineral Allocation Areas ......................................................................................................... 6 1.1.2 Completion and lodgement of applications .......................................................................... 7 1.1.3 Environmental performance record ....................................................................................... 7 1.1.4 Notices in newspapers ............................................................................................................ 8 1.1.5 Waiver of minor procedural matters ...................................................................................... 8

1.2. Issues considered when assessing an application ..........................................................9 1.2.1 Breaches of the Act, Regulations or environmental law...................................................... 9 1.2.2 Conditions on authority........................................................................................................... 9 1.2.3 False or misleading information........................................................................................... 10

2. Applying for an Exploration Licence.................................................................11 2.1 Issues to consider when completing an application ........................................................12

2.1.1 Expenditure estimate and financial resources ................................................................... 12 2.1.2 Work Program......................................................................................................................... 13 2.1.3 Technical Advice .................................................................................................................... 13 2.1.4 Description and size of the proposed exploration area ..................................................... 14 2.1.5 Groups of minerals ................................................................................................................ 14

2.2. Issues considered when assessing an application ........................................................15 2.2.1 Assessing applications ......................................................................................................... 15 2.2.2 Competing Applications ........................................................................................................ 15 2.2.3 Land subject to an existing authority .................................................................................. 16 2.2.4 Term of authority.................................................................................................................... 16

2.3. Renewal of Exploration Licences ...................................................................................17 2.3.1 Applications for renewal........................................................................................................ 17 Special circumstances.................................................................................................................... 18 2.3.2 New Application as alternative to renewal .......................................................................... 18

3. Applying for an Assessment Lease...................................................................19 3.1. Issues to consider when completing an application .......................................................19

3.1.1 Assessment of mineral bearing capacity ............................................................................ 19 3.1.2 Expenditure estimate and financial resources ................................................................... 20 3.1.3 Work program......................................................................................................................... 20 3.1.4 Technical Advice .................................................................................................................... 20 3.1.5 Description and size of the proposed assessment area.................................................... 21

3.2. Issues considered when assessing an application ........................................................21 3.2.1 Assessing applications ......................................................................................................... 21 3.2.2 Conflicts between mining and petroleum titles .................................................................. 22


3.2.3 Land subject to an existing authority .................................................................................. 22 3.2.4 Term of authority.................................................................................................................... 22

3.3. Renewal of Assessment Leases ....................................................................................23 3.3.1 Applications for renewal........................................................................................................ 23

4. Applying for a Mining Lease ..............................................................................24 4.1. Issues to consider when completing an application .......................................................24

4.1.1 Assessment of mineral bearing capacity ............................................................................ 24 4.1.2 Financial resources................................................................................................................ 25 4.1.3 Work program......................................................................................................................... 25 4.1.4 Technical Expertise................................................................................................................ 25 4.1.5 Description and size of the proposed mining area............................................................. 25

4.2 Issues considered when granting an application ............................................................26 4.2.1 Assessing applications ......................................................................................................... 26 4.2.2 Conflicts between mining and petroleum titles .................................................................. 26 4.2.4 Land subject to an existing authority .................................................................................. 27 4.2.5 Recovery of public money spent on testing or research................................................... 27 4.2.6 Term of authority.................................................................................................................... 27

4.3. Renewal of Mining Leases .............................................................................................28 4.3.1 Applications for renewal........................................................................................................ 28

Annexure 1 Refund of fees.....................................................................................29 Annexure 2 Failure to Pay Annual Administrative Levy and Rental Fee............30 Annexure 3 Securities ............................................................................................31


DEFINITIONS

Act means the Mining Act 1992

Agent means the person or company authorised to act on the applicant’s behalf.

Applicant means the person or company who has applied.

Authorisation means an authority, a small-scale title or an environmental assessment permit granted under section 252 of the Mining Act 1992.

Authority means an exploration licence, an assessment lease or a mining lease.

Decision Maker means:

(a) in relation to a mineral claim or an opal prospecting licence, or an application for or with respect to such a claim or licence—the Secretary, or

(b) in relation to a mineral owner authority, or an application for or with respect to such an authority—the Secretary, or

(c) in relation to any other type of authority or an application for or with respect to any other type of authority—the Minister.

Note. For the purposes of this document the above definition of the decision maker also includes the delegated functions as set out in the Department’s approved Instrument of Delegations.

Department means the Division of Resources & Energy within the Department of Trade and Investment, Regional Infrastructure and Services

Effectively Explored means exploration that reflects the level of available geological knowledge.

Where exploration licence applications cover areas which have undergone several phases of exploration, a well researched rationale that adds to the existing knowledge base is expected. In areas where geology is not well understood, the exploration program may be more speculative. When only small parts of larger exploration licences are the focus of exploration for an entire term, relinquishment of unexplored areas is expected, or justification provided on why they should be retained.

Regulation means the Mining Regulation 2010


Overview This Internal decision making framework for Exploration Licences, Assessment Leases and Mining Leases outlines the policies and processes applied to the granting and renewal of authorities under the Mining Act 1992.

The NSW Government is committed to maintaining a legislative and policy framework that promotes and supports the NSW minerals sector, which in turn provides sound investment opportunities and the potential for job creation, while at the same time protecting the environment so that the industry is sustainable into the future. A sustainable minerals sector is important, as the royalties and economic benefits from exploration and mining contribute to the provision of services to the people of NSW.

Departmental policies and processes reflect a commitment to:

Serve the best interests of the state through proper and competent management of our mineral resources, and by promoting effective exploration, environmental compliance, community engagement and sustainable practices.

Provide information and advice, including the preparation of clear, concise and accessible online materials and e-business facilities that meet the needs of stakeholders.

Frameworks that support and are consistent with relevant legislation, regulations and published departmental procedures.

Work with all stakeholders in an accountable, transparent and equitable way.

This Internal decision making Framework focuses on the grant and renewal of exploration licences, assessment leases and mining leases. The Annexure included at the back of this document addresses specific policy matters.

For information on mineral claims and opal prospecting licences please refer to: http://www.resourcesandenergy.nsw.gov.au/miners-and-explorers/applications-and-approvals/lightning-ridge.

Legislation

Onshore mining and exploration for coal and minerals in New South Wales are governed by the Mining Act 1992 and the Mining Regulation 2010. This legislation can be found at www.legislation.nsw.gov.au.

Authorisations under the Mining Act 1992 include:

Exploration Licences

Assessment Leases

Mining Leases

Mineral Claims

Opal Prospecting Licences Oil and gas exploration are governed by the Petroleum (Onshore) Act 1991 and supporting Regulation.

All exploration and mining activity in NSW must be conducted under an authority issued in accordance with the Mining Act 1992, administered by the Division of Resources & Energy (DRE). Certain exploration and mining activities also trigger the requirement for additional approvals and other NSW legislation may also apply.


The Mining Act 1992 provides the mechanism for Government to regulate exploration and mining by granting authorities. The authority gives holders exclusive rights to explore or mine for minerals for which the authority is granted, subject to conditions.

Decision making

Decisions on an authority will be made in accordance with the principles of procedural fairness.

The Exploration Titles Committee (ETC) assesses all applications and makes recommendations for the decision maker to consider regarding grant, renewal or refusal. Consideration is given to published principles, priorities, policies and decision-making criteria in making a determination, with reasons for decisions appropriately documented.

The granting of an exploration licence does not give any right to mine the minerals to which it applies, nor does it guarantee a mining lease will be granted within the exploration licence area.

To ensure optimum development of the State’s mineral potential, it is essential that land subject to authorities issued by the Government is actively explored, developed or mined. Where land is not being effectively explored, or applications are being unnecessarily delayed by the applicant, they may be terminated or refused and the areas made available for investment by other parties.

Other relevant policies can be found at http://www.resourcesandenergy.nsw.gov.au/miners-and-explorers

Application forms for exploration licences, assessment leases and mining leases are available online at http://www.resourcesandenergy.nsw.gov.au/miners-and-explorers/applications-and-approvals

Location maps can be obtained online from the Department’s MinView system available at http://www.resourcesandenergy.nsw.gov.au.

How to use this internal decision making framework

This internal decision making framework includes mandatory and non-mandatory requirements. The references to legal requirements contained in the Mining Act 1992 and Mining Regulations 2010 are not exhaustive and are included for context only.

The words ‘must’, ‘requires’ or ‘mandatory’ indicate necessary compliance with legal requirements.

The word ‘should’ indicates a recommended course of action, while ‘may’ indicates an optional course of action.

While the purpose of this document is to outline the policies and processes of the granting and renewal of authorities, any decision regarding grant or renewal will not be reached by automatically applying this framework alone, but will also take into account the merits of the application.

Refer to current legislation online at www.legislation.nsw.gov.au


1. Applying for an Authority This chapter includes general information that applies to all exploration licences, assessment leases and mining leases. It should be read in conjunction with the specific chapter for the type of authority being applied for.

1.1 Issues to consider when completing an application 1.1.1 Mineral Allocation Areas

(s.386, s.13(3), s.14, s.33 & s.51(3)(a),(b) of the Mining Act 1992)

The Mining Act 1992 provides that any land may be constituted as a Mineral Allocation Area (MAA) for specified minerals or group of minerals. This allows for the controlled and rational allocation of potential development areas and the setting of special conditions for each allocation.

The entire state of NSW has been constituted as an MAA for coal and uranium, with parts of the state constituted as an MAA for other specific minerals from time to time.

The location of MAAs can be viewed on the MinView database which is available online at http://www.resourcesandenergy.nsw.gov.au.

An application for an authority for an allocated mineral within an MAA can only be made with the Minister’s consent, unless the holder already holds an exploration licence or assessment lease over the area.

Importantly, the granting of consent by the Minister does not:

confer any right to prospect for the allocated mineral;

guarantee the grant of an authority; and

mean that the Minister's consent will not be given to another person for that area of land in the future.

For minerals in an MAA where the Minister decides not to invite tenders, the request for Minister’s consent should be made in writing and submitted to the Department.

Where there is competition in relation to the same or an overlapping area of land, the Minister may convene a public tender or Expression of Interest (EOI) process. In this instance the Minister will consider all applications on merit for the same area and determine, in the best interests of the state, which applicant is to have priority in being granted an exploration licence over the area of interest. The evaluation criteria for determining the ‘best interests of the state’ will be based on information provided with the tender or EOI.

Where only one person has applied for consent, the Minister may still conduct a public tender or EOI process.

Although the information that should accompany an application under section 13(3) of the Mining Act 1992 is not specifically outlined, persons applying for consent should expect that the Minister will assess applications by taking into account the objects of the Act.

Where the Minister has given consent for the lodgement of an application within an MAA, the initial authority applicant must be the person or company to whom the Minister's consent was given.


Coal

Since January 2008, all coal deposits in NSW are within an MAA under the Mining Act 1992.

This internal decision making framework does not apply to coal.

1.1.2 Completion and lodgement of applications

(s.382, s.13(4)(c), s.33(4)(c) & s.51 of Mining Act 1992, cl.76 of Mining Regulation 2010)

An application for an authority or exploration activity approval must be completed in the specified form and manner, and include all required information. The prescribed fees must be paid at the time of initial lodgement.

Applications will be processed in the order in which they are received, against the assessment criteria. Under the Mining Act 1992, conflicting applications over all or part of the same area will be assessed in priority order of lodgement, after taking into consideration the provisions of the Act and Regulations.

Applicants have 10 working days to lodge supporting information required as part of an application.

If the application is assessed as deficient the applicant will be advised immediately and provided with the date by which the information is required.

Processing of the application will commence following the receipt of all required supporting information (refer to the Mineral Resources Service Delivery Standards for target processing times).

If the required information is not received within 10 working days the application will be refused.

Section 135 of the Mining Act 1992 (waiver of minor procedural matters) will not be used to accept any information that is submitted after the 10 working day period.

The application will be assessed solely on the information provided. No additional information will be sought or clarified following the 10 working day period.

1.1.3 Environmental performance record (s.22(2)(a), s.41(2)(a), s.63(2)(a) & s.114(2)(a) of Mining Act 1992, cl.4, cl.20(1)(a) & cl.24(1)(a) of Mining

Regulation 2010)

An application for an exploration licence must include details of any:

conviction for an offence relating to mining or minerals

any approvals that have been revoked or suspended under environment protection or other relevant legislation (as listed in Schedule 5 of the Regulations) in the last five years

any other information prescribed by the Regulations

For individual applicants this includes any corporation of which the applicant was a director or company secretary, while for corporate applicants it includes each director and the company secretary of the corporation.

An agent cannot certify the statement regarding the applicant’s environmental performance record.


1.1.4 Notices in newspapers (s.13A, s.33A & s.51A of Mining Act 1992, cl.15, cl.21 & cl.25 of Mining Regulation 2010)

Newspaper notices for applications for an exploration licence must appear within 45 days of confirmation that the application has been lodged.

Section 135 of the Mining Act 1992 (waiver of minor procedural matters) will generally not be used to accept any newspaper notice after this period.

Copies of newspaper notices must be sent to the department within five working days of being advertised. Electronic versions (sent via email) will be accepted.

For additional information on the requirements relating to lodgement of newspaper notices refer to the Guidelines for Publication of a Notice of an Application available from http://www.resourcesandenergy.nsw.gov.au/miners-and-explorers/rules-and-forms/policies

1.1.5 Waiver of minor procedural matters

(s.135 of Mining Act 1992)

Applications should be complete and accompanied by all required information. The Act provides for some limited discretion by the decision maker on minor procedural matters, but should not be relied upon by applicants.

In order to meet the target timeframes for the processing of applications, waivers of minor procedures will generally not be used.


1.2. Issues considered when assessing an application 1.2.1 Breaches of the Act, Regulations or environmental law

(s.22(2)(a), s.41(2)(a), s.63(2)(a),(b) & s.114(2)(a),(b) of Mining Act 1992, cl.4 of Mining Regulation 2010)

Issues the decision maker will take into account when deciding whether to grant or renew an authority include:

compliance with the conditions of the authority

any contravention of or conviction under environment protection legislation in the last five years

any approvals that have been revoked or suspended under environmental protection laws or other relevant legislation (as listed in Schedule 5 of the Regulations) in the last five years

any contravention of the Mining Act 1992 or supporting Regulation

any conviction for any other offence relating to mining or minerals.

Breaches by any corporation of which the applicant was a director and for corporate applicants, breaches by each director of that corporation, will be taken into account.

When taking into account a breach of the Act, Regulations or Environmental Law, consideration will be given to:

how long ago the breach occurred and its severity

evidence of negligence or poor practice

actions taken to prevent further breaches occurring

the findings of any investigation into the breach

self-reporting by the applicant

the applicability of the breach to the current situation (e.g. it may have occurred at an underground coal mine when the current application is for an exploration licence for mineral sands)

any other relevant issues.

For further information refer to the Compliance and Enforcement Policy available online at: http://www.resourcesandenergy.nsw.gov.au/miners-and-explorers/compliance-and-reporting/compliance-and-enforcement

1.2.2 Conditions on authority (s.26, s.44, s.70, s.168A & s.238 of Mining Act 1992)

Conditions may be imposed to:

support the objects of the Act

improve administrative efficiency

regulate exploration activities


protect and rehabilitate the environment (including site specific requirements)

reflect the special characteristics of the site

provide specific performance criteria, taking into account the applicant’s past record.

To ensure authority conditions work, they will be measurable, applicable, practicable and reasonable. They will have time limits set for compliance where appropriate, be written in clear and simple language and conform with the requirements of the Mining Act 1992, Mining Regulation 2010, and general legal requirements.

Where an authority may be affected by legislation or policy administered by another department, a notation may be inserted on the offer letter for grant or renewal, or included as a condition on the authority.

1.2.3 False or misleading information (s.22(2)(b), s.41(2)(b), s.63(2)(b), s.114(2)(c) & s.378C of Mining Act 1992)

Under section 387C of the Mining Act 1992 and the Crimes Act 1900 a person who knowingly provides false or misleading information or omits any matter or thing without which the information is misleading is committing a criminal offence.

An application may also be refused or an authority cancelled if the decision maker reasonably considers an applicant or authority holder has provided false or misleading information in connection with the application.

When determining appropriate action for providing false or misleading information the following will be considered:

evidence that the person knowingly provided false or misleading information

if the false or misleading information was a key factor in determining the licence

financial or other gain

any other relevant issues.


2. Applying for an Exploration Licence An exploration licence gives the holder exclusive right to explore for the specified mineral group/s within the exploration licence area, during the term of the licence.

There are three classes of exploration licence:

Low Impact Exploration Licence

This licence authorises a limited range of exploration activities and is excluded from the ‘Right to Negotiate’ provisions of the Commonwealth Native Title Act 1993 (CNTA). Access arrangements are still required with any affected landholder, including Native Title claimants.

Standard Exploration Licence Option 1 Minister’s consent - Option 1 allows the licence holder to prospect on any non Native Title claimable land. Should the licence holder wish to prospect on any land that is claimable under the CNTA, they will require consent from the Minister. In order to obtain the Minister’s consent, the licence holder will be required to follow the ‘Right to Negotiate’ provisions of the CNTA. Option 2 ‘Right to Negotiate’ - Option 2 allows applicants to follow the ‘Right to Negotiate’ provisions of the CNTA prior to the grant of an exploration licence. Additional fees to cover the costs of advertising are applicable if this option is undertaken.

Exploration (Mineral Owner) Licence This class of exploration licence can only be held by the owner of the private mineral on which the mineral/s are located.

An exploration licence may be granted:

with conditions that reflect the State’s obligation to protect landholders, groundwater, native vegetation, biodiversity, land, rivers and coastal waterways.

for a period of up to five years, although exploration licences for minerals other than coal are usually granted for periods up to three years.

for an area of 100 units or less. For an area of more than 100 units (a unit is about 3km2) an application will be considered on specific merits, including exploration objectives and methods, exploration expertise, financial resources and a work program demonstrating how the total licence area will be effectively explored.

The government’s aim is to ensure exploration licences in NSW are granted and renewed with minimum delay and are effectively explored by the holder. Timeframes for the processing of applications under the Mining Act 1992 allow industry to manage operations and deadlines around expected waiting times. Timeframes are available from http://www.resourcesandenergy.nsw.gov.au/miners-and-explorers/programs-and-initiatives/service-delivery

It is an offence to provide false and misleading information and an exploration licence may not be granted if it is considered that the applicant provided false or misleading information in connection with the application.


2.1 Issues to consider when completing an application 2.1.1 Expenditure estimate and financial resources (s.13(5)(b),(d) of Mining Act 1992)

All applications must include a statement of proposed expenditure. Minimum expenditure requirements apply to all exploration licences, except those for Group 9 minerals.

If a term longer than three years is sought, the proposed expenditure should significantly exceed the minimum requirements in the guide (refer to table 1).

Table 1: Guide to Minimum Expenditure Requirements for Exploration Licences

Area Grant

1 Unit * $5,000 p/a for all groups

2 to 6 Units Group 1 $2,000 plus $3,000 per unit p/a Groups 2, 5 & 10 Half the Group 1 expenditure applied. Other Groups At discretion of Exploration Titles Committee

Greater than 6 Units Group 1 $20,000 plus $500 per unit p/a Groups 2, 5 & 10 Half the Group 1 expenditure applied. Other Groups At discretion of Exploration Titles Committee

* See Clause 10 of the Mining Regulations 2010 for a description of the term “unit”. Note: The Exploration Titles Committee (ETC) may vary the expenditure requirements for individual licences. A more detailed estimate is required for Exploration Licence Applications greater than 100 units.

The application must contain evidence that the applicant has sufficient financial resources to meet the planned expenditure for the initial term of the licence (not just the minimum expenditure requirement), as well as commitments on all other authorities held or pending in NSW. It should be in the form of either a statutory declaration completed by an authorised officer on behalf of the applicant or a letter from a member of a professional accounting association. The information may include a financial commitment from joint venture partners.

Other than in exceptional circumstances no suspension of expenditure will be considered during the term of an exploration licence. Failure to meet expenditure requirements (and the reasons for this failure) will be taken into account when a renewal application is assessed.


2.1.2 Work Program (s.13(5)(c) of Mining Act 1992)

The application must contain particulars of the proposed work program for the licence term.

The proposed work program should include the exploration objectives, rationale and methods, community engagement strategies, environmental management and rehabilitation strategies.

Exploration objectives should outline the types of mineral deposits for which the company is exploring. A description of the proposed exploration model should be provided.

The exploration rationale should explain why the area selected is considered prospective and should demonstrate a basic understanding of the geology and prospectivity of the area.

Where the exploration rationale is missing or the exploration licence application does not demonstrate that basic investigation of previous exploration has been done, the application may be recommended for refusal on the basis of insufficient detail in the proposed work program.

Exploration methods should be listed for each year of the proposed work program, with desktop reviews scheduled for completion within the program’s first year (the latter may be delayed if newly released regional data becomes available). The program is expected to include direct testing through rock chip sampling, soil sampling, drilling, bulk sampling, costeaning or tunnelling.

If a term longer than three years is sought, a well-presented, detailed work program designed to generate new exploration data sets will be expected.

For a minerals exploration licence application covering more than 100 units, the proposed work program must justify the larger than normal area. The case should include a proposed work program that will effectively cover the full licence area and include detailed schedules and costings for exploration activities, suitable evidence that the applicant has the technical and financial resources to conduct the larger work program, and a strategy for relinquishing ground after the initial term.

Applications for multiple mineral groups

If an application is made to explore for more than one mineral group, the work program must address each group unless it can be demonstrated that the mineral group concentrations are spatially co-located.

An exploration licence for multiple mineral groups should explain how the mineral groups are naturally related or associated. The application must include a comprehensive proposed work program that covers each mineral group sought.

2.1.3 Technical Advice

(s.13 (5)(b) of Mining Act 1992)

The quality of the technical advice available to the applicant is considered a key issue in assessing an application. An application may be refused if insufficient technical resources are available to carry out the proposed work program.

Applicants are required to provide details of those employees and consultants available to provide technical advice and operational experience to the applicant.


A technical manager, responsible for implementing the proposed work program and reporting the results of the exploration, must be nominated for each application. The technical manager is expected to be a qualified geoscientist with mineral exploration experience relevant to the proposed work program.

Only one technical manager can be nominated for each exploration licence, although the same technical manager may be nominated for multiple exploration licences.

2.1.4 Description and size of the proposed exploration area (s.13(5)(a), s.25 & s.17(1) of Mining Act 1992 and cl.16 of Mining Regulation 2010)

Applicants must provide a description of the proposed exploration area.

Units make up one part if they are all contiguous. Two units are considered to be contiguous if they share one corner. There is no limit to the number of separate parts in an exploration licence application. However, if application areas are separated by more than five units at their nearest point, they may be granted as multiple exploration licences.

Exploration licences for minerals will normally be granted for 100 units or less. Applications over areas greater than 100 units may be granted where a strong case for the larger area has been made.

2.1.5 Groups of minerals (s.13(4)(a) of Mining Act 1992)

Applicants must specify the mineral group or groups for which the application is made.

An exploration licence for multiple mineral groups must outline adequate exploration programs for each mineral group, including costed work programs.


2.2. Issues considered when assessing an application 2.2.1 Assessing applications

(s.13 (5)(c)(d) of Mining Act 1992)

To be recommended for grant of an exploration licence, an application should have:

an effective proposed work program, suited to the geology and level of previous knowledge of the area, with appropriate proposed expenditures

evidence of suitable technical resources to implement the program and nomination of a competent technical manager to supervise and report on it

demonstration that the applicant has sufficient financial resources to meet its expenditure commitment to the subject area, as well as all other authorities and applications in NSW.

The environmental record of the applicant will also be taken into consideration.

Applicants, or associated companies, with a record of unsatisfactory exploration performance or legal compliance, such as failure to:

implement proposed exploration programs

effectively explore exploration licences

report the results of exploration in full, on time and in the correct format

meet environmental obligations on other authorities

may be recommended for refusal of exploration licence applications until they can demonstrate a substantial improvement in performance and compliance on current authorities.

2.2.2 Competing Applications If the department considers there is competing interest between an existing authority holder and an application for an authority for a different mineral group, the department will advise the new applicant. The new applicant will then be required to justify that the proposed program of works will not impact on the existing authority holder.

If an application for an authorisation under the Mining Act 1992 and titles under the Petroleum (Onshore) Act 1991 have the potential to conflict and the two parties cannot reach agreement, the decision maker, in consultation with the Office of Coal Seam Gas, may determine that the competing interests can co-exist and grant the authority, reject the application or decide that, despite the conflict, it is in the best interests of the state to grant the application subject to special conditions.


2.2.3 Land subject to an existing authority (s.19 of Mining Act 1992)

An exploration licence cannot be granted over land covered by an existing authority or application for the same mineral groups unless the existing holder or applicant gives written consent.

A second licence may be granted, where the decision maker determines that it will not make existing operations impracticable. A licence condition may be imposed setting out a mechanism for dealing with any issues between the parties.

If an exploration licence application is lodged over an existing exploration licence (for the same group of minerals) the applicant must obtain consent from the holder and lodge it within 14 days of the date of the application.

If a valid consent is not submitted within 14 days:

the application will normally be refused if wholly affected by the existing licence

the area of the existing licence will normally be excluded from the application if the licence only partly affects the application.

If the existing licence or any part of it ceases to have effect within the 14 day period the requirement for consent for that area no longer exists and the application can proceed for the available area.

If the applicant lodges a valid consent within the 14 day period the application can proceed for the whole area.

2.2.4 Term of authority (s.27 of Mining Act 1992)

Exploration licences may be granted for up to five years, however they are generally granted for a period of up to three years.

If a term longer than three years for minerals is sought, a well-presented, detailed exploration program designed to generate new exploration data sets will be expected.

If the proposed work program is insufficient to warrant a term of three years, a licence may be granted for a shorter period.

Generally a five year term for minerals will only be considered if the authority is associated with a mine.


2.3. Renewal of Exploration Licences 2.3.1 Applications for renewal

(s.113 & s.114(6) of Mining Act 1992, cl.18 of Mining Regulation 2010)

Exploration licences are usually renewed for three years for minerals, with the opportunity for subsequent renewals.

Exploration licences are required to be reduced by 50% on each renewal, unless special circumstances are met. This is to ensure that exploration ground is ‘turned over’ and made available for other explorers to apply their own concepts, skills or technologies to such areas.

The department’s Exploration Titles Committee (ETC) oversees the renewal process. This committee is chaired by the Director, Minerals Operations and comprises representatives from the Geological Survey, the Environmental Sustainability Unit and the Titles sub unit.

For an exploration licence to be renewed the following criteria should be satisfied:

The expenditure and reporting conditions of the licence have been satisfactorily complied with.

The licence area being sought for renewal has been explored effectively.

A satisfactory proposed program for the renewal period has been submitted.

Where these criteria are not fully satisfied, other extenuating factors may be taken into account in considering renewals including:

Circumstances beyond the control of the holder have delayed satisfactory exploration, e.g. Native Title procedural requirements.

A change in exploration concepts will result in a substantial increase in exploration activity.

Exploration has been delayed while the holder has justifiably focused work on an adjacent title.

An explorer has made a significant investment in the project area in the recent past and further exploration is imminent.

There is a need to hold ground adjacent to an existing mine or development project for longer term exploration objectives.

The licence is a surface title that provides surface access to an underground mine or mining title.

Licences will only be renewed on the basis of extenuating factors if the department is satisfied that this is in the best interests of development of the state’s mineral resources.

Note: A proposed transfer of a licence to another party does not normally constitute an extenuating factor.


Special circumstances

Section 114(6) of the Mining Act 1992 provides that an exploration licence may be renewed for more than 50% of its area if special circumstances exist.

The criteria for establishing that special circumstances exist are:

The conditions of the licence have been satisfactorily complied with (as outlined above).

The full area of the licence has been explored effectively.

The proposed program satisfactorily covers the full area to be renewed.

If any of these criteria are not met, extenuating factors may be taken into account but only if the department is satisfied that this is in the best interests of development of the state’s mineral resources. The quality of previous performance on the licence and the proposed program carry particular weight in determining extenuating factors for special circumstance renewals.

Special circumstances do not need to be demonstrated if the licence comprises four units or less (1,200 hectares).

It must be emphasised that exploration licences are for active mineral exploration. If a resource has been identified and no further significant exploration is envisaged, other forms of title are available.

2.3.2 New Application as alternative to renewal (s.114 of Mining Act 1992)

Licence holders will not be able to circumvent the renewal process by applying for a new exploration licence over all or part of a licence held in the past three months.

Any new application by a previous holder (or an applicant controlled by the same interests) lodged within three months of the expiry date of the original exploration licence may be refused if the area would not have been renewed under the previous exploration licence. The exploration activity under the expired authority will be assessed as part of the new application.


3. Applying for an Assessment Lease An assessment lease is designed to cater for situations between exploration and mining. The lease allows the holder to maintain an authority over a potential project area, without having to commit to further exploration. The holder can, however, continue exploration to further assess the viability of commercial mining.

An assessment lease may be appropriate where:

a mineral resource has been proven and the feasibility of mining established but the project is not currently viable, although it has potential to be developed in the foreseeable future; or

there are areas of mineral potential which are natural extensions to existing operations or projects, but it is currently impractical to apply for a mining lease.

An assessment lease should be sought over the defined area of an indicated or measured resource identified under the Australasian Code for Reporting of Exploration Results, Mineral Resources and Ore Reserves prepared by the Joint Ore Reserves Committee (the JORC Code, 2012 Edition). In cases where the mineral/s being sought make it difficult to provide an assessment that conforms to the Code, the applicant will have to make a detailed case for the omission and provide other evidence of the indicated or measured resource.

An assessment lease is not intended to allow the holders to tie up resources indefinitely and there is an expectation that there will be direct expenditure on the area.

Detailed guidelines outlining the information needed to make an application are included on the assessment lease application form.

Generally, assessment will be made on the basis of the written material submitted.

Providing false or misleading information is an offence and an assessment lease may not be granted if it considered that the applicant provided false or misleading information in connection with the application.

3.1. Issues to consider when completing an application 3.1.1 Assessment of mineral bearing capacity (s.33 (5)(b) of Mining Act 1992)

The assessment provided of the mineral bearing capacity and extent of the mineral deposits of land in the area should conform with the JORC Code. If the applicant is unable to provide an assessment consistent with the Code, then they will have to make a detailed case for the omission and provide other evidence of the indicated or measured resource.


3.1.2 Expenditure estimate and financial resources (s.33(5)(c)(f) of Mining Act 1992)

The application must include details of the estimated amount of money proposed to be spent on the work program and contain evidence that the applicant has sufficient financial resources to meet the planned expenditure for the initial term of the lease, as well as commitments on all other authorities held or pending in NSW. It should be in the form of either a statutory declaration completed by an authorised officer on behalf of the applicant or a letter from a member of a professional accounting association. The information may include a financial commitment from joint venture partners.

3.1.3 Work program (s.33(5)(d)(e) of Mining Act 1992)

The application must contain particulars of the proposed work program for the lease term.

The work program should include an outline of:

infill exploration activities proposed

mine planning

environmental studies

communications and community engagement strategy

cultural heritage investigations and surveys

details of any proposed market(s) and the strategy for accessing them

metallurgical/ washery/ processing studies carried out and proposed

economic modeling or feasibility studies carried out and proposed

transport planning

any other assessment activities proposed.

3.1.4 Technical Advice (s.33(5)(c) of Mining Act 1992)

The quality of the technical advice available to the applicant is considered a key issue in assessing an application. An application may be refused if insufficient technical resources are available to carry out the proposed work program.

Applicants are required to provide details of those employees and consultants available to provide technical advice and operational experience to the applicant.

A technical manager, responsible for implementing the proposed work program and reporting the results of any exploration, must be nominated for each application. The technical manager is expected to be a qualified geoscientist with mineral exploration experience relevant to the proposed work program.

Only one technical manager can be nominated for each assessment lease application, although the same technical manager may be nominated for multiple exploration licences and assessment leases.


3.1.5 Description and size of the proposed assessment area (s.33(5)(a) & s.42 of Mining Act 1992)

Applicants must provide a description and map of the proposed assessment area.

Assessment lease applications will be considered on a case by case basis. The area applied for must be consistent with the indicated or measured resource and related infrastructure. Where a larger area than that covered by the original exploration licence is applied for, a satisfactory case for the grant must be made that includes details of the assessment objectives and methods, and the reasons the larger area is required.

The co-ordinates of the points delineating the boundaries of the assessment lease area must be supplied in an electronic format.

3.2. Issues considered when assessing an application 3.2.1 Assessing applications (s.33(5) of Mining Act 1992)

When assessing an application for an assessment lease, applicants will be required to meet certain criteria similar to those required for mining lease applications.

The main criteria are as follows:

Exploration must generally have been completed to a level that allows the mineral bearing capacity and the extent of the mineral deposits in the area to be assessed, consistent with the JORC Code. In cases where the mineral/s being sought make it difficult to provide an assessment that conforms to the Code, the applicant will have to make a detailed case for the omission and provide other evidence of the indicated or measured resource.

The application must relate to the area of the indicated/measured resource.

The work program should include:

strategies to define the resource more accurately

strategies to identify the environmental impacts of a proposed mine

communications and community engagement strategy

proposed expenditure

metallurgical studies

marketing strategies

financial capacity/plan

technical capacity

The application should include plans for a conceptual mine plan taking into account optimal resource recovery, surrounding constraints and other nearby existing or potential mining operations.

Applicants should prepare a pre-feasibility or evaluation study based on this plan, including basic costs and project economics. Factors most likely to affect project viability and the timing of development should also be outlined.


Where the application involves potential open cut mining, or is likely to have a significant impact on the surface, the applicant must provide a strategy for working with landholders.

If required, an assessment lease may be granted for a potential underground mine, with appropriate surface exceptions.

3.2.2 Conflicts between mining and petroleum titles If the department considers there is competing interest between an existing authority holder and an application for an authority for a different mineral group, the department will advise the new applicant. The new applicant will then be required to justify that the proposed program of works will not impact on the existing authority holder.


3.2.3 Land subject to an existing authority (s.37 & s.38 of Mining Act 1992)

For the same mineral:

An assessment lease will not generally be granted over land that is covered by an existing authority or application for the same mineral unless the existing holder or applicant gives written consent.

A second lease may be granted where the decision-maker determines that it will not make existing operations impracticable. A lease condition may be imposed setting out a mechanism for dealing with any issues between parties.

For different minerals:

An application for an assessment lease over land covered by an exploration licence will be evaluated where the application includes written consent from the holder of the exploration licence. If there is no written consent, the department will inform all affected exploration licence holders of the application and their right to object by a specified date.

The application will be assessed if no objection is lodged by the specified date. If an objection is lodged, the decision-maker will determine the matter in the best interests of the state.

3.2.4 Term of authority (s.45 & s.114(3)(a) of Mining Act 1992)

Applications for assessment leases are assessed on the basis of the inferred, indicated or measured resources within the application area and the proposed work program.


The initial term of an assessment lease may be granted for up to five years and may be renewed for a second period of up to five years. After the second renewal it is expected that a mining lease application will be lodged.

3.3. Renewal of Assessment Leases 3.3.1 Applications for renewal (s.113 of Mining Act 1992, cl.22 of Mining Regulation 2010)

In order to comply with the policy objective of not allowing assessment leases to tie up resources indefinitely, applications for renewal would have to provide serious justification for the continuation of the title. In addition to any special circumstances outlined in the Renewal Justification Statement, the applicant will have to address the criteria outlined in this framework at an even higher level than with the original application.

Full details of what is required in a Renewal Justification Statement can be found in Exploration Reporting: A guide for reporting on exploration and prospecting in New South Wales (Department of Industry and Investment, 2010), available at: http://www.resourcesandenergy.nsw.gov.au/__data/assets/pdf_file/0018/363501/exploration-reporting-guide.pdf

Key factors in evaluating an assessment lease renewal application are:

the Renewal Justification Statement, showing effective implementation of the approved work plan, unless clear technical reasons for modification are provided.

a forward work program indicating when the applicant will be in a position to apply for a mining lease at the end of the renewal period.

the performance record of the applicant, that is, compliance with conditions and reporting obligations on all authorities held by the applicant.

submission of an appropriate rehabilitation cost estimate.

payment of the annual administrative levy and annual rental fee up to date prior to consideration of renewal of the authority.

Force majeure, an event or effect that cannot reasonably be anticipated or controlled, may be considered as sufficient justification for a work program not being completed within the lease period.

Where the renewal criteria are not fully met, extenuating factors may be considered. These may include circumstances beyond the control of the holder that have delayed satisfactory exploration, such as extreme difficulty obtaining access to the lease area. Significant economic down-turns may also be considered. Leases will only be renewed on the basis of extenuating factors if the Minister is satisfied that renewal is in the best interests the state.

The proposed transfer of the lease to another party, delays in raising capital or insolvency, competing land uses or inability to gain access to the land when arbitration has not been instigated do not usually constitute special circumstances. Weather conditions will not be taken into account unless they are significant, widespread, long-term weather events such as consecutive floods impacting access for more than three months.


4. Applying for a Mining Lease A mining lease may be granted for any mineral listed in Schedule 2 of the Mining Regulation 2010, with the exception of uranium.

Generally, unless an applicant has verifiable evidence of an economically mineable mineral deposit and a conceptual plan for the extraction of the mineral, a mining lease is not the appropriate authority. An exploration licence or assessment lease may be more appropriate.

A mining lease should be sought over the defined area of an indicated or measured resource identified under the Australasian Code for Reporting of Exploration Results, Mineral Resources and Ore Reserves prepared by the Joint Ore Reserves Committee (the JORC Code, 2012 Edition). In cases where the mineral/s being sought make it difficult to provide an assessment that conforms to the Code, the applicant will have to make a detailed case for the omission and provide other evidence of the indicated or measured resource.

A mining lease area may also include any associated infrastructure and must be consistent with the development consent area.

In addition to allowing mining, a mining lease permits prospecting operations and prescribed mining purposes to be conducted in association with mining operations. A mining lease for mining purposes only may also be applied for. Such leases allow prescribed mining purposes to be carried out and may be required for infrastructure associated with mining. The prescribed purposes are listed in Clause 7 of the Mining Regulation 2010.

The policies and processes outlined below have been developed to ensure accountable, transparent and equitable dealings with mining lease applicants and other affected parties.

Detailed guidelines outlining the information required to apply are included on the mining lease application form.

Development consent under the Environmental Planning and Assessment Act 1979 must be in place before a mining lease can be granted.

Generally, assessment will be made on the basis of the written material submitted.

It is an offence to provide false or misleading information and a mining lease may not be granted if it is considered that the applicant provided false or misleading information in connection with the application.

4.1. Issues to consider when completing an application 4.1.1 Assessment of mineral bearing capacity (s.51(5)(b) of Mining Act 1992)

The assessment of the mineral bearing capacity and extent of the mineral deposits of land in the area must be consistent with the JORC Code to an indicated or measured resource. In cases where the mineral/s being sought make it difficult to provide an assessment that conforms with the Code, then the applicant will have to make a detailed case for the omission and provide other evidence of the indicated or measured resource.

This information is not required for a mining lease for purposes only.


4.1.2 Financial resources (s.51(5)(c) of Mining Act 1992)

The application must identify the available funds, or detail plans to raise funds, to meet the expenditure commitments for the mining program over the term of the mining lease.

The applicant must provide evidence that they have sufficient financial resources at the time of lodgement to meet expenditure commitments on all the applicant’s NSW authorities and authority applications. It should be in the form of either a statutory declaration completed by an authorised officer on behalf of the applicant or a letter from a member of a professional accounting association. The information may include a financial commitment from joint venture partners.

4.1.3 Work program (s.51(5)(d) of Mining Act 1992)

The application must contain particulars of the proposed work program, including rationale, objectives and mining method, including (where relevant):

concept mine planning

environmental studies

community engagement and communication strategy,

ongoing exploration and/or assessment work

a summary of marketing studies carried out and proposed

metallurgical/washery/processing studies carried out and proposed

economic modeling or feasibility studies carried out and proposed

transport planning

any other activities carried out and proposed.

In many instances, the same material can be provided to both the department and the planning approval authority.

4.1.4 Technical Expertise (s.51(5)(c) of Mining Act 1992)

The applicant must provide full details of the mine manager or other person with overall responsibility for the mining operation, including that person’s professional qualifications and experience.

4.1.5 Description and size of the proposed mining area (s.51(5)(a) of Mining Act 1992)

Applicants must provide a description and map of the proposed mining area.

The area applied for must be consistent with the indicated or measured resource and related infrastructure. Where a larger area than that covered by the original exploration licence or assessment lease is applied for, a satisfactory case for the grant must be made that includes


details of the assessment objectives and methods, and the reasons the larger area is required.

With the exception of subsurface mining leases, a survey of the mining lease application area will be required prior to grant in the majority of cases.

Any survey required must be consistent with the requirements of the Surveying and Spatial Information Act 2002 and supporting Regulation.

4.2 Issues considered when granting an application 4.2.1 Assessing applications (s.51(5)(b),(c),(d) & s.65 of Mining Act 1992)

When assessing a mining lease application consideration will be given to:

evidence of the indicated or measured resource identified under the JORC Code.

the quality of the proposed work program, as detailed in the application

demonstration that the applicant has sufficient financial and technical resources to carry out mining in a responsible manner.

the impact of the proposed work program on the environment and communities.

the environmental record of the applicant.

Note:

A mining lease cannot be granted unless appropriate development consent has been granted.

Under the Environmental Planning and Assessment Act 1979, development consent is required when land is located within a Local Environment Plan (LEP). Consent must be in place before the land may be used to obtain minerals or for a specific mining purpose. Details regarding LEPs can be obtained from local Councils.

Where development consent is not required (where land is not within a LEP), an appropriate authority will determine the application

4.2.2 Conflicts between mining and petroleum titles If the department considers there is competing interest between an existing authority holder and an application for an authority for a different mineral group, the department will advise the new applicant. The new applicant will then be required to justify that the proposed program of works will not impact on the existing authority holder.


Petroleum exploration licences granted under the Petroleum (Onshore) Act 1991 should generally be able to co-exist with mining leases, although a condition may be inserted to provide a mechanism to deal with any issues regarding the interaction of operations and in particular, the disclosure of data.


4.2.4 Land subject to an existing authority (s.58 & s.59 of Mining Act 1992)

For the same mineral:

A mining lease will not generally be granted over land that is covered by an existing authority or application for an authority for the same mineral groups unless the existing holder or applicant gives written consent.

A second lease may be granted where the decision maker determines that it will not make existing operations impracticable. A lease condition may be imposed setting out a mechanism for dealing with any issues between parties.

For different minerals:

An application for mining lease over land covered by an exploration licence will be evaluated where the application includes written consent from the holder of the exploration licence. If there is no written consent, the department will inform all affected exploration licence holders of the application and their right to object by a specified date.

The application will be assessed if no objection is lodged by the specified date. If an objection is lodged, the decision-maker will determine the matter in the best interests of the state.

4.2.5 Recovery of public money spent on testing or research (s.67 of Mining Act 1992)

Public money spent on testing, environmental studies or other research programs will be recouped from the lease holder in line with internal guidelines.

4.2.6 Term of authority (s.71,s.114(3)(b) of Mining Act 1992)

Applications for mining leases are assessed on the basis of the measured or indicated resource and the proposed work program.

The initial term of a mining lease will be up to 21 years and it may be renewed for up to 21 years.


4.3. Renewal of Mining Leases 4.3.1 Applications for renewal (s.113 of Mining Act 1992, cl.27 of Mining Regulation 2010)

An application for renewal of a mining lease must be lodged between one and five years before the date of expiry. For mining leases with a term of one year or less, applications for renewal must be lodged within two months of the date of expiry. Renewals must include a Renewal Justification Statement.

Full details of what is required in a Renewal Justification Statement can be found in Exploration Reporting: A guide for reporting on exploration and prospecting in New South Wales (Department of Industry and Investment, 2010), available at: http://www.resourcesandenergy.nsw.gov.au/__data/assets/pdf_file/0018/363501/exploration-reporting-guide.pdf

Key factors in assessing a mining lease renewal application are:

The Renewal Justification Statement, which must include:

the most recent resource/reserve statement (JORC compliant).

production statistics for the reporting period, including amount of material mined and ore shipped.

a brief description of completed and proposed mining operations

assessment activities carried out during the term of the lease and any proposed assessment activities.

a summary of geological findings, incorporating the results of activities conducted in the mine, such as geological and structural mapping and petrological and mineralogical studies. Information on stratigraphy, distribution and controls of mineralisation, alteration features and so on should be included if available.

particulars of financial resources and relevant technical advice available

Renewal Justification Statements are kept confidential for the term of the authority in accordance with cl.58 of the Mining Regulation 2010; however this information may be released under section 11 of the Government Information (Public Access) Act 2009.

annual reports

the likelihood that the proposed mining, assessment and exploration programs will be effectively implemented

the environmental performance record of the applicant and their compliance with the Act, the regulations and the conditions of the authority and all other authorities held by the applicant.

submission of an appropriate rehabilitation cost estimate

the annual administrative levy and the annual rental fee are payable on the grant anniversary date each year. Payments of the rent and levy must be up to date prior to renewal of the authority being considered

evidence of development consent.

The Minister may also request additional information to help with the assessment of the renewal application.


Annexure 1

Refund of fees

1. Refund of Application Fees:

(s.382A of Mining Act 1992)

The department will refund application and unit fees according to the following table:

2. Waiver or refund of Annual Administrative Levy and Annual Rental Fee

(s.292S & s.382A of Mining Act 1992)

A waiver or refund of the Annual Administrative Levy and Annual Rental Fee may be considered for a range of circumstances including:

if renewal has been refused if the Secretary has determined that previous assessment of required securities is

incorrect where the grant anniversary date is not the same as the expiry date part waivers of the Annual Rental Fee where a subsequent title (such as Mining Lease) is

granted over an area of an existing authority where the rental fee has already been paid. (Note: This does not apply to the Annual Administrative Levy)

cancellation that has not been finalised prior to the grant anniversary date

Individual circumstances can also be assessed on their merits.

Note that cancellation or suspension of a title does not result in a waiver or refund of fees.

Stage and Decision Application Fee Unit Fee

Assessing for completeness of application Withdrawn by Applicant (prior to Exploration Titles Committee) 75% 100% Consideration of application

Withdrawn by Applicant (after Exploration Titles Committee) 0% 100%

Refused 0% 100% Granted for requested term and size 0% 0% Granted for an adjusted term and/or size 0% Excess Unable to be granted due to an administrative error or

where a previous application for the same area exists

of which the applicant could have had no knowledge 100% 100%


Annexure 2

Failure to Pay Annual Administrative Levy and Annual Rental Fee (s.292Q of Mining Act 1992)

Failure to pay the Annual Administrative Levy and Annual Rental Fee is a contravention of the Act, which will be taken into consideration when assessing any application or renewal. This could result in refusal or cancellation of the application or authority.

Consideration will also be given to the payment status of all titles held by the titleholder.


Annexure 3

Securities An authority will only be granted to applicants who prior to grant have provided the required security amount.

For additional information also refer to the ‘Rehabiltation Security Deposits’ policy available from http://www.resourcesandenergy.nsw.gov.au/__data/assets/pdf_file/0020/96104/EDP11-Policy-Rehabilitation-Security-Deposits.pdf

1. Form of security:

(s.261D of Mining Act 1992)

A security deposit must be in the form of a bank guarantee, cash or a bond certificate. Only in exceptional circumstances will another form of security be accepted.

2. Release of security deposit:

Progressive rehabilitation is encouraged and may result in the partial release of the security deposit. Before a security deposit is released in its entirety, all obligations of the authority need to have been completed and the authority holder must demonstrate to the satisfaction of the department there is no outstanding rehabilitation liability.

The department, on behalf of the Minister for Resources and Energy, has responsibility for determining when rehabilitation has met the required standard, taking into account the post-mining land use, prior to title relinquishment and security deposit release. When determining whether to release a security deposit, the following aspects will be considered:

Whether the requirements of the rehabilitation and/or closure plan have been met (the titleholder must demonstrate that rehabilitation has met the required standards and the agreed post-mining land use)

Whether all other legal obligations relating to environment and safety have been met, and

The responsibilities for ongoing management of the site. If the rehabilitation obligations have not been met to the satisfaction of the Minister, then part or all of the security deposit shall be forfeited. These funds will then be used by the government to meet the rehabilitation requirements.


Exploration Licence Application Procedures

Receipt Completeness & Correctness Checking

1. If Application not in an Approved form then Reject Application 2. If Applicant is an Individual and not aged 18 years or over then Reject

Application 3. If Applicant is a company then Verify Details with ASIC

a. If ASIC check fails, then Reject Application 4. If Name, Area, Group and Low Impact information have not been provided

then Reject Application. 5. If full Application Fee has not been provided

a. If the Fee is being waived then record on Assessment Summary b. If the Fee is not being waived then Reject Application


1. Process Application Fee Payment if not paid online a. Fill out Receipt section on Application Form b. If paid by Cash, Credit Card or Cheque

i. Ask Corporate Services to process payment and provide a receipt

ii. Attach Receipt to file to go with Acknowledgement Letter iii. Copy Receipt for file, Scan to RM8 and keep original for

acknowledgement iv. If Cheque payment bounces then Start Refusal process.

c. If paid by Direct Deposit, Online or SecurePay then email details to Finance for allocation

Enter in TAS

2. Enter Application in TAS 3. if Applicants exist in TAS and Details not current Update Details in TAS 4. if Applicants don’t exist in TAS then Enter Applicants’ Details 5. Enter the Dealing in TAS


Create File 6. Create Physical File & RM8 File with Application sub-folder 7. Scan & Save Documents in RM8

a. Application Form b. Receipt (if available) c. The email advice sent to Finance (if applicable) d. Supporting Information for MEA/C&P GeoSc, Compliance and ESU e. For each of the following:

i. Titles checklist - v15/994 - Current Templates ii. MEA checklist v15/994 - Current Templates

iii. ESU checklist v15/994 - Current Templates iv. Compliance checklist v15/994 - Current Templates v. Assessment Summary v15/994 - Current Templates

On the RM8 template, right-clickSupercopy to desktop as ELA# Checklist Name, enter File Reference, ELA Number and Applicant Name to Page 1 - save and close on desktop, then drag from desktop to the Application sub-folder

f. Check that all 5 items are in the sub-folder and preview each one to ensure they are complete

Note: If scanning of documents is required, please ensure colour documents are scanned in colour and that the scanned attachment is saved first to the desktop and then dragged into RM8 rather than saving the email directly from Gmail.

8. Print Dealing and attach to front of File 9. Print Full Details Report, add to Acknowledgement letter and place copy in

file


Acknowledge 10. Prepare acknowledgement letter (ELA Acknowledgement.doc) from

Application with Deficiencies and Fee Receipt. 11. if an Agent’s letter was received, record the letter in RM8 & TAS 12. If there are Deficiencies then

a. Senior Titles officer Checks & Verifies the TAS Application, checks the Acknowledgement letter & Assessment Summary and updates the Check List

b. Email and RM8 the emailed Acknowledgement letter c. If all information not received within 10 business days,

i. Prepare proposed refusal letter, get approval from Senior Titles Officer and send

ii. If outstanding required information and reason received within 14 day response period

1. If no complete, competing applications have been received then add a s.135 waiver to Assessment Summary

2. If complete, competing applications have been received then Start Refusal Process

iii. If all information not received within 14 day response period then Start Refusal process

RM8 Actions

13. When ALL supporting information has been received, create RM8 actions to the sub-units (see table) and enter the App Finalised Date in TAS Workflow and To Drafting, To MEA/Coal Advice, To ESU and To Compliance fields:

Sub-unit RM8 Recipient Action Name

Drafting – Minerals Michael Golden Process Work

Drafting – Coal Peter Hord Process Work

MEA Principal Geologist TRC Referral


C&P GeoSc Geological Administrator TRC Referral

Compliance Principal Officer TRC Referral

14. Place the KPI calculator date sheet on the front of the file 15. Senior Titles Officer checks the RM8 Actions and updates the Check List 16. If Acknowledgement Letter not already sent then

a. Senior Titles officer Checks & Verifies the TAS Application, checks the Acknowledgement letter & Assessment Summary and updates the Check List

b. Email and RM8 the emailed Acknowledgement letter 17. Check that Application is gazetted, print, scan and save to RM8 and File 18. If Applicants have outstanding Dead Titles reports then cut & paste

information to Assessment Summary


Assessment Review Advertisements

19. If advertisements provided but unsatisfactory c. Update Issues Register d. Request amendments and re-advertisement by the Applicant

6. If advertisements not provided within 45 calendar days a. Prepare proposed refusal letter, get approval from Senior Titles

Officer and send b. If advertisements and reason received within 14 day response period

then add a s.135 waiver to Issues Register c. If all information not received within 14 day response period then

Start Refusal Process Public Submissions

7. Prepare and Send Web Notice Request to Digital Services 8. When Public Submissions are received

a. RM8 Public Submissions b. Compile Public Submissions for the Applicant c. RM8 & Send Public Submissions to the Director of Operations &

Programs and the Applicant d. RM8 any Applicant’s responses

Conflicts & Encumbrances

20. If there is a Title Conflict for the same Mineral Group a. Send Conflict Letter to the Applicant

ELA Conflict with EL Part Area Same Mineral Group.doc ELA Conflict with EL Whole Area Same Mineral Group.DOC ELA conflict with earlier ELA same group.DOC

b. If consent is provided then i. Save the response in RM8, ii. add to Assessment Summary and note the consent provided

iii. Action Consent Letter to Drafting to prepare/amend diagram accordingly

c. If consent is not provided then Update the Assessment Summary with Exclusion

21. If there are Encumbrances and notification is required send a letter to the appropriate recipient

22. If there is a non-standard Condition then update Assessment Summary with the Condition number and description


ID shows State Conservation Area and or CCA 3 - Add Condition 4

ELA State Conservation Area updated May 2014.DOC

ID shows proposed National Park (No objections) - No notification required

ID shows proposed National Park (objections exist) - ELA National Park reference.DOC

ID shows Brigalow Belt South Bioregion - Add Condition 28 (Grant only)

ID shows Sydney Catchment Area or Hunter Water Corp - Add Condition 7 ELA Sydney Catchment Authority.DOC

Mining Division is Coffs Harbour, Singleton or Sydney - Add Condition 9

ID shows Essential Energy - Add to Special Conditions ELA Essential Energy.doc

ID shows Nymboida River - Add to Special Conditions ELA Fisheries Nymboida River.DOC

ID shows Parkes Telescope - Add to Special Conditions

ID shows BioBank Sites – Letter to Minister for the Environment post grant

ELA Minister for the Environment biobank site.doc

Complete Assessment Summary

23. Update TAS Workflow 24. Mark File to TRC in RM8 25. Senior Titles Officer checks file and completes relevant section of Check list

and Assessment Summary 26. Team Leader reviews file and Assessment Summary, adds comments and

signature, actions RM8 file to TRC Secretary and assigns to TRC

Review

27. TRC Meeting occurs 28. Team Leader receives files and proposed decision in Assessment Summary via

RM8 action from TRC Secretary and forwards to Senior Titles Officer. 29. If Proposed Decision is Deferred then return file to TRC Meeting once all new

information has been collected 30. If the Proposed Decision has been decided then the Senior Titles Officer

forwards to the Titles Administrator for actioning


Approval

31. If the decision has been re-referred and upheld then skip to step 44 32. If a Right to Negotiate has been requested, wait until the RTN process has

been completed. 33. If the ID is older than 6 months or there is a Title Conflict

a. Create a Drafting action in RM8. b. Drafting completes ID check

34. If the Decision Maker has proposed the Approval of two Titles from the Application then:

a. Create RM8 Action to Drafting to request new Diagrams b. Email Rents & Levies to create 2 Titles in TAS (eg ELA #### A and

ELA#### B) and request two Titles to be created by Finance Prepare & Send Draft Documents

35. Prepare Draft Conditions document Coal 36. Prepare submission & Draft Conditions, send request for Approval to the

Minister and await approval 37. If not approved start the Refusal process 38. Prepare Draft Licence document Minerals 39. Prepare request for Unit Fees, Security, Rent & Levy letter 40. If the Units are reduced, amend Licence document (Units to be advised) and

request Reduced Units from Applicant in Proposed Approval Letter a. If Reduced Units not provided within 14 days then send Reminder b. If Reduced Units not provided by Reminder Due Date then start

Refusal process 41. Senior Titles Officer checks workflow and Assessment Summary against

Licence documents and Correspondence 42. Send Draft Documents to Applicant and save correspondence in RM8 43. If a Review Request is received within 14 days

a. Record on Assessment Summary b. Prepare acknowledgement letter to Applicant c. RM8 Actions and new information sent to MEA/C&P GeoSc,

Compliance & ESU d. After advice received from relevant sub-unit, Senior Titles Officer

updates the R4R register and actions to TRC Secretary to re-submit to TRC Meeting


Process Security, Unit Fees, Rent & Levy Payment 44. If Security Certificate received - Payments Received (version 22 Oct 2014).xlsx

a. Check that it matches the template and the details & amounts are correct. (select appropriate template from Folder: G:\Titles\Reference Material\Security – sample Security templates).

b. Certificate must include Company Name, ACN, Title ID and Amount. c. Ensure that no extra clauses have been added. d. Make copy for file & scan to RM8 and G:\Titles\Scanned Security

Documents e. Put original in plastic sleeve on front of file

45. If Credit Card. Cash or Cheque received a. Get Corporate Services to process payment and provide a receipt to

go with Final Documents b. Copy the Receipt for the file and Scan to RM8

46. If Direct Deposit or Secure Pay received a. Email details to Finance for allocation b. If the payment is a Security then record SAP Document Number

provided by Finance in DAP Dealing 47. If the Unit Fees, Security, Rent & Levy are not provided within 42 days (from

Draft documents sent) a. Send a 14 day Reminder to the Applicant b. If not received within 14 days then start Refusal process

Minerals Review Advertisements

48. If advertisements provided but unsatisfactory a. Update Issues Register b. Request amendments and re-advertisement by the applicant

49. If advertisements not provided within 45 calendar days a. Prepare proposed refusal letter, get approval from Senior Titles

Officer and send b. If advertisements and reason received within 14 day response period

iv. If no complete, competing applications have been received then add a s.135 waiver to Issues Register

v. If complete, competing applications have been received then Start Refusal Process

c. If all information not received within 14 day response period then Start Refusal Process


Prepare & Send Final Documents 50. Update workflow adding Offer Accepted Date 51. Prepare Licence documents:

a. remove Draft watermark b. confirm Name and position of Decision Maker correct c. Save as ELA### Final Licence and ELA### Final Conditions being

careful not to edit the Draft Documents. d. Print documents and attach to file

52. Complete Grant Submission section of Assessment Summary 53. Senior Titles Officer checks Assessment Summary and Check list and actions

Summary in RM8 to TRC Secretary to forward to Decision Maker

Minerals 54. Decision Maker reviews Assessment Summary & File, signs the Licence

document and the Assessment Summary Coal 55. Send Submission to Minister with MP Letters 56. TRC Secretary actions the Approved Summary to the Team Leader for

checking 57. Team Leader forwards file to Senior Titles Officer for allocation to Titles

Administrator for finalisation 58. If Security paid:

a. with Security Certificate i. Enter DAP Dealing in TAS with Security Certificate Number ii. Write new EL number on the original certificate in pencil

iii. File certificate in the Print Room on shelf opposite northern door. If this is first certificate for the company, create a new file

b. with Cash or Cheque then enter DAP Dealing in TAS with Receipt Number

c. by Direct Deposit or Secure Pay then enter DAP Dealing in TAS with SAP Reference Number

59. Update TAS to DAP Granted, print out and place on top of physical file 60. Add new EL number and date to the Licence instrument 61. Rendition the signed Final Licence and conditions in RM8 to the Final Licence

instrument 62. Save signed licence, conditions and diagram to G Drive and DIGS 63. Place hard-copy of signed “Final” licence and conditions on physical file 64. Prepare “ELA Grant Letter Holder” 65. Senior Titles Officer checks documents and return them to Titles

Administrator for mailing 66. Send Final Licence, Cover Letter & Diagram to Applicant 67. Pass file to Drafting for adding DAP shape 68. Drafting adds DAP shape and returns file to Senior Titles Officer to verify 69. Senior Titles Officer verifies the file and return to the Titles Adminstrator


Refusal 70. If the decision has been re-referred and upheld then skip to step 75 71. Prepare Proposed Refusal letter 72. Senior Titles Officer checks letter and workflow 73. Titles Administrator Sends Proposed Refusal letter to Applicant 74. If a Review Request is received within 14 days




75. Update Assessment Summary 76. Senior Titles Officer allocates the file 77. Prepare Refusal letter 78. Enter TAS DAP Dealing 79. Senior Titles Officer checks letter and Verifies TAS DAP 80. Send Refusal letter & Confirm Proof of Delivery with Australia Post

Complete Application Process 81. If a Refund is required then process the Refund 82. Confirm & Print Gazettal and add to file 83. If the Licence is for Coal Exploration and has been Granted then update the

Public Monies spreadsheet if applicable. 84. Pass to another team member to QA Report and Documents in DIGS 85. If cheque payment bounces and re-collection attempt fails then start

Cancellation process


Low Impact or RTN

86. If a Low Impact licence has been requested then a. RM8 Action a Diagram Request to Drafting and Send a Search request to

NNTT – ELA NNTT search request form.doc ELA NNTT search request form.doc

b. Save NNTT Search results in RM8 & Review once received c. Update issues register d. If Claimants exist

vi. Complete & Send Notification to Claimant e. Complete & Send Notification to NTSCorp

ELA low impact notices ntscorp.DOC f. Wait 4 months before Grant

87. If a Right To Negotiate is requested a. Request RTN Invoice from Finance b. Attach RTN Fees Invoice to RTN Acknowledgement c. Process RTN Fee Payment d. Record RTN Dealing in TAS e. Request NNTT Search f. Create Drafting action in RM8 to prepare Ads g. If Claimants exist then send s.29 Notification to Claimants

REN Low impact NT claimants

h. Send s.29 notifications to the Applicant, NNTT, NTSCorp & Lands i. Publish Ads j. Once 4 months have passed since the notification date Request 2nd NNTT

Search k. Update Dealing in TAS with Claimant details or Nullity if no Claimants

exist l. If Claimants exist

vii. Notify Applicant that Claimants exist and request info to send to Claimants giving 2 weeks to respond

viii. Send s.31 letter and Information Pack to the Claimants giving 8 weeks to respond

ix. Arrange meeting between Applicants and Claimants to sign Ancillary Agreement

x. Send s.31 Deed to Applicant and Claimant to sign xi. Prepare and Send Submission to Minister to sign s.31 Deed

xii. Update RTN Dealing in TAS xiii. If signed s.31 Deed received

1. Send copy of s.31 Deed to the Applicant, Claimant & NNTT

2. Send original Deed to Legal Services for storage 3. Notify Attorney General 4. Update RTN Dealing in TAS

Exploration Licence Renewal Procedures – 29/05/15 Page 1

Exploration Licence Renewal Procedures

Receipt

1. If Renewal not received by the Expiry Date then advise the applicant of the option to submit an Exploration Licence Application

Coal a. and explain need to seek Minister’s consent

Completeness & Correctness Checking

2. If Application not in an Approved form then Reject Application 3. If Title Number, Area and Term information have not been provided or

Company Name does not match ASIC registered name then Reject Application.

4. If Applicant is a company and TAS or ASIC search for the ACN fails, then Reject Application

5. If full Application Fee has not been provided a. If the Fee is being waived then record on Assessment Summary b. If the Fee is not being waived then Reject Application

6. If Application not complete then add request for additional information to Acknowledgement letter

Coal 7. If Renewal Justification Statement received, Action in RM8 to C& P

Geoscience to confirm as satisfactory Process Application Fee Payment

8. Process Application Fee Payment if not paid online a. Fill out Receipt section on Application Form b. If paid by Cash, Credit Card or Cheque

i. Ask Corporate Services to process payment and provide a receipt

ii. Attach Receipt to file to go with Acknowledgement Letter iii. Copy Receipt for file, Scan to TRIM and keep original for

Acknowledgement iv. If Cheque payment bounces then Start Refusal process.

c. If paid by Direct Deposit, Online or SecurePay then email details to Finance for allocation

Enter in TAS 9. If Applicant Address Details not current Update Details in TAS 10. Enter REN Dealing in TAS


Create File 11. Find Physical File (usually near Senior Titles Officer) and create sub-folder in

TRIM 12. Scan & Save Documents in TRIM

a. Application Form b. Receipt (if available) c. Email advice to Finance (if applicable) d. Supporting Information

i. Rehabilitation Cost Estimate ii. Renewal Justification Statement

iii. Environmental Management/Rehabilitation Report iv. Work Program v. Statutory Declaration of Past Performance vi. Proof of Identity

vii. Coal Map & Co-ordinates if required e. For each of the following:

i. Titles checklist - v15/994 - Current Templates ii. MEA/C&P GeoSc checklist v15/994 - Current Templates

1. If the REN is for more than 50% of the area eg)EL 1234 MEA Checklist SCR

2. If the REN is for 50% or less of the area eg)EL 1234 MEA Checklist Normal

iii. ESU checklist v15/994 - Current Templates iv. Compliance checklist v15/994 - Current Templates v. Assessment Summary v15/994 - Current Templates

On the RM8 template, right-clickSupercopy to desktop as ELA# Checklist Name, enter File Reference, EL Number and Applicant Name to Page 1 - save and close on desktop, then drag from desktop to the Application sub-folder

f. Check that all 5 items are in the sub-folder and preview each one to ensure they are complete

Note: If scanning of documents is required, please ensure colour documents are scanned in colour and that the scanned attachment is saved first to the desktop and then dragged into TRIM rather than saving the email directly from Gmail.

12. Print Dealing and attach to front of File


Acknowledge 14. Prepare Acknowledgement letter from Application with Deficiencies and Fee

Receipt. 15. if a new Agent’s letter was received, record the letter in TRIM & TAS and

CAG Dealing if required 16. If there are Deficiencies then

a. Senior Titles officer Checks & Verifies the TAS Application, checks the Acknowledgement letter and updates the Check List

b. Email and TRIM the emailed Acknowledgement letter c. If all information not received within 10 business days,

i. Prepare proposed refusal letter, get approval from Senior Titles Officer and send by email and registered post

ii. If outstanding required information and reason received within 14 day response period

1. If no competing applications have been received then add a s.135 waiver to Assessment Summary

iii. If a competing application has been received then Start Refusal Process

iv. If all information not received within 14 day response period then Start Refusal Process

Action to Sub-Units

17. When ALL supporting information has been received, create TRIM actions to the sub-units (see table) and enter the App Finalised Date in TAS Workflow and To Drafting, To MEA/Coal Advice, To ESU and To Compliance fields:

Sub-unit TRIM Recipient Action Name

Drafting - Minerals Michael Golden Process Work

Drafting - Coal Peter Hord Process Work

MEA Principal Geologist TRC Referral


C&P GeoSc Geological Administrator TRC Referral


18. Place the KPI calculator date sheet on the front of the file 19. Senior Titles Officer checks TRIM Actions and updates Check List 20. If Acknowledgement Letter not already sent then

a. Senior Titles officer Checks & Verifies the TAS Application, checks the Acknowledgement letter and updates the Check List

b. Email and TRIM the emailed Acknowledgement letter 21. Take physical file to Drafting for Assessment 22. Check that Application is gazetted, print, scan and save to RM8 and File

Assessment Encumbrances

23. If there are Encumbrances and notification is required send a letter to the appropriate recipient


Complete Assessment Summary

24. Update TAS Workflow 25. Mark File to Titles Recommendation Committee in TRIM 26. If Applicants have outstanding Dead Titles reports then cut & paste

information to Assessment Summary 27. Senior Titles Officer checks file and completes relevant section of Check list

and Assessment Summary 28. Team Leader reviews file and Assessment Summary, adds comments and

signature

Review

29. TRC Meeting occurs 30. Team Leader receives files and proposed decision in Assessment Summary

via RM8 action from TRC Secretary and forwards to Senior Titles Officer. 31. If Proposed Decision is Deferred then return file to TRC Meeting once all new

information has been collected 32. If the Proposed Decision has been decided then the Senior Titles Officer

forwards to the Titles Administrator for actioning

Approval

33. If the decision has been re-referred and upheld then skip to step 47 Prepare & Send Draft Documents

34. Prepare correspondence REN offer standard and REN instrument of renewal 35. Check for a pending SRV dealing and add to Offer letter if one exists 36. Check for overdue Rents & Levies

a. If paid then print out relevant screen from SAP and add to file b. If not paid and past due

i. Print out invoice and include with letter. ii. Amend letter advising that rent and levy payment required

before renewal 37. Check previous Grant or Renewal in G Drive: Scanned Documents to confirm

Conditions and Prepare Draft Conditions document 38. Check Assessment Summary for additional requirements from TRC or

Decision Maker and add to letter (eg: Outstanding Reports) Coal 39. Prepare submission and send request for Approval to the Minister

a. If not approved start the Refusal process 40. Prepare Draft Licence document

NB Any special conditions from previous term should still be included – See Rod or Jackie 22/7/15


Minerals 41. if there is a verified RTN dealing since grant or last renewal then delete

condition 8 from EL conditions 42. If the Units are reduced, amend Licence document (Units to be advised) and

request Reduced Units from Applicant in Proposed Approval Letter a. If Reduced Units not provided within 14 days then send Reminder b. If Reduced Units not provided by Reminder Due Date then start

Refusal process 43. Senior Titles Officer checks Licence documents, Conditions &

Correspondence, workflow and check-list 44. Send Draft Documents to Applicant and save copy in TRIM 45. Update TAS Workflow 46. If a Review Request is received within 14 days




47. If the Area is reduced a. If reduced Units not provided within 14 days then send Reminder b. If Reduced Units not provided by reminder date then begin Refusal

process 48. TRIM Action for Drafting to check the Diagram for a shape change 49. Receive updated Diagram from Drafting

Process Unit Fees, Security (increased), Rent & Levy Payment

50. If Security Certificate received - Payments Received (version 22 Oct 2014).xlsx

a. Check that it matches the template and the details & amounts are correct. (select appropriate template from Folder: G:\Titles\Reference Material\Security – sample Security templates).

b. Certificate must include Company Name, ACN, Title ID and Amount. c. Ensure that no extra clauses have been added. d. Make copy for file & scan to RM8 and G:\Titles\Scanned Security

Documents e. Put original in plastic sleeve on front of file

51. If Cash, Credit Card or Cheque received a. Get Corporate Services to process payment and provide a receipt to

go with Final Documents b. Copy the Receipt for the file and Scan to RM8 c. If payment is for extra Security then enter RSC Dealing in TAS with

Receipt Number 52. If Direct Deposit or Secure Pay received

a. Email details to Finance for allocation


b. If payment is for extra Security then enter RSC Dealing in TAS with SAP Reference Number

53. If the Unit Fees, Rent & Levy are not provided within 14 days (from Draft documents sent)

a. Send a 14 day Extension Notification to the Applicant b. If not received within 14 days then start Refusal process

Prepare & Send Final Documents

54. Update workflow adding Offer Accepted Date a. Prepare Licence documents: b. remove Draft watermark c. confirm Name and position of Decision Maker correct d. Save as REN### Final Licence and REN### Final Conditions being

careful not to edit the Draft Documents. e. Print documents and attach to file f. Complete Grant Submission section of Assessment Summary g. Senior Titles Officer checks Assessment Summary and Check list and

actions Summary in RM8 to TRC Secretary to forward to Decision Maker

Coal 55. If not for a Departmental Licence then send Submission to Director

Operations & Programs 56. If for a Departmental Licence then send Submission to the Minister 57. Send MP Letters to the Minister 58. Update REN Dealing in TAS to “Renewed” 59. Rendition the signed Final Licence and conditions in RM8 to the Final Licence

Instrument 60. Save signed licence , conditions and diagram to G Drive and DIGS 61. Place hard copy of signed Final licence and conditions on physical file 62. Prepare “REN Holder After Renewal” letter 63. Senior Titles Officer checks and verifies TAS dealing 64. Send Final Licence, Cover Letter and latest Diagram to Applicant 65. If there has been a shape change

a. Refer file to Drafting to amend shape. b. Drafting returns file to Senior Titles Officer


Refusal 66. If the decision has been re-referred and upheld then skip to step 72 67. Prepare Proposed Refusal letter 68. Senior Titles Officer checks letter 69. Send Proposed Refusal letter to Applicant as Registered Post and Email 70. If a Review Request is received within 14 days




71. Prepare Refusal Submission 72. Senior Titles Officer checks the file 73. Decision Maker reviews the file and signs the submission 74. Prepare Refusal letter 75. Update Dealing in TAS to Refusal 76. Senior Titles Officer checks letter and Verifies dealing in TAS 77. Send Refusal letter by Registered Mail 78. Confirm Proof of Delivery with Australia Post

Complete Application Process 79. If a Refund is required then process the Refund 80. Confirm Gazettal and record Gazette Date 81. QA Report, Licence & Diagram in DIGS 82. If cheque payment bounces and re-collection attempt fails then start

Cancellation process


Low Impact or RTN

83. If a Low Impact licence has been requested then a. RM8 Action a Diagram Request to Drafting and Send a Search request to

NNTT REN NNTT search request form.doc

b. Save NNTT Search results in RM8 & Review once received c. Update issues register d. If Claimants exist

i. Complete & Send Notification to Claimant e. Complete & Send Notification to NTSCorp

REN low impact notices NTScorp.DOC f. Wait 4 months before Grant

84. If a Right To Negotiate is requested a. Request RTN Invoice from Finance b. Attach RTN Fees Invoice to RTN Acknowledgement c. Process RTN Fee Payment d. Record RTN Dealing in TAS e. Request NNTT Search f. Create Drafting action in RM8 to prepare Ads g. If Claimants exist then send s.29 Notification to Claimants

REN Low impact NT claimants h. Send s.29 notifications to the Applicant, NNTT, NTSCorp & Lands i. Publish Ads j. Once 4 months have passed since the notification date Request 2nd NNTT

Search k. Update Dealing in TAS with Claimant details or Nullity if no Claimants

exist l. If Claimants exist

ii. Notify Applicant that Claimants exist and request info to send to Claimants giving 2 weeks to respond

iii. Send s.31 letter and Information Pack to the Claimants giving 8 weeks to respond

iv. Arrange meeting between Applicants and Claimants to sign Ancillary Agreement

v. Send s.31 Deed to Applicant and Claimant to sign vi. Prepare and Send Submission to Minister to sign s.31 Deed

vii. Update RTN Dealing in TAS viii. If signed s.31 Deed received

1. Send copy of s.31 Deed to the Applicant, Claimant & NNTT

2. Send original Deed to Legal Services for storage 3. Notify Attorney General 4. Update RTN Dealing in TAS

Version: 1 Nov 2010 Page 1 of 18

MLA Mining Lease Application Check Sheet

Procedure for: Stage 1 Date Received: ……… / ……… / ………

Application No: ________________ File No: ____________________

Clerical Officer: ________________ Supervisor: ____________________

Notes: At any stage an application can be withdrawn by the applicant Using AD13 or refused by the Minister. Refer to the Check Sheets titled ‘Withdrawn’ and ‘Refused’.

Note: Until further notice any requests for ministerial consents to apply for ML’s in Mineral Allocation areas should be directed to Julie Moloney in the first instance. Julie will advise if/when you can start the process off. (See email DA to Coal Staff 31/1/06). J.Agnew 4/2/06. If the Minister’s consent is required because the area is within a Mineral Allocation Area

, refer to The ELA Obtaining Ministerial Consent check sheet and modify

(including sections of the Act)to suit MLA request

All templates are stored under Titles/Procedures and Templates/Checksheets & Templates/Applications/MLA or as indicated.

Stage 1 – Titles Administrator

Step Action Date Initial

1. Form ML1 (version 1 Nov 2010) or ML2 (version 1 Nov 2010) received. If ministerial consent was required (BN06/1351), was the application lodged within six months of date of ministerial approval letter? If Yes – continue processing If No – consult supervisor and take steps to refuse application. Application Receipt check sheet completed. Path: Check Sheet Receipt of Application – form ML1.doc OR Check Sheet Receipt of Application – form ML2.doc

List deficiencies:

/ /

/ /

2. Application received by delegated officer. / /

3. Refer to PAYMENT PROCESSING for procedure for receipting

application fee. / /

4. Request a new file cover from Records using Email “File request”.

Scan application and supporting documentation into TRIM.

/ /

Proceed to Stage 2



Procedure for: Stage 2 Application No:

Stage 2 – Titles Administrator


1. Enter APP Dealing into TAS as “pending” and attach print out to file. Note: If this application is for “limestone” add “agricultural lime” to the minerals to be granted OR if the application is for “agricultural lime” also add “limestone” to the minerals to be granted. (Per Mgr Royalty Aug 06). M02/0562 Note: If this application is for a mining lease for purposes, select ‘All Purposes’ for Methods/Purposes in TAS APP dealing. Record the purposes applied for in the detailed comments of the dealing.

/ /

/…./

Note: Dealing must be entered within 24-hours of application receipt.

2. Dealing checked by (Name): _________________________

/ /

3. Forward acknowledgment of receipt of application. / /

Note: Unless deficiencies are satisfied within 10 business days of the application date application is to be refused (Cl 76)

Path: MLA Acknowledge application.doc

4. Forward a copy of the application or log request to Drafting for shape entry and shape file for Dam Safety (shape file not required for mining purposes).

Path: MLA Drafting APP and shape file.doc

/ /

Note: Shape must be entered within 24-hours of application receipt.

Shape entered. APP Dealing Verified by Name: __________________

/ /

/ /

5. Does application include any potential Native Title land? Yes No

If Yes, refer to the Native Title Procedure Manual and follow the “Right to Negotiate” check sheet located on the Titles directory. If Yes, Proof of Extinguishment documents have been lodged

in hard copy in addition to CD or USB. If NO, continue with processing of application.

/

6. Forward file or log request to Drafting for identification.

Path: MLA Drafting Id.doc

/ /

Identification completed.

/ /

7. When all information provided, forward minute to:

Coal Advice/MEA (not required for mining purposes).

Environment

Mine Safety (coal only)

Compliance & Enforcement

/ / / / / / / /



Note: If the Geol Sur/Coal Advice indicate the applicant has not demonstrated that sufficient mineralisation exists, refer to Chapter 8 of Mining Lease Procedure Manual.

Path: MLA Coal Advice MEA.doc

MLA Mine Safety (Coal) .doc

MLA Environment Part 3A or 4.doc

MLA Environment Part 5.doc

MLA C&E.doc

8. Prepare reference to Dam Safety Committee (not required for mining purposes).

Path: MLA Dam Safety Committee.doc

Refer to Titles/Drafting/Shape Files for Dam Safety Reference folder and locate the MLA file for this application.

Email Heather Middleton at Dam Safety [email protected] a copy of the above letter and plan and also attach the shape files

Heather Middleton – Dam Safety, Ph: (02) 9842 8076.

/ /

/ /

9.

Did the Dam Safety Committee advise if there are any dams or notifications within the application area?

If No, continue processing

If YES:

Forward a letter to the dam owner (Sch 1, Cl 25) for comment and forward a letter to the MLA applicant advising them of the prescribed dam condition which is to be included in any lease granted.

Path: MLA Dam Owner doc. Path: MLA Applicant re Dam Owner.doc Note: In the event the dam owner objects to the grant of the lease or requires additional conditions to be included in any lease granted, refer to the Mining Act (Clause 9-11 Schedule 1) and your Manager for further instructions.

YES

/ / / /

NO

10. Label the digital copy (CD) of the diagram with the MLA number (use black texta) then Head office staff : place the CD in the file on Paul Langley’s desk. Regional offices: send the CD in a cover to Paul Langley.

/ /

11. Note date lodgement gazetted (Date): …………………………. (section 136)

/ /

Update Workflow Tracking System. / /

Once all actions are completed and file returned from Drafting proceed with Stage 3



Procedure for: Stage 3 Application No:

Stage 3 – Clerical Officer


1.

Does identification reveal any of the following:

IF

identification reveals any of the following conflicts…

THEN … Refer to the relevant part of the

procedure manual and in addition to the steps listed below take the appropriate action.

Yes No

Exploration licence (including authorisations) for same mineral (S58(1a) & 58(4)).

Consent is required from holder unless decision maker determines otherwise.

Use Template MLA conflict Whole-Part Same mineral group .doc

Exploration licence/s (including authorisations) for different mineral (S 59)

Notice to be served on all affected licence holder/s. Refer to S59 conflict. Follow instructions and use templates as required.

mining lease; mineral claim or assessment lease (S58(1b) & 58(4)).

Consent of holder is required unless decision maker determines otherwise.

Use template: MLA conflict Whole-Part Same Mineral Group

application for exploration licence (for same mineral); mining lease; mineral claim or assessment lease (58(1c) & 58(4)).

Consent of holder is required unless decision maker determines otherwise.

Use template: MLA conflict Whole-Part Same mineral group.

National Park estate (NPWA 1974)

Exclude land affected from lease.

State Conservation Area and CCA3’s

Refer to procedure manual Use template:

MLA NPWS State Conservation Area.doc

National Park estate proposal objections

Refer to procedure manual.

National Park estate proposal no objections

Refer to procedure manual.

Reserves under the Mining Act 1973 & 1992 and the Order under reserve prohibits grant of lease (section 57 & 367)

application is a nullity to the extent

of the reserve.

Reserves under the Mining Act 1906.

refer to Chapter 1.4 of Procedure Manual and discuss with

Supervisor.

Private mining agreements and mining operations are being conducted

Consent of mineral owner

required, otherwise exclude.


Mineral allocation area and for

the same mineral(s) (s 51(3))

the application is a nullity unless the Minister has consented to lodgement or application made by holder of an underlying exploration

licence or assessment lease.

Colliery holding (s 61) and the application is for a mineral other then coal

Note: coal MLA’s referred to Mine Safety at Stage 2 Step 7.

refer to Chief Inspector of Coal Mines.

Refer MLA template Mine

Safety(coal).doc

Catchment areas except if under control of DNR (Sydney Catchment Authority/Australian Inland Energy & Water/Hunter Water Corporation.

refer to controlling authority.

Biobank Site (s381A) Minister to notify the Minister administering the Threatened Species Conservation Act 1995 of the grant of an authority. Notification step and template included in Stage 9.

Proceed to Stage 4



Procedure for: Stage 4

Application No:


1. Does the application include the surface of any land? Yes No

If Yes: (a) Was notice of application served on landholders with 21

days of lodgment of application?

Yes

No

(b) Was a copy of every notice served supplied to DPI and contain details required by Clause 21 (4) of Schedule 1 within 21 days of expiration of the 21 day period of the service of notice on the holders?

Yes No

(c) Did a statutory declaration accompany the notices to the DPI and contain details required by Clause 21 (5) of Schedule 1?

Yes No

Note: This is not required if the applicant or a related

company is the owner of the land. If the answer to a, b, or c is Yes continue processing If No to a, b, or c, write to applicant Path: MLA Non compliance CL21 notices.doc Were the CL21 notices lodged within the period as outlined in the above letter.? If YES Section 135 Waiver of minor procedure matter approval is required. Refer to G:\Titles\Procedures and Templates\Checksheets & Templates\Mining Act 1992\Non Tas Procedures\Waiver of Minor Procedural Matter and follow instructions. If NO, consult with supervisor for further instructions.

/ /

YES

NO


2. Was an objection on the grounds of “agricultural land” lodged under Clause 22 of Schedule 1? Note: it is possible the objector may also have made significant improvement claims as well. If so combine the MLA Ack – agric.land objection letter and the Significant Improvements claimant letters as applicable (from step 4 below).

If No go to Step 4.

If Yes: (a) Enter AGL dealing as ‘pending’ into TAS. (b) Acknowledge objection to objector/s.

Path: MLA Ack agricultural land objection.doc

Pdf -paddock plan template blank.pdf PDF - sample paddock plan.pdf

AG History of Production example.xls

(c) Inform applicant of objection. Path: MLA Applicant – ag land objection.doc

Yes

/ /

/ /

/ / / / / / / /

No

3. REFER TO SUPERVISOR RE CHANGES BEFORE CONTINUING Refer objections to DPI Agriculture for determination.

Write to DPI (Agriculture Division) for determination. Path: MLA Department of Agriculture.doc

Wait for determination from DPI Agriculture.:

Following determination, inform applicant and objector/s. Path: MLA agricultural determination applicant.doc MLA agricultural determination objector.doc

Note – The landholder may consent to the granting of such land. Applicant is advised to advise Department within 14 days of despatch of letter above whether consent will be sought. Area/s of land deemed to be Agriculture land will be deleted from any lease granted if the landholder does not consent in writing to a lease being granted over such land. Make a note to include appropriate instructions to Drafting staff when survey instructions are issued.

Update AGL dealing with results of determination by DPI Ag. AGL dealing verified by (Name): ___________________

/ /

/ / / /

/ /

/ /

4. Was a claim of “significant improvements “made under Clause 23 A of Schedule 1 (See Mining Act 1992 dictionary for definition (changed 25/9/08))

Yes

No


If No - go to Stage 5 – Note: read note at end of Step 4 first.

If Yes REFER TO SUPERVISOR RE CHANGES TO MINNG WARDEN BEFORE CONTINUING – GUIDELINES TO BE DEVELOPED BEFORE OBJECTIONS CAN BE CONSIDERED (CLAUSE 73 & 74 of REGS)

(a) Acknowledge claim to claimant. Path: MLA Significant Improvement Ack claimant.doc

(b) Forward notice of claim to applicant for acceptance or objection

Path: MLA Significant Improvement applicant.doc

Wait for response from applicant. Did the applicant object to the objector/s claim/s? If NO, go to Stage 5. Note – area of significant improvements will be deleted from any lease granted if the landholder does not consent in writing to a lease being granted over such land. Make a note to include appropriate instructions to Drafting staff when survey instructions are issued.

If YES refer via supervisor for inquiry and report.

Path MLA Significant Improvement Warden.doc

Wait for determination by Mining Warden.

Following determination, inform applicant and objector of Mining Warden’s determination. Path: MLA Significant Improvement MR Determination applicant.doc MLA Significant Improvement MR Determination objector.doc

Note The landholder may consent to the granting of such land. Applicant is advised to advise Department within 14 days of despatch of letter above whether consent will be sought – areas determined to be of significant improvement will be deleted from any lease granted if the landholder does not consent to a mining lease being granted over such land. Make a note to include appropriate instructions to Drafting staff when survey instructions are issued.

Note: Refer to Section 62 relating to significant improvements on the subject land. A statutory declaration is required to be lodged by the applicant advising they have complied with this section of the Act before a mining lease is granted. (this is in addition to the clause 23 significant improvement claims).

If correspondence is received from a landholder relating to S62 significant improvements not giving consent to the grant, Refer to your Team leader for further advice. If a dispute arises between landholder/applicant re S62(1) (a) or (b) either the landlord or applicant can apply to Warden’s court for determination. Other matters (Clause 23B referred to Warden.

/ /

/ /

YES

/ /

/ /

/ / / /

NO


Once any objections are resolved, proceed to Stage 5.



Process: Mining Lease Application


Application No: ________________


Step Action Date Initial How is Development Consent being sought in accordance

with the EP&A Act? By means of : (circle) Part 3A Part 4 Part 5 If Part 3A or Part 4 -,commence this stage at Step 2. If Part 5 - commence this stage at Step 1. Note: In the event that development consent or approval under Part 3A/Part 4 is not required (most unlikely - consult with Supervisor), the requirements of Schedule 1 Part 2 division 1 of the Mining Act 1992 need to be complied with.

/ . /

1. Prepare External References to: (Refer to Land status report for indication of relevant materially affected government agency or exempt areas).

Any materially affected government agency

Dept Planning

Controlling body of any exempted area (if applicable).

Any affected Council (Schedule 1 Part 2 Division 3) Refer to MLA procedure manual for further details.

Path: MLA Government Agency Part 5.doc MLA Planning Part 5.doc

/ / / / / /

Note: This step is required only where there is no LEP (Local Environmental Plan) covering the application land – currently this only includes Lightning Ridge, Broken Hill and Unincorporated area of

Broken Hill Councils.

2. Enter DCO dealing into TAS once notification is received development approval/consent has been granted. (Not required for Part 5 Determinations.) Note: Development consent required prior to grant of lease – section 65. Note: If this is an application for mining purposes, record the purposes authorised by the development consent in the detailed comments of the DCO dealing.

/ /

3. DCO dealing verified by: Name: ______________________ / /

4. DCO conditions to be reviewed for consistency with ML conditions. (Not required for Part 5 Determinations.) Refer Part 3A or 4 development consent and proposed ML conditions to:

Coal Advice/MEA

Environment

Mine Safety

Compliance & Enforcement

/ / / / / / / /


Refer to internal responses from Stage 2 to see if any special conditions need to be applied, reports from drafting, and the Guide to ML conditions to formulate the proposed conditions

Path: MLA Coal Advice MEA DCO.doc

MLA Mine Safety DCO .doc

MLA Environment DCO.doc

MLA C&E DCO.doc


Proceed to Stage 6, once the following confirmation received regarding Development approval or Part 5 determination








1 Note: This step only applies to applications lodged after 1 Nov 2010 – prior applications are to be advertised by the Dept (Sch 6, Cl 101(2)).

Newspaper Advertisements copies provided (section 51A & Clause 25) If no, request copies from applicant. If yes, check wording of ad meets guidelines and refer copies to drafting to check if diagrams acceptable. Path: MLA Drafting Newspaper diagrams.doc If ad wording or diagram not acceptable, refer to Supervisor. If ad wording and diagram are acceptable, were notices published within 45 days? If no, section 135 waiver of minor procedural matters required. Refer to G:\Titles\Procedures and Templates\Checksheets & Templates\Mining Act 1992\Non Tas Procedures\Waiver of Minor Procedural Matter and follow instructions. Record details of acceptable ads below. Newspaper notices published:

The Land: Date: _________________ Local Newspaper: Name:_________________ Date:

Yes

/ /

Yes

/ /

/ /

No

No

2. Has a Statutory declaration regarding Section 62 improvements been received? Note: This stat dec is a requirement of Question 10(j)(ii) on the application form. The applicant is required to lodge this stat dec prior to any offer being made.. If not received remind applicant, as a lease cannot be granted until it is received. (also refer to Step 4 Stage 4 notes relating to S.62 matters).

If YES continue processing If NO write to applicant. Path: MLA applicant Section 62 stat dec.doc

YES

/ /

NO


Proceed to Stage 7, once the following have been completed:

Objections by Dam Safety Committee or Dam owner or Catchment authority complete.

Newspaper notices published

Any AGL objections or Valuable Works claims resolved

Native Title Section 31 deed signed by Minister

Section 62 stat dec received.



Process: Mining Lease Application Procedure for: Stage 7




1. Forward ETC minute for consideration of application. Path: MLA ETC minute.doc

Recommendation received from ETC: Continue processing/ *refuse application/other (list) If recommendation is to “refuse” application, modify the “Min grant submission.doc” to include reasons etc for refusal (refer section 63).

/ /

/ /

2. Forward or log request with Drafting for final identification and issue of survey instructions (s66). Note: Refer to any Ag land or valuable work determinations and if necessary include details.

Path: MLA Drafting 2 Survey instructions.doc

/ /

.

3. Survey Instructions issued. / /

Identification completed. Survey Plan approved. 2 Paper copies of surveyed plan printed for titles officer.

/ / / / / /

Update Workflow Tracking System. REQUEST COPY OF PLAN AND FINAL ID PRIOR TO SENDING OFFER G:\Titles\Procedures and Templates\Checksheets & Templates\Mining Act 1992\Applications\MLA\MLA Drafting FINAL Id.doc

/ /

4. Determine mining lease fee.

Refer to Schedule 10 of the Mining Regulation 2010 to determine fee payable.

Refer to Titles/Reference Material/Policies/Policy Exemption Mining Lease Grant fee.pdf to see if Mining lease grant fee can be waivered (or part waivered). For waiver of fee, prepare submission and forward via Supervisor to delegated officer for approval. Path: MLA Waiver ML grant fee.doc

If fee not being waived, complete request for invoice form for mining lease fee. Path: http://intranet.industry.nsw.gov.au/finance/inv-req.

$

/ / / /


5. Coal Only

Refer to the Guidelines for allocation of future coal exploration areas. Confer with Team Leader to determine if a financial contribution is required. If required, determine the amount of financial contribution to be made.

/ / YES/ NO $

6. Refer to file. Check correspondence sent to agencies, (eg SCA, Aust Inland Water) etc. Offer can be prepared when any correspondence received from the agency has been considered, OR the time frame listed on the letter for

comments, has expired. Prepare offer letter and lease document. Refer to sections 70, 71 and 72.

Paths: MLA Grant proposal letter.doc MLA Mining Lease Act 73 Document.doc MLA Mining Lease Act 92 Document.doc MLA Mining Purposes Lease Act 92 Document.doc Guide for conditions for Mining Leases (Coal) Vsn Nov 10

Guide for conditions for Mining Leases (Non-Coal) Vsn Nov 10

Guide for Mining Purpose Leases Vsn Nov 10

Mining Lease Conditions 2010 Vsn Nov 10

ML Special Conditions

Footer on ML conditions document updated

Notes :

Check replies to references sent, to determine if any additional conditions are required.

If this application was for “limestone” or “agricultural lime” refer to instructions listed in Step 1 of Stage 2

/ /

/ / / / / / / / / /

/ /

7. Forward offer and document via Supervisor to applicant. / /

8. Forward reminder if document, security or mining lease fee not received within period specified in offer letter. Path: MLA grant proposal reminder.doc

/ /

9. If material not forwarded following MLA grant proposal reminder expiry period, refer matter to supervisor and if directed, go to Refusal Check sheet and start refusal

procedures.

/ /


Once signed document returned with security and grant fee, proceed to Stage 8.





Application No: Stage 8 – Clerical Officer


1.

Check that document, security and mining lease fee (if applicable) are correct by:

checking the document is correctly signed. / /

checking the security is in the correct format. / /

checking the mining lease fee has been paid, / /

placing a copy of the Security Certificate on file. / /

placing the original Security Certificate in the storage cabinet. For Coal – Refer also to check sheets to update/initiate Coal excel spreadsheet requirements.

/ /

2. Prepare media release paperwork (Minister grants only) and

email to Media liaision officer (Jenny Ward) prior to preparing grant submission.

Path: MLA Media release.doc

/ /

3. Prepare Ministerial or ED Submission for grant (section 63)

(Refer to the Titles directory/Ministerials/Procedures for instructions for preparing Ministerial or ED submissions, or refer to the Ministerial co ordinator for assistance). Refer also to the Minister’s delegations relating to Sections 63(1)&(3) for guide as to who may grant this lease. Refer to supervisor if in doubt.

MLA MIN grant submission.doc

MLA ED grant submission.doc

Forward via Supervisor to Minister/DG/ED for grant.

/ /

/ /


Once Mining Lease granted, proceed to Stage 9.








1.

DAP dealing must be entered immediately following grant.

Enter DAP Dealing into TAS as “Granted”. The “received” and “determined” dates in the DAP should be the same.

Note: When entering the DAP:

(a) If the lease is being added to a single security group, (refer to the Security condition in the lease), enter zero in the security required and security held fields.

(b) Refer to ID, and include details of any authorities to be part cancelled or cancelled as a result of this grant. If the PCN/CAN is a result of a s.59 matter, do not add in details on the DAP but a separate minute will need to be prepared at step 14.

(c) If the lease is for purposes, record the purposes authorised by the development consent in the detailed comments of the DAP dealing. Any purposes approved by modification of the development consent at the time of grant should be recorded in an MSC dealing.

/ /

2.

Forward or log request to Drafting to enter grant shape. Path: MLA drafting DAP (Coal).doc MLA drafting DAP (Minerals).doc

Shape entered

/ / / /

3. DAP dealing verified. (by supervisor) __________________ / /

4. Note lease number on non-cash security certificate. / /

5. Add the lease number and date of grant to the document. / /

6. Have document stamped and register updated, with the exempt stamp duty stamp by either Mgr Coal & Petroleum/MineralsTitles. (Stamp and record book located in Mgr

Coal’s office).

/ /

7. Update document and file by :

Placing a copy of updated pages (Deed) on the file.

Scanning documents and file electronically in the Scanned documents directory.

Make a copy of the Deed and conditions - place them in a labelled red folder in the “Scanned documents” filing tray by the Titles hotdesk for transfer to Thornton. Regional offices send folder to supervisor at Maitland office.

/…./ /…/

/ /

/…./


8. Forward document to lease holder with covering letter. / /

Path: MLA grant letter to holder.doc

For Coal Only – If AD15 Form received process and enter

ACP Dealing in TAS. Forward AD15 paperwork to Drafting. / /

_______

9. Notify Department of Lands. / /

Path: MLA Land and Property Information.doc

10. Notify Minister administering Threatened Species Conservation Act 1995 if granted lease area affects a biobank site (s381A) – refer to ID..

/ /

Path: MLA Minister for the Environment biobank site.doc

11. Notify Royalty (not required for ML’s for Mining Purposes) / /

Record Updated TAS Dealing in RM8 and mark to MGR Royalty for info.

12. If the lease is being added to a Single security group (refer to

the Security condition in the lease). SRV dealing entered against one of the existing leases in the single security group. Note: Any previous SRV should be “completed” before entering this

SRV. SRV dealing Verified by (Name).___________________

/…./

/ /

13 Note grant gazettal date (Date): ………………………………. (section 136)

/ /

14. Update and complete TAS workflow tracking/security entry.

Coal only.

Update the Coal security excel spreadsheet adding the new mining lease number .

.

/…./

/ /

15. If the DAP part cancel or cancels an authority (via section 58 or 59) print out the part cancellation or cancellation procedure check lists and take action on any title file of any affected part cancellation or cancellation of the authority.

/ /

16. Update file cover with instructions to Records Management. R/S Titles [expiry date] Complete minute to Records – attach minute to front cover of the file and send to your local records unit for update and filing. Path: MLA Records. doc.

/ /

/ /

Grant of Mining Lease Application complete.

Form ML1 Check Sheet – Version 20 August 2015

Mining Lease Application Receipt Check Sheet Symbols in boxes on the right indicate the following: required information or material supplied

X required information or material not supplied or inappropriate

NA not applicable

Questions 1 to 9 using Form ML1 (version 1 Nov 2010) - All questions completed

correctly? Note: 6(b) mining purposes to be as per Clause 7 of the Mining Regulation 2010.

Question 10

(a) If applicable, a copy supplied of the Minister’s consent to apply for an allocated mineral within a Mineral Allocation Area? (s51(3))

Note: Check that application lodged in the same name as that of Minister’s consent. If not, application is not to be accepted.

(b) The application fee prescribed by the Mining Regulation 2010? (s51(4)(c) Note: If fee not lodged, application is not to be accepted.

(c) Satisfactory description supplied? (s51(5)(a)) (to be checked by a drafting officer)

(d) Report on the mineral bearing capacity of the land supplied? (s51(5)(b))

(e) Particulars of available financial resources supplied? (s51(5)(c))

(f) Particulars of the technical advice supplied? (s51(5)(c))

(g) Detailed description supplied of works to be undertaken? (s51(5)(d))

(h) Environmental performance record of the applicant supplied? (s51(5)(f) and Cl 24 (1)(a))

(i) Completed Appendix 1 supplied? (to be checked by a drafting officer)

(j) From October 2014 applicant must provide proof in format stipulated on our website

http://www.resourcesandenergy.nsw.gov.au/miners-and-explorers/applications-and-approvals/native_title Proof of Extinguishment documents have been lodged in hard copy in addition to CD or USB. Statutory declaration supplied in relation to Section 62?

Note: The statutory declaration regarding Section 62 can be supplied later.

Question 11 - Form signed by all applicants?

Note: If form not signed by all applicants, application is not to be accepted.

Application Checked by (Name):……………………………(Initials):…………………

http://www.resourcesandenergy.nsw.gov.au/miners-and-explorers/applications-and-approvals/native_title

http://www.resourcesandenergy.nsw.gov.au/miners-and-explorers/applications-and-approvals/native_title

Form ML2 Check Sheet – Version 20 August 2015

Mining Lease Application Receipt Check Sheet Symbols in boxes on the right indicate the following: required information or material supplied

X required information or material not supplied or inappropriate

NA not applicable

Questions 1 to 9 using Form ML2 (version 1 Nov 2010) - All questions completed

correctly?

Question 10

(a) If applicable, a copy supplied of the Minister’s consent to apply for an allocated mineral within a Mineral Allocation Area? (s51(3))

Note: Check that application lodged in the same name as that of Minister’s consent. If not, application is not to be accepted.

(b) The application fee prescribed by the Mining Regulation 2010? (s51(4)(c) Note: If fee not lodged, application is not to be accepted.

(c) Satisfactory description supplied? (s51(5)(a)) (to be checked by a drafting officer)

(d) Report on the mineral bearing capacity of the land supplied? (s51(5)(b))

(e) Particulars of available financial resources supplied? (s51(5)(c))

(f) Particulars of the technical advice supplied? (s51(5)(c))

(g) Detailed description supplied of works to be undertaken? (s51(5)(d))

(h) Environmental performance record of the applicant supplied? (s51(5)(f) and Cl 24 (1)(a)).

(i) Completed Appendix 1 supplied? (to be checked by a drafting officer)

(j) Proof of Extinguishment documents have been lodged in hard copy in addition to CD or USB.

(k) Statutory declaration supplied in relation to Section 62?

Note: The statutory declaration regarding Section 62 can be supplied later.

(l) Evidence that the minerals to which the application relates are owned by the applicant?

Question 11 - Form signed by all applicants?

Note: If form not signed by all applicants, application is not to be accepted.

Application Checked by (Name):……………………………(Initials):…………………

Version: 1 Nov 2010 Page 1 of 1 G:\Titles\Electronic Filing\GIPA & ICAC Requests\GIPA 16-82\MLA Check Sheet Refused.doc



Procedure for: Refusal of Application


Clerical Officer – Refusal of Application


1. Inform applicant of proposed refusal if this hasn’t been done via MLA processing.

Path: MLA proposed refusal letter to applicant.

/ /

2. Consult with supervisor, Where outstanding matters addressed satisfactorily? If YES, return to MLA checksheet and continue processing. If NO, prepare refusal submission. Path: MLA Refusal submission.doc

/ / YES

NO

3.

Enter DAP Dealing into TAS as Refused.

/ /

4. DAP dealing verified by (Name): _____________________ / /

5. Inform applicant. Path: MLA Refusal letter to applicant. doc

/ /

5. Date refusal gazetted:……………………………………………. (section 136)

/ /

6. Send file to Records, using TRIM, marked Put Away (7). / /

Refusal of Mining Lease Application complete.

Version: 1 Nov 2010 Page 1 of 1 G:\Titles\Electronic Filing\GIPA & ICAC Requests\GIPA 16-82\MLA Check Sheet Withdrawn.doc



Procedure for: Withdrawal of Application


Note: Before proceeding with withdrawal process, Form AD13 must be completed and lodged by the applicant. Applicant may send a letter, but it must be on letterhead (if a company) and the words “I wish to withdraw……” must be quoted in correspondence.

Clerical Officer – Withdrawal of Application


1.

Enter DAP Dealing into TAS as Withdrawn.

/ /

2. DAP dealing verified by (Name): _____________________ / /

3. Date withdrawal gazetted:………………………………………. (section 136)

/ /

4. If applicable – refer to supervisor Approval obtained to refund fees and applicant notified of proposed refund.

/ /

Note: Refer to “Retention of Fees” policy to determine fees to be refunded.

Path: Procedures & Templates/Checksheets & Templates/Mining Act/Non-Tas Dealings/Refunds Application Fees

Approval to refund application fees.doc

And Notification holder cash refund.doc.

/ /

/ /

5. Prepare refund voucher and have it signed by appropriate delegate and then forward to Financial Services. Path: Procedures & Templates/Checksheets & Templates/Mining Act/Non-Tas Dealings/Refunds Application Fees Accounts Refund application Fees.doc.

/ /

6. Send file to Records (using TRIM) Mark P/A 10. / /

Withdrawal of Mining Lease Application Complete.

Version: 1 Nov 2010 Page 1

MLR (’92) Renewal of Mining Lease Check Sheet

Applications lodged under Mining Act 1992 (After 21 August 1992)

Process: Renewal of Mining Lease

Procedure for: Stage 1 Date Received: ……… / ……… / ………

Lease Type, Number (Act): _________________ File No: __________________

Clerical Officer: ________________ Supervisor: ____________________

Note: At any stage an application can be withdrawn by the applicant or refused by the Minister. Check Sheets titled ‘Withdrawn’ and ‘Refused’.

All templates are stored under Titles/Procedures and Templates/Checksheets & Templates/Dealings/Renewals/ML’S or as indicated.

Note: Applications for renewal may be made up to 5 years before the expiry date of the lease (s113(2)). If this lease is being renewed before the expiry date, the effective date of the renewal should be the date of renewal (not the day after expiry). (direction from M02-0562).



1. Form ML8 (version 1 Nov 2010) Notes: The application must be signed by all of the holders and lodged within the period specified in section 113(2).

/ /

.

2. Refer to Payment Processing for procedure for receipting of

application fee. /…/

3. List of deficiencies noted: / /

4. Create a new file using Lotus Notes – Email File Request Wording for file name: DEVELOPMENT EXPLORATION & TITLES Applications and Approvals Mining Leases [insert Mining Lease Number and name of holder].

/ / _____

5. Refer to Native Title Procedure Manual to confirm if “Right to Negotiate” procedures are required. (Cth Native Title Act 1993). Right to Negotiate Procedures required to be followed:

If Yes –

1. Refer to Native Title Procedure manual and run process parallel to renewal processing OR

2. Lease can be renewed without invoking native title procedures if it is renewed for a period not exceeding the original grant. Refer to legal advice and Reference re CML & CCL Renewal periods .doc to determine maximum renewal period.

Maximum renewal period:_______________________________

YES

/ /

NO


If No - Continue to Stage 2

Proceed to Stage 2.


MLR (’92) Renewal of Mining Lease Check Sheet

Applications lodged under Mining Act 1992 (After 21 August 1992)

Process: Renewal of Mining Lease Procedure for: Stage 2

Lease Type, Number (Act): _________________



1. Enter REN Dealing into TAS and attach print out to file. Notes: Dealing must be entered within 24-hours of application receipt. Barytes, bentonite, fuller’s earth, beryllium and its ores, bloating clay, brick clay, pipeclay, clay shale, diatomaceous earth, felspar, fire clay, pottery clay, fluorspar, granite, slate, syenite, iron, iron ore, ironstone, oxide of iron, laterite, mineral water and platinoid minerals are no longer prescribed minerals under the Mining Act 1992. Renewals must not include any of these substances. However, many of these substances have been replaced as prescribed minerals by other similarity named

minerals. These must be included in renewals.

/ /

2. Dealing checked by (Name): ________________________ / /

3. Forward acknowledgment of receipt of application. / /

Note: Unless deficiencies are satisfied within 10 business days of the application date application is to be refused (Cl 76)

Path: REN acknowledgement.doc

4. Check holder address and/or agent details against a TAS ‘Full Details’ report. If any discrepancies appear contact holder and request confirmation in writing if TAS records are to be updated. Update TAS information, if required.

/ /

5.

Forward file or log request to Drafting for shape entry, copy of shape file, identification, and, if reduced area sought, request survey instructions to be issued. Path: REN Drafting.doc

Shape entered Identification completed. Survey Instructions issued (if applicable) Shape file copied.

/…/ /…./ /…./ /…./ / /

6. Note: This step is not required for coal or mining purposes lease renewals.

Forward a minute to Royalty for advice as to whether there has been any mineral production or royalty paid in the last 5 years

/ /

Path: REN Royalty mineral production.doc

7. Note: This step is not required for mining purposes lease renewals.


If royalty advise (per 6 above) there has been mineral production etc proceed to Step 8. If no mineral production or royalty paid, write to holder. Path: REN Holder - No mineral production

Reply required within 30 days. Note: Refer the response to supervisor and refer to ETC for consideration as to whether application can continue to be processed or procedures to start for refusal. Recommendation received from ETC: Continue processing/ *refuse application/other (list) If recommendation is to “refuse” application, modify the “REN ED submission.doc” to include reasons etc for refusal (refer section 114).

/…./ /…../

_____

8. Prepare reference to Dam Safety Committee

Path: REN Dam Safety Committee.doc

Refer to Titles/Drafting/Shape Files for Dam Safety Reference folder and locate the ML file for this application..

Email Heather Middleton at Dam Safety [email protected] a copy of the above letter and plan and also attach the shape files

Heather Middleton – Dam Safety, Ph: (02) 98957353

/ /

/ /

9. Did the Dam Safety Committee advise if there are any dams or notifications within the lease area?

If No, continue processing

If YES include the Dam Safety Condition in any lease offered.

YES NO


Proceed to Stage 3.



MLR (’92) Renewal of Mining Lease Check Sheet Stage 3 – Clerical Officer


1. Gazette lodgement date:……………………………………….. (section 136)

/ /

2. If applicable, upon receipt of Identification from Drafting, forward references to affected Government Agency.

/ /

Note: References are sent in connection with Catchment Areas (other than those under the control of DECCW)

Path: REN Sydney Catchment Authority

3. Forward part papers to: 1. Environmental Sustainability Unit (ESU) for report

Note: ESU also require a copy of the proposed standard conditions.

(Refer to the current lease conditions to see if any “special” conditions need to be carried over, reports from drafting, and the Guide to ML conditions to formulate the conditions for this renewal).

Titles/Procedures and Templates/Conditions/ML 2010

Titles/Procedures & Templates/Conditions/Guide to Conditions (either Coal or non-coal as applicable).

2. Mine Safety (coal only) for comment

/ /

/ /

/ /

Paths: REN Environment report standard REN Mine Safety (Coal)

4. Did ESU recommend renewal?

If No, take appropriate action. Discuss with your Supervisor,

if necessary.

Yes

No

5. Check the original security certificate. If the certificate is not in the current T&I NSW format request holder to provide a new certificate via the offer letter.

/ /

6.

7.

Refer to file. Check correspondence sent to agencies, (eg SCA, Aust Inland Water) etc. Offer can be prepared when any correspondence received from the agency has been considered, OR the time frame

listed on the letter for comments, has expired. Prepare offer letter Prepare Instrument of renewal document. Update “final conditions of authority” Note: If this lease is being renewed before the expiry date, the effective date of the renewal should be the date of renewal (not the day after expiry).

/ /

/ / / / / /

Paths: REN renewal offer REN Instrument of Renewal G:\Titles\Procedures and Templates\ Conditions\ Current\ Mining Lease Conditions & Guides

(Refer to the proposed conditions you prepared in Step 3 above,


and update as applicable referring again to the application form, current lease conditions, ID, conditions guide, any “special” conditions requested by internal or external stakeholders and finalise the conditions for this renewal).

8. Forward document to holder via Supervisor. / /


Once signed document returned, proceed to Stage 4.


MLR (’92) Renewal of Mining Lease Check Sheet Applications lodged under Mining Act 1992 (After 21 August 1992)



Lease Type, Number (Act): _________________



1. Check that Instrument of Renewal signed by holder/s and if applicable new security received in correct format.

/ /

2. Prepare ED submission and forward with Instrument of Renewal, via Supervisor to delegated officer for renewal.

/ /

Path: REN ED submission.doc

Once Mining Lease renewed proceed to Stage 5.



Procedure for: Stage 5 Lease Type, Number (Act): _________________



1. Update REN Dealing in TAS immediately and attach print out to file. Note: If this lease is being renewed before the expiry date, the effective date of the renewal should be the date of renewal (not the day after expiry).

/ /

2. Forward file or log request to drafting to enter and merge the renewed shape.

Path: REN Drafting Post Renewal (Coal)

Shape entered. / /

3. REN dealing verified by (Name): _______________________ / /

4. Update document and file by :

Replacing copy of updated pages on the file.

Scanning documents and file electronically in the Scanned documents directory.

Make a copy of the Deed and conditions - place them in the “Scanned documents” filing tray by the Titles hotdesk for transfer to Thornton. Regional offices send copy to Michael Jacques.

/ / / / / /

5. Forward Instrument of Renewal to the lease holder with covering letter

/ /

Path: REN after ren92

6. Notify Land and Property Information. / /

Path: REN Land and Property Information

7. Inform Royalty of renewal (n/a for mining purposes leases). / /

Path: REN Royalty after renewal

8. Note date Renewal gazetted (Date): (section 136)

/ /

9.

10.

Request Drafting to scan plan if area has changed from previous renewal. Path: REN drafting scan.doc

Mark file for storage using TRIM .for the term of the renewal.

/ /

/…./

Mining Lease Renewal complete.

Version: 17 October 2014 Page 1 G:\Titles\Electronic Filing\GIPA & ICAC Requests\GIPA 16-82\ML Check Sheet Refused '92 Act.doc



Procedure for: Refusal

Lease Type, Number (Act): ________________ File No: ___________________

Clerical Officer: _________________ Supervisor: ___________________

Clerical Officer – Refusal of Renewal Application


1. a) Where necessary retrieve appropriate administration file from Records using TRIM.

b) Update REN Dealing in TAS to ‘Refused’ and attach print out to file.

/ /

____

c) Forward letter to holder advising title has been refused and request technical information needed to release the security deposit.

/ /

/ /

Path: Use DTA ML holder advised of expiry (modify document accordingly for refusal and reason for refusal as appropriate).doc

2. If applicable, approval obtained to refund fees and holder notified of proposed refund.

/ /

Note: Refer to ‘Retention of Fees’ policy to determine fees to be refunded.

3. Prepare refund voucher and have it signed by appropriate

delegate and then forward to Financial Services.

/ /

4. Date refusal gazetted:……………………………………………

(section 136) / /

5. Attach ‘Dead Title Action’ check sheet to file and take

appropriate action, if lease has ceased to have effect.

/ /

Note: Refusal of a renewal application after the expiry date of the lease causes the lease to cease to have effect.

Refusal of Renewal Application completed.

Version: 1 November 2010 Page 1 G:\Titles\Electronic Filing\GIPA & ICAC Requests\GIPA 16-82\ML Check Sheet Withdrawn '92 Act.doc



Procedure for: Withdrawal

Lease Type, Number (Act): ________________File No: ___________________

Clerical Officer: _________________ Supervisor: ___________________

Note: Before proceeding with withdrawal process, Form AD13 must be completed and lodged by the applicant. Applicant may send a letter, but it must be on letterhead (if a company) and the words “I wish to withdraw……” must be quoted in correspondence. Clerical Officer – Withdrawal of Renewal Application


1. Update REN Dealing in TAS to ‘Withdrawn’ and attach print out to file.

/ /

2. REN dealing verified by (Name): ______________________ / /

3. If applicable, approval obtained to refund fees and holder

notified of proposed refund.

/ /

Note: Refer to ‘Retention of Fees’ policy to determine fees to be refunded.

Path: Procedures & Templates/Checksheets & Templates/Mining Act/Non-Tas Dealings/Refunds Application Fees

Approval to refund application fees.doc

And Notification holder cash refund.doc.

/ /

/ /

4. Prepare refund voucher and have it signed by appropriate

delegate and then forward to Financial Services. Path: Procedures & Templates/Checksheets & Templates/Mining Act/Non-Tas Dealings/Refunds Application Fees Accounts Refund application Fees.doc.

/ /

5. Date withdrawal gazetted:………………………………………..

(section 136)

/ /

6. Print out and attach ‘Dead Title Action’ check sheet to file

and take appropriate action, if lease has ceased to have effect.

/ /

Note: Withdrawal of a renewal application after the expiry date of the lease causes the lease to cease to have effect.

Withdrawal of Renewal Application completed.
























Refusal ___________


Low Impact or RTN ___________









fee paid










Note:













process payment






Enter in TAS





details not current

do not exist in TAS

Note:



































Save the WP:





Determine KPI’s:










ESU ELA checklist












Date to sub-units






























































PROPOSED DECISION RECEIVED from TRC

Following TRC: CM receives file and proposed decision in Assessment Summary via RM8 action from Ministerial Coordinator (MC). File will be forwarded to Case Officer from CS When file received from CS in RM8 application file:



TAS workflow is updated with ETC finalised date (date file is referred to CM – refer RM8) Note: if application has been reviewed by sub-units under the old process - refer to CM for procedure)



















Email Rents & Levies to create two Titles in TAS (ie ELA #### A and ELA#### B) and request two




Titles to be created by Finance



offer’






- Complete all blank fields – refer to Assessment summary for additional information such as Security amount

- Insert diagram after schedule 1 and before schedule 2 LINK

- Included any special conditions from Assessment Summary

- Include Work Program details – refer











Update TAS workflow


























Prepare:















Dealing in TAS




the date is the date the licence document has been signed


the EL number will generate – place EL number on licence documents and grant letter Does DAP cancel or part cancel an authority – if yes refer to ‘part cancellation’ or cancellation procedure?



Prepare minute: ELA DAP Drafting (coal) – is this still used can’t find





When returned from CS:

Place diagram into licence document after schedule 1 information page - Refer to Prepare Licence Document Procedure LINK

Create a Licence Document virtual file: Classification: Development Exploration & Titles – Applications & Approvals Title: LICENCE DOCUMENT EL XXXX_YEAR to YEAR

Update the file properties to ‘alternatively within’ the ELA Physical file

Place a copy of the completed licence document in the virtual file

Create a WP Virtual file within the ELA T file in RM8 named: ELXXXX Work Program YYYY to YYYY (period of grant)

RM8 alternatively within the INW-WP and OUT-WP Approved and Schedule 5 (1 page for licence document) from the ELA file into the WP Virtual file

Scan diagram to RM8 & signed copy of Grant Letter


Send Grant Documents by NEXT DAY DELIVERY

Email electronic copy of approved WP from WP folder – RM8 email Note: the Licence Document virtual file will contain the Licence Document for period of grant. Any updates such as Activity Approvals will be updated into this file/licence document. Refer to Prepare Licence Document Procedure LINK








Licence document


Insert diagram after schedule 1 and before schedule 2 LINK



instructions below


Program refer below





















Place licence document in yellow folder with a printout of Assessment Summary (or submission if applicable – process to be finalised)


When received back from DMO file will be allocation to T/A for finalisation.












the EL number will generate Does DAP cancel or part cancel an authority – if yes refer to ‘part cancellation’ or cancellation procedure? (G Drive)


EL number


Term – as granted ie: Thirty six months (Minerals) or Three years (Coal)

Due Expiry Date – 1 January 2019 Update Licence History table:

Effective date: type grant date

Notes: Minerals type – Grant of EL XXXX (1992)

Notes: Coal Minerals type – Grant of EL XXXX Mining Act (1992) Update Work Program:

Update work program identification number to: WP-ELXXXX-YEAR-YEAR Prepare Grant Letter



Signed Assessment Summary

Rendition Signed Assessment Summary to RM8

Refer to CS

Refer file to CS to check licence document and grant letter


Create a Licence Document virtual file within the ELA T file in RM8 named: Exploration Licence - Name: EL XXXX_YEAR

Place a copy of the completed licence document in the virtual file

Create a WP Virtual file within the ELA T file in RM8 named: ELXXXX Work Program YYYY to YYYY (period of grant)

RM8 alternatively within the INW-WP and OUT-WP Approved and Schedule 5 (1 page for licence document) from the ELA file into the WP Virtual file

Mail Grant Letter & signed licence document - place hard-copy of documents on physical file



When returned from Drafting Print full details report for EL number – RM8 & place copy on file Note: the Licence Document virtual file will contain the Licence Document for period of grant. Any updates such as Activity Approvals will be updated into this file/licence document. Process to be included.


Minerals: Complete Application Process




Save to RM8



DIGS:



RM8:







































Refusal










CS allocates file


Update DAP Dealing




Low Impact or RTN














Request NNTT Search




Publish Ads



If Claimants exist:


































Additional Processes



Refusal ___________

Low Impact or RTN ___________ Put Diagram into Licence Document










fee paid










Note:













process payment






Enter in TAS





details not current

do not exist in TAS

Note:



































Save the WP:





Determine KPI’s:










ESU ELA checklist












Date to sub-units





























































PROPOSED DECISION RECEIVED from TRC Following TRC: CM receives file and proposed decision in Assessment Summary via RM8 action from Ministerial Coordinator (MC). File will be forwarded to Case Officer from CS When file received from CS in RM8 application file:



TAS workflow is updated with ETC finalised date (date file is referred to CM – refer RM8)




Note: if application has been reviewed by sub-units under the old process - refer to CM for procedure)



















Email Rents & Levies to create two Titles in TAS (ie ELA #### A and ELA#### B) and request two Titles to be created by Finance




offer’







Insert diagram after schedule 1 and before schedule 2 - Included any special conditions from

Assessment Summary - Include Work Program details – refer











Assessment Summary


Update TAS workflow

























Prepare:
















Dealing in TAS




use the date when the licence document was signed


an EL number will generate Does DAP cancel or part cancel an authority – if yes refer to ‘part cancellation’ or cancellation procedure LINK

Update licence document:

with EL number


Term – as granted ie: Three (3) years

Due Expiry Date eg: 1 January 2019

WP identifier on schedule 5 – example: WP-ELXXXX-20YY-20YY (term of licence) Update Licence History table:


Notes: Grant of EL XXXX Mining Act (1992) Update Work Program:

Update ID no. on the approved WP Password: nswtitles ID no: WP-ELXXXX-20YY-20YY


Prepare ELA IMER Grant letter holder

Prepare minute: ELA DAP Drafting (coal)





When returned from CS: Create a Licence Document virtual file:


Update properties – (related documents) to ‘alternatively within’ the ELA TAS Physical file








Licence document


Insert diagram after schedule 1 and before schedule 2



instructions below


Program refer below

Place Diagram into licence after Schedule 1 information page: save diagram as JPEG to desktop click on page after schedule 1 insert picture insert diagram from desktop RM8 licence document to ELA TAS Physical file & relate to the EL virtual file Print licence document

Update Work Program, in RM8:



Finalise Documents:



Place hard-copy of documents on physical file

Send Grant letter & licence documents by NEXT DAY DELIVERY

Email applicant electronic copy of approved WP from WP folder – RM8 email to WP sub folder Note: the Licence Document virtual file will contain the Licence Document for period of grant. Any updates such as Activity Approvals will be updated into this file/licence document. Process to be prepared















Place licence document in yellow folder with a printout of Assessment Summary


When received back from DMO file will be allocation to CO for finalisation.


















the EL number will generate Does DAP cancel or part cancel an authority – if yes refer to ‘part cancellation’ or cancellation procedure on G Drive



EL number






Notes: Grant of EL XXXX (1992)



Prepare Grant Letter



Create a Licence Document virtual file: Classification: Development Exploration & Titles – Applications & Approvals

Title: LICENCE DOCUMENT EL XXXX Update properties – (related documents) to ‘alternatively within’ the ELA TAS Physical

file Work Program, in RM8:



Refer to CS Refer file to CS to check licence document and grant letter Finalise Documents:




Complete Application Process




Save to RM8



DIGS:



RM8:












Send Grant letter & licence documents to applicant - place hard-copy of documents on physical file



When returned from Drafting Print full details report for EL number – RM8 & place copy on file Note: the Licence Document virtual file will contain the Licence Document for period of grant. Any updates such as Activity Approvals will be updated into this file/licence document. Procedure to be prepared




























Refusal










CS allocates file


Update DAP Dealing
















Low Impact or RTN














Request NNTT Search




Publish Ads



If Claimants exist:

















Obtain File and Scan Application in RM8 ___________


Receive Outstanding Document for Incomplete Applications ___________






Proposed Decision received from TRC ___________ Coal & Geothermal – Prepare Ministerial Submission & Draft Document Process (6 Steps) (includes Schedule 5 Work program & TRC reduced units)

___________

Minerals Prepare Draft Renewal Licence Document ___________ (includes Schedule 5 Work program & TRC reduced units)

Mineral Applications – Offer Accepted – Prepare final documents for Approval ___________ Minerals - Approval from DMO, Update REN Dealing & Prepare & Finalise DOCs for Holder

___________

Petroleum Renewal Applications – Prepare Cabinet Minute ___________

All Applications - Complete application Process ___________



Security, Rent & Levy page Refusal page

Stop the Clock Process LINK to G Drive

PREPARE LICENCE DOCUMENT PROCEDURE TO BE INCLUDED

FAQS FINANCIAL CAPABILITY GUIDELINE TO BE INCLUDED & TIPS ON DOCS TO ACCEPT



Renewal received after Expiry Date:

advise applicant of option to submit Exploration Licence Application

Coal application - advise Minister’s consent required

Petroleum -

Check application submitted within legislated time limits

Petroleum applications must be received no earlier than two months and no later than 1 month before expiry of the licence

All other applications must be received within the period two months before expiry If received out of these time limits refer to Case Manager (CM) for process


application was not submitted on approved form or on-line application



confirm application details match TAS – refer Full Details Report (print copy for file)


certification is complete Note: Coal applications for 100% of area do not require co-ordinates in electronic format







Note:












process payment






Enter in TAS

Enter REN Dealing in TAS:

Coal & Petroleum use file number as per last renewal

Mineral renewal use file from last dealing `

Print REN dealing for file

Update TAS with applicant details if required New Agent’s letter received

Update TAS and CAG Dealing if required




assign file to your name in RM8

create sub-folder (new record) within RM8 file, titled: REN YEAR – Dealing XX (no. in TAS)

Save documents to sub folder (colour scan or digitally from emailed application):

Application cover letter from Agent or applicant as ELXXXX_Application cover letter

Receipt-tax invoice and/or email to finance as ELXXXX_Receipt/Tax Invoice xxxx

Application form

Save all supporting information separately as per application form checklist as: ELXXX_DOCUMENT NAME

Coal – save electronic co-ordinates

Work Program (WP) - refer below

Save Work Program in RM8

Create sub-folder: ELXXXX Work Program Year XXXX-XXXX (include the year of renewal to the year of expiry as per requested renewal term)

Save WP to the folder as INW document (WP_EL XXXX) and save alternatively within the REN Physical File then;

Open the WP in view mode and save as an OUT document (WP_EL XXXX) (this process allows C&PG and MEA to edit the document) and save alternatively within the Physical File

Prepare Acknowledgement of Complete & INCOMPLETE Application & Receipt of Outstanding Documents

Prepare REN acknowledgement letter (ACK letter)




Place TAS full details report on file

Update Application Finalised date in TAS workflow





Receive Outstanding Document for Incomplete Applications

Documents received within 10 business days:


Refer to next step – KPI’s

If outstanding documentation is not received within:




no complete competing applications have been received prepare a Section 135 waiver and add to


Assessment Summary

complete, competing applications have been received start Refusal Process


Determine KPI’s:




Minerals: Give 1 x sheet to drafting Minerals KPI - 45 working days Coal KPI – 85 working days Petroleum – KPI’s to be determined

Create Reference Documents – Titles Services and Sub-Units

RM8 open V15/994#1 refer to:

Titles checklist – Exploration licence renewals – Template 1 July 2015

Minerals: MEA checklist for EL renewals – MEA Ver 8

Coal: CPG Checklist for assessing EL Renewal

Petroleum: CPG Checklist for assessing PEL Renewal

ESU Final EL Renewal checklist V4.0 3 September 2015


Assessment Summary


EL XXX_ESU Checklist – EL Renewal

ELXXX_Titles Checklist – Exploration Licence Renewal For Minerals: MEA checklist for EL renewals – MEA Ver 8

(If the REN is for more than 50% of the area save as EL xxxx MEA Checklist SCR)

If the REN is for 50% or less of the area save as EL xxxx MEA Checklist Normal

Create Titles Services - Drafting Reference Documents

Coal Drafting (reference document):

prepare a request for Shape, ID & Conflicts REN Drafting (Coal-8)

if geo-thermal prepare drafting request REN Drafting (Coal-8) - note geothermal on request

write request on board give file to Drafting – if geothermal note this on request on board Minerals (reference document):

place REN dealing as 1st document on file & give file to drafting Petroleum:

drafting templates to be confirmed




Reference sub-units only when ALL supporting information has been received Create workflow actions in RM8 on reference documents in previous step & Drafting

Sub-unit RM8 Recipient Action Name Minerals - Drafting Michael Golden Process Work

Coal - Drafting Peter Hord Process Work


Petroleum - Drafting Peter Hord TRC Referral


Coal & Petroleum - C&P GEO Geological Administrator TRC Referral



Check REN dealing

Check ACK letter, Assessment Summary & update the Check List

Check workflow actions

When returned send ACK letter email or post as per preferred method – if emailed save outgoing email to RM8

Update TAS workflow with:

REN application Finalised Date

Date to sub-units

Update TAS workflow as sub-units and drafting respond



When a response is received from all sub-units:

Confirm Renewal application has been gazetted (NSW Legislation), print gazette notice, RM8 and place on file

Conduct Dead Titles Search, if Applicant has outstanding Dead Titles copy & paste information to Assessment Summary http://oranprodbo1:8080/InfoViewApp/logon.jsp (password = titles).

Print Assessment Summary

If application has been reviewed by sub-units under the old process (pre assessment summary) prepare TRC Minute

In RM8 assign file to TRC


CS refers the file to the Case Manager (CM) to refer to TRC





Mineral Applications:

the Decision Maker will make a recommendation at TRC


Ensure copy of TRC minutes are saved in REN file in RM8, and;

TAS workflow is updated with TRC finalised date (date file is referred to CM – refer RM8)



Return file to TRC when new information is received REN TRC Re-referral

Proposed decision is to Renew: Coal Prepare DMO Submission and Draft Documents

Minerals Prepare Draft Renewal Licence Documents

Petroleum – Prepare Cabinet minute

Decision is not to renew OR reduced units has been re-referred and upheld:




place STC on application in TAS



Coal & Geothermal - Prepare Ministerial Submission & Draft Documents

STEP 1- (COAL & GEOTHERMAL)

PREPARE BRIEF & DOCUMENTS TO SEEK MINISTERS APPROVAL TO OFFER RENEWAL






– Insert diagram after schedule 1 and before schedule 2 LINK


– Include approved Work Program – refer

instructions below Condition 2 Native title: – Remove if title has been through RTN (refer to


clarification – For the condition include the words xxx waiting

4 approval of phrase to use

Security: – Remove condition not required – For the condition include the words xxx waiting

4 approval of phrase to use DRAFT Licence must have a DRAFT watermark




insert in the identification number field the work program number as: WP-ELXXXX-YEAR-YEAR (YEAR-YEAR = the renewal term from TRC)


REFER FOR MINISTERIAL APPROVAL TO OFFER RENEWAL


Assessment Summary

Refer to Minister for approval PROCESS

Update TAS workflow



PREPARE REN OFFER LETTER & REFER TO APPLICANT

When approval from Minister received check for outstanding:

Rent & Levy payments in SAP – if last invoice payment is paid put SAP dump on file & RM8, if not paid print invoice and advise in REN offer payment required before renewal

Security reviews (SRV) in TAS, if so note in REN offer letter

Requirements to be resolved prior to renewal on Assessment Summary & TRC minute

REN Offer letter

Prepare REN offer letter LINK - print 2 copies

Refer to Case Supervisor to check Ministerial approval & REN offer & documents

Send REN offer, Draft licence & approved WP to Applicant

Save in RM8 (if by email save email to RM8)

Make a note of due date, follow up if not received If applicant has indicated to receive documents by mail – request an email address on REN Offer letter so an electronic version of the WP can be emailed to them on renewal.



RENEWAL OFFER ACCEPTED (NO OUTSTANDING SECURITY REVIEWS (SRV’S) & RENT & LEVY

PAYMENTS ARE UP TO DATE)


Security and/or Rent & Levy received – refer to process Offer accepted (SRV’s & Rent & levy payments are up to date)

Remove draft watermark from licence document

Check decision maker name is current

Save to RM8 as ELXXXX Renewal Licence Document


In RM8 complete grant submission section of Assessment Summary

Refer to Step 5 Prepare Brief for ‘Decision Maker’ – Approval to Grant Renewal




1. Approval brief for Decision maker (DMO) 2. Ministerial Brief for approval & signature of

Local MP letter refer below 3. Refer all documents to CS for checking &




DMO within xxxx?

To prepare Local MP letter refer to:



referral instructions are found on the Local MP letter


Prepare: 1. Approval brief for Decision maker (DMO) 2. Ministerial Brief for approval & signature

of Local MP letter refer below 3. Refer all documents to CS for checking &














Update REN dealing in TAS to Approved

determined date is the date DMO has signed the licence document

Update Licence Document

Renewal date – the date DMO has signed the licence document

Confirm term & expiry date are correct

Confirm WP identification number dates are correct RM8 Licence Document

Create a Licence Document virtual file within the EL file name: Exploration Licence - Name: REN EL XXXX_YEAR to YEAR

RM8 the signed licence document in the virtual file

if renewal term differs to application update the WP Virtual file name in RM8

Prepare REN Letter

REN IMER holder after renewal (use for both pre & post 1 July 2015 renewals)

Prepare Minute to Drafting

REN EL Drafting Post renewal (coal)

Refer to Case Supervisor (CS) and Drafting

write on drafting board Shape (Post REN)

refer file to CS to check REN Dealing & give to Drafting

when returned from Drafting, if diagram updated place into licence document & RM8 to RENEWAL file

refer to CS to verify REN dealing & check licence documents & Grant Renewal Letter


rendition signed REN IMER holder letter & place copy on physical file

print full details report from TAS – RM8 & place copy on file

send renewal documents to holder

send applicant a separate email with an electronic copy of approved WP (RM8 email) - advise applicant: The WP is to be retained and returned in the same format when annual reporting is due.



Minerals Prepare Draft Renewal Licence Document Note:

ensure all DRAFT Licence documentation has a DRAFT watermark ensure correct act is noted ie: Mining Act 1992 or Mining Act 1973




TRC Proposed reduced units refer next page

1. REN IMER Offer standard (Minerals) 2. EL Exploration – Licence Instrument IMER

Licence document

On licence document complete all blank fields: – Insert diagram after schedule 1 and before

schedule 2 LINK – Include any special conditions from Assessment


instructions below

Condition 2 Native title: – Remove if title has been through RTN (refer to TAS

dealings) – If not refer to Section 26D for further clarification – For the condition include the words xxxxx Security: – Remove condition not required – For the condition include the words xxxxx

TRC Proposed reduced units and Schedule 5 Work

Program refer next page



Refer file to CS to check Decision Maker approval, draft licence documentation, workflow and Assessment Summary

Send Draft Documents to Applicant and save in RM8 – if emailed RM8 email




MINERAL APPLICATIONS – OFFER ACCEPTED - PREPARE FINAL DOCUMENTS FOR APPROVAL


remove draft watermark from licence document

check decision maker name is current

update if reduced units

save to RM8 as EL### Renewal Final Licence Document

print licence document

REN Application with Assessment Summary:

In RM8 complete grant submission section of Assessment Summary and print

Place printed licence document & assessment summary in yellow folder and give with file to CS to refer to DMO for approval and signature of licence document

When DMO has completed, file will be allocated back to Case Officer (CO) for finalisation.

REN Applications PRE - Assessment Summary:

Prepare BN to DMO for approval LINK

Place brief and licence document in yellow folder

Give yellow folder & file to Case Supervisor who will refer to DMO for approval and signature of licence document

When DMO has completed, file will be allocated back to CO for finalisation.


Request reduced units from applicant in REN Offer Letter

If reduced units not provided within 14 days send Reminder

If reduced units not provided by reminder due date start Refusal process Post 1 July 2015 applications - Schedule 1 of the Licence Document Exploration Area


on the table reduce to 1 row and insert (units to be advised) Schedule 5 Work Program Check RM8 to confirm WP is approved - the OUT WP document will have "approved" at the end of the file name. Contact relevant unit if WP has not been approved.



minerals: Approval TO GRANT EL received from DECISION MAKER – Update REN dealing in tas & Prepare & finalise documents for holder


the determined date is the date the Decision Maker has signed the licence document

RM8 Licence Document


Update the file properties to ‘alternatively within’ the EL Physical file

RM8 the signed licence document to the virtual file

If renewal date differs to application update the WP Virtual file name to reflect period of grant

Prepare REN Letter

REN IMER holder after renewal (this letter is for pre & post 1 July 2015 renewals)

Refer to Case Supervisor (CS)



Send renewal letter and signed licence document by mail - place hard-copy of documents on physical file, email if requested – RM8 email

Email electronic copy of approved WP from WP folder – RM8 email. Advise applicant: The WP is to be retained and returned in the same format when annual reporting is due.

Refer file to Drafting for ID

When returned from Drafting Print full details report for EL number – RM8 & place copy on file Note: the Licence Document virtual file will contain the Licence Document for period of renewal. Any updates such as Activity Approvals will be updated into this file/licence document. Refer to Prepare Licence Document Procedure



After TRC Petroleum Renewal Applications are referred to Cabinet.

All Petroleum applications will receive a new licence document – regardless if received pre 1 July 2015

The process is not finalised refer to Case Manager






Save to RM8

DIGS:

Place Renewal Licence Documentation into DIGS – refer to DIGS procedures


RM8:


Write on front of file resubmit details – this is date of expiry of renewal






Prepare Review Request ACK Letter


After advice received from sub-units, refer to CS to action to TRC Secretary to re-submit to TRC Meeting




Security, Rent & Levy




Check certificate is in correct format and & all details are correct – refer to applicable template from folder: Security - sample Security templates




Minerals: save to RM8 and G Drive: Scanned Security Documents file certificate in the Print Room on shelf opposite northern door, remove security that is being replaced, finalise in TAS and return by NEXT DAY DELIVERY

Coal: save to RM8 and G:\Titles and relevant colliery holding file and file original in coal security filing cabinet and update spreadsheet, remove security that is being replaced, finalise in TAS and return by NEXT DAY DELIVERY

NOTE: Refer to Security Review Procedures for further instructions












Refusal



Titles Administrator Sends Proposed Refusal letter to title holder



Prepare Request ACK Letter to Applicant



Update Assessment Summary or prepare TRC Minute (if old system)

CS allocates file


Update REN Dealing to refused

CO checks letter and verifies REN dealing



LOW IMPACT OR RTN














Request NNTT Search




Publish Ads



If Claimants exist:

















Obtain File and Scan Application in RM8 ___________


Receive Outstanding Document for Incomplete Applications ___________






Proposed Decision received from TRC ___________ Coal & Geothermal – Prepare Ministerial Submission & Draft Document Process (6 Steps) (includes Schedule 5 Work program & TRC reduced units)

___________

Minerals Prepare Draft Renewal Licence Document ___________ (includes Schedule 5 Work program & TRC reduced units)

Mineral Applications – Offer Accepted – Prepare final documents for Approval ___________ Minerals - Approval from DMO, Update REN Dealing & Prepare & Finalise DOCs for Holder

___________

Petroleum Renewal Applications – Prepare Cabinet Minute ___________

All Applications - Complete application Process ___________



Security, Rent & Levy page Refusal page

Stop the Clock Process LINK to G Drive


Turnaround times for Ministerial Submissions & DMO Approvals

PREPARE LICENCE DOCUMENT PROCEDURE TO BE INCLUDED

FAQS FINANCIAL CAPABILITY GUIDELINE TO BE INCLUDED & TIPS ON DOCS TO ACCEPT



Renewal received after Expiry Date:

advise applicant of option to submit Exploration Licence Application

Coal application - advise Minister’s consent required

Petroleum -

Check application submitted within legislated time limits

Petroleum applications must be received no earlier than two months and no later than 1 month before expiry of the licence

All other applications must be received within the period two months before expiry If received out of these time limits refer to Case Manager (CM) for process


application was not submitted on approved form or on-line application



confirm application details match TAS – refer Full Details Report (print copy for file)


certification is complete Note: Coal applications for 100% of area do not require co-ordinates in electronic format







Note:












process payment






Enter in TAS

Enter REN Dealing in TAS:

Coal & Petroleum use file number as per last renewal

Mineral renewal use file from last dealing `

Print REN dealing for file

Update TAS with applicant details if required New Agent’s letter received

Update TAS and CAG Dealing if required




assign file to your name in RM8

create sub-folder (new record) within RM8 file, titled: REN YEAR – Dealing XX (no. in TAS)

Save documents to sub folder (colour scan or digitally from emailed application):

Application cover letter from Agent or applicant as ELXXXX_Application cover letter

Receipt-tax invoice and/or email to finance as ELXXXX_Receipt/Tax Invoice xxxx

Application form

Save all supporting information separately as per application form checklist as: ELXXX_DOCUMENT NAME

Coal – save electronic co-ordinates

Work Program (WP) - refer below

Save Work Program in RM8

Create sub-folder: ELXXXX Work Program Year XXXX-XXXX (include the year of renewal to the year of expiry as per requested renewal term)

Save WP to the folder as INW document (WP_EL XXXX) and save alternatively within the REN Physical File then;

Open the WP in view mode and save as an OUT document (WP_EL XXXX) (this process allows C&PG and MEA to edit the document) and save alternatively within the Physical File

Prepare Acknowledgement of Complete & INCOMPLETE Application & Receipt of Outstanding Documents

Prepare REN acknowledgement letter (ACK letter)




Place TAS full details report on file






Receive Outstanding Document for Incomplete Applications

Documents received within 10 business days:


Refer to next step – KPI’s

If outstanding documentation is not received within:




no complete competing applications have been received prepare a Section 135 waiver and add to


Assessment Summary

complete, competing applications have been received start Refusal Process


Determine KPI’s:




Minerals: Give 1 x sheet to drafting Minerals KPI - 45 working days Coal KPI – 85 working days Petroleum – KPI’s to be determined

Create Reference Documents – Titles Services and Sub-Units

RM8 open V15/994#1 refer to:

Titles checklist – Exploration licence renewals – Template 1 July 2015

Minerals: MEA checklist for EL renewals – MEA Ver 8

Coal: CPG Checklist for assessing EL Renewal

Petroleum: CPG Checklist for assessing PEL Renewal

ESU Final EL Renewal checklist V4.0 3 September 2015


Assessment Summary


EL XXX_ESU Checklist – EL Renewal

ELXXX_Titles Checklist – Exploration Licence Renewal For Minerals: MEA checklist for EL renewals – MEA Ver 8

(If the REN is for more than 50% of the area save as EL xxxx MEA Checklist SCR)

If the REN is for 50% or less of the area save as EL xxxx MEA Checklist Normal

Create Titles Services - Drafting Reference Documents

Coal Drafting (reference document):

prepare a request for Shape, ID & Conflicts REN Drafting (Coal-8)

if geo-thermal prepare drafting request REN Drafting (Coal-8) - note geothermal on request

write request on board give file to Drafting – if geothermal note this on request on board Minerals (reference document):

place REN dealing as 1st document on file & give file to drafting Petroleum:

drafting templates to be confirmed




Reference sub-units only when ALL supporting information has been received Create workflow actions in RM8 on reference documents in previous step & Drafting

Sub-unit RM8 Recipient Action Name Minerals - Drafting Michael Golden Process Work

Coal - Drafting Peter Hord Process Work


Petroleum - Drafting Peter Hord TRC Referral


Coal & Petroleum - C&P GEO Geological Administrator TRC Referral



Check REN dealing

Check ACK letter, Assessment Summary & update the Check List

Check workflow actions

When returned send ACK letter email or post as per preferred method – if emailed save outgoing email to RM8

Update TAS workflow with:

REN application Finalised Date

Date to sub-units

Update TAS workflow as sub-units and drafting respond



When a response is received from all sub-units:

Confirm Renewal application has been gazetted (NSW Legislation), print gazette notice, RM8 and place on file

Conduct Dead Titles Search, if Applicant has outstanding Dead Titles copy & paste information to Assessment Summary http://oranprodbo1:8080/InfoViewApp/logon.jsp (password = titles).

Print Assessment Summary

If application has been reviewed by sub-units under the old process (pre assessment summary) prepare TRC Minute

In RM8 assign file to TRC


CS refers the file to the Case Manager (CM) to refer to TRC





Mineral Applications:

the Decision Maker will make a recommendation at TRC


Ensure copy of TRC minutes are saved in REN file in RM8, and;

TAS workflow is updated with TRC finalised date (date file is referred to CM – refer RM8)



Return file to TRC when new information is received REN TRC Re-referral

Proposed decision is to Renew: Coal Prepare Ministerial Submission

Minerals Prepare Draft Renewal Licence Documents

Petroleum – Prepare Cabinet minute

Decision is not to renew OR reduced units has been re-referred and upheld:




place STC on application in TAS



Coal & Geothermal - Prepare Ministerial Submission & Draft Documents


PREPARE BRIEF & DOCUMENTS TO SEEK MINISTERS APPROVAL TO OFFER RENEWAL






– Insert diagram after schedule 1 and before schedule 2


– Include approved Work Program – refer

instructions below Condition 2 Native title: – Remove if title has been through RTN (refer to


clarification – Where the condition is removed include the

words xxxxx????

Security: – Remove condition not required

– Where the condition is removed include the words xxxxx????








REFER FOR MINISTERIAL APPROVAL TO OFFER RENEWAL


Assessment Summary

Refer to Minister for approval PROCESS

Update TAS workflow



PREPARE REN OFFER LETTER & REFER TO APPLICANT

When approval from Minister received check for outstanding:

Rent & Levy payments in SAP – if last invoice payment is paid put SAP dump on file & RM8, if not paid print invoice and advise in REN offer payment required before renewal

Security reviews (SRV) in TAS, if so note in REN offer letter

Requirements to be resolved prior to renewal on Assessment Summary & TRC minute

REN Offer letter

Prepare REN offer letter - print 2 copies

Refer to Case Supervisor to check Ministerial approval & REN offer & documents

Send REN offer, Draft licence & approved WP to Applicant

Save in RM8 (if by email save email to RM8)

Make a note of due date, follow up if not received If applicant has indicated to receive documents by mail – request an email address on REN Offer letter so an electronic version of the WP can be emailed to them on renewal.



RENEWAL OFFER ACCEPTED (NO OUTSTANDING SECURITY REVIEWS (SRV’S) & RENT & LEVY

PAYMENTS ARE UP TO DATE)


Security and/or Rent & Levy received – refer to process Offer accepted (SRV’s & Rent & levy payments are up to date)

Remove draft watermark from licence document


Check decision maker name is current

Save to RM8 as ELXXXX Renewal Licence Document


In RM8 complete grant submission section of Assessment Summary

Refer to Step 5 Prepare Brief for ‘Decision Maker’ – Approval to Grant Renewal



Application Lodged Pre 1 July 2015 Application Lodged Post 1 July 2015 Prepare: Approval brief for Decision maker (DMO) Ministerial Brief for approval & signature of





DMO within xxxx?

To prepare Local MP letter refer to:





Prepare: Approval brief for Decision maker (DMO) Ministerial Brief for approval & signature of
















determined date is the date DMO has signed the licence document

Update Licence Document

Renewal date – the date DMO has signed the licence document

Confirm term & expiry date are correct

Confirm WP identification number dates are correct RM8 Licence Document


Update the file properties to ‘alternatively within’ the EL Physical file

RM8 the signed licence document to the virtual file

If renewal date differs to application update the WP Virtual file name to reflect period of grant

Prepare REN Letter

REN IMER holder after renewal (use for both pre & post 1 July 2015 renewals)

Prepare Minute to Drafting

REN EL Drafting Post renewal (coal)

Refer to Case Supervisor (CS) and Drafting

write on drafting board Shape (Post REN)

refer file to CS to check REN Dealing & give to Drafting

when returned from Drafting, if diagram updated place into licence document & RM8 to RENEWAL file

refer to CS to verify REN dealing & check licence documents & Grant Renewal Letter


rendition signed REN IMER holder letter & place copy on physical file

print full details report from TAS – RM8 & place copy on file

send renewal documents to holder

send applicant a separate email with an electronic copy of approved WP (RM8 email) - advise applicant: The WP is to be retained and returned in the same format when annual reporting is due.



Minerals Prepare Draft Renewal Licence Document Note:

ensure all DRAFT Licence documentation has a DRAFT watermark ensure correct act is noted ie: Mining Act 1992 or Mining Act 1973




TRC Proposed reduced units refer next page

– REN IMER Offer standard (Minerals) – EL Exploration – Licence Instrument IMER

Licence document

Licence document:

– Complete all blank – Insert diagram after schedule 1 and before

schedule 2 – Include any special conditions from Assessment


instructions below



clarification – Where the condition is not used include the

words xxxxx???? Security:

– Remove security condition not required – Refer to Assessment summary for Security

amount – Where the condition is not used include the

words xxxxx???? TRC Proposed reduced units and Schedule 5 Work

Program refer next page



Refer file to CS to check Decision Maker approval, draft licence documentation, workflow and Assessment Summary

Send Draft Documents to Applicant and save in RM8 – if emailed RM8 email




MINERAL APPLICATIONS – OFFER ACCEPTED - PREPARE FINAL DOCUMENTS FOR APPROVAL


remove draft watermark from licence document

check decision maker name is current

update if reduced units

save to RM8 as EL### Renewal Final Licence Document

print licence document

REN Application with Assessment Summary:

In RM8 complete grant submission section of Assessment Summary and print

Place printed licence document & assessment summary in yellow folder and give with file to CS to refer to DMO for approval and signature of licence document

When DMO has completed, file will be allocated back to Case Officer (CO) for finalisation.

REN Applications PRE - Assessment Summary:

Prepare BN to DMO for approval LINK

Place brief and licence document in yellow folder

Give yellow folder & file to Case Supervisor who will refer to DMO for approval and signature of licence document

When DMO has completed, file will be allocated back to CO for finalisation.


Request reduced units from applicant in REN Offer Letter

If reduced units not provided within 14 days send Reminder

If reduced units not provided by reminder due date start Refusal process Post 1 July 2015 applications - Schedule 1 of the Licence Document Exploration Area


on the table reduce to 1 row and insert (units to be advised) Schedule 5 Work Program Check RM8 to confirm WP is approved - the OUT WP document will have "approved" at the end of the file name. Contact relevant unit if WP has not been approved.



Minerals: Approval TO Renew EL received from DECISION MAKER – Update REN dealing in TAS & Prepare & finalise documents for holder


the determined date is the date the Decision Maker has signed the licence document



Renewal date – as per date signed by DMO




Effective date: Renewal date (date signed by Decision Maker)

Notes: Renewal of EL XXXX (1992)




Prepare REN Letter

REN IMER holder after renewal (this letter is for pre & post 1 July 2015 renewals)

RM8 Licence Document. Create a Licence Document virtual file:


Update properties – (related documents) to ‘alternatively within’ the EL physical file

RM8 the signed licence document to the virtual file If renewal date differs to application update the WP Virtual file name to reflect period of grant Work Program, in RM8:

Check WP sub folder name, rename if REN period differs to REN Application. Naming convention ELXXXX Work Program YYYY to YYYY (renewal period) - create folder if not created by MEA & place INW & OUT WP in folder


Refer to Case Supervisor (CS)



Send renewal letter and signed licence document by mail - place hard-copy of documents on physical file, email if requested – RM8 email

Email electronic copy of approved WP from WP folder – RM8 email. Advise applicant: The WP is to be retained and returned in the same format when annual reporting is due.

Refer file to Drafting for ID

When returned from Drafting Print full details report for EL number – RM8 & place copy on file


Note: the Licence Document virtual file will contain the Licence Document for period of renewal. Any updates such as Activity Approvals will be updated into this file/licence document. Refer to Prepare Licence Document Procedure



After TRC Petroleum Renewal Applications are referred to Cabinet.

All Petroleum applications will receive a new licence document – regardless if received pre 1 July 2015

The process is not finalised refer to Case Manager






Save to RM8

DIGS:

Place Renewal Licence Documentation into DIGS – refer to DIGS procedures


RM8:


Write on front of file resubmit details – this is date of expiry of renewal






Prepare Review Request ACK Letter


After advice received from sub-units, refer to CS to action to TRC Secretary to re-submit to TRC Meeting









Security, Rent & Levy




Check certificate is in correct format and & all details are correct – refer to applicable template from folder: Security - sample Security templates




Minerals: save to RM8 and G Drive: Scanned Security Documents file certificate in the Print Room on shelf opposite northern door, remove security that is being replaced, finalise in TAS and return by NEXT DAY DELIVERY

Coal: save to RM8 and G:\Titles and relevant colliery holding file and file original in coal security filing cabinet and update spreadsheet, remove security that is being replaced, finalise in TAS and return by NEXT DAY DELIVERY

NOTE: Refer to Security Review Procedures for further instructions












Refusal



Titles Administrator Sends Proposed Refusal letter to title holder



Prepare Request ACK Letter to Applicant



Update Assessment Summary or prepare TRC Minute (if old system)

CS allocates file


Update REN Dealing to refused

CO checks letter and verifies REN dealing










LOW IMPACT OR RTN














Request NNTT Search




Publish Ads



If Claimants exist:










