On approval of the Rules for conducting an auction for the exploration of solid minerals for a newly vacant block

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Order of the Minister of Industry and Construction of the Republic of Kazakhstan dated April 14, 2026 No. 170. Registered with the Ministry of Justice of the Republic of Kazakhstan on April 17, 2026 No. 38458

In accordance with paragraph 2 of Article 189-1 of the Code of the Republic of Kazakhstan "On Subsoil and Subsoil Use", I ORDER:

1. To approve the attached Rules for conducting an auction for the exploration of solid minerals for a newly vacant block.

2. The Department of Subsoil Use of the Ministry of Industry and Construction of the Republic of Kazakhstan, in accordance with the procedure established by law, shall ensure:

1) the state registration of this order in the Ministry of Justice of the Republic of Kazakhstan;

2) posting of this order on the official Internet resource of the Ministry of Industry and Construction of the Republic of Kazakhstan after its official publication.

3. Control over the execution of this order is entrusted to the supervising Vice Minister of Industry and Construction of the Republic of Kazakhstan.

4. This order shall enter into force after the date of its first official publication.

Minister of Industry and Construction of the Republic of Kazakhstan

E. Nagaspayev

"APPROVED" by the Ministry of Artificial Intelligence and Digital Development of the Republic of Kazakhstan

"APPROVED" by the Ministry of Finance of the Republic of Kazakhstan

"APPROVED" by the Ministry of National Economy of the Republic of Kazakhstan

Approved by the Order of the Minister of Industry and Construction of the Republic of Kazakhstan on April 14, 2026 No. 170

Rules for conducting an auction for the exploration of solid minerals for a newly vacant block

Chapter 1. General provisions

1. These Rules for conducting an auction for the exploration of solid minerals for a Newly free block (hereinafter referred to as the Rules) have been developed in accordance with paragraph 2 of Article 189-1 of the Code of the Republic of Kazakhstan "On Subsoil and Subsoil Use" (hereinafter referred to as the Code) and determine the procedure for conducting an auction among applicants applying for the same block, newly free for conducting operations on exploration of solid minerals.

2. The following basic concepts are used in these Rules:

1) auction is a form of bidding conducted using the registry's web portal in electronic form, in which participants identified by the competent authority based on the results of reviewing license applications confirm their proposals publicly.;

2) subscription bonus is a one-time fixed payment for the acquisition of the right of subsurface use in the contract territory (subsurface area), as well as for the expansion of the contract territory (subsurface area) in accordance with the procedure established by the legislation of the Republic of Kazakhstan;

3) the auction step is the amount by which the subscription bonus is increased.;

4) auction room – a section of the registry's web portal that provides the ability to enter, store, and process information necessary for conducting an auction;

5) register of auction results – information automatically generated by the web portal of the register based on the auction results, indicating the auction numbers of the auction participants and the amount of subscription bonuses for each auction, indicating the block(s);

6) auction number – the number assigned to the participant for participation in the auction in the presence of an electronic digital signature;

7) the auction object (hereinafter referred to as the object) is the right to include the block(s) in the license as a priority.;

8) geoinformation service (hereinafter referred to as geoservice) – an information service containing information about the territories within which subsurface areas are provided for the exploration of solid minerals on the basis of an auction, designed to enter, collect, process, and analyze data on the use of such areas obtained by entering the results of systematic observations, ground surveys, surveys, inventories, and materials of state control over the use and protection of land, archival data, remote sensing data, information, obtained from government information systems and electronic information resources, as well as other information about the state of land and subsoil;

9) the winner is the auction participant who has confirmed the highest amount of the subscription bonus for the object among other registered auction participants or the only registered auction participant.;

10) the unified Platform for subsurface use (hereinafter referred to as the UIP) is a state information system that provides public services and information interaction between government agencies, subsurface users and other stakeholders in the field of subsurface use, including through integration with other informatization facilities.;

11) A raise auction is an auction method in which the initial amount of the subscription bonus increases with a pre–announced auction step.;

12) participant – a natural or legal person registered in accordance with the established procedure to participate in the auction;

13) application for participation – an application for participation in an auction submitted by the applicant for the issuance of a license for exploration of solid minerals;

14) the current amount of the subscription bonus is the amount of the subscription bonus accumulated during the auction;

15) the initial amount of the subscription bonus is the amount of the subscription bonus from which the auction for the object begins, established in accordance with Article 762 of the Tax Code of the Republic of Kazakhstan.;

16) the final amount of the subscription bonus is the maximum amount of the subscription bonus determined in relation to the block(s) based on the auction results.;

17) license – a license for exploration of solid minerals, issued by the competent authority as a result of determining the priority for the block (blocks) based on the results of the auction;

18) license application – an application for a license for exploration of solid minerals;

19) the web portal of the State Property Registry (hereinafter referred to as the Registry web portal) is an online resource hosted on the Internet at: e-qazyna.kz , which provides a single access point to an electronic database on objects of sale of the register of state property (hereinafter referred to as the register);

20) a single operator in the field of state property accounting (hereinafter referred to as the single operator) is a legal entity with state participation in the authorized capital, determined by a decision of the Government of the Republic of Kazakhstan, which is tasked with implementing a unified technical policy in the field of organization and accounting of state property;

21) electronic wallet – a participant's personal account in the registry to reflect the money deposited by him to the settlement account of a single operator in a second-tier bank;

22) electronic document – a document in which information is presented in electronic and digital form and certified by means of an electronic digital signature;

23) an electronic digital signature (hereinafter referred to as EDS) is a set of electronic digital symbols created by means of EDS and confirming the authenticity of an electronic document, its affiliation and the immutability of its content.

3. Applications for a license are considered to have the same priority if these applications for a license for exploration of solid minerals, including the same block, are submitted within fifteen working days from the date of posting information on the newly vacant block on the EPN.

In this case, the priority of consideration of applications is determined based on the results of the auction.

4. The auction is conducted among applicants applying for the same block, which is again free for exploration of solid minerals, according to applications, as a result of which the competent authority has not decided to refuse to issue a license.

5. The auction is conducted in order to determine the priority for the block(s) to be included in the issued license.

6. Applicants who have not registered to participate in the auction, as well as those who have not participated in it, are considered to have waived priority in the relevant block.

7. The auction is organized and conducted by the competent authority in accordance with article 189-1 of the Code and these Rules on the web portal of the registry.

8. A single operator ensures the operation of the EPN and the web portal of the registry.

9. The auction is held to increase the number of applicants applying for the same block, which is again free for exploration of solid minerals.

10. The geoservice displays graphical information on newly available blocks, indicating the number and status of the blocks.

11. A notification to the applicant about matching blocks and an invitation to participate in the auction is generated by the competent authority in the EPN and automatically posted in the participant's personal account on the registry's web portal. The said notification is also sent by the competent authority to the applicant's email address specified in the license application, no later than ten working days from the deadline for submitting applications for a license to explore for newly vacant blocks.

Chapter 2. The procedure for conducting an auction for the exploration of solid minerals for a newly vacant block

12. The preparation for the auction is carried out in the following order:

1) the object for the auction is being determined;

2) the starting amount of the subscription bonus for each object is determined;

3) the terms of the auction are set;

4) the announcement of the auction is published;

5) registration of participants is underway.

13. The announcement of the auction is published by the competent authority in the EPN and on the registry's web portal in the state and Russian languages no later than ten working days after the deadline for reviewing applications submitted for the same newly vacant block.

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14. The auction is held no later than fifteen working days from the date of the end of the deadline for consideration of applications submitted for the same block, which is again free for exploration of solid minerals. The specified period for consideration of applications is calculated from the date of expiry of the period provided for in paragraph 3 of these Rules.

15. The auction announcement contains the following information:

1) date and time of the auction;

2) information on the blocks of objects:

identification number(s) of the unit(s);

the initial amount of the subscription bonus;

the dates of submitting license applications, including the block for which the auction is held and the number of applications;

3) the deadline for accepting the application for participation;

4) the auction procedure, including the conditions for determining the winner;

5) contact information on the competent authority and the single operator;

6) additional information about the auction.

16. To participate in the auction, you must first register on the registry's web portal with the following information:

1) for individuals: IIN, surname, first name and patronymic (if any);

2) for legal entities: BIN, full name, surname, first name and patronymic (if any) of the first head;

3) contact information (postal address, phone, e-mail).

17. If the above data is changed, the participant modifies the data entered in the registry web portal before submitting the application.

18. The formation, acceptance and processing of applications for participation from individuals and legal entities consists of the following stages:

1) formation and signing of an application for participation on the web portal of the registry by an individual or a legal entity;

2) acceptance and processing of the application for participation by the competent authority;

3) displaying the current status of the application processing on the registry web portal.

19. Registration of auction participants is carried out after their registration on the web portal of the registry from the date of publication of the announcement and ends five minutes before the start of the auction, after which participants cannot withdraw the submitted application for participation in accordance with Appendix 1 to these Rules.

20. The data specified in the application for participation is subject to confirmation as a result of the information interaction of the registry with the state databases "Legal entities", "Individuals", "Real Estate Register", the information system "Automated information System of enforcement authorities", the information system "Centralized unified personal accounts" and information systems of tax authorities.

21. If the data is received automatically from the above-mentioned state databases and information systems, the registry's web portal verifies the information.

The identification of inconsistencies with the requirements of paragraphs 16 and 19 of these Rules is the basis for the refusal of the registry's web portal to register an application for participation.

The participant's notification of registration of an application for participation or the reasons for refusal to register such an application is automatically posted in the participant's personal account on the registry's web portal.

22. The web portal of the registry cancels the auction number of the participant who withdrew the application for participation at least five minutes before the start of the auction.

23. The competent authority and the single operator do not disclose information relevant to the participants during the entire period of preparation of the auction and its holding.

24. The auction in the auction hall is held from Tuesday to Friday, with the exception of holidays and weekends provided for by the Decree of the Government of the Republic of Kazakhstan dated August 9, 2011 No. 920 "On Approval of the Rules for the sale of privatization facilities". The auction is held from 10:00 a.m. to 5:00 p.m. Astana time, and the auction begins no later than 3:00 p.m. Astana time.

25. If the auction winner has not been determined at the end of the auction at 17:00, the participant who has confirmed his desire to purchase the object will be recognized as the winner, and the auction for this object will be recognized as having taken place.

26. The participant admitted to the auction is provided with access to the auction hall using the auction number assigned by the registry's web portal.

The auction participants enter the auction hall within one hour before the start of the auction using the EDS and the auction number. The auction begins at the time specified in the announcement of the auction in Astana, by automatically placing the initial amount of the subscription bonus in the auction hall.

The starting amount is determined by the competent authority in the amount of 100 times the monthly calculation index established for the relevant financial year by the law on the republican budget and effective on the date of the auction announcement.

27. The auction step is set as follows:

1) with the current subscription bonus of up to 20,000 times the monthly calculation index, the auction step is set at 25 percent;

2) with the current subscription bonus in the amount of 20,000 to 50,000 times the monthly calculation index, the auction step is set at 20 percent.;

3) with the current subscription bonus in the amount of 50,000 to 100,000 times the monthly calculation index, the auction step is set at 15 percent.;

4) with the current subscription bonus in the amount of 100,000 to 250,000 times the monthly calculation index, the auction step is set at 10 percent;

5) with the current subscription bonus amount of 250,000 times the monthly calculation index and above, the auction step is set at 5 percent.

28. Bidding on the object is conducted up to the maximum confirmed amount of the subscription bonus by one of the participants. An auction in which only one participant has registered is considered valid if the participant has confirmed the initial amount of the subscription bonus.

The auction is conducted as follows:

1) if, within ten minutes from the moment of confirmation of the initial amount of the subscription bonus in the auction hall, the participant confirms his desire to purchase the object by increasing the initial amount of the subscription bonus by the auction step established in accordance with paragraph 27 of these Rules, the initial amount of the subscription bonus is increased by the established auction step;

2) if, within ten minutes after confirming the initial amount of the subscription bonus in the auction hall, none of the participants confirms their desire to purchase the object by increasing the initial amount of the subscription bonus, the participant who confirmed the initial amount of the subscription bonus will be recognized as the winner, and the auction for this object will be recognized as having taken place.;

3) if, within ten minutes after the increase in the current amount of the subscription bonus, none of the participants confirms their desire to purchase the object by increasing the current amount of the subscription bonus, the participant who last confirmed his desire to purchase the object will be recognized as the winner, and the auction for this object will be recognized as having taken place.

The auction results for each sold object are recorded in the protocol on the auction results, which is signed on the web portal of the registry by the competent authority with the EDS on the day of the auction.

The protocol on the auction results is a document recording the auction results and obligations to pay the amount of the subscription bonus, confirmed by the participant.

29. The protocol on the auction results contains the following information:

1) information about the auction and its participants;

2) information about the object – block code (block codes);

3) register of auction results;

4) information about the auction winner.

The register of auction results is formed by the web portal of the register after the auction is completed in accordance with Appendix 2 to these Rules.

30. Following the results of the auction, priority for the inclusion of the block(s) in the license is given to the winner of the auction according to the license application submitted by him.

31. The participant who confirms the maximum amount of the subscription bonus is recognized as the winner of the auction (bidding).

32. Payment of the subscription bonus based on the results of the auction, in addition to providing the competent authority with proper enforcement of obligations to eliminate the consequences of operations for exploration of solid minerals, is a condition for issuing a license for exploration of solid minerals.

The subscription bonus is payable to the winner's e-wallet no later than twenty business days from the date of signing the protocol on the auction results.

Failure to pay the subscription bonus based on the results of the auction and (or) failure to provide adequate security for the fulfillment of obligations to eliminate the consequences of operations for the exploration of solid minerals within the prescribed period entails the refusal of the competent authority to issue a license for the exploration of solid minerals.

33. In case of non-payment of the subscription bonus within the time limit set by the Rules, each subsequent participant (hereinafter referred to as the next participant) will be considered the winner in the order of priority according to the auction results register, taking into account the amount of the subscription bonus confirmed by him. The priority for including the block(s) in the license according to the license application submitted by the next participant also passes. In this case, the subscription bonus must be paid within ten business days from the date of expiry of the subscription bonus payment period for the previous auction participant who has lost the status of the winner.

34. The priority for the inclusion of a block(s) based on the auction results is established subject to compliance with the conditions for the formation of an exploration territory provided for in parts two and three of paragraph 2 of Article 19 and paragraph 3 of Article 186 of the Code. If it is impossible to comply with these requirements, the priority for the inclusion of the block(s) at the end of the auction passes to the next participant. The specified participant is also required to pay the subscription bonus in the amount confirmed by him.

35. The obligation to pay the amount of the subscription bonus determined in respect of the block(s) based on the auction results or in accordance with paragraphs 31, 32 and 33 of these Rules is a condition for issuing an exploration license, and its non–fulfillment is the basis for refusing to issue a license. In this case, the winner and the persons directly or indirectly controlling or under the control of the winner will not be allowed to participate in subsequent auctions for 5 years from the date of the auction. During this period, the specified persons are prohibited from issuing permits for the transfer of the right of subsurface use and (or) objects related to the right of subsurface use upon their acquisition.

36. The payment of the final amount of the subscription bonus is made directly by the participant by replenishing the electronic wallet and then signing an application in the EPN for transferring the final amount of the subscription bonus to the budget.

37. The notification of the participant about the transfer of priority and obligations to him is formed by the competent authority in the EPN and is automatically posted in the participant's personal account on the web portal of the registry.

38. The final amount of the subscription bonus under the license is formed from the amount of the subscription bonus(s) payable based on the results of the auction (auction) and the amount of the subscription bonus provided for by the tax legislation of the Republic of Kazakhstan, payable after the license is issued.

39. In case of non-payment of the subscription bonus by any of the participants, the competent authority signs an act canceling the auction results with the EDS on the registry's web portal.

40. The subscription bonus is non-refundable, including in the case of non-compliance by the applicant with the deadline for submitting to the competent authority proper enforcement of obligations to eliminate the consequences of operations for exploration of solid minerals in accordance with the requirements of the Subsoil Code within forty working days calculated from the date of payment of the subscription bonus.

41. If a technical malfunction occurs during the auction that prevents participation in the auction, the participant:

1) it is notified within 30 seconds from the moment when there is no stable connection with the registry's web portal by displaying an electronic notification with the contact details of a single operator on the auction participant's monitor.;

2) immediately notify the contact information of the unified operator by telephone or e-mail.

42. A single operator records the fact of a technical failure and, if it exists on the side of the registry's web portal, notifies all auction participants by posting information on the registry's web portal.

43. In case of technical failure of the participant's computer and/or telecommunication equipment, the auction continues.

In the event of a technical malfunction of the registry web portal specified in paragraph 41 of these Rules, which prevents the auction or the auction procedure, the unified operator shall notify the competent authority in writing and postpone the auction to the next business day after the day of correction of the technical malfunction, with mandatory prior notification to the participants participating in the auction of the date and time of continuation. of this auction by posting information on the registry's web portal and sending an e-mail to the participant's e-mail address., specified on the registry's web portal.

44. The auction is considered invalid if no bidder participated in it. In the event that the auction has not taken place or the obligations stipulated in paragraph 32 of these Rules have not been fulfilled after the auction, the priority of consideration of applications for a license to explore for solid minerals is determined in the order of their receipt in accordance with Article 189 of the Code.

45. The recognition of the auction as invalid is formalized by a protocol generated on the web portal of the registry and signed by the competent authority of the EDS.

46. The recognition of the auction as invalid at the request of the participant or the competent authority is carried out by a court decision.

47. If the validity of the auction is challenged before the license is issued, its issuance is suspended until a court decision is rendered.

48. The recognition of the auction as invalid entails the invalidity of the issued license.

49. Disputes arising during the organization and conduct of the auction are resolved in accordance with the procedure established by the legislation of the Republic of Kazakhstan.

Kazakhstan Republikasyninkasip zheekurylys ministery2026 zhylgy 14 sauirdegi No. 170

Appendix 1 to the Rules for conducting an auction for exploration of solid minerals in a new free block

Form

Application for participation in the auction

1. Having considered the announcement of an auction among applicants applying for the same block, which is again free for exploration operations for solid minerals at the facility:_____________________________________________________________________(information on the object of the auction, the site (block) of solid minerals) and having familiarized myself with the Rules of the auction, I ask you to accept an application for participation in the auction from_____________________________________________________________________( last name, first name and patronymic (if any) or the name of the legal entity) and register as a participant in the auction to be held"__" _____ 20___ year on the web portal of the State Property Registry at e-qazyna.kz .

2. Information about the auction object: _______________________________________

3. I agree that if I am found to be inconsistent with the established requirements for the participant and/or the information stated in this statement is unreliable, I will lose the right to participate in the auction.

4. I confirm the accuracy of the information provided and am aware of the responsibility provided for by the Code of the Republic of Kazakhstan"On subsoil and subsoil use", for providing false information.

5. If I am recognized as the winner and I fail to pay the subscription bonus within the time limit set by law, I confirm my refusal to apply for a license to explore solid minerals in all blocks specified in this application.

6. I agree to the use of information about me that constitutes a legally protected secret contained in information systems and databases.

7. I confirm my consent to the collection and processing of personal data (including systematization, accumulation, storage (including in case of claims)), their use and dissemination in accordance with the Rules.

8. I can imagine the information about myself:For a legal entity:Name _________________________________________________ Business identification number _______________________________ Last name, first name, patronymic (if any) of the supervisor ______________Address: _______________________________________________________Phone number: ______________________________________________Individual identification code ________________________ Bank identification code _____________________________Name of the bank ___________________________________________Beneficiary's code ______________________________________________For an individual:Last name, first name, patronymic (if any) __________________________Individual identification number ______________________Passport data____________________________________________Address: _______________________________________________________Phone number: ______________________________________________Individual identification code ________________________ Bank identification code _____________________________Name of the bank ___________________________________________Beneficiary's code ______________________________________________Signed and sent by the participant at __: __ hours "___" ____20__ year:Data from the EDS and the time of signing the EDS Notification of acceptance of the application:Adopted by the competent authority in __: __ hours "____" ____20__ year:Data from the EDS data and the time of signing the EDS Auction participant number (to be assigned after the auction is completed)

Appendix 2k Rules of the Auction for the exploration of solid useful fossils is again a free block

Form

Auction number: _______________________________________________Date and time of the auction start: ___________________________________Information about the bidding object: _____________________________________The initial amount of the subscription bonus, tenge: _______________________№ Auction stepdate and time of confirmation of the amount of the subscription bonus Participant's auction numberconfirmed amount of the subscription bonus

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