CIRCULAR
Regulations on the preparation, review, and approval of mine designs and investment project plans for solid mineral mines
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Pursuant to Decree No. 189/2007/NĐ-CP dated December 27, 2007 of the Government stipulating the functions, tasks, powers, and organizational structure of the Ministry of Industry and Trade, and Decree No. 44/2011/NĐ-CP dated June 14, 2011 of the Government amending and supplementing Article 3 of Decree No. 189/2007/NĐ-CP;
Pursuant to Decree No. 12/2009/NĐ-CP dated February 12, 2009 of the Government on project management for construction investment projects, and Decree No. 83/2009/NĐ-CP dated October 15, 2009 amending and supplementing certain articles of Decree No. 12/2009/NĐ-CP;
Considering the proposal of the Director of the Heavy Industry Department;
The Minister of Industry and Trade promulgates this Circular stipulating the preparation, review, and approval of mine designs and investment project plans for solid mineral mines as follows:
Article 1. Scope and Applicability
1. This Circular stipulates the preparation, review, and approval of mine designs and investment project plans for solid mineral mines by all economic sectors using all sources of capital.
2. This Circular applies to organizations and individuals engaged in the exploitation of solid minerals, and organizations and individuals providing consulting services for mine design, review, and approval of mine designs and investment project plans for solid mineral mines.
Article 2. Mines Must Prepare Investment Construction Project Proposals
1. Mines or mining areas included in National Key Projects approved by the National Assembly;
2. Mines or mining areas listed in the Industry Investment Plan that has been approved by the competent authority and have a Mineral Reserve Approval Decision issued by a competent state agency, with a total investment capital exceeding 15 billion VND;
3. Mines or mining areas not included in the Industry Plan, or where the Industry Plan has not yet been established or approved, but have an approval document from the competent authority agreeing to include them in the Plan or allowing investment, with a total investment capital exceeding 15 billion VND and a Mineral Reserve Approval Decision issued by a competent state agency;
4. Mines or mining areas subject to auction for mineral exploitation rights according to regulations, with a total investment capital exceeding 15 billion VND and a Mineral Reserve Approval Decision issued by a competent state agency.
5. For mines with a total investment capital less than 15 billion VND, it is not necessary to prepare an Investment Construction Project Proposal for the mine, but only a Technical and Economic Report on the construction of the mine must be prepared in accordance with Article 13 of Decree No. 12/2009/NĐ-CP dated February 12, 2009 (Decree No. 12/2009/NĐ-CP) of the Government.
Article 3. Contents of the Investment Construction Project Proposal for the Mine and the Technical and Economic Report on the Construction of the Mine
1. The contents of the Investment Construction Project Proposal for the mine shall be carried out in accordance with Articles 6, 7, and 8 of Decree No. 12/2009/NĐ-CP, including the Project Description and the Basic Design.
a. Content of the Project Description
The content of the Project Description for the Investment Construction Project Proposal for open-pit or underground mining operations shall be carried out in accordance with Article 7 of Decree No. 12/2009/NĐ-CP and detailed guidance provided in Appendix 1 and Appendix 2 attached hereto.
b. Content of the Basic Design
The Basic Design includes the Design Description and accompanying drawings, reflecting design options, serving as the basis for determining the total investment cost, economic calculations, selection of investment options, and for proceeding with subsequent design stages.
The content of the Basic Design for the Investment Construction Project Proposal for the mine shall be carried out in accordance with Article 8 of Decree No. 12/2009/NĐ-CP and detailed guidance provided in Appendix 3 and Appendix 4 attached hereto.
2. The content of the Technical and Economic Report on the Construction of the Mine shall be carried out in accordance with Clause 4, Article 35 of the Construction Law and detailed content as required by the Investment Decision Authority.
Article 4. Contents of Mine Design
Mine design includes technical design and construction drawing design.
The contents of the technical design and construction drawing design for solid mineral mine projects when established must be based on the contents of the Basic Design of the investment project that has been approved by the competent authority, explaining and calculating in detail the economic and technical factors and indicators of the schemes mentioned in the Basic Design and additional schemes (if any) for comparison, selection, and compliance with current national technical regulations and standards related (for example: QCVN 01:2011/BCT, QCVN 02:2011/BCT, QCVN 04:2009/BCT, TCVN 5326:2008, TCVN 6780-1-4:2009, Technical Regulations for Underground Coal and Metallurgical Mining 18-TCN-5-2006).
Article 5. Requirements for Capacity of Consulting Agencies for Mine Design and Investment Project Construction Works
1. Organizations and individuals who have sufficient capacity as stipulated in Circular No. 22/2009/TT-BXD dated July 6, 2009 (Circular No. 22/2009/TT-BXD) of the Ministry of Construction are authorized to prepare and review the Basic Design of investment projects for mine construction works and Mine Design.
2. For mine projects that do not require the preparation of an Investment Project for Construction Works but only require the preparation of an Economic and Technical Report for Mine Construction Works, only consulting enterprises with sufficient capacity as stipulated in Circular No. 22/2009/TT-BXD of the Ministry of Construction are authorized to prepare the Economic and Technical Report for Mine Construction Works.
Article 6. Authority for Reviewing Investment Projects for Mine Construction Works
The authority responsible for reviewing Investment Projects for Mine Construction Works is specified in Article 10 of Decree No. 12/2009/NĐ-CP of the Government, specifically as follows:
1. The State Council for Reviewing Investment Projects, established by the Prime Minister's decision, shall conduct reviews of Investment Projects for Mine Construction Works and other projects decided by the Prime Minister to invest in.
2. The Ministry of Industry and Trade, People's Committees of provinces and centrally governed cities decide to establish Investment Project Review Councils to organize the review of Investment Projects for Mine Construction Works decided by themselves to invest in.
3. For other Investment Projects for Mine Construction Works, the Investor with the authority to decide on investment shall independently determine the form and organization for conducting the review.
4. For mine projects that do not require the preparation of an Investment Project for Construction Works but only require the preparation of an Economic and Technical Report for Mine Construction Works, the Investor with the authority to decide on investment shall instruct the Investor to hire consulting enterprises with sufficient capacity as stipulated in Circular No. 22/2009/TT-BXD of the Ministry of Construction to conduct the review of the Economic and Technical Report for Mine Construction Works.
Article 7. State Management Authorities Responsible for Participating in Opinions on Basic Design
1. The Ministry of Industry and Trade participates in opinions on the Basic Design of National Important Mine Construction Works Investment Projects and Group A Mine Construction Works Investment Projects. The General Department of Energy is the lead agency of the Ministry for participating in opinions on the Basic Design of coal mine construction works investment projects; the Heavy Industry Department is the lead agency for participating in opinions on the Basic Design of other mineral mines (excluding coal) according to its authority.
2. The Ministry of Construction participates in opinions on the Basic Design of Group A Mineral Construction Works Investment Projects for building materials and cement production materials.
3. The Department of Industry and Trade is the state management authority responsible for participating in opinions on the Basic Design of Group B and C Mineral Construction Works Investment Projects built in localities.
4. The Department of Construction is the state management authority responsible for participating in opinions on the Basic Design of Group B and C Mineral Construction Works Investment Projects for building materials and cement production materials built in localities.
5. For mine projects that do not require the preparation of an Investment Project for Construction Works but only require the preparation of an Economic and Technical Report for Mine Construction Works and do not prepare a Basic Design, the Investor with the authority to decide on investment shall only decide to invest after receiving written opinions from the Department of Industry and Trade or the Department of Construction on the contents of the Economic and Technical Report for Mine Construction Works and construction drawing designs.
Article 8. Documents for requesting review and approval of mining construction project investment plans
1. The documents for requesting review and approval of mining construction project investment plans include:
a. Application for reviewing the mining construction project investment plan according to the model attached as Appendix II issued with Decree No. 12/2009/NĐ-CP of the Government b. Project documents including the project description and basic design; c. Opinions on the basic design from competent state agencies;;
d. Legal documents permitting investment for national key projects; approval documents supplementing planning from competent authorities; investment permission documents from competent authorities;
e. Documents on construction planning and environmental protection from competent state agencies;
f. Other relevant legal documents related to the project, investors, enterprises, organizations, or individuals involved in consulting and designing work;
The number of documents required is specific to the requirements of the reviewing agency but must be at least nine sets.
2. Documents for requesting opinions on the basic design
a. Application for opinions on the basic design (according to Model 1 and 2 attached to this Circular)
b. Legal documents of the enterprise that is the investor and the enterprise or individual providing consultancy services (Business registration certificate, Business license, Certificate confirming eligibility for business, Professional practice certificate);
c. Copies of relevant documents from state management agencies, permits related to mineral exploration and exploitation activities, and documents approving geological, topographical, and mineral reserve materials used for design;d. Decision approving the application of foreign standards by the competent authority when the design applies foreign standards (implemented according to Circular No. 40/2009/TT-BXD dated December 9, 2009 of the Minister of Construction on the application of foreign construction standards in Vietnam's construction activities);;
e. Full set of documents for the mining construction project investment plan (the number of documents required is specific to the requirements of the state agency being consulted, but must be at least three sets).
When submitting documents for opinions from specialized construction project management state agencies regarding the basic design, the investor must simultaneously pay the review fee to these agencies according to the current legal regulations.
3. Review organization
a. The agency reviewing the mining construction project investment plan prepares necessary materials and other tasks for the review process, receives documents, conducts the review, compiles opinions from various agencies, and drafts the Investment Decision for submission to the competent authority for approval.
b. Agencies participating in opinions on the basic design prepare necessary materials and other tasks for receiving documents, studying, examining, inspecting, and preparing documents for submission to the competent authority to sign the opinion document on the basic design to be sent to the investor and the investment decision-making authority (Opinion document on the basic design according to Model 3 and Model 4 issued with this Circular).
Article 9. Timeframe for reviewing and soliciting opinions on the basic design of mining construction project investment plans
The timeframe for reviewing the project and soliciting opinions on the basic design shall be carried out in accordance with Clause 2, Article 1 of Decree No. 83/2009/NĐ-CP dated October 15, 2009, and Clause 7, Article 10 of Decree No. 12/2009/NĐ-CP dated February 12, 2009 of the Government.
b. The agency participates in reviewing the preparation of documentation and other necessary works for receiving applications, studying, examining, inspecting, and preparing documents to submit to the competent authority for signing the review opinion on the Basic Design sent to the Project Investor and the Investment Decision Authority (the Review Opinion on the Basic Design according to Model No. 3 and Model No. 4 issued together with this Circular).
Article 9. Time for Review and Soliciting Opinions on the Basic Design of Mining Construction Projects
The time for reviewing the Project and soliciting opinions on the Basic Design shall be carried out in accordance with Clause 2, Article 1 of Decree No. 83/2009/ND-CP dated October 15, 2009, and Clause 7, Article 10 of Decree No. 12/2009/ND-CP dated February 12, 2009, of the Government.
Article 10. Content of project review and participation in comments on Basic Design
1. The content of reviewing the investment construction project for mines according to Article 11 of Decree No. 12/2009/NĐ-CP of the Government is specifically as follows:
a. The necessity and suitability of the project with socio-economic development planning, industry development planning, construction planning, related technical infrastructure planning; in cases where such plans have not been established, opinions from relevant state management agencies must be obtained. Market demand satisfaction both domestically and internationally for the project's products. Rationality, feasibility, and practicality of technical solutions. Safety and industrial hygiene solutions.
b. Completeness and appropriateness of the investment construction project for mines concerning open-pit or underground mining methods (as specified in Appendix 1 and Appendix 2 of this Circular).
c. Consistency with the Investment Construction Project Report that has been approved by the National Assembly and permitted for investment by the Prime Minister for important national mine construction projects, or projects permitted for investment by the Prime Minister.
d. Consistency of the Basic Design with construction planning, construction scale, technology, designed capacity, and grade of the project.
e. Legal validity and reliability of documents used in design.
g. Standards and technical criteria applied compared to project requirements.
h. Consistency of the Basic Design with architectural schemes selected through competitions in cases where architectural scheme competitions have been held.
i. Rationality of design solutions chosen in the Basic Design.
k. Official comments from competent state authorities regarding the Basic Design.
l. Documents from authorized bodies regarding environmental protection and ecological restoration.
m. Reviewing the content of the investment capital and the economic and social effectiveness of the project, assessing the level of risk of the project.
n. Conditions, legal entity status, and professional qualifications of consulting organizations or individuals who prepare the Project and Basic Design.
2. For projects that only establish an Economic and Technical Report for mine construction as stipulated in Article 13 of Decree No. 12/2009/NĐ-CP, the review work shall be carried out according to the provisions of Article 3 of Circular No. 03/2009/TT-BXD dated March 26, 2009, issued by the Ministry of Construction.
3. Content of participation in comments on Basic Design
a. Legal documents of the Project (regarding the legal entity status of the investor, of the consulting agency, investment policy, geological data of the mine, agreements on project construction sites).
b. Consistency of the Basic Design with socio-economic development planning, industry development planning, construction planning, land use planning, technical infrastructure planning, and other related planning.
c. Connection with external technical infrastructure projects outside the mine.
d. Application of technical standards, technical regulations, safety regulations in mining operations, environmental protection, labor protection, fire prevention and explosion control.
đ. Rationality of design solutions of selected schemes in the Basic Design.
e. Completeness and appropriateness of the content of the Basic Design (as specified in Appendix 3 and Appendix 4 attached to this Circular).
g. Conditions, legal entity status, and professional qualifications of consulting organizations or individuals who prepare the Basic Design.
Article 11. Authority to Decide on Investment in Construction of Mining Projects
1. The authority to decide on investment in construction of mining projects shall be implemented in accordance with Article 12 of Decree No. 12/2009/NĐ-CP of the Government, specifically as follows:
a. The Prime Minister decides on investment in national key mining projects according to the Resolution of the National Assembly and other important projects.
b. The Minister, Head of a Ministry-level agency, Chairman of the People's Committee at the provincial and district levels decides on investment in mining projects using state budget funds; for Group B and C projects, such authority may be delegated to subordinate agencies.
c. The investor decides on investment and bears responsibility for mining projects using other sources of funding and mixed capital.
2. The contents of the Decision approving the Investment Project for Construction of Mining Works shall be carried out in accordance with Appendix III issued together with Decree No. 12 /2008/NĐ-CP of the Government and detailed in Model Nos. 5 and 6 issued together with this CircularArticle 12. Review and Approval of Mine Design.
1. The work of reviewing and approving Technical Designs and Construction Drawings of Investment Projects for Construction of Mining Works shall be carried out in accordance with Article 18 of Decree No. 12/2009/NĐ-CP dated February 12, 2009 of the Government on project management for investment in construction works.
2. For mining projects that only prepare Economic and Technical Reports for Construction of Mining Works (as stipulated in Article 13 of Decree No. 12/2009/NĐ-CP), the work of reviewing and approving Construction Drawings of Mining Works shall be carried out in accordance with Article 3 of Circular No. 03/2009/TT-BXD dated March 26, 2009 of the Ministry of Construction.
Article 13. Responsibilities of the Investor Decision Maker
Depending on the specific characteristics of each type of solid mineral (coal, metallic ores, non-metallic ores, construction materials, and raw materials for cement production), based on the guidance content in Appendices 1, 2, 3, and 4 issued together with this Circular, the authorized decision maker on investment has the right to supplement and adjust the content of the aforementioned appendices to suit reality and must bear responsibility for such supplements and adjustments.
This Circular takes effect from January 1, 2013 and replaces Circular No. 03/2007/TT-BCN dated June 18, 2007 of the Ministry of Industry guiding the preparation, review, and approval of Investment Projects for Construction of Solid Mineral Mining Works.
Article 14
. Effectiveness
State management agencies and organizations and individuals mentioned in Clause 2, Article 1 of this Circular are responsible for organizing and implementing it. In the course of implementation, if there are difficulties, the implementing agencies, organizations, and individuals shall report in writing to the Ministry of Industry and Trade for consideration and resolution./.
Article 15. Implementation Organization
State management agencies and organizations and individuals mentioned in Clause 2, Article 1 of this Circular are responsible for organizing and implementing. In the course of implementation, if there are difficulties, the implementing agencies, organizations, and individuals shall report in writing to the Ministry of Industry and Trade for consideration and resolution./.