Apply to transfer an authority

You need to specify in your transfer application which authorities you wish to transfer.

You may nominate multiple authorities to be transferred to the same transferee. However, the department prefers that separate applications are lodged where there are groups of multiple authorities, with each application dealing with a separate type of authority being transferred. 

For example, it is recommended that applications to transfer multiple exploration licences be lodged separately from an application transferring mining leases. 

In NSW, most minerals are publicly owned by the State. 

Minerals are only privately owned in some cases. While each case will be unique, private mineral ownership may apply where the original grant of land conveyed ownership of minerals to the grantee and the State has not subsequently taken ownership of the mineral.   

Your issued title instrument under the Mining Act 1992 will outline if you hold an exploration (mineral owner) licence, assessment (mineral owner) lease or a mining (mineral owner) lease. 

If you are transferring a mineral owner authority, the transferee must be the owner of the private minerals before the transfer can be registered. 

You will need to provide evidence of the transferee’s ownership of the minerals. Evidence of ownership includes providing copies of land grants and searches indicating that the minerals are privately owned by the transferee.

For the purposes of confirming the transferee’s ownership of any minerals, you may need to provide further information. This may include written advice from an Australian legal practitioner certifying that the relevant evidence establishes that the transferee owns the minerals.

If the transferee is not the owner of the minerals when the application for approval to transfer is lodged, the decision-maker will subject the approval to a special condition. The special condition will require the transferee to provide evidence of their ownership of the minerals. Additionally, the transferor will be notified that the decision-maker is satisfied that the transferee has become the owner before the transfer can come into effect.

The transferee for an exploration licence or assessment lease must meet the Mineral prospecting minimum standards for financial capability. 

The department has published Mineral prospecting minimum standards that outline the mandatory criteria used to assess applications for approval to transfer an exploration licence or assessment lease. 

The Minimum Standards apply to the transferee’s financial capability to carry out their proposed work program. 

A key requirement of the Mineral prospecting minimum standards is explorers’ availability of capital and/or financial resources to meet the forecasted expenditure and committed objectives of their proposed work program.

While completing the financial capability section of your transfer application, you should have regard to the following for the transferee:

• The work program and proposed operations.
• Obligations under the exploration licence or assessment lease.
• Current assets and liabilities.

Before approving your request to transfer an exploration licence or assessment lease, the department’s decision-maker will consider whether the transferee meets the Minimum Standards for financial capability as per Schedule 1B, clause 4(b) of the Mining Act 1992.

For further information on the Minimum Standards, including frequently asked questions, refer to the Mineral prospecting minimum standards page.

A statement of compliance, environmental performance and financial history (SOCH) of the transferee is an essential component of seeking approval for transferring an exploration licence, assessment lease and mining lease.

Each transferee will need to lodge their own separate SOCH form online via the Regulator Portal.

A SOCH form lodged via the Regulator Portal remains valid for 12 months from the date a SOCH reference number (unique identification number starting with SOCH and then 7 numbers) is issued to the applicant. However, if any information provided by the transferee has changed (e.g. compliance history, corporate structure) since lodging their previous SOCH, a new SOCH form is required to be lodged via the Regulator Portal.

You will need to provide the SOCH reference numbers for the transferees.

The transferee must provide a proposed work program to accompany your application for approval to transfer an exploration licence or assessment lease. The work program is an application requirement as per clause 35 of the Mining Regulation 2016. 

The transferee has the option to continue with the existing approved work program that the transferor provided when their licence or lease was granted or renewed.

The proposed work program is a description of the proposed activities to be completed over the remaining term of the exploration licence or assessment lease. Work programs have 3 activity components: exploration, environmental management and rehabilitation as well as community consultation. 

The transferee’s proposed work program must meet the department’s Mineral prospecting minimum standards.

The transferee’s proposed work program must also be prepared in accordance with the Exploration Guideline: Work programs for prospecting titles using one of the following templates:

• Prospecting authority work program form (PDF, 2.01 MB) (fillable pdf) does not contain expandable text fields.
• Prospecting authority work program form (DOCX, 96.62 KB) (fillable Word) does contain expandable text fields (better for printing).

Before approving your application for approval to transfer an authority, the department’s decision-maker must be satisfied that the transferee’s work program meets the Minimum Standards as per Schedule 1B, clause 4(a) of the Mining Act 1992.

For further information on the Minimum Standards, including frequently asked questions, refer to the Mineral prospecting minimum standards page.

Applications for approval to transfer a mining lease must be accompanied by details of how the land within the transferred lease area will be mined by the transferee.

You can provide details of mining activities by providing a copy of the appropriate development consent. The development consent must be granted, in force and embrace the entire lease area being transferred. 

If there is no development consent in force, the transferee can provide a work program to provide details of how the land will be mined.

For an application for approval to transfer an authority, any reference to the applicant refers to the current holder of the authority, also known as the transferor. 

Additionally, any reference to the applicant includes a reference to each individual applicant where there is more than one applicant declared on the application.

The proposed transferee will need to be nominated. You will also need to provide their contact details. 

The proposed transferees are also required to provide a written letter outlining their consent to be transferred the nominated authority. 

To be eligible to hold an authority, each proposed transferee must be a person 18 years of age or older, or a company eligible to undertake business in NSW.

The transferee for an exploration (mineral owner) licence, assessment (mineral owner) lease or mining (mineral owner) lease must be the owners of the mineral. If there is more than one owner, the application must nominate all the owners.

The application for approval to transfer an authority requires the nomination of a contact person with a valid email address.

The contact person can be an authorised agent or, if the transferor or transferee is a company, it can be an authorised representative of the company. Similarly, if the transferor or transferee is a natural person, they can nominate themselves as the contact person. 

Any correspondence regarding the application will be sent to the nominated contact person, including any documents that the department is required to serve. The application requires you to nominate an email address for service of any correspondence, notices, or documents relating to your application.

The application will need to nominate the transferee’s technical manager.

If you are transferring an exploration licence or assessment lease, the transferee must demonstrate compliance with the Mineral prospecting minimum standards regarding their technical capability to carry out their proposed work program.

A key requirement of the department’s published Mineral prospecting minimum standards is demonstrating technical capability by the transferee nominating an appropriate technical manager. The nominated technical manager will be responsible for guiding their work program, supervising prospecting operations, and completing geoscientific reporting. 

The nominated technical manager will also need to meet the Minimum Standards regarding their professional membership or professional experience as well as their criminal and compliance history. 

If you are transferring a mining lease, the Minimum Standards do not apply to the nominated technical manager.

The nominated technical manager for exploration licences, assessment leases and mining leases will need to complete the template for technical managers form. The template for technical managers form provides their consent to undertake the role as well as their details, including membership, experience and conduct. 

Before approving your application to transfer an exploration licence or assessment lease, the department’s decision-maker will consider whether the transferee’s technical manager meets the Minimum Standards as per Schedule 1B, clause 4(a) of the Mining Act 1992.

For further information on the Minimum Standards, including frequently asked questions, refer to the Mineral prospecting minimum standards page.

An agent can lodge an application for approval to transfer an authority on behalf of their clients. 

Both the transferor and transferee can nominate their own agent. 

If you are using an agent to lodge your transfer application, you must provide evidence that the agent has the authority to act on your behalf. The agent can upload this evidence when they complete and lodge your application.

For further information on the use of agents and the documentary evidence that is required to be submitted, refer to “Appointing an agent” section within the Other applications to manage an authority throughout its lifecycle page. 

Any person claiming a legal or equitable interest in an authority may apply to register their interest with the department. 

To find out if your authority has a legal or equitable interest registered against it, check the dealings recorded against your authority in the Mining Titles Register.

If there is a recorded legal or equitable interest against the exploration licence, assessment lease or mining lease, all relevant parties must be notified that an application for approval to transfer is being lodged. This notification must be sent to the relevant parties before lodging your application.

A copy of the notification sent to the relevant parties with a legal or equitable interest must be included as part of your application. 

For further information on legal or equitable interests, refer to the “Apply to register, amend or deregister a legal or equitable interest in an authority” section within the Other application to manage an authority throughout its lifecycle page. 

A person who has a registered legal or equitable interest in your authority may also lodge a caveat with the department. If a caveat is recorded, this can potentially restrict the transfer of your authority. For further information on caveats, refer to the “Lodge a caveat” section within the Other application to manage an authority throughout its lifecycle page.

The application for approval to transfer an authority requires nominating a registration contact. The registration contact can be the transferor, the transferee or their agent. 

The registration contact is the person responsible for lodging the application for registration of transfer of an authority after approval has been granted. This role helps facilitate the management of transfer cases within the TMS Portal.

Once the decision-maker has approved the transfer, the transfer case will automatically reallocate to the nominated registration contact within the TMS Portal.

By nominating a registration contact within the first stage of the transfer process, you ensure that the second registration stage within your TMS Portal transfer case will be reallocated to the correct person. After the approval to transfer has been granted, the registration contact can lodge the application for registration of transfer within the existing TMS Portal transfer case. 

If a registration contact is not nominated during the initial application for approval to transfer stage, the person responsible for lodging the subsequent registration will need to download a copy of the application to register a transfer (form AD4) as a Word document from the Mining Act 1992 forms page. They can then either upload this Word document to the existing TMS Portal transfer case or follow the form’s instructions for lodgement.

For further information on the second stage of the transfer process, refer to How to apply to register the transfer of an authority section on this page below.

Authorities can be transferred for either the whole or part of the licence or lease area. 

If you are transferring the whole area of your licence or lease, you do not need to describe the proposed transfer application area. However, if you are proposing to transfer only part of your licence or lease area, you will need to describe the land that is proposed to be transferred to the transferee. 

You will need to describe the area you are seeking to partially transfer to the transferee using the approved manner described below:

• Exploration licence for Groups 1-8 and/or 10-12 minerals requires you to nominate the blocks and units that you propose to transfer. Blocks and units are part of the graticular system used to identify prospecting land in NSW.
• Exploration licence for Group 9 (coal) and/or 9A (oil shale) minerals requires you to provide a standard map using GDA2020 and GDA94 coordinates to show the alignment of the licence boundaries being transferred.
• Assessment leases require you to either use the graticular system to nominate the blocks and units being transferred or alternatively provide a standard map using GDA2020 and GDA94 coordinates to show the alignment of the lease boundaries being transferred.
• Mining leases require you to provide a survey plan of the area proposed to be transferred and a standard map using GDA2020 and GDA94 coordinates to show the alignment of the lease boundaries being transferred.
• Mineral owner authorities require you to provide the lot and deposited plan numbers and a standard map using GDA2020 and GDA94 coordinates of the area to be transferred.

If you consider the requirements to describe the land being partially transferred to be unduly onerous, you may request a variation or exemption from these requirements. Your request to the department for variation or exemption must include a justification for the request per clause 34 of Mining Regulation 2016.

To understand how to use the graticular system or to prepare a standard map using coordinates or to describe your proposed application area, see the Describing and mapping an authority area page.

If you are partially transferring a mining lease, you will also need to provide a survey plan of the area proposed to be transferred before your application is determined. However, you do not need to provide the survey plan when you lodge your application. After you lodge your application, the department will send you instructions on preparing a land survey plan to describe the lease area being transferred and may be required for area to be retained.

Surface exceptions refer to the surface area of the land or the geological strata directly underneath that are not included in the granted authority area. 

Depth restrictions refer to how deep the granted authority goes underneath the surface. For coal (Group 9) and oil shale (Group 9A) prospecting and mining authorities, there is a maximum depth restriction of 900 metres below the Australian Height Datum (AHD).  

As part of your application for approval to transfer an authority, you must specify if your licence or lease area is subjected to any or has nil surface exceptions and depth restrictions. 

To determine if your authority has a surface exception or depth restriction, check the area history recorded against your authority in the Mining Titles Register.

If you are seeking to transfer part of your licence or lease area that is subjected to surface exceptions and/or depth restrictions, you will need to provide a strata diagram. The strata diagram will need to indicate the area and depth of the surface exception and/or depth restriction over the area being nominated for transfer.

As part of your application for approval to transfer an authority, you will need to nominate what happens to your security deposit currently being held by the department. The options available to you will depend on the type of security deposit being held and if you are transferring the whole or a partial area of your authority. 

If you are transferring the whole area of your authority and your security deposit is held by the department in cash, you can nominate one of the following options:

• For the cash-based security deposit to remain with the authority so that the transferee does not need to provide a replacement security deposit, or
• For the cash-based security deposit to be returned to you and that the transferee will need to provide a replacement security deposit. 

If you are transferring part of your authority area, the transferee will need to provide the required security deposit before the transfer is registered.

If you are transferring the whole area of authority and your security deposit is held by the department as a bank guarantee, the transferee will need to provide a replacement security deposit.

The transferee does not need to provide the replacement security deposit as part of your application for approval to transfer an authority. Rather, the transferee must provide their security deposit as part of the second application step to register the transfer. This is a requirement under section 261BAA of the Mining Act 1992. 

For further information on how to lodge a replacement security deposit, refer to the providing a rehabilitation security deposit page.

Where the security is held as part of a group security, also known as a joint or single security, then the transferee will be required to provide a replacement security deposit.

There will be no change to the group security required as part of the transfer process. Should you wish to seek a reduction in the required security, you are able to apply for a reassessment of security once the transfer is complete via the Regulator Portal.

When applying for approval to transfer an exploration licence or assessment lease, you must supply several support documents in order for your application to be assessed. These documents must be supplied either when lodging your application, within 10 business days of lodging your application, or before the determination of your transfer application.

The following is a checklist of the documents you must submit when applying for approval to transfer an exploration licence or assessment lease. You must supply these documents when lodging your application or within 10 business days:

• Evidence of the transferee’s private ownership of minerals if transferring an exploration (mineral owner) licence or an assessment (mineral owner) lease.
• A copy of updated work program if transferee is updating the work program.
• Statement of compliance, environmental performance and financial history of the transferee
• Proof that the transferee is authorised to operate and carry out business in NSW if transferee is a foreign entity.
• Written consent of the transferee. 
• Template for technical managers form completed by the transferee. 
• Evidence of appointment of agent if using an agent.
• A copy of notification sent to persons with a legal or equitable interest if the authority has a registered legal or equitable interest.
• A standard map using GDA94 and GDA2020 coordinates of proposed transfer area in CSV format if partially transferring an authority for coal (Group 9) and oil shale (Group 9A) minerals. 
• A standard map using GDA94 and GDA2020 coordinates of proposed transfer area in CSV format if partially transferring an assessment lease.
• A strata diagram if partially transferring a licence or lease area that includes surface exceptions and/or depth restrictions.
• Proof of payment of application fee.

When applying for approval to transfer a mining lease, you must supply several support documents in order for your application to be assessed. These documents must be supplied either when lodging your application, within 10 business days of lodging your application, or before the determination of your transfer application.

The following is a checklist of the documents you must submit when applying for approval to transfer a mining lease. You must supply these documents when lodging your application or within 10 business days:

• A copy of the development consent or work program.
• Evidence of transferees private ownership of minerals if transferring a mining (mineral owner) lease.
• Statement of compliance, environmental performance and financial history of the transferee.
• Proof that the transferee is authorised to operate and carry out business in NSW if transferee is a foreign entity.
• Written consent of the transferee. 
• Template for technical managers form completed by the transferee. 
• Evidence of appointment of agent if using an agent.
• A copy of the notification sent to persons with a legal or equitable interest if the mining lease has registered legal or equitable interests.
• A standard map using GDA94 and GDA2020 coordinates of proposed transfer area in CSV format if partially transferring a mining lease area.
• A strata diagram if partially transferring a mining lease area that includes surface exceptions and/or depth restrictions.
• Proof of payment of application fee.

Additionally, you must supply the following documents after lodging your application and before the determination of your application:

• A survey plan if partially transferring the mining lease area.

If the transferee is required to provide a replacement security deposit, they will also be provided with instructions on how to lodge a security deposit. 

The security deposit must be provided by the transferee before the transfer is registered. This is a requirement under section 261BAA of the Mining Act 1992.  

For further information refer to the Overview of the application process and providing a rehabilitation security deposit page.

The Critical Minerals Royalty Deferral Scheme is a key initiative of the NSW Government’s Critical Minerals and High-Tech Strategy 2024-35. 

If the applicant has a deferral approval under section 291AA of the Mining Act 1992, the deferral approval may be revoked due to the proposed transfer of the mining lease. If the deferral approval is revoked, all deferred royalty and any interest become due and payable. 

If there are any unpaid royalties or other amounts owing in connection with the mining lease under the Taxation Administration Act 1996, a notice may be served to the transferor and transferee specifying the amounts owing under section 121(7A) of the Mining Act 1992.  

Before an application to register the transfer of the mining lease can be lodged, you must ensure that the following have occurred:

• A royalty return must be lodged with Revenue NSW for the period beginning immediately after the last day royalty was payable under the lease, up until the day before the application to register the transfer is lodged. 
• Any owed royalties must be paid before the registration of a transfer of the mining lease under clause 76(2A) of the Mining Regulation 2016. 
• Any amounts specified in a notice served by the department under section 121(7A) of the Mining Act 1992 must be paid before a transfer can be registered.  

How to apply to register the transfer of an authority 

The transferee does not become the holder of the authority until the transfer is registered. 

The transferor will also remain liable for any annual rental fee, annual administrative levy and royalties until the transfer is registered. 

An application to register the transfer of an authority cannot be lodged unless the transfer has already been approved by the department. 

An application to register a transfer can be lodged by either the transferor or the transferee. However, this application for registration must be lodged within 3 months of being notified of the department’s approval to transfer the authority. This is a requirement specified under section 122(1) of the Mining Act 1992. 

To register the transfer, the transferor or the transferee or their appointed agent can download a copy of the application to register a transfer (form AD4) as a Word document from the Mining Act 1992 forms page. Follow the form’s instructions for lodgement methods. 

Depending on the circumstances of your application to register a transfer, you may be required to submit documents with your application, including:

• Evidence of private ownership of minerals by the transferee if transferring a mineral owner authority and evidence was not provided when lodging an application for approval. 
• Evidence of appointment as agent if using an agent.
• Proof of payment of security deposit if the transferee is providing a replacement security deposit.
• Proof of payment of annual rental fee and annual administrative levy by the transferee if partially transferring an authority. 
• Proof of payment of royalties and/or any other amounts payable if a notice had been served by the department under section 121(7A) of the Mining Act 1992. 

After the application to register the transfer of an authority has been lodged, the department will assess it to determine whether to register the transfer in accordance with the Mining Act 1992 and the Mining Regulation 2016.