Circular No. 41/2020/TT-BCT stipulates the management and operation of tailings reservoirs in mineral extraction and processing activities.

CIRCULAR

REGULATIONS ON MANAGEMENT AND OPERATION OF TAILING RESERVOIRS IN MINERAL EXPLORATION AND PROCESSING ACTIVITIES

Pursuant to Decree No. 98/2017/NĐ-CP dated August 18, 20177 /NĐ-CP dated March

Pursuant to Decree No. 40/2019/NĐ-CP dated May 13, 2019 of the Government amending and supplementing certain articles of decrees detailing and guiding the implementation of the Law on Environmental Protection;

At the proposal of the Director of the Department of Safety Technology and Industrial Environment;

The Minister of Industry and Trade promulgates this Circular stipulating regulations on management and operation of tailing reservoirs in mineral exploration and processing activities.

PART I

GENERAL PROVISIONS

Article 1. Scope of Regulation

This Circular stipulates regulations on management and operation of tailing reservoirs in mineral exploration and processing activities (excluding coal minerals and construction materials minerals).

Article 2. Applicability

This Circular applies to state administrative agencies, owners, organizations, and individuals related to the operation of tailing reservoirs in mineral exploration and processing activities (excluding coal minerals and construction materials minerals) within the territory of Vietnam.

Article 3. Explanation of Terms

In this Circular, the following terms are defined as follows:

1. is a commercial bank of Vietnam or a foreign credit institution holding the entire charter capital of a limited liability non-bank credit institution. are organizations and individuals having ownership rights over tailing reservoirs as prescribed in Clause 3 of this Article.

2. Tailings are substances discharged during mineral processing in the form of slurry, consisting of two components: solid and liquid, wherein the solid component comprises fine particles remaining after the recovery of valuable minerals from raw ores, and the liquid component is a mixture of wastewater and dissolved chemicals after mineral processing.

3. Tailing Reservoir is a system comprising a tailing reservoir (also referred to as a tailing pond) or a tailing storage facility (also referred to as a tailing dump), a dam, equipment, and ancillary structures designed and constructed to temporarily or permanently store tailings, ensuring stability and environmental safety. A tailing reservoir does not necessarily have to be formed by a dam structure.

4. Dam is a structure built to form a tailing reservoir. Construction materials for the dam may include soil, mine waste rock, mixed soil-rock, tailings, concrete, reinforced concrete, or other materials.

5. Large Tailing Reservoir is a tailing reservoir designed with a dam height of 15 meters or more or a capacity of 30,000 cubic meters or more.

6. Hazardous Tailing Reservoir is a tailing reservoir storing tailings containing hazardous components or predicted to contain hazardous components at levels exceeding the threshold for hazardous waste as prescribed.

7. Displacement Monitoring is the activity of tracking spatial displacement changes of the dam (vertical displacement, horizontal displacement along two perpendicular directions).

Article 4. Principles of Management and Operation of Tailing Reservoirs

When operating a tailing reservoir, the owner must ensure compliance with the following principles:

1. Ensuring safety during the operation of the tailing reservoir while maximizing its operational functions according to the approved design.

2. Adhering to the approved operation procedures, implementing the Reservoir Inspection Plan, regularly reviewing or recording changes during operation to modify and improve the operation procedures.

3. Fulfilling maintenance responsibilities, supervising the safety of the tailing reservoir, and the Emergency Prevention and Response Plan; bearing responsibility when a tailing reservoir incident occurs.

Chapter II

MANAGEMENT AND OPERATION OF TAILING RESERVOIRS

Article 5. Operation procedures for tailings reservoirs

1. The owner shall be responsible for establishing, approving, and organizing the implementation of operation procedures for tailings reservoirs that are suitable to actual conditions, based on design parameters of the tailings reservoirs which have been reviewed and approved according to regulations.

2. The operation procedures for tailings reservoirs must be developed to include operation procedures for tailings reservoirs under normal conditions, during flood conditions, and in cases where signs indicating potential accidents are detected. The operation procedures shall include at least the following contents:

a) An overview of mineral processing technology procedures, tailings disposal procedures, basic information about the current status of the reservoir and dam, safe operating parameters, and limit operating parameters according to the design.

b) Responsibilities of individuals performing tailings reservoir operations and guidance on specific actions to be taken during tailings reservoir operations in accordance with actual conditions.

c) Frequency and content of tailings reservoir inspections to ensure early detection of signs indicating potential accidents.

d) Identification and assessment of risks, from which response scenarios are developed and actions are implemented in priority order.

e) Regulations on reward and disciplinary systems.

3. The operation procedures for tailings reservoirs must be adjusted to suit changes in input conditions of the reservoir, production plans, and measurement and forecasting results of meteorological, geological, and hydrological factors, but they must be updated at least once every two years during operation.

4. In cases where the operation procedures for tailings reservoirs are annually adjusted due to increased amounts of tailings and water flowing into the tailings reservoir compared to the initial design, then within the first quarter, the owner must adjust the operation procedures for the tailings reservoir to suit actual conditions based on the following information: tailings discharge flow rate into the reservoir; dam condition; flood and disaster situation; reservoir characteristic conditions; tailings reservoir design documentation; safety monitoring results of the reservoir.

Article 6. Maintenance of tailings reservoirs

1. The owner is responsible for maintaining tailings reservoirs in accordance with the provisions of Chapter V of Decree No. 46/2015/NĐ-CP dated May 12, 2015, of the Government on quality management and maintenance of construction works.

2. For the maintenance procedures of tailings reservoirs, in addition to the maintenance contents stipulated in Clause 1 of this Article, the owner must also specify the following contents in the maintenance procedures for tailings reservoirs:

a) Parameters, techniques, and handling of monitoring results: Based on the scale and characteristics of the reservoir, factors to be monitored, monitoring procedures, analytical methods, data processing, and evaluation standards of the structure's condition through monitoring results must be defined.

b) Inspection objects, methods, and frequency: The procedure must clearly define the components, structures, and parts of the work that need to be inspected, especially those related to dam structures and environmental protection works; inspection content, methods, and tools (by visual inspection, by machinery...); inspection forms (regular, periodic, random...); inspection frequency (number of times per month, quarter, year, periodic inspection time points...). Inspection targets should focus on parts and structures of the work that are prone to damage due to natural and human factors.

c) Timing and instructions for regular replacement of installed equipment: For metal structures, based on structural characteristics, durability, environmental conditions, and design criteria. For installed equipment, based on manufacturer specifications.

Article 7. Supervision of safety for tailings pond dams

1. The owner shall be responsible for constructing and installing a safety supervision system, maintaining logs to monitor the results of supervision, issuing warnings, and taking measures when the monitored parameters exceed the approved design values of the tailings pond dam.

2. Safety supervision of tailings pond dams includes the following contents:

a) Monitoring displacement;

b) Controlling seepage within the dam;

c) Supervising water levels and inflow to the tailings pond;

d) Observing stress conditions;

e) Observing surrounding areas of the tailings pond;

i) Equipment for operation.

Article 8. Displacement monitoring

1. The owner shall be responsible for installing a displacement monitoring system along the crest, shoulders, and body of the dam to observe spatial displacement changes of the dam structure in two perpendicular directions.

2. Large tailings ponds and hazardous tailings ponds must implement displacement monitoring.

Article 9. Seepage control within the dam

1. The owner shall be responsible for installing equipment to monitor the saturation line within the dam body, seepage pressure at locations where different materials meet, at the exit of the seepage path, before and after the anti-seepage membrane, and at the interface between cast-in-place structures and earthfill dams.

2. At locations where the dam body is seeping, measures must be taken to control seepage flow within permissible limits.

Article 10. Supervision of water levels and inflow to the tailings pond

The owner shall be responsible for:

1. Establishing a system to monitor the volume of wastewater and tailings entering the tailings pond, natural water inflow into the tailings pond, changes in the slurry-water level in the tailings pond, water level changes in water conveyance structures, water level changes downstream of the dam, and flood control systems.

2. Establishing benchmarks for measuring water levels from the bottom of the pond to the permitted height near the dam line, in calm flow areas to measure the water level in the tailings pond.

3. Establishing measurement benchmarks to observe water level changes on the sides of intake and outlet gates and water conveyance channels to measure upstream and downstream water levels of the structures.

Article 11. Monitoring stress conditions

For large tailings ponds and hazardous tailings ponds, the owner shall be responsible for:

1. Establishing a system to monitor stress conditions within the dam body and foundation for concrete and reinforced concrete dams.

2. Controlling plastic zones that develop in weak foundation areas and tension-bearing structures.

Article 12. Monitoring surrounding areas of the tailings pond

The owner shall be responsible for:

1. Observing and monitoring changes in high earthen and rock slopes adjacent to the tailings pond to assess the risk of landslides into the tailings pond and to propose appropriate response measures.

2. Implementing measures to limit landslides when signs of landslide are detected.

Article 13. Equipment for operation

1. Electrical gate and overflow weir operating equipment must have backup power sources; the backup power source should be checked before the rainy season and weekly during the flood season to ensure this system is always ready for operation.

2. For large tailings ponds and hazardous tailings ponds, automatic measurement devices should be installed for continuously monitored factors; information technology should be applied for data management, processing, and storage; surveillance cameras should be installed for continuous observation of tailings pond landslides; measured data should be transmitted to the department responsible for tailings pond operation for timely handling and response if incidents occur.

Article 14. Construction of Database on Reservoirs

1. The owner shall be responsible for building and maintaining a database on reservoirs based on measurement, monitoring, and calculation results during the operation of the reservoirs.

2. Data must be stored to ensure continuity; easily accessible for technical evaluation purposes, information provision, personnel changes; easily updated and accessed through technology without disrupting data continuity.

3. The reservoir data report as specified in Appendix 01 attached hereto must be submitted to the competent state management agency as prescribed in Article 17 of this Circular.

Article 15. Emergency Prevention and Response Plan

1. The owner shall be responsible for developing, approving, and organizing the implementation of the Emergency Prevention and Response Plan for tailings reservoirs in accordance with the guidelines set out in Appendix 02 of this Circular.

2. The Emergency Prevention and Response Plan for tailings reservoirs must be sent to units outside the owner that will cooperate in responding to emergencies for their comments before approval. After approval, the owner must send the Emergency Prevention and Response Plan for tailings reservoirs back to these units for information and cooperation in responding to emergencies when they occur.

3. The Emergency Prevention and Response Plan for tailings reservoirs must be submitted to the competent state management agency as prescribed in Article 17 of this Circular for inspection and monitoring as required.

Article 16. Inspection Plan for Reservoirs

1. Annually, the owner must develop and implement an inspection plan for reservoirs including:

a) Regular inspections through analysis and assessment of measurement data, dam safety supervision, and visual inspection at the site;

b) Immediate inspections following heavy rains, floods, earthquakes, damage, or discovery of dam defects.

2. Prepare reports on inspection and supervision results as prescribed in Appendix 01 and submit them to the competent state management agency as prescribed in Article 17 of this Circular.

Article 17. Reporting System

1. Reports, plans, inspection and supervision results related to the management and operation, inspection of tailings reservoirs must be kept at the owner's office until the tailings reservoir ceases operations and environmental restoration is completed.

2. The owner shall be responsible for submitting the Data Report and inspection and supervision results of tailings reservoirs as prescribed in Appendix 01 of this Circular in electronic PDF format (scanned from paper reports or electronically signed) and Microsoft Excel format to the Department of Industry and Trade before January 31 and July 31 each year via the email address announced by the Department of Industry and Trade.

3. For large and hazardous tailings reservoirs, the reports prescribed in Clause 2 of this Article, the owner must simultaneously submit them to the Ministry of Industry and Trade (through the General Department of Safety and Environmental Protection) via the email address announced by the General Department of Safety and Environmental Protection.

4. In case of an incident, the owner shall be responsible for reporting to the competent state management agency as prescribed in Clauses 2 and 3 of this Article within 24 hours after the incident occurs or as requested by the competent authority. Within ten working days from the date of completing the incident resolution, the owner shall be responsible for reporting the resolution results according to the Emergency Prevention and Response Plan for tailings reservoirs.

Chapter III

IMPLEMENTATION

Article 18. Responsibilities of the Bureau of Safety and Environmental Technology for Industry

1. Organize the implementation of this Circular.

2. Inspect, supervise, and handle violations within its authority.

3. Announce the email address for receiving, retaining files, reports, and tailings pond data as prescribed in Clause 3, Article 17 and Clause 6, Article 19 of this Circular.

4. Coordinate with People's Committees and Departments of Industry and Trade of provinces and cities to respond to and mitigate consequences in case of accidents.

Article 19. Responsibilities of Departments of Industry and Trade of provinces and cities

1. Organize the implementation of this Circular on provincial and municipal territories.

2. Inspect, supervise, and handle violations within their authority or propose competent authorities to handle such violations according to the law on management and safe operation of tailings ponds within their territories.

3. Announce the email address for receiving, retaining files, reports, and tailings pond data as prescribed in Clause 2, Article 17 of this Circular.

4. Advise on the construction and submission to the People's Committee of the province or centrally governed city for issuance of regulations on coordination in responding to tailings pond accidents during mineral extraction and processing activities within their territories. These regulations may be integrated into the operational regulations of the Provincial Steering Committee for Flood and Storm Control and Search and Rescue.

5. Coordinate in responding to and mitigating consequences in case of accidents according to the regulations.

6. Summarize and report on tailings pond management work within their territories in accordance with Appendix 03 of this Circular in electronic PDF format (scanned from paper reports or electronically signed) and Microsoft Excel format, and send them to the Ministry of Industry and Trade (through the Bureau of Safety and Environmental Technology for Industry) before March 31 each year through the email address announced by the Bureau of Safety and Environmental Technology for Industry.

Article 20. Responsibilities of the Owner

1. Implement all legal provisions on management and safe operation of tailings ponds accurately and fully.

2. In cases where the Owner entrusts or leases another organization or individual to manage and operate the tailings pond, the entrustment or lease must be carried out in writing, clearly defining the responsibilities of each party in managing and safely operating the tailings pond, and must notify the competent state management agency.

Article 21. Transitional Provisions

1. For tailings ponds that are in operation or temporarily suspended before the effective date of this Circular, the Owner must comply with the provisions of this Circular at the latest by December 31, 2021.

2. For tailings ponds that have ceased operations and are undergoing environmental remediation, the Owner has the responsibility to manage, monitor safety, and report according to laws on minerals and environmental protection.

Article 22. Effectiveness

1. This Circular takes effect from February 1, 2021.

2. In cases where the legal normative documents cited for application in this Circular are amended, supplemented, or replaced by new legal normative documents, they shall be applied according to those new documents.

3. During the implementation of this Circular, if there are difficulties, organizations and individuals should submit their opinions in writing to the Ministry of Industry and Trade for consideration and adjustment./.