Circular No. 51/2015/TT-BTNMT guiding certain contents of specialized mineral inspection

CIRCULAR

Guidelines on certain aspects of specialized mineral inspectionFor power plants invested under the Build-Operate-Transfer (BOT) model, n is determined according to the operational period of the power plant stipulated in the BOT contract.

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Pursuant to the Law on Minerals dated November 17, 2010;

Based on the Inspection Law dated November 15, 2010;

Pursuant to Decree No. 86/2011/NĐ-CP dated September 22, 2011 of the Government detailing and guiding the implementation of certain provisions of the Inspection Law;

Pursuant to Decree No. 07/2012/ND-CP dated February 9, 2012 of the Government stipulating the agencies entrusted with the function of specialized inspection and specialized inspection activities;

Pursuant to Decree No. 21/2013/NĐ-CP dated March 4, 2013 of the Government stipulating the functions, tasks, powers, and organizational structure of the Ministry of Natural Resources and Environment;

At the proposal of the Director General of the Vietnam Geological and Mineral Resources Administration, the Inspectorate of the Ministry, and the Director of the Legal Department, the Minister of Natural Resources and Environment issues guidelines on certain aspects of specialized mineral inspection,June 2024;These guidelines cover certain aspects of specialized mineral inspection, including: inspection of mineral exploration activities, inspection of mineral exploitation activities.June 2024;1. Civil servants under the Ministry of Natural Resources and Environment, the Vietnam Geological and Mineral Resources Administration, and provincial-level People's Committees' Departments of Natural Resources and Environment (hereinafter referred to collectively as the Department of Natural Resources and Environment).

PART I

GENERAL PROVISIONS

Article 1. Scope of Regulation

2. Organizations and individuals permitted to conduct mineral exploration and exploitation; other organizations and individuals related to these activities.

Article 2. Applicability

INSPECTION OF MINERAL EXPLORATION ACTIVITIES

Article 3. Inspection of compliance with regulations on notification of exploration plans; reports on mineral exploration activities; conditions for implementing exploration project proposals; changes in exploration methods or volumes that exceed 10% of the budget estimate

Chapter II

1. The time of sending the notification of the exploration plan; submission of periodic reports on mineral exploration activities shall be determined based on the following criteria:

a) The date recorded on the mail envelope; the date recorded on the receipt from the delivery service or relevant documents;

b) The arrival date recorded in the incoming document register at the provincial-level People's Committee's Department of Natural Resources and Environment where the exploration activity takes place; or at the Ministry of Natural Resources and Environment/Vietnam Geological and Mineral Resources Administration for minerals within the Ministry's licensing authority.

2. When a business entity conducts its own exploration project (hereinafter referred to as the project), the determination of whether it meets the conditions for implementing the project shall be based on the following criteria:

a) Employment contracts (or equivalent documents) of technical personnel directly involved in the implementation of the project according to regulations;

b) Decision assigning the project leader, technical personnel, and accompanying personal files and relevant certificates;

c) Statistics of specialized equipment and machinery used for the project at the time of inspection.

3. When an organization or individual conducting mineral exploration does not directly implement the project, the determination of whether they meet the conditions for implementing the project shall be based on the following criteria:

a) Contract for project implementation between the organization or individual permitted to conduct mineral exploration and the entity directly implementing the project;

b) Business registration or establishment decision of the contracting entity;

c) Employment contracts (or equivalent documents) of technical personnel directly involved in the implementation of the project according to regulations;

d) Decision assigning the project leader, technical personnel, and accompanying personal files and relevant certificates;

e) Statistics of specialized equipment and tools used for the project that are consistent with the project.

4. Criteria for determining eligibility to change exploration methods or volumes exceeding 10% of the budget estimate include:

a) Documents and materials submitted by organizations or individuals to the competent authority for exploration permission regarding the contents of the changes;

b) Approval documents from the competent state authority for exploration permission regarding the methods and volumes allowed to be changed.

a) Documents and materials submitted by organizations and individuals to the competent authority issuing exploration permits regarding the contents of changes;

b) Approval document from the competent state agency issuing exploration permits concerning the methods and quantities permitted to be changed.

Article 4. Inspection of the implementation of regulations on the permitted mineral exploration area

1. Determining the establishment of boundary markers for the vertices of the permitted mineral exploration area of organizations and individuals conducting mineral exploration based on the following:

a) The results of measuring the coordinates of the outer vertices in the field; the schematic drawing of the markers corresponding to the vertices of the exploration area recorded in the Mineral Exploration Permit along with the acceptance documents;

b) The specifications of the vertex markers, including: marker materials, dimensions according to standard and regulation for fourth-class geodetic markers for solid mineral exploration; according to standards and regulations in the water transport sector for sand and gravel exploration in river mouths, estuaries, and sea entrances;

c) The handover record of completing the establishment of markers at the vertices in the field between the Department of Natural Resources and Environment where the exploration activities take place, representatives of the People's Committee of the district and commune, and the organization or individual permitted to conduct exploration.

2. Determining the area of exploration exceeding the permitted mineral exploration area according to the following content and procedures:

a) Identifying the location and coordinates of the center of the exploration works constructed in the field outside the permitted exploration area;

b) Plotting the coordinates of the center of the work specified in point a of this Clause onto the map of the permitted exploration area (with the same coordinate system and scale). Connecting each point of the work outside the boundaries of the permitted exploration area with the two nearest markers of the permitted exploration area to determine the shape of the triangle of the excess area;

c) The actual excess exploration area equals the total area of the triangles with excess areas specified in point b of this Clause after subtracting overlapping areas between triangles (if any).

Article 5. Inspection of technical content of mineral exploration

1. The conformity of the types of works, construction projects, and exploration project networks in reality compared to the approved plan by the competent state agency and the content of the Mineral Exploration Permit.

2. The current status of construction of exploration works; comparing technical parameters of the works in the files and documents with data in the field (markers and data, size, construction process); types of samples taken (location, quantity, type of sample; sampling procedure; weight of each sample; method of sample preservation).

Article 6. Inspection of compliance with other regulations in mineral exploration

1. Determining the fulfillment of environmental protection obligations during mineral exploration including:

a) Implementing preventive measures against environmental pollution as stated in the approved plan by the competent state agency; backfilling completed exploration works (wells, furnaces, trenches, pits, etc.) as prescribed;

b) Implementing remediation measures when environmental pollution occurs during hazardous mineral exploration.

2. Protection of unexploited minerals includes:

a) Reporting on types of minerals not being primary or accompanying minerals recorded in the Mineral Exploration Permit;

b) Documents and reports submitted to local authorities and competent state agencies upon discovery of unauthorized mining activities within the permitted exploration area (if any).

3. Determining the obligation to submit for approval the reserves of minerals upon completion of the exploration work based on the following:

a) The application for approval of mineral reserves in the exploration report;

b) The receipt of the competent state agency.

4. Determining the obligation to submit the exploration results report including:

a) The confirmation document of storage received from the Information and Archive Center under the Vietnam Geological and Mineral Resources General Department for minerals within the jurisdiction of the Ministry of Natural Resources and Environment;

b) The confirmation document of storage received from the Provincial Department of Natural Resources and Environment where the minerals were explored, and the Information and Archive Center under the Vietnam Geological and Mineral Resources General Department for minerals within the jurisdiction of the provincial People's Committee.

5. Determining whether organizations and individuals conducting exploration exploit the activity for unauthorized mining based on: the location of sample collection; the volume of mineral samples excavated; the actual transported volume of samples compared to the approved plan by the competent state agency and the Mineral Exploration Permit.

Chapter III

INSPECTION OF MINERAL EXPLORATION ACTIVITIES

Article 7. Inspect the implementation of regulations on basic construction of mines; report on the results of mineral exploitation activities; exploration to upgrade mineral reserves

1. The determination of the time for sending registration/notification documents for the start date of basic mine construction, the start date of exploitation; submission of periodic reports on mineral exploitation activities shall be based on the following:

a) The time recorded on the mail envelope or the time recorded on the receipt from the delivery office or related documents;

b) The arrival date recorded in the incoming document book at the provincial People's Committee's office where the exploitation activity takes place; or the Ministry of Natural Resources and Environment/Vietnam General Department of Geology and Minerals for minerals within the licensing authority of the Ministry of Natural Resources and Environment.

2. The responsibility to notify the volume, time of exploration to upgrade reserves of organizations and individuals permitted to exploit minerals shall be based on the following:

a) Notification documents of plans, volumes, times of exploration to upgrade reserves within the permitted exploitation area submitted to the competent state management agency issuing the permit before implementation;

b) Construction contracts, capability files of organizations conducting exploration upgrade works when the organization or individual exploiting minerals does not conduct the construction directly; files and documents retaining information about the results of exploration to upgrade reserves within the permitted exploitation area;

c) Written reports and accompanying files sent to the competent authority approving mineral reserves according to regulations.

3. The basis for determining the conditions for implementing construction works of exploration to upgrade reserves as stipulated in Clause 2, Clause 3 of this Circular.

Article 8. Inspect the implementation of regulations on mining areas

1. Establish boundary markers for the corners of the permitted mining area based on the following:

a) Results of measuring coordinates of corner points on-site; schematic drawings of markers corresponding to the corner points of the mining area recorded in the Mineral Exploitation Permit;

b) Specifications of corner point markers, including: marker materials, dimensions according to standard specifications for third-class geodetic markers for solid mineral exploitation; according to standards and specifications in the water transport sector for river sand, gravel, estuary, and sea beach exploitation;

c) Field handover records of corner point markers between the Provincial Department of Natural Resources and Environment where the mineral exploitation activity takes place, representatives of the district and commune People's Committees with the organization or individual exploiting minerals. In cases where the Mineral Exploitation Permit falls under the licensing authority of the Ministry of Natural Resources and Environment, the Vietnam General Department of Geology and Minerals participates.

2. Determining the area of exploitation exceeding the boundaries of the permitted mining area when exploiting by open-pit method (except for mineral water and hot water) shall be determined according to the following content and procedures:

a) Measure the coordinates of corner points, determine the actual area of each zone;

b) Plot the coordinates of the corner points of each exploited zone mentioned in point a of this Clause onto the mining area map (on the same coordinate system and scale);

c) The excess exploitation area is the total area of the zones specified in point a of this Clause after subtracting overlapping areas with the permitted exploitation area.

3. Determining the actual exploitation area exceeding the permitted exploitation area when exploiting by underground method shall be determined according to the following content and procedures:

a) Determine the positions of tunnels, measure the coordinates of tunnel end points; determine the area of each tunnel;

b) Plot the coordinates of the tunnel starting points, intermediate points (if any), and end points, as well as exploitation works mentioned in point a of this Clause onto the permitted exploitation area map (on the same coordinate system and scale);

c) The excess exploitation area is the total area of the zones specified in point a of this Clause after subtracting overlapping areas with the permitted exploitation area.

4. The actual height of exploitation exceeding the boundaries of the permitted exploitation area (except for mineral water and hot water) shall be determined according to the following content and procedures:

a) Determine and measure the elevation values, coordinates of the highest or lowest exploitation positions on the actual mining face (for open-pit mines); or the top of the main shaft at the highest position, or the bottom of the main shaft at the lowest position (for underground mines);

b) Plot the exploitation positions, main shaft positions mentioned in point a of this Clause onto the corresponding cross-sections; draw vertical lines through these positions to determine the nearest intersection with the permitted exploitation height limit shown on the mining area map (on the same coordinate system and scale);

c) The actual excess exploitation height is the absolute value of the difference between the elevation of the exploitation positions, main shaft positions mentioned in point a of this Clause and the corresponding intersection elevation mentioned in point b of this Clause.

Article 9. Inspection of compliance with regulations on mine design

1. The identification of organizations and individuals exploiting mineral resources who have submitted mine designs to competent state management agencies for mineral resources (excluding exploitation of mineral water, hot water, and residual mineral exploitation) shall be based on the following:

a) The time recorded on the mail envelope or the time recorded on the receipt from the delivery office or related documents;

b) The date recorded in the incoming document register at the provincial People's Committee Office/Department of Natural Resources and Environment where the exploitation activities take place; or the Ministry of Natural Resources and Environment/Vietnam General Department of Geology and Mineral Resources (for minerals under the licensing authority of the Ministry of Natural Resources and Environment).

2. The identification of organizations and individuals exploiting mineral resources applying mining technology and methods shall be based on the following:

a) The actual mining method (open-pit/mine shaft/other method) compared to the mining method determined in the Mineral Exploitation License; investment project for exploitation or approved mine design;

b) The location, length of benches and preparation trenches (for open-pit mining); the location, cross-section, and length of shafts/tunnels/crosscut tunnels along the seam and longitudinal tunnels (for underground mining) at the time of inspection compared to the approved exploitation investment project and mine design;

c) Mining technology; the mining system determined in the exploitation investment project and mine design compared to the actual exploitation, including: sequence of exploitation, direction of mine development; actual value of each parameter of the mining system;

d) In addition to the content stipulated in point c Clause 2, it is necessary to compare the value of each parameter of the mining system with the requirements of national technical standards and safety technical standards in mining.

Article 10. Inspection of compliance with regulations on Mine Operation Director

1. Information about the Mine Operation Director shall be identified based on the following:

a) Labor contracts signed between organizations and individuals permitted to exploit mineral resources and the person appointed as the Mine Operation Director;

b) List of employees participating in social insurance (if any) or income tax payment receipts of the Mine Operation Director paid by the organization or individual exploiting mineral resources from the salary/wages according to the signed labor contract;

c) Appointment decision of the Mine Operation Director issued by the organization or individual permitted to exploit mineral resources.

2. The identification of organizations and individuals exploiting mineral resources who have reported the professional qualifications and capabilities of the Mine Operation Director shall be based on the following:

a) The time recorded on the mail envelope or the time recorded on the receipt from the delivery office or related documents;

b) The date recorded in the incoming document register at the provincial People's Committee Office/Department of Natural Resources and Environment where the exploitation activities take place; or the Ministry of Natural Resources and Environment/Vietnam General Department of Geology and Mineral Resources (for minerals under the licensing authority of the Ministry of Natural Resources and Environment).

Article 11. Inspection of compliance with regulations on establishing current status maps, cross-sectional drawings of the permitted exploitation area; statistics and inventory of mineral reserves

1. Current status maps and cross-sectional drawings of the exploitation area include:

a) Maps and cross-sectional drawings marking the end of the basic construction phase of the mine;

b) Updated current status maps and cross-sectional drawings of the exploitation area for the first six months of the year and at the end of the reporting period as prescribed by the Ministry of Natural Resources and Environment;

c) Updated maps and cross-sectional drawings when there are significant changes in actual ore body parameters compared to corresponding parameters in exploration reports, exploitation investment projects, and mine designs.

2. Compare information and data on current status maps and cross-sectional drawings as stipulated in Clause 1 of this Article with the exploitation site or tunnels at the time of inspection.

3. Verify information and data on statistics and inventory of mineral reserves based on the following documents:

a) Periodic reports on mineral exploitation activities;

b) Statistics and inventory reports of mineral reserves;

c) Current status maps and cross-sectional drawings of the permitted exploitation area;

d) Systems of statistical data, ledgers, and supporting documents related to the statistics and determination of mineral quality (mechanical and physical properties, boundary grade, average grade, etc.); fees for granting exploitation rights; mineral resource taxes; environmental protection fees during mineral exploitation; recovery factor, actual loss factor; ledgers tracking sample collection and analysis results before and after beneficiation and washing;

đ) Permitted exploitable geological reserves of minerals recorded in the Mineral Exploitation License;

e) Increased/decreased reserves of minerals based on upgraded exploration results approved or determined by competent authorities at the time of inventory.

Article 12. Inspection of the implementation of the permitted capacity for mineral exploitation recorded in the Mineral Exploitation Permit

The actual production volume of minerals compared to the permitted capacity for exploitation shall be determined based on the comparison of data from the following documents:

1. Periodic reports on mineral exploitation activities;

2. Annual statistical and inventory reports on mineral reserves;

3. Records of monitoring and statistics on the volume of mines (including minerals and waste rock) for each year, accompanied by invoices/receipts for warehouse dispatch; minutes of quantity acceptance at each technological stage (preparation, excavation, transportation, disposal) during the year and updated data at the time of inspection; data on the volume of minerals in storage areas at the time of inspection;

4. Other books and documents including invoices and financial obligation-related certificates (mineral exploitation rights fees, resource taxes, environmental protection fees, etc.);

Article 13. Inspection of the exploitation of common construction materials minerals without requiring a Mineral Exploitation Permit

1. The exploitation of common construction materials minerals within the project area of construction works shall be determined based on the following:

a) The actual scope and area exploited compared to the project;

b) Legal documents related to organizations or individuals conducting mineral exploitation activities when the construction project investor does not directly exploit, determined through contracts or other relevant documents;

c) Registration documents for the area, capacity, volume, method, equipment, and exploitation plan; confirmation documents issued by the provincial People's Committee where the construction project is carried out;

d) The volume of minerals already exploited; the volume of minerals used for that construction work;

đ) The results of fulfilling the obligation to pay the fee for granting mineral exploitation rights;

2. The exploitation of common construction materials minerals within residential land areas under the right of use of households or individuals shall be determined based on the following:

a) The actual scope and area exploited compared to the Land Use Right Certificate and related documents;

b) The volume of minerals already exploited; the volume of minerals used for household or individual construction works within the residential land area;

Article 14. Inspection of the implementation of regulations on mine closure

1. The determination of the content and results of mine closure shall be based on the following:

a) Location, area; quantity, volume, and items of works; time and results of implementation;

b) Current status and safety level of the items of works for mine closure;

c) Minutes of acceptance of the Mine Closure Plan Implementation Project by the competent state agency (if any);

2. The determination of the content and results of implementing the environmental restoration and rehabilitation plan upon mine closure shall be as follows:

a) Location, area; quantity, volume, and items of works for environmental restoration and rehabilitation;

b) Current status and results of implementing the contents of the environmental restoration and rehabilitation plan;

c) Confirmation or acceptance documents for the volume of work completed in environmental restoration and rehabilitation; documents related to the refund of environmental restoration and rehabilitation deposit.

Article 15. Inspection of the implementation of regulations on the use of mineral information by organizations and individuals engaged in mineral activities

1. Documents and materials determining that organizations and individuals have used mineral information from competent state agencies.

2. Documents from competent state agencies requiring organizations and individuals to use mineral information for mineral exploration or for mineral exploitation, which must repay the costs of basic geological investigation about minerals and mineral exploration costs; documents from competent state agencies determining the results of repaying the costs of basic geological investigation about minerals and mineral exploration costs.

Article 16. Inspection of the implementation of other regulations in mineral exploitation

1. Determining obligations after winning the auction for the right to exploit minerals:

a) Documents accepting applications for issuance of Mineral Exploration Permit from competent state agencies as prescribed in cases of auctioning the right to exploit minerals in areas without mineral exploration results;

b) Documents accepting applications for issuance of Mineral Exploitation Permit from competent state agencies as prescribed in cases of auctioning the right to exploit minerals in areas with mineral exploration results.

2. Responsibility for protecting unexploited minerals within the permitted exploitation area of organizations and individuals.

a) Documents sent to the competent authority issuing Mineral Exploitation Permit when new minerals are discovered during mineral exploitation (if any);

b) Results and current status of storing and protecting extracted minerals not yet used due to lack of demand or failing to meet quality requirements.

3. Implementation of other relevant regulations related to land laws, water resources, environmental protection (in terms of depositing guarantees, environmental restoration work during mineral exploitation according to the Environmental Remediation Project/Plan approved by the competent authority at the time of termination of the mineral exploitation permit; documents confirming completion of environmental protection works by the competent authority).

4. Implementation of regulations on insuring assets, equipment, facilities serving mineral exploitation activities of organizations and individuals engaged in mineral activities as prescribed.

5. Maximum level of mineral recovery; percentage (%) of actual mineral loss; economic and social efficiency.

6. Purpose of mineral use determined based on documents and materials related to the provision of extracted minerals compared to the designated use of minerals specified in the Mineral Exploitation Permit or the mining project.

Article 17. On-site inspection in mineral exploitation areas

1. For open-pit mines:

a) Checking the current status of corner points of the exploitation area;

b) Checking the current status of location, boundaries, and area of the exploitation zone;

c) Checking the current technical parameters of the exploitation system; exploitation works, exploitation pit, and auxiliary works;

d) Checking the current status of environmental remediation works; safety measures for areas that have ceased exploitation activities.

2. For underground mines:

a) Checking the current status of corner points of the exploitation area;

b) Checking the current status of location and coordinates at inclined shaft/decline, horizontal drift, industrial yard, and auxiliary works compared to the investment project for exploitation, mine design, or mining area map;

c) Checking the current status of tunneling, supporting, and reinforcing works;

d) Checking the current status of exploitation at the main drift and exploitation drift.

3. Compliance with other related regulations:

a) Implementation of construction of environmental protection works; works to minimize environmental impact;

b) Synchronization of exploitation equipment currently in use; safety work, fire prevention, firefighting, rescue operations; mine accident prevention plans; drainage; posting of equipment operation procedures;

c) Installation of warning signs and guidance boards in areas with safety risks; fire and explosion prevention; mine safety rules;

d) Signs or traces of illegal mineral exploitation activities within the exploitation area boundaries.

4. In cases where there are significant discrepancies between data and information in documents, materials, reports of organizations and individuals compared to on-site inspection results, to ensure complete evidence, information, and data related to the inspection conclusion, the Head of the Inspection Team decides to carry out or request independent organizations or individuals meeting the prescribed conditions to perform the following tasks:

a) Surveying topography (supplementary) at the time of inspection to verify the accuracy of information and data on the current status map, cross-section drawing of the exploitation area; data to determine actual production volume;

b) Sampling unexploited minerals (ore) at the exploitation site, waste dump; samples before and after mineral processing/enrichment (if applicable);

c) Surveying coordinates of corner points, cross-sections, topography, technical parameters of the exploitation system (stratum height, stratum slope angle, main drift parameters, haulage drift, ventilation drift) of the exploitation area;

d) Sampling in the exploitation area to determine accompanying minerals identified in the Mineral Exploitation Permit, approved mining project, and mine design;

đ) Sampling in the exploitation area and waste dumps to check mineral quality data against the Mine Closure Plan.

Chapter IV

IMPLEMENTING PROVISIONS

Article 18. Effective Date

This Circular takes effect from January 11, 2016.

Article 19. Implementation

1. The Ministry of Natural Resources and Environment's Inspectorate, Vietnam Geological Survey, and Mineral Administration are responsible for organizing the implementation of this Circular's provisions.

2. During implementation, if there are issues regarding the content of this Circular, relevant organizations and individuals engaged in mineral activities should report to the Ministry of Natural Resources and Environment for study, amendment, and supplementation./.