加拿大地质规范NI43-101(1).pdf

National Instrument 43-101 Standards of Disclosure for Mineral Projects Table of Contents PART TITLE PART 1 DEFINITIONS AND INTERPRETATION 1.1 Definitions 1.2 Mineral Resource 1.3 Mineral Reserve 1.4 Independence PART 2 REQUIREMENTS APPLICABLE TO ALL DISCLOSURE 2.1 Requirements Applicable to All Disclosure 2.2 All Disclosure of Mineral Resources or Mineral Reserves 2.3 Prohibited Disclosure 2.4 Disclosure of Historical Estimates PART 3 ADDITIONAL REQUIREMENTS FOR WRITTEN DISCLOSURE 3.1 Written Disclosure to Include Name of Qualified Person 3.2 Written Disclosure to Include Data Verification 3.3 Requirements Applicable to Written Disclosure of Exploration Information 3.4 Requirements Applicable to Written Disclosure of Mineral Resources and Mineral Reserves 3.5 Exception for Written Disclosure Already Filed PART 4 OBLIGATION TO FILE A TECHNICAL REPORT 4.1 Obligation to File a Technical Report Upon Becoming a Reporting Issuer 4.2 Obligation to File a Technical Report in Connection with Certain Written Disclosure About Mineral Projects on Material Properties 4.3 Required Form of Technical Report PART 5 AUTHOR OF TECHNICAL REPORT 5.1 Prepared by a Qualified Person 5.2 Execution of Technical Report 5.3 Independent Technical Report PART 6 PREPARATION OF TECHNICAL REPORT 6.1 The Technical Report 6.2 Current Personal Inspection 6.3 Maintenance of Records 6.4 Limitation on Disclaimers PART 7 USE OF FOREIGN CODE 7.1 Use of Foreign Code PART 8 CERTIFICATES AND CONSENTS OF QUALIFIED PERSONS FOR TECHNICAL REPORTS 8.1 Certificates of Qualified Persons 8.2 Addressed to Issuer 8.3 Consents of Qualified Persons PART 9 EXEMPTIONS 9.1 Authority to Grant Exemptions 9.2 Limited Exemption for Royalty Interests or Similar Interests 9.3 Exemption for Certain Types of Filings PART 10 EFFECTIVE DATE 10.1 Effective Date Appendix A Recognized Foreign Associations and Designations National Instrument 43-101 Standards of Disclosure for Mineral Projects PART 1 DEFINITIONS AND INTERPRETATION 1.1 Definitions-In this Instrument“adjacent property”means a property(a)in which the issuer does not have an interest;(b)that has a boundary reasonably proximate to the property being reported on;and(c)that has geological characteristics similar to those of the property being reported on;“data verification”means the process of confirming that data has been generated with proper procedures,has been accurately transcribed from the original source and is suitable to be used;“development property”means a property that is being prepared for mineral production and for which economic viability has been demonstrated by a feasibility study;“disclosure”means any oral statement or written disclosure made by or on behalf of an issuer and intended to be,or reasonably likely to be,made available to the public in a jurisdiction of Canada,whether or not filed under securities legislation,but does not include written disclosure that is made available to the public only by reason of having been filed with a government or agency of government pursuant to a requirement of law other than securities legislation;“early stage exploration property”means a property that has (a)no current mineral resources or mineral reserves defined;and (b)no drilling or trenching proposed;in a technical report being filed in a local jurisdiction;“exploration information”means geological,geophysical,geochemical,sampling,drilling,trenching,analytical testing,assaying,mineralogical,metallurgical and other similar information concerning a particular property that is derived from activities undertaken to locate,investigate,define or delineate a mineral prospect or mineral deposit;-2-“feasibility study”means a comprehensive study of a mineral deposit in which all geological,engineering,legal,operating,economic,social,environmental and other relevant factors are considered in sufficient detail that it could reasonably serve as the basis for a final decision by a financial institution to finance the development of the deposit for mineral production;“historical estimate”means an estimate of mineral resources or mineral reserves prepared prior to February 1,2001;“IMMM Reporting Code”means the classification system and definitions of mineral resources and mineral reserves approved by The Institution of Materials,Minerals,and Mining in the United Kingdom,as amended;“JORC Code”means the Australasian Code for Reporting of Mineral Resources and Ore Reserves prepared by the Joint Ore Reserves Committee of the Australasian Institute of Mining and Metallurgy,Australian Institute of Geoscientists and Mineral Council of Australia,as amended;“mineral project”means any exploration,development or production activity,including a royalty interest or similar interest in these activities,in respect of diamonds,natural solid inorganic material,or natural solid fossilized organic material including base and precious metals,coal,and industrial minerals;“NI 44-101”means National Instrument 44-101 Short Form Prospectus Distributions;“preliminary assessment”means a study that includes an economic analysis of the potential viability of mineral resources taken at an early stage of the project prior to the completion of a preliminary feasibility study;“preliminary feasibility study”and“pre-feasibility study”each mean a comprehensive study of the viability of a mineral project that has advanced to a stage where the mining method,in the case of underground mining,or the pit configuration,in the case of an open pit,has been established and an effective method of mineral processing has been determined,and includes a financial analysis based on reasonable assumptions of technical,engineering,legal,operating,economic,social,and environmental factors and the evaluation of other relevant factors which are sufficient for a qualified person,acting reasonably,to determine if all or part of the mineral resource may be classified as a mineral reserve;“producing issuer”means an issuer with annual audited financial statements that disclose(a)gross revenues,derived from mining operations,of at least$30 million for the issuers most recently completed financial year;and-3-(b)gross revenues,derived from mining operations,of at least$90 million in the aggregate for the issuers three most recently completed financial years;“professional association”means a self-regulatory organization of engineers,geoscientists or both engineers and geoscientists that (a)is (i)given authority or recognition by statute in a jurisdiction of Canada,or(ii)a foreign association listed in Appendix A;(b)admits individuals on the basis of their academic qualifications and experience;(c)requires compliance with the professional standards of competence and ethics established by the organization;and(d)has disciplinary powers,including the power to suspend or expel a member;“qualified person”means an individual who (a)is an engineer or geoscientist with at least five years of experience in mineral exploration,mine development or operation or mineral project assessment,or any combination of these;(b)has experience relevant to the subject matter of the mineral project and the technical report;and (c)is in good standing with a professional association and,in the case of a foreign association listed in Appendix A,has the corresponding designation in Appendix A;“quantity”means either tonnage or volume,depending on which term is the standard in the mining industry for the type of mineral;“SAMREC Code”means the South African Code for Reporting of Mineral Resources and Mineral Reserves prepared by the South African Mineral Committee(SAMREC)under the auspices of the South African Institute of Mining and Metallurgy(SAIMM),as amended;“SEC Industry Guide 7”means the mining industry guide entitled“Description of Property by Issuers Engaged or to be Engaged in Significant Mining Operations”contained in the Securities Act Industry Guides published by the United States Securities and Exchange Commission,as amended;-4-“technical report”means a report prepared and filed in accordance with this Instrument and Form 43-101F1 Technical Report that does not omit any material scientific and technical information in respect of the subject property as of the date of the filing of the report;and“written disclosure”includes any writing,picture,map or other printed representation whether produced,stored or disseminated on paper or electronically,including websites.1.2 Mineral Resource-In this Instrument,the terms“mineral resource”,“inferred mineral resource”,“indicated mineral resource”and“measured mineral resource”have the meanings ascribed to those terms by the Canadian Institute of Mining,Metallurgy and Petroleum,as the CIM Definition Standards on Mineral Resources and Mineral Reserves adopted by CIM Council,as those definitions may be amended.1.3 Mineral Reserve-In this Instrument,the terms“mineral reserve”,“probable mineral reserve”and“proven mineral reserve”have the meanings ascribed to those terms by the Canadian Institute of Mining,Metallurgy and Petroleum,as the CIM Definition Standards on Mineral Resources and Mineral Reserves adopted by CIM Council,as those definitions may be amended.1.4 Independence-In this Instrument,a qualified person is independent of an issuer if there is no circumstance that could,in the opinion of a reasonable person aware of all relevant facts,interfere with the qualified persons judgment regarding the preparation of the technical report.PART 2 REQUIREMENTS APPLICABLE TO ALL DISCLOSURE 2.1 Requirements Applicable to All Disclosure-All disclosure of scientific or technical information made by an issuer,including disclosure of a mineral resource or mineral reserve,concerning a mineral project on a property material to the issuer must be based upon information prepared by or under the supervision of a qualified person.2.2 All Disclosure of Mineral Resources or Mineral Reserves-An issuer must not disclose any information about a mineral resource or mineral reserve unless the disclosure (a)uses only the applicable mineral resource and mineral reserve categories set out in sections 1.2 and 1.3;(b)reports each category of mineral resources and mineral reserves separately,and states the extent,if any,to which mineral reserves are included in total mineral resources;(c)does not add inferred mineral resources to the other categories of mineral resources;and-5-(d)states the grade or quality and the quantity for each category of the mineral resources and mineral reserves if the quantity of contained metal or mineral is included in the disclosure.2.3 Prohibited Disclosure(1)An issuer must not make any disclosure of the(a)quantity,grade,or metal or mineral content of a deposit that has not been categorized as an inferred mineral resource,an indicated mineral resource,a measured mineral resource,a probable mineral reserve or a proven mineral reserve;or (b)results of an economic analysis that includes inferred mineral resources.(2)Despite paragraph(1)(a),an issuer may disclose in writing the potential quantity and grade,expressed as ranges,of a potential mineral deposit that is to be the target of further exploration if the disclosure (a)includes a statement that the potential quantity and grade is conceptual in nature,that there has been insufficient exploration to define a mineral resource and that it is uncertain if further exploration will result in the target being delineated as a mineral resource;and(b)states the basis on which the disclosed potential quantity and grade has been determined.(3)Despite paragraph(1)(b),an issuer may disclose a preliminary assessment that includes inferred mineral resources if (a)the results of the preliminary assessment are a material change or a material fact with respect to the issuer;and(b)the disclosure (i)includes a statement that the preliminary assessment is preliminary in nature,that it includes inferred mineral resources that are considered too speculative geologically to have the economic considerations applied to them that would enable them to be categorized as mineral reserves,and there is no certainty that the preliminary assessment will be realized;and(ii)states the basis for the preliminary assessment and any qualifications and assumptions made by the qualified person.-6-(4)An issuer must not use the term preliminary feasibility study,pre-feasibility study or feasibility study when referring to a study unless the study satisfies the criteria set out in the definition of the applicable term in section 1.1.2.4 Disclosure of Historical Estimates Despite section 2.2,an issuer may disclose an historical estimate using the historical terminology if the disclosure(a)identifies the source and date of the historical estimate;(b)comments on the relevance and reliability of the historical estimate;(c)states whether the historical estimate uses categories other than the ones set out in sections 1.2 and 1.3 and,if so,includes an explanation of the differences;and (d)includes any more recent estimates or data available to the issuer.PART 3 ADDITIONAL REQUIREMENTS FOR WRITTEN DISCLOSURE 3.1 Written Disclosure to Include Name of Qualified Person-If an issuer discloses in writing scientific or technical information about a mineral project on a property material to the issuer,the issuer must include in the written disclosure(a)the name;and(b)the relationship to the issuer of the qualified person who prepared or supervised the preparation of the information that forms the basis for the written disclosure.3.2 Written Disclosure to Include Data Verification-Subject to section 3.5,if an issuer discloses in writing scientific or technical information about a mineral project on a property material to the issuer,the issuer must include in the written disclosure (a)a statement whether a qualified person has verified the data disclosed,including sampling,analytical and test data underlying the information or opinions contained in the written disclosure;(b)a description of how the data was verified and any limitations on the verification process;and(c)an explanation of any failure to verify the data.3.3 Requirements Applicable to Written Disclosure of Exploration Information(1)Except as provided in section 3.5,if an issuer discloses in writing exploration information about a mineral project on a property material to the issuer,the issuer must include in the written disclosure-7-(a)the results,or a summary of the material results,of surveys and investigations regarding the property;(b)a summary of the interpretation of the exploration information;and(c)a description of the quality assurance program and quality control measures applied during the execution of the work being reported on.(2)Except as provided in section 3.5,if an issuer discloses in writing sample,analytical or test results on a property material to the issuer,the issuer must include in the written disclosure(a)a summary description of the geology,mineral occurrences and nature of mineralization found;