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1643 CHAPTER 16.1 Site Environmental Considerations Michael G. Nelson INTRODUCTION Activities associated with mining have direct and lasting effects on both the physical and the human environments. The social, economic, and political effects in the latter category are often considered sustainability issues and are discussed briefly in this chapter. Also in the latter category are issues of worker health and safety, which are discussed in Part 15 of this handbook. Mining includes the following activities, all of which have distinct impacts on the environment: Exploration. Economic deposits are identified and their characteristics are determined to allow recovery. Development. Preparations are made for mining. Extraction. Valuable material is removed for sale or processing. Reclamation. Disturbances caused by any of the preced- ing activities are corrected or ameliorated. Closure. Activity ceases and the area is abandoned or returned to another use. This chapter will address the environmental consider- ations incumbent in the development and extraction in some detail, including the permitting process required (in almost all jurisdictions) before mining activities begin. Environmental regulations vary among the countries of the world. Most large mining companies endeavor to fol- low uniform practices at all their mines, regardless of loca- tion, and have publicly committed to follow well-articulated standards of sustainability, such as those described under “Sustainable Practices” in this chapter. However, because of the variations in regulations, it is difficult to give a detailed description of environmental requirements and practices that applies worldwide. Thus, the focus of this chapter is to give a general description of environmentally sound practices and procedures. Some of the most important are illustrated by spe- cific examples. The first example shows the approach to envi- ronmental risk assessment taken by CODELCO (Corporación Nacional del Cobre de Chile), the national copper corpora- tion of Chile, as part of its environmental management plan under the International Organization for Standardization (ISO) Standard 14001. The second example gives a descrip- tion of surface coal mining regulations in the United States, probably some of the most detailed and specific regulations in existence. The third example describes the permitting and approval process for the Safford mine, located in a historic mining area in southern Arizona (United States), and includes descriptions of the public input to this process. The fourth example describes a successful approach to early involvement of local communities in mine planning and permitting at the Diavik diamond mine, which operates in a pristine northern environment where no mining had previously occurred. HISTORIC MINING PRACTICES In the recent past, mining was done with little knowledge of its effects on the environment and, from a modern perspective, with little concern for the effects that were known. The conse- quences of this approach often resulted in significant damage to the natural environment, including (but not limited to) • Unreclaimed mine pits, shafts, tunnels, and waste piles that may result in landslides and large amounts of blow- ing dust; • Surface and groundwater that may be contaminated by solid particulates and chemical contaminants released by active and abandoned workings, or by waste piles; Abandoned pits, shafts, and tunnels that may create poten- tial falling hazards to humans, livestock, and wildlife; • Similarly, release of particulates and chemical con- taminants from mine workings or waste and spoil piles that may cause direct injury to or damage the health of humans or animals; • Erosion, with its consequent loss of soil and vegetation in and around unreclaimed workings, that may be a signifi- cant problem; and • Underground workings, current or abandoned, that may cause surface subsidence, which can result in damaged surface structures, and in fissures or escarpments that are hazardous to humans and animals (Craig et al. 2001). Examples of these kinds of mining-induced damages are readily found in any historic mining district. In fact, water Michael G. Nelson, Department Chair, Mining Engineering, College of Mines & Earth Sciences, University of Utah, Salt Lake City, Utah, USA

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CHAPTER 16.1

Site Environmental Considerations

Michael G. Nelson

INTRODUCTIONActivities associated with mining have direct and lasting effects on both the physical and the human environments. The social, economic, and political effects in the latter category are often considered sustainability issues and are discussed briefly in this chapter. Also in the latter category are issues of worker health and safety, which are discussed in Part 15 of this handbook.

Mining includes the following activities, all of which have distinct impacts on the environment:

• Exploration. Economic deposits are identified and their characteristics are determined to allow recovery.

• Development. Preparations are made for mining.• Extraction. Valuable material is removed for sale or

processing.• Reclamation. Disturbances caused by any of the preced-

ing activities are corrected or ameliorated.• Closure. Activity ceases and the area is abandoned or

returned to another use.

This chapter will address the environmental consider-ations incumbent in the development and extraction in some detail, including the permitting process required (in almost all jurisdictions) before mining activities begin.

Environmental regulations vary among the countries of the world. Most large mining companies endeavor to fol-low uniform practices at all their mines, regardless of loca-tion, and have publicly committed to follow well-articulated standards of sustainability, such as those described under “Sustainable Practices” in this chapter. However, because of the variations in regulations, it is difficult to give a detailed description of environmental requirements and practices that applies worldwide. Thus, the focus of this chapter is to give a general description of environmentally sound practices and procedures. Some of the most important are illustrated by spe-cific examples. The first example shows the approach to envi-ronmental risk assessment taken by CODELCO (Corporación Nacional del Cobre de Chile), the national copper corpora-tion of Chile, as part of its environmental management plan under the International Organization for Standardization

(ISO) Standard 14001. The second example gives a descrip-tion of surface coal mining regulations in the United States, probably some of the most detailed and specific regulations in existence. The third example describes the permitting and approval process for the Safford mine, located in a historic mining area in southern Arizona (United States), and includes descriptions of the public input to this process. The fourth example describes a successful approach to early involvement of local communities in mine planning and permitting at the Diavik diamond mine, which operates in a pristine northern environment where no mining had previously occurred.

HISTORIC MINING PRACTICESIn the recent past, mining was done with little knowledge of its effects on the environment and, from a modern perspective, with little concern for the effects that were known. The conse-quences of this approach often resulted in significant damage to the natural environment, including (but not limited to)

• Unreclaimed mine pits, shafts, tunnels, and waste piles that may result in land slides and large amounts of blow-ing dust;

• Surface and groundwater that may be contaminated by solid particulates and chemical contaminants released by active and abandoned workings, or by waste piles;

• Abandoned pits, shafts, and tunnels that may create poten-tial falling hazards to humans, livestock, and wildlife;

• Similarly, release of particulates and chemical con-taminants from mine workings or waste and spoil piles that may cause direct injury to or damage the health of humans or animals;

• Erosion, with its consequent loss of soil and vegetation in and around unreclaimed workings, that may be a signifi-cant problem; and

• Underground workings, current or abandoned, that may cause surface subsidence, which can result in damaged surface structures, and in fissures or escarpments that are hazardous to humans and animals (Craig et al. 2001).

Examples of these kinds of mining-induced damages are readily found in any historic mining district. In fact, water

Michael G. Nelson, Department Chair, Mining Engineering, College of Mines & Earth Sciences, University of Utah, Salt Lake City, Utah, USA

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contamination and abandoned waste piles left by ancient Roman mining activity in Spain resulted in rediscovery of the ore body on which Rio Tinto, one of the largest mining com-panies in the world, was founded (Raymond 1986).

In most cases, the environmental damage caused by mining was not well understood. There were some notable exceptions, such as the lawsuit in 1884 by downstream farmers against min-ing companies in California’s “Mother Lode” district. By that time (well after the initial gold rush of 1849) those companies used a method called hydraulicking, in which entire hillsides were washed away with a powerful stream of water so the gold-bearing gravels could be processed. The resulting debris clogged streams and rivers and flooded meadows and fields, causing serious damage to agriculture (Hill et al. 2001). Other early environmental lawsuits related to the mining industry were directed at smelter operators by farmers who alleged that smelter gases were damaging their crops. Such suits were filed in England in 1865 (Brubaker 1995), and in the United States in Kansas in the 1880s (Junge and Bean 2006) and in Utah in 1903 (Lamborn and Peterson 1985). While these lawsuits may have been driven more by economic concerns than by a pure concern for the environment in the abstract, they certainly addressed what today would be considered environmental issues.

The public’s expectations of the mining industry began to change in the 1950s, and by the end of the 1970s, governments in developed countries had enacted broad environmental laws that had direct bearing on all industrial activities, including mining (Kaas and Parr 1992).

Although environmental stan-

dards still vary among countries, almost all major mining companies now state as policy that they will operate all their mines, regardless of location, to first-world standards of envi-ronmental protection and worker health and safety.

SUSTAINABLE PRACTICESLeading mining companies have recently formulated, and pledged to follow, standards and principles for sustainable development of mineral resources worldwide. While not all of these principles relate directly to environmental practices, they represent a significant change in approach for the min-ing industry as a whole, a change that has already affected environmental practices in the industry. For that reason, the principles of sustainable development (as applied to mineral extraction) are discussed here.

In 1999, nine of the largest mining companies decided to embark on a new initiative intended to achieve a serious change in the way industry approached today’s problems. They called this the Global Mining Initiative. It included a program of internal reform, a review of the various associa-tions the companies belonged to, and a rigorous study of the societal issues they had to face. As a result, the International Institute for Environment and Development was commis-sioned to undertake the Mining, Minerals and Sustainable Development (MMSD) project.

Between 2000 and 2002, the MMSD project identi-fied critical issues associated with development of mineral resources in four “spheres”:

Economic sphere

• Maximize human well-being.• Ensure efficient use of all resources, natural and other-

wise, by maximizing rents.

• Seek to identify and internalize environmental and social costs.

• Maintain and enhance the conditions for viable enterprise.

Social sphere

• Ensure a fair distribution of the costs and benefits of development for all those alive today.

• Respect and reinforce the fundamental rights of human beings, including civil and political liberties, cultural autonomy, social and economic freedoms, and personal security.

• Seek to sustain improvements over time; ensure that depletion of natural resources will not deprive future generations through replacement with other forms of capital.

Environmental sphere

• Promote responsible stewardship of natural resources and the environment, including remediation of past damage.

• Minimize waste and environmental damage along the whole of the supply chain.

• Exercise prudence where impacts are unknown or uncertain.

• Operate within ecological limits and protect critical natu-ral capital.

Governance sphere

• Support representative democracy, including participa-tory decision making.

• Encourage free enterprise within a system of clear and fair rules and incentives.

• Avoid excessive concentration of power through appro-priate checks and balances.

• Ensure transparency through providing all stakeholders with access to relevant and accurate information.

• Ensure accountability for decisions and actions, which are based on comprehensive and reliable analysis.

• Encourage cooperation in order to build trust and shared goals and values.

• Ensure that decisions are made at the appropriate level, adhering to the principle of subsidiarity where possible.

In 2001, the board of the metals industry’s representa-tive organization, the International Council on Metals and the Environment agreed to broaden the group’s mandate and trans-form itself into the International Council on Mining and Metals (ICMM).

In 2002, ICMM member companies signed the Toronto Declaration committing ICMM to continue the work started by the MMSD project and engage in constructive dialogue with key stakeholders, and in 2003, the International Council on Mining and Metals committed corporate members to imple-ment and measure their performance against the ten principles shown in Table 16.1-1 (ICMM 2006).

Initially there was considerable debate in the min-ing community regarding the concepts of sustainability as applied to mineral extraction (NWMA 2002). Some argued that, because mineral resources are by nature finite, mineral extraction can never be truly sustainable. However, these concepts have in general been adopted by most of the mining industry, and they influence corporate practices in all areas of mining activity.

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Table 16.1-1 ICMM’s ten principles

1. Implement and maintain ethical business practices and sound systems of corporate governance.• Develop and implement company statements of ethical business

principles, and practices that management is committed to enforcing.• Implement policies and practices that seek to prevent bribery and

corruption.• Comply with or exceed the requirements of host-country laws and

regulations.• Work with governments, industry and other stakeholders to achieve

appropriate and effective public policy, laws, regulations and procedures that facilitate the mining, minerals and metals sector’s contribution to sustainable development within national sustainable development strategies.

2. Integrate sustainable development considerations within the corporate decision-making process.• Integrate sustainable development principles into company policies and

practices.• Plan, design, operate and close operations in a manner that enhances

sustainable development.• Implement good practice and innovate to improve social, environmental

and economic performance while enhancing shareholder value.• Encourage customers, business partners and suppliers of goods and

services to adopt principles and practices that are comparable to our own.

• Provide sustainable development training to ensure adequate competency at all levels among our own employees and those of contractors.

• Support public policies and practices that foster open and competitive markets.

3. Uphold fundamental human rights and respect cultures, customs and values in dealings with employees and others who are affected by our activities.• Ensure fair remuneration and work conditions for all employees and do

not use forced, compulsory or child labor.• Provide for the constructive engagement of employees on matters of

mutual concern.• Implement policies and practices designed to eliminate harassment and

unfair discrimination in all aspects of our activities.• Ensure that all relevant staff, including security personnel, are provided

with appropriate cultural and human rights training and guidance.• Minimize involuntary resettlement, and compensate fairly for adverse

effects on the community where they cannot be avoided.• Respect the culture and heritage of local communities, including

indigenous peoples.

4. Implement risk management strategies based on valid data and sound science.• Consult with interested and affected parties in the identification,

assessment and management of all significant social, health, safety, environmental and economic impacts associated with our activities.

• Ensure regular review and updating of risk management systems.• Inform potentially affected parties of significant risks from mining,

minerals and metals operations and of the measures that will be taken to manage the potential risks effectively.

• Develop, maintain and test effective emergency response procedures in collaboration with potentially affected parties.

5. Seek continual improvement of our health and safety performance.• Implement a management system focused on continual improvement

of all aspects of operations that could have a significant impact on the health and safety of our own employees, those of contractors and the communities where we operate.

• Take all practical and reasonable measures to eliminate workplace fatalities, injuries and diseases among our own employees and those of contractors.

• Provide all employees with health and safety training, and require employees of contractors to have undergone such training.

• Implement regular health surveillance and risk-based monitoring of employees.

• Rehabilitate and reintegrate employees into operations following illness or injury, where feasible.

6. Seek continual improvement of our environmental performance.• Assess the positive and negative, the direct and indirect, and the

cumulative environmental impacts of new projects—from exploration through closure.

• Implement an environmental management system focused on continual improvement to review, prevent, mitigate or ameliorate adverse environmental impacts.

• Rehabilitate land disturbed or occupied by operations in accordance with appropriate post-mining land uses.

• Provide for safe storage and disposal of residual wastes and process residues.

• Design and plan all operations so that adequate resources are available to meet the closure requirements of all operations.

7. Contribute to conservation of biodiversity and integrated approaches to land use planning.• Respect legally designated protected areas.• Disseminate scientific data on and promote practices and experiences

in biodiversity assessment and management.• Support the development and implementation of scientifically sound,

inclusive and transparent procedures for integrated approaches to land use planning, biodiversity, conservation and mining.

8. Facilitate and encourage responsible product design, use, reuse, recycling and disposal of our products.• Advance understanding of the properties of metals and minerals and

their life-cycle effects on human health and the environment.• Conduct or support research and innovation that promotes the use of

products and technologies that are safe and efficient in their use of energy, natural resources and other materials.

• Develop and promote the concept of integrated materials management throughout the metals and minerals value chain.

• Provide regulators and other stakeholders with scientifically sound data and analysis regarding our products and operations as a basis for regulatory decisions.

• Support the development of scientifically sound policies, regulations, product standards and material choice decisions that encourage the safe use of mineral and metal products.

9. Contribute to the social, economic and institutional development of the communities in which we operate.• Engage at the earliest practical stage with likely affected parties

to discuss and respond to issues and conflicts concerning the management of social impacts.

• Ensure that appropriate systems are in place for ongoing interaction with affected parties, making sure that minorities and other marginalized groups have equitable and culturally appropriate means of engagement.

• Contribute to community development from project development through closure in collaboration with host communities and their representatives.

• Encourage partnerships with governments and non-governmental organizations to ensure that programs (such as community health, education, local business development) are well designed and effectively delivered.

• Enhance social and economic development by seeking opportunities to address poverty.

10. Implement effective and transparent engagement, communication and independently verified reporting arrangements with our stakeholders.• Report on our economic, social and environmental performance and

contribution to sustainable development.• Provide information that is timely, accurate and relevant.• Engage with and respond to stakeholders through open consultation

processes.

Source: ICMM 2006, © International Council on Mining and Metals.

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ENVIRONMENTAL MANAGEMENT SYSTEMSISO 14001, issued in 2004, provides standards by which a community or organization may put in place and implement a series of practices and procedures that, when taken together, result in an environmental management system (EMS).

An EMS is one part of an organization’s larger manage-ment system. The EMS is used to establish an environmental policy and to manage the environmental aspects of the organiza-tion’s activities, products, and services. A management system is a network of interrelated elements that include responsibili-ties, authorities, relationships, functions, processes, procedures, practices, and resources. A management system uses these ele-ments to establish policies and objectives and to develop ways of applying these policies and achieving these objectives.

ISO 14001 is a detailed document comprising many pages. It describes systemic, policy, planning, operational, and com-pliance requirements. Table 16.1-2 outlines those requirements.

ISO 14001 is not a technical standard and thus does not in any way replace technical requirements embodied in stat-utes or regulations. It also does not set prescribed standards of

performance for organizations. However, ISO certification or equivalent has become a critical component to acceptance by environmental agencies, nongovernmental organizations, and funding organizations.

The following example shows how a large mining com-pany (CODELCO) complies with part of ISO 14001.

Example 1. Identification and Evaluation of Environmental ConsequencesCODELCO adopted a sustainable development policy in June 2003 (CODELCO 2009). In December 2006, the com-pany issued the Corporate Directive for Identification of Environmental Aspects and Evaluation of the Risk of Their Impacts (CODELCO 2006), providing a detailed and system-atic method for assessing environmental risk, which is applied to all projects and activities in the corporation. The directive includes the following steps:

1. Identification of unit operations or activities, routine and nonroutine, past, present, and future.

Table 16.1-2 ISO 14001 standards

Systemic requirementsa. Establish, document, implement, maintain, and continually improve an

environmental management system in accordance with the standard.Policy requirementsa. Establish, define, document, implement, maintain, and communicate the

organization’s environmental policy. Planning requirementsa. Establish, implement, document, and maintain procedures to identify the

environmental aspects of all activities, products, and services.b. Establish, implement, and maintain procedures to identify and clarify

the legal and other requirements that apply to the organization’s environmental aspects.

c. Establish, implement, and maintain environmental objectives and targets.d. Establish, implement, and maintain programs to achieve environmental

objectives and targets.Operational requirementsa. Personnel and resources

i. Provide the resources needed to establish, implement, maintain, and improve the environmental management system.

ii. Define, document, and communicate environmental management roles, responsibilities, and authorities.

iii. Appoint someone to assume the role of management representative.b. Training

i. Ensure competency of those who perform tasks that could have a significant environmental impact by identifying training needs, delivering training programs, and maintaining records of training activities.

ii. Establish, implement, and maintain a procedure to make people aware of the organization’s environmental management system.

c. Communicationi. Establish, implement, and maintain procedures to control

the organization’s internal and external environmental communications.

ii. Document the organization’s environmental policy, objectives, and targets, and the main parts of its environmental management system.

iii. Describe how the parts of the organization’s environmental management system interact.

d. Documentsi. Control all environmental management documents and records

required by the ISO 14001:2004 standard.ii. Establish, document, implement, and maintain procedures to

manage and control operational situations that could have significant environmental impacts.

iii. Establish, document, implement, and maintain procedures to control significant environmental aspects of goods and services provided by suppliers and contractors.

e. Emergency situationsi. Establish, implement, and maintain procedures for potential

emergency situations and accidents that could have an impact on the environment.

ii. Establish, implement, and maintain procedures to respond to actual emergency situations and accidents that have an impact on the environment.

iii. Test environmental emergency response procedures.iv. Respond to actual environmental emergencies and accidents.v. Prevent or mitigate the adverse environmental impacts that

emergencies and accidents can and do cause.vi. Review and revise environmental emergency preparedness and

response procedures.Compliance requirementsa. Measurement and monitoring

i. Establish, implement, and maintain procedures to monitor and measure the operational characteristics that could have a significant impact on the environment.

ii. Use and maintain calibrated or verified environmental monitoring and measuring equipment.

iii. Keep a record of environmental monitoring and measuring activities.b. Documentation

i. Establish, implement, and maintain a procedure to periodically evaluate how well the organization complies with all relevant legal and other environmental requirements.

ii. Record the results of the organization’s legal and other environmental compliance evaluations.

c. Dealing with nonconformitiesi. Establish, implement, and maintain nonconformance management

procedures.ii. Change documents when nonconformities make it necessary.

d. Controlling recordsi. Establish environmental records for the organization.ii. Establish, implement, and maintain procedures to control the

organization’s environmental records.e. Internal audits

i. Establish, implement, and maintain an environmental management audit program and procedures.

ii. Conduct internal audits of environmental management system.iii. Report internal audit results to management.

f. Environmental management reviews.i. Review the suitability, adequacy, and effectiveness of the

environmental management system.ii. Assess whether or not the organization’s environmental management

system, policy, objectives, or targets should be changed.iii. Keep a record of all environmental reviews.

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Site Environmental Considerations 1647

2. Identification of all the inputs and outputs for each unit operation or identified activity.

3. Identification of the environmental aspects associated with the inputs and outputs of each unit operation or iden-tified activity.

4. Identification of the potential associated environmental impacts of each identified environmental aspect.

5. Evaluation of the environmental risk, as determined by the probability of occurrence of each potential identified impact, as a function of its frequency, and the conse-quences of that impact on the environment, as a function of its reversibility and extent.

6. Determination of the magnitude of environmental risk (MRA, for the Spanish magnitud del riesgo ambiental), according to the probability and consequences, for each potential impact identified.

7. Determination of the degree of significance of each envi-ronmental aspect, according to the value of the MRA for that aspect.

The directive follows ISO 14001:2004 and distinguishes between environmental aspects and environmental impacts. An environmental aspect is an element of the activities, prod-ucts, or services of one organization that can interact with the environment; environmental impact is any change in the envi-ronment, whether adverse or beneficial, wholly or partially resulting from environmental aspects of an organization.

The process begins with generation of the process map for each level in a given work center, using the environmental

impacts as the main elements. This allows the direction of the process and any associated equipment to achieve common objectives aligned with the corporate standards. Here, the term process includes any activity of production, service, or administration and is defined as a sequence of activities that effect the transformation of certain inputs, with the use of cer-tain resources, labor, goods, and services, to satisfy those who receive or use the process output. A process map is defined as a diagrammatic representation of a process in the abstract, showing connections among constituent activities and flows of material, energy, or information, and designed to facilitate understanding and analysis of the processes. Figure 16.1-1 shows a process map for the identification of significant envi-ronmental aspects.

In the identification of unit operations and activities, when there are areas or activities that are not defined within a specific organizational unit or may be subject to overlapping jurisdictions, the environmental management representative in charge of environmental affairs, together with the leaders of those areas or activities, define the allocation of responsibility for assessment of environmental risk.

In the identification of inputs and outputs, the responsi-ble personnel examine each unit operation or activity (routine and nonroutine, past, present, and future). They identify all the inputs, including raw materials, resources, consumables, intermediate or recycled products, energy, services, and in general everything that the unit operation or activity receives from the preceding unit operation. Similarly, they identify all

Identification of Unit Operations or Activities, Routineand Nonroutine, Past, Present, and Future

Identification of the Inputs and Outputs for Unit Operations or Activity Identified

Identification of the Environmental Aspectsfor Each Input and Output

Identification of the Environmental Impacts Associatedwith Each Environmental Aspect Identified

Determination of the Environmental Risk MagnitudeMRA = P × C

Determination of the Significance Level for EachEnvironmental Aspect Identified

Determination of the Probability of Occurrence (P)for Each Environmental Impact Identified

Determination of the Consequences of Occurrence (C )for Each Environmental Impact Identified

1 ≤ MRA ≤ 8The Environmental Aspect Is Not Significant

16 ≤ MRA ≤ 64, or C = 8The Environmental Aspect Is Significant

Courtesy of CODELCO.Figure 16.1-1 Process for identifying significant environmental aspects

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1648 SME Mining Engineering Handbook

the outputs, including products sent to market, intermediate products, services to third parties, wastes and residues, and in general everything that the unit operation or activity delivers to subsequent unit operations or activities. The output of one unit operation or activity may often be the input to the next operation. In such cases, the line executive and the environ-mental management coordinators of both areas must define which operation is responsible for the identification of envi-ronmental aspects and the potential environmental impacts associated with this process flow, including the discharge, transport, required surge storage, and so on.

When identifying the environmental aspects, it is important to consider that different aspects can be associated with each operation or activity, not just for those performing the immedi-ate task but for third parties. An example is the incorrect execu-tion of a maintenance task, which may have effects on both the maintenance worker and on those who use the equipment after maintenance. The identification of these environmental aspects should consider (1) activities of all personnel who have access to the workplace, including contractors, suppliers, and visitors; (2) work in areas provided by the company and by third parties; and (3) activities that interact with other resources or protected areas, including tourist attractions, landscapes, or archaeologi-cal, anthropological, historical, or cultural heritage sites.

The probability of occurrence of an environmental impact, P, is evaluated according to Table 16.1-3, and the conse-quences of an environmental impact are evaluated according to Table 16.1-4. Next, for each identified environmental impact, the corresponding value in Table 16.1-5 is calculated as the product of the probability and the consequence for that impact.

Finally, the significance of the environmental aspects that give rise to each environmental impact is determined from Table 16.1-6. There are two conditions under which an envi-ronmental aspect is classified as significant: when the MRA is 16 or higher, or when the consequences of an associated environmental impact are high.

Figure 16.1-2 shows an example of a worksheet used to assess environmental risk by CODELCO’s vice president of corporate projects, Office of Sustainable Development (E. Córdova, personal communication). The first column of the worksheet is prepared by listing every function or activity associated with a given project, in this case, the development of the Pilar Norte (the North Pillar) sector of the El Teniente deposit. The second column is completed with the environ-mental aspects and affected areas for each function or activity as identified by project personnel.

The sheet, with its first two columns completed, is circu-lated to experts within the company, each of whom assigns a value of 1, 2, 4, or 8 to the probability and the consequence of each environmental aspect in the second column. This proce-dure is similar to that used for hazard identification and risk assessment in the workplace (Chapanis 1986; Colling 1990). The product of the probability and the consequence agreed on for each aspect determines whether the aspect is significant or insignificant, according to the procedures and criteria described previously. Aspects with significant environmental aspects are addressed as priorities in project planning and management.

Table 16.1-3 Evaluation criteria for the probability of occurrence of an environmental impact

Criterion: Occurrence of the Impact, as a Function of Its Frequency Value

Prob

abili

ty (P

)

The impact always occurs in association with a given activity, or the impact happens often or frequently.

High (8)

The impact is expected to occur sometimes, or the impact is known to have occurred on some occasions.

Medium (4)

The impact is expected to occur on one occasion, or the impact is known to have occurred on one occasion.

Low (2)

Occurrence of the impact is highly unlikely, or the impact has never occurred.

Negligible (1)

Courtesy of CODELCO.

Table 16.1-4 Evaluation criteria for consequences of the occurrence of an environmental impact

Criterion: Description of the Impact Based on Its Reversibility and Extent Value

Cons

eque

nce

(C)

The alteration of the original environmental conditions is considered irrecoverable, or the extension of the impact exceeds the limits for the area of direct and indirect influence of the project activity, or it significantly alters environmental conditions, and it cannot be attenuated.

High (8)

The alteration of the original environmental conditions is considered to be 50%–90% recoverable, or the extent of the impact does not exceed the limit of the area of direct and indirect influence of the project of activity, or the impact significantly alters or has the potential to alter environmental conditions, but the effects can be mitigated by 50%–90%.

Medium (4)

The alteration of the original environmental conditions is expected to be minor or transitory, or the possible alteration can, with appropriate control measures, be transitory or reduced to minor levels, or the environmental impacts occur only within the company property.

Low (2)

The alterations in the original condition will not result in any noticeable changes to the environment, or it will be possible to minimize any alterations so they will be imperceptible, or controlled completely.

Negligible (1)

Courtesy of CODELCO.

Table 16.1-5 Values for environmental risk magnitude

MRA

Consequences (C )

Negligible (1) Low (2) Medium (4) High (8)

Prob

abili

ty (P

) Negligible (1) 1 2 4 8

Low (2) 2 4 8 16

Medium (4) 4 8 16 32

High (8) 8 16 32 64

Courtesy of CODELCO.

Table 16.1-6 Significance criteria for environmental aspects

MRA = P × C

Classification of Environmental

Impact

Significance of Environmental Aspect Leading to

Environmental Impact

1–8 Insignificant Insignificant

16–64 Significant Significant

Consequence 8 Significant Significant

Courtesy of CODELCO.

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ENVIRONMENTAL REPORTINGThe conveyance of information is critical at all phases of a mining project. All of the people and institutions with an inter-est in how the project is conducted should be well informed of the ongoing plans for and progress with the project. MMSD addressed the issue of access to information in a report titled Breaking New Ground (MMSD 2002):

Information flow is essential in a sustainable stake-holder society. Information comes in different forms and is of variable quality. Information about a company and its operations is used by a range of actors, such as communities, investors, employees, lenders, suppliers, and customers, often through appropriate accounting and reporting procedures

Function or Environmental AffectedActivity Aspect Area

Particulate emissions Work area 8 1 8 Not significantGas emissions Work area 8 1 8 Not significantFuel consumption Work area 8 1 8 Not significantPotential for spills Ground & air/Work area 4 4 16 SignificantGeneration of hazardous solid residues Work area 8 2 16 SignificantWelding gas discharge Work area 8 1 8 Not significantGeneration of any solid residues Work area 8 2 16 SignificantPotential for spills of hazardous materials Ground & air/Work area 4 4 16 SignificantElectrical energy consumption Natural resources 4 1 4 No SignificantGeneration of non-process wastewater Agua o Suelo 1 4 4 Not significantGeneration of trash and other wastes Work area 4 1 4 Not significantGeneration of any solid residues Work area 4 2 8 Not significantPotable water consumption Natural resources 4 1 4 Not significantWelding gas discharge Work area 4 1 4 Not significantGeneration of any solid residues Work area 8 2 16 SignificantElectrical energy consumption Natural resources 4 1 4 Not significantWater consumption Natural resources 8 1 8 Not significantPotential for spills of hazardous materials Ground & air/Work area 4 4 16 SignificantGeneration of any solid residues Work area 8 2 16 SignificantElectrical energy consumption Natural resources 4 1 4 Not significantGeneration of any solid residues Work area 8 2 16 SignificantElectrical energy consumption Natural resources 4 1 4 Not significantWater consumption Natural resources 8 1 8 Not significantPotential for spills of non-hazardous materials Ground & air/Work area 4 4 16 SignificantGeneration of hazardous solid residues Work area 8 2 16 SignificantElectrical energy consumption Natural resources 4 1 4 Not significantGeneration of any solid residues Work area 8 2 16 SignificantElectrical energy consumption Natural resources 4 1 4 Not significantWater consumption Natural resources 8 1 8 Not significantPotential for spills of non-hazardous materials Ground & air/Work area 4 4 16 SignificantGeneration of any solid residues Work area 8 2 16 SignificantElectrical energy consumption Natural resources 4 1 4 Not significantWater consumption Natural resources 8 1 8 Not significantPotential for spills of hazardous materials Ground & air/Work area 4 4 16 SignificantPotential for spills of non-hazardous materials Work area 4 2 8 Not significantElectrical energy consumption Natural resources 4 1 4 Not significantWater consumption Natural resources 8 1 8 Not significantEmission of welding gases Work area 4 1 4 Not significantPotential for spills of non-hazardous materials Work area 8 2 16 SignificantElectrical energy consumption Natural resources 4 1 4 Not significantWelding gas discharge Work area 4 1 4 Not significantPotential for spills of non-hazardous materials Work area 4 2 8 Not significantElectrical energy consumption Natural resources 4 1 4 Not significantGeneration of any solid residues Work area 8 2 16 SignificantPotential for spills of hazardous materials Ground & air/Work area 4 4 16 Significant

Installation of ventilation fans Potential for spills of non-hazardous materials Work area 4 2 8 Not significantPotential for spills of non-hazardous materials Work area 8 2 16 SignificantElectrical energy consumption Natural resources 4 1 4 Not significantGeneration of any solid residues Work area 8 2 16 SignificantElectrical energy consumption Natural resources 4 1 4 Not significantWater consumption Natural resources 8 1 8 Not significantPotential for spills of hazardous materials Ground & air/Work area 4 4 16 SignificantGeneration of any solid residues Work area 8 2 16 SignificantElectrical energy consumption Natural resources 4 1 4 Not significantPotential for spills of hazardous materials Ground & air/Work area 4 4 16 SignificantGeneration of any solid residues Work area 8 2 16 SignificantElectrical energy consumption Natural resources 4 1 4 Not significantPotential for spills of hazardous materials Ground & air/Work area 4 4 16 SignificantEmission of welding gases Work area 4 1 4 Not significantGeneration of any solid residues Work area 8 2 16 SignificantElectrical energy consumption Ground & air/Work area 4 1 4 Not significantWater consumption Work area 8 1 8 Not significantPotential for spills of hazardous materials Work area 4 4 16 SignificantGeneration of any solid residues Work area 8 2 16 SignificantElectrical energy consumption Natural resources 4 1 4 Not significantPotential for spills of hazardous materials Work area 4 4 16 Significant

Installation of hydraulic breakers with hydraulic power systems and control panels

Installation and assembly of ventilation doors

Installation of compressed air system

Classification

Handling hazardous materials

Operation of diesel equipment

Probability Consequence Magnitude

Foundations and other concrete structures for hydraulic breakers

Electical cables, cableways, and lights

Installation of fire prevention system

Installation of industrial water system

Installation of water system for fire control

Installation of hydraulic power system

Installation of steel arch-type roof supports

Modification and reconditioning of equipment washdown areas

Construction of civil and electrical maintenance shops

Installation of bridge crane

Installation of water treatment (de-acidification) plant

Installation of air compressors and lubrication systems

Equipment maintenance and repair

Installation of workplace utilities and structures

Civil, mechanical, and electrical area control rooms; emergency drifts; main electrical room; transformer room; air shaft connections at level; extraction drift connections at level; hydraulic breaker foundations and control rooms; fan rooms

Courtesy of CODELCO. Figure 16.1-2 Identifying and evaluating environmental effects of projects

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based on defined indicators and measurement tech-niques. Within the industry, information is used by management to monitor performance efficiency and the impacts of operations. At the exploration phase, accurate geoscientific data and maps are crucial.

The working group that prepared Breaking New Ground held a workshop in 2001 in Vancouver. The workshop pro-vided the opportunity to discuss the information used in preparing the report and examine how that information was viewed and handled by the mining industry. It was concluded that information often fails to flow to communities in a timely and transparent fashion, that disclosure practices often fall short of current best practice, and that one-size-fits-all systems of public reporting or a global reporting standard would be an extremely difficult initiative to develop. The distinct nature of specific mines, projects, companies, locations, and commu-nities means that a different mix of indicators, metrics, and evaluations is needed. One effective way of scoping the need for information around any project is to ask the community what they need to know in considering project proposals.

The ISO 14001 standard includes disclosure as an out-come of the environmental auditing and management systems. The standard mainly addresses internal environmental man-agement systems. Certain items within the standard refer in general terms to external communications as part of an orga-nization’s EMSs.

There are also voluntary initiatives to standardize the way corporations convey information. Most closely examined by the MMSD was the Global Reporting Initiative (GRI). It was convened in 1997 by the Coalition for Environmentally Responsible Economies “to make sustainability reporting as routine and credible as financial reporting in terms of compa-rability, rigour and verifiability” through “designing, dissemi-nating and promoting standardized reporting practices, core measurements and customized sector specific measurements.” The GRI Sustainability Reporting Guidelines suggest that reports include a CEO statement; key indicators; a profile of the reporting entity; policies, organization, and management systems; management performance; operational and product performance; and a sustainability overview (GRI 2009).

SOUND ENVIRONMENTAL PRACTICESPast publications have provided detailed descriptions of envi-ronmental regulations and permitting procedures for a given location―often the United States. In this chapter, a more gen-eral approach is taken by describing the principles of sound environmental practice, which can and should be applied in any political jurisdiction. However, some examples of regulations and accepted practice are given for illustrative purposes.

Before discussing the individual activities involved in mining, it is important to point out that, in general, mining activities should be conducted with the future in mind. This will not only minimize the environmental effects of each activity, but will also result in significant cost savings. This approach will lead to some considerations that are very broad and apply to almost all projects. For example,

• Government officials and all residents in the area of the proposed mine should be well informed of and directly involved in all project plans from the beginning. Such involvement will help address the concerns of local people as they occur and may well obviate formal objections when permit applications are filed; and

• The overall mine plan should include consideration of the requirements of reclamation and restoration. Placement of waste piles, tailings ponds, and similar materials should be carefully planned to minimize rehandling of material.

At the same time, other considerations will be specific to a given project. For example,

• Design and location of roads developed for exploration should consider future needs for mining and process-ing. This will minimize unnecessary road building and decrease effects on the local ecosystem; and

• When containment ponds are required for drilling fluids or cuttings, con sideration should be given to the future use of those ponds for tailings impoundment, storm water catchment, or settling ponds.

The mining operation should be thoroughly planned, in consultation with govern ment agencies and people living in the region. Historic, cultural, and biological resources should be identified, and plans made for their protection. This is espe-cially important in areas where indigenous people have little exposure to the technologies used in mining. Mining compa-nies should take the appropriate steps to ensure that the indig-enous people understand the mining plans. The indigenous peoples’ values and land-use practices must be understood, and steps must be taken to protect them. In some locations, this will necessitate the involvement of anthropologists, soci-ologists, and other experts. It may also require a planning and approval process that differs from those to which the company is accustomed. For example, some indigenous peoples make decisions by group consensus, necessitating large community meetings that may last for several days.

Mine DevelopmentDevelopment is the preparation of the facilities, equipment, and infrastructure requi red for extraction of the valuable min-eral material. It includes land acquisition, equipment selection and specification, infrastructure and surface facilities design and construction, environmental planning and permitting, and initial mine plan ning.

Hunt (1992) provided a useful checklist for mine develop-ment projects in the form of a questionnaire (see Table 16.1-7). While some aspects of this list are specific to operations in the United States, its breadth and detail make it a worthwhile resource for almost any mining project. It includes consider-ations for projects in areas where no mining has occurred, for projects in previously mined areas, and for expansion projects at operating mines.

Infrastructure and Surface Facilities Design and ConstructionInfrastructure and surface facilities may include all of the following:

• Roads and railroads• Power plants, electric power lines, and substations• Fuel supply lines and tank farms• Dams, diversions, reservoirs, groundwater well fields,

water supply lines, water tanks, and water treatment plants• Sewage lines and sewage treatment plants• Maintenance shops• Storage sheds and warehouses• Office buildings, parking lots, shower facilities, and

changehouses

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Site Environmental Considerations 1651

• Worker accommodations (housing, cafeteria, infirmary, and recreation facil ities)

• Houses for pumps, fans, and hoists• Waste piles and impoundments• Ponds for catchment of surface and groundwater, and

mine drainage• Industrial and household waste landfills

Six general environmental considerations apply to the design and construction of surface facilities and infrastructure:

1. Select locations of surface structures and infrastructure to minimize the effects of their construction and use on surface water, groundwater, plant and animal ecosystems, and nearby human habitation. Surface structures and infrastructure include roads, railroads, and power lines, for example.

2. Remove and store topsoil for future use from areas that will be later reclaimed.

3. Control runoff so that water exiting the boundaries of the per-mitted mine site is captured and treated as required to meet applicable discharge standards. Many jurisdictions permit mines as zero-discharge facilities, meaning that all water or solid waste is contained within the permitted mine area.

4. Protect surface water and wetlands. Because these fea-tures may exist directly over mineral reserves, their relo-cation may be necessary.

5. Revegetate disturbed areas. Recontour the land to a defined standard and revegetate with an approved mix of seeds and plantings.

6. Control emissions of dust and noise to meet the require-ments of local regulations and the reasonable expectations of persons living nearby. In particular, if explosives are used, control air blast and ground vibration as required.

Specific considerations for some surface facilities or infrastructure include

• Maintenance shops should be designed to avoid contami-nation of soil and water by spilled fuel and lubricants;

• Surface facilities should be designed to minimize energy consumption, using solar water heating and alternative electric power generation wher ever possible; and

• Surface facilities should also be designed architecturally to harmonize with the natural surroundings in the locale.

Environmental Planning and PermittingThe forward-thinking approach mentioned earlier is espe-cially important in envi ronmental planning and permitting. In the permitting process, careful planning is imperative, so that information is gathered efficiently, the applications submit-ted to regulators meet all requirements, including timely sub-mission, and mine planning costs are minimized by avoiding redesign required after agency review. As pointed out by Hunt (1992), “One of the most serious deficiencies encountered by many operators in the permitting process is to fail to ade-quately plan the time required to collect baseline data and to provide for public and agency review of applications.”

Hunt

goes on to list the major tasks and activities required during early phases of environmental planning:

• Identification of the regulatory agencies that will be responsible for per mitting the proposed mining operation

• Acquisition of all necessary permitting forms and copies of applicable regulations

• Identification of possible legal or technical restrictions that may make approval difficult or require special atten-tion in the permitting process

• Identification of environmental resources information that will be required and the development of a plan and schedule for collection of the required data

Development of a comprehensive permit plan during the initial stages of mine development is critical. The plan should identify predecessor information that must be generated at each stage in the permitting, thereby identifying critical path issues and potential bottlenecks. A Gantt chart is often used for this purpose. For example, if the groundwater discharge permit for the tailing impoundment takes 2 years, and the design must be submitted with the application, the mine may need to move the “design tailing impoundment” task up on the schedule. It is recommended that an environmental per-mitting specialist be tasked with preparing the comprehen-sive permit plan.

After preliminary planning, permit applications must be completed. Many juris dictions require a detailed environmen-tal audit, which is then described in a report, often called an environmental impact statement, or EIS. Depending on local regulations, the EIS may be issued for public review and com-ment. Topics covered in an EIS usually include the following 19 areas:

1. Permits required and permitting status2. Ownership of surface and mineral rights3. Ownership of the company or companies that will be

operating the mine, including contractors4. Previous history of the entities described in Item 35. Information on archaeological, historical, and cultural

resources within the planned mine site and adjacent areas6. Hydrology of the mine site and adjacent areas, including

the presence of potential pollutants and plans for dealing with them

7. Potential for dust and air pollution, and plans for mitigation8. Plans for use and control of explosives9. Plans for disposal of mine waste, including methods for

controlling dust generation, slope stability, and seepage of contaminated water

10. Plans for impoundments, and methods for preventing failure or overtop ping

11. Plans for construction of backfilled areas during mining, and for back filling of mine excavations when mining is finished, including methods for preventing slides or other instability

12. Potential for surface subsidence, both immediate and long term, and pro posed methods of preventing subsid-ence or compensating for its negative effects

13. Potential for fires in mine workings, at outcrops, and in spoil piles, and methods for prevention and control of such fires

14. Planned use of injection wells or other underground pumping of fluids

15. Information on previous mine workings, plans for reclaiming previous workings, and description of how the planned workings will interact with previous workings

16. Socioeconomic impact analysis17. Visual impact analysis18. Noise impact analysis19. Biological assessment and impact analysis

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Table 16.1-7 Environmental audit checklist

Category Checklist Items

Permits � Provide a list of all permits existing, applied for, and in preparation for the mine. Indicate the current status of each permit. � If the mine has National Pollutant Discharge Elimination System permits, air permits, waste permits, water withdrawal permits,

or other permits, include a listing of each applicable permit. � Are any additional permits required for the facility but not already obtained? � Were any citizen protests or comments filed on any of the permits? If so, describe the issues raised. � What is the status of the bond on each permit? Indicate the amount of bonding liability under each permit.

Surface and mineral rights information

� Is the surface property owned or controlled by the mining company? � Does the mine have a specific written agreement with each surface owner pertaining to and providing applicable rights to

the surface? � If the mine is an underground mine, do the surface rights specifically include language that says the company has the right to

subside? � Has the mine ever received any complaints from a surface owner or any of the surrounding landowners? Indicate the nature

of any complaint received. � With respect to mineral rights, has there ever been a claim made suggesting that the mining company does not have

complete and full mineral rights? � Have any other entities been granted access rights to the property that may conflict with the rights to extract the mineral

(e.g., oil wells, pipelines, utility easements, etc.)?

Ownership and violation information

� Is the mine permit held by any company not owned and controlled 100% by the operator? � Is the mine permit being held by an independent contractor? � Is the mine operation being conducted by any company not owned and controlled 100% by the permittee? � Is the mine being operated by an independent contractor? Give a a brief summary of applicable relation. � If the mine is permitted by or being operated by an independent contractor, has a review been completed of the contractor’s

violation history with regard to any other mines potentially affiliated with the contractor? � If the mine is permitted by or being operated by an entity only partially owned, has a review been completed of the

contractor’s violation history with regard to any other mines potentially affiliated with the other parties? � How is the relationship between mine personnel and the mine inspectors (excellent, good, poor)? If poor, please describe the

problems encountered. � Have there been any citizen complaints filed on the mine? If so, please describe the complaints filed.

Information on archaeological sites, cemeteries, etc.

� Within the permit area and adjacent areas, including the area over existing, past, and proposed underground workings, does the mine contain any of the following features?• Are there any federal lands? Indicate the type of federal land involved.• Is there any archaeological or historical site that has been previously identified? Indicate the type of site involved.• Are there public roads where there is not a specific written approval for mining through or under the public road by the

agency that has jurisdiction over the road?• Are there occupied dwellings where there is not a specific written waiver from the owner of the occupied dwelling?• Are there any public buildings, schools, churches, community, or institutional buildings?• Are there any public parks?• Are there any public or private cemeteries?

Hydrology � Has the mine obtained all necessary water discharge permits? � Is the mineral being mined associated with potential pollutants, such as high-sulfur-bearing strata? � Has the mine ever experienced any difficulties with poor-quality mine drainage? Briefly describe the situation encountered. � Does any of the mine water need to be treated to meet effluent limitations or other applicable standards? � Has any poor-quality mine drainage been observed on any part of the permit area, in any of the surrounding areas, whether

associated with the mine or not? � Have any of the surrounding landowners or occupants ever complained about loss of water or the mine contaminating their

water supplies? � Is the water used by surrounding landowners of poor quality? For example, is the water discolored, does it have a bad odor

or bad taste, or are there other problems with water quality in the area? � Has the mine ever had any complaints about the water level in streams increasing or decreasing, or the fish population in

streams increasing or decreasing? � Are there any in-stream treatment facilities or in-stream sediment ponds associated with the mine? � Are there any wetland areas, wet areas with cattails, or similar aquatic vegetation that could be considered wetlands, within

the vicinity of the mine?

Air pollution � Has the mine obtained all the necessary quality permits? � Have there been complaints about dust or air quality discharges from the mine? � Are mine haul trucks covered with tarps to minimize dust and to prevent material from falling off? � Is there a program for controlling dust and air pollution from the mine?

Explosives � Has the mine had any complaints from landowners pertaining to blasting or the use of explosives? � Is the mine access limited because of topographic conditions, or is it possible for local people to obtain unauthorized access

to the mine site? � If it is possible for unauthorized persons to obtain access to the site, what measures are currently taken to control this access? � Are any personnel other than trained mine personnel allowed within the mine pit or the mine property in an area that may

ever be subject to blasting?

(continues)

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Table 16.1-7 Environmental audit checklist (continued)

Category Checklist Items

Waste disposal � Does the operation include a facility for the disposal of mine waste? � Have there ever been any discolored or bad-quality water seeps from the waste pile? � Does the groundwater indicate any levels of pollution from the waste pile? � What is the worst-case chemical analysis for the waste material being disposed of at the mine? � Have there ever been any signs of slumping or instability of the waste pile? � Does the waste pile have any public roads, homes, occupied dwellings, or other structures downstream that could be affected

by failure? � Is the waste pile routinely inspected and certified by a professional engineer to verify that it is being built in accordance with

the approved plan? � Are there any abandoned mine waste piles within the vicinity of the mine, including the area overlying underground

workings? � Do any of the abandoned mine waste piles show any signs of instability or poor mine drainage? � Does the disposal of any domestic or other nonmine waste occur within the property boundaries, including the disposal of

garbage by mine or nonmine personnel? � Has a survey been done to determine whether there is any nonmine waste on the property? Are there any abandoned

nonmine waste piles within the mine property? � What does the mine do with trash from the mine?

Impoundments � Are there any large impoundments within the vicinity of the mine or included in the mine permit? � Are there any public roads, facilities, dwellings, or other such facilities downstream of an impoundment that could be affected

by the impoundment’s failure? If so, briefly describe. � Are all impoundments routinely inspected and certified by a professional engineer to verify that they are being built in

accordance with the approved plans? � Have any of the impoundments ever experienced overtopping?

Backfillingand slides

� Has the mine ever experienced a slide or instability of backfilled material or of outslope material? � Does the mine have an excess spoil fill? Does the mine have a durable rock fill? Were any of the fills constructed in a location

where there was a stream or running water prior to mining? � If the mine is a surface mine, what is the maximum size pit and the size of the total pit currently open for the mine? How

many cubic meters (cubic yards) of material would be required if the mine was closed today and the pit had to be backfilled? � What is the maximum amount of highwall currently open on the operation, including total length and height? How many

cubic yards (cubic meters) of material would be required if the mine was closed today and the highwall had to be completely eliminated?

Subsidence � Does the mine include longwall or pillar removal mining? � Has the mine ever identified any substance subsidence? � Have there ever been any complaints by surface owners about surface subsidence? � Does the mine have any significant problems with roof or floor control?

Mine fires � Have there ever been any mine fires, including outcrop fires, identified on the mine property?

Underground injections � Does the mine have any injection wells or pump any fluids or other material of any type underground? � If the mine is an underground mine, has an evaluation ever been completed to determine what will occur after the mine is

closed and the mine workings become flooded? If yes, briefly describe the resulting conclusion.

Previously mined areas � Does the area affected by the mine include a previously mined area? � Are there any of the following problems on the previously mined area?

• Bad water drainage?• Unstable spoil?• Spoil on the outslope?• Refuse material on the outslope?• Unreclaimed areas where revegetation will be difficult?• Unreclaimed highwall?

Miscellaneous � How close is the nearest house? � Have there been complaints about the use of roads in the area? � Has the mine ever received a closure or cessation order? � Are there cleaning or other chemical solvents located at the mine? Have all necessary forms been filled out and provided in

regard to “right to know” requirements for chemical exposure? � Have all transformers or other electrical equipment been checked for polychlorinated biphenyl contamination? � Is oil or fuel stored on the property? What types of facilities are provided for oil or fuel storage? Are there any underground

storage tanks? Have all such tanks been tested? � Are there any oil or gas wells, or similar facilities on the property that could conflict with mining?

Source: Hunt 1992.

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Some countries require one comprehensive permit that addresses all environmental aspects, but some countries, such as the United States, require many individual permits cov-ering myriad aspects. The following example illustrates the planning and permitting process for a surface coal mine in the United States.

Example 2. Premine Planning and Permitting for Surface Coal Mines in the United StatesTable 16.1-8 describes reclamation requirements for sur-face coal mining based on requirements given in the Surface Mining Control and Reclamation Act (SMCRA) of 1977. Under SMCRA, specific requirements are given for obtaining a mining permit, and formal documents must be filed (CFR 2009).

A large amount of information is required for preparation of the reclamation and operations plan. Table 16.1-9 summa-rizes those requirements.

Government Agency Review of Permit ApplicationsThe processing of a permit application begins with the sub-mission of a completed application for a new permit, permit revision, or permit renewal to the regulatory authority and ends with the final decision to approve or deny the applica-tion. Agency review begins when the applicant officially files the permit application. For most permits, after the agency determines the application is complete, they begin the formal review process, notify affected parties, and begin a public comment period. In most cases, members of the public will be able to both submit written comments and request a hear-ing on the merits of the particular application. If the permit is granted, the operator may be required to post a bond. Upon approval of the bond, mining operations may commence.

Most agencies will conduct a detailed technical review of each application received to ensure that all applicable regula-tory requirements are met. As part of this technical review, the applicant is notified of any deficiencies identified in the appli-cation as submitted and provided an opportunity to respond to the agency comments and to correct deficiencies. Failure to provide an adequate response or to correct any permit defi-ciency could result in denial of the application.

The time required for agency reviews will range from a few months to 2–3 years. This time can be even longer in areas where opposition to a project is well coordinated and well funded. The permitting for the Safford mine in Arizona, described in detail in this section, took 13 years. Thus it is extremely important that permit applications be prepared with great care and reviewed meticulously to minimize delays by the agencies.

In some countries, efforts have been made to speed up the permit review process. For example, in Chile, when environmental regulations were promulgated in 1994, spe-cific approval times were specified. The maximum time for approval of an Environmental Impact Declaration is 90 days, not including the days required for response to questions from regulatory agencies. For the more complex environmental impact study, which requires establishment of baseline stan-dards and community participation, the maximum is 180 days (República de Chile 2002).

Example 3. Freeport-McMoRan’s Safford MineExploration of the Dos Pobres/San Juan area of the Safford Mining District began in about 1940. The district is in Graham

County, Arizona, about 12.9 km (8 miles) north of Safford. It comprises four porphyry copper deposits—Dos Pobres, San Juan, Lone Star, and Sanchez—located along the southwest-ern slope of the Gila Mountains north of the Gila River.

The Phelps Dodge Corporation (PD; now a part of Freeport-McMoRan) acquired an interest in the prop-erty in 1957 and began underground development in 1968. Underground activity stopped in 1982, and by 1992 interest had shifted to the oxide mineralization in the area. By 1994, PD owned most of these mineral deposits, but some extended onto public lands administered by the U.S. Bureau of Land Management (BLM). The portions of the deposits on BLM land were controlled by PD through mining claims filed under the U.S. General Mining Law of 1872 (Cooper 2008).

In an effort to consolidate its holdings in the Safford Mining District, PD proposed a land exchange to the BLM, in which PD would acquire public lands (referred to as the selected lands) within and adjacent to its existing private prop-erty in the mining district in trade for other lands (the offered lands) in Arizona currently owned by PD. Both parties signed an Agreement to Initiate (ATI), which began formal consider-ation of the land exchange.

The administration of public lands in the United States is often controversial, especially in the western states. In most areas, groups of citizens have organized to oppose almost any development on those lands. These groups are often sup-ported by large, well-funded environmental organizations, such as the Sierra Club. Before making a decision about the land exchange, the BLM decided to prepare an EIS to comply with provisions of the U.S. National Environmental Policy Act (NEPA). After the parties agreed to formally consider a land exchange, public scoping took place in late fall of 1994 and baseline studies commenced.

Under the U.S. Clean Water Act, the U.S. Army Corps of Engineers (ACE) issues permits for the discharge of dredged or fill material into the navigable waters at specified disposal sites. Review of these permits usually requires several months after notice and the opportunity for public hearings. In late 1995, ACE stated that it would likely require an EIS as part of its environmental review for a Section 404 permit to imple-ment the foreseeable mining uses if the land exchange was authorized. At about the same time, PD accelerated the plan-ning and development schedules for the Dos Pobres/San Juan project.

PD submitted a mining plan of operations (MPO) in May 1996, which allowed the BLM, ACE, and EPA (U.S. Environmental Protection Agency), as cooperating agencies, to consolidate their respective environmental reviews for the proposed mining activities. The MPO alternative provided agency employees and the general public with more informa-tion regarding the potential effects of the foreseeable mining uses of the selected lands and also conformed to regulations of the Council on Environmental Quality and the guidelines pub-lished in NEPA’s Forty Most Asked Questions (NEPA 2009).

In response to PD’s submittal of an MPO, the BLM deter-mined that the EIS should reflect the fact that an MPO was now the proposed action and made the land exchange proposal one alternative to the MPO. The BLM also involved ACE and EPA as cooperating agencies in the EIS process. The BLM then reinitiated the scoping process begun earlier because sub-mittal of the MPO represented a significant change in scope from the original land exchange proposal. In December 1997, The U.S. Bureau of Indian Affairs (BIA) became a cooperating

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Table 16.1-8 SMCRA reclamation requirements

Requirement Description

Operations plan • The type and method of coal mining, procedures, and proposed engineering techniques; anticipated annual and total production of coal, by tonnage; and the major equipment to be used for all aspects of those operations

• The construction, modification, use, maintenance, and removal of the following facilities: retention dams, embankments, and other impoundments; overburden and topsoil handling and storage areas and structures; coal removal, handling, storage, cleaning, and transportation areas and structures; spoil, coal processing waste, and noncoal waste removal, handling, storage, transportation, and disposal areas and structures; mine facilities; and water and air

• Existing structures proposed to be used in connection with or to facilitate the surface coal mining and reclamation operation• Blasting practices and blast monitoring system

Maps Locations of• Lands proposed to be affected throughout the operation and any change in a facility or feature to be caused by the proposed

operations• Buildings, utility corridors, and facilities to be used• The area of land to be affected within the proposed permit area, according to the sequence of mining and reclamation• Each area of land for which a performance bond or other equivalent guarantee will be posted• Each coal storage, cleaning, and loading area• Each topsoil, spoil, coal waste, and noncoal waste storage area• Each water diversion, collection, conveyance, treatment, storage, and discharge facility to be used• Each air pollution collection and control facility• Each source of waste and each waste disposal facility relating to coal processing or pollution control• Each facility to be used to protect and enhance fish and wildlife and related environmental values• Each explosives storage and handling facility• Each sedimentation pond, permanent water impoundment, coal processing waste bank, and coal processing waste dam and

embankment, and fill area for the disposal of excess spoil

Air pollution control plan Description of fugitive dust control practices and a monitoring program to provide sufficient data to evaluate the effectiveness of the fugitive dust control practices proposed to comply with federal and state air quality standards

Fish and wildlife information All listed or endangered species, and all unusual habitats; protective measures to be undertaken during mining and reclamation; and plans for habitat enhancement

Reclamation plan • A detailed timetable for the completion of each major step in the reclamation plan• A detailed estimate of the cost of reclamation of the proposed operations required to be covered by a performance bond, with

supporting calculations for the estimates• A plan for backfilling, soil stabilization, compacting, and grading, with contour maps or cross sections that show the anticipated

final surface configuration of the proposed permit area• A plan for removal, storage, and redistribution of topsoil, subsoil, and other material• A demonstration of the suitability of topsoil substitutes or supplements, based on analysis of the thickness of soil horizons, total

depth, texture, percentage of coarse fragments, pH, and areal extent of the different kinds of soils• A plan for revegetation including, but not limited to, descriptions of the revegetation schedule; the species and amounts per acre of

seeds and seedlings to be used; methods to be used in planting and seeding, mulching techniques, and irrigation (if appropriate); pest and disease control measures, if any; measures proposed to be used to determine the success of revegetation; a soil testing plan for evaluation of the topsoil results; and the handling and reclamation procedures related to revegetation

• A description of the measures to be used to maximize the use and conservation of the coal resource• A description of measures to be employed to ensure that all debris, acid-forming and toxic-forming materials, and materials

constituting a fire hazard are disposed of properly, and a description of the contingency plans that have been developed to preclude sustained combustion of such materials

• A description, including appropriate cross sections and maps, of the measures to be used to seal or manage mine openings, and to plug, case, or manage exploration holes, other boreholes, wells, and other openings within the proposed permit area

• A description of steps to be taken to comply with the requirements of the Clean Air Act, the Clean Water Act, and other applicable air and water quality laws and regulations, and health and safety standards

• Description of the land use within the proposed mining area before mining, and of the proposed land use after mining and reclamation are complete

• A general plan and a detailed design plan for each proposed siltation structure, water impoundment, and coal processing waste bank, dam, or embankment within the proposed permit area, and of the plans for removing each such structure

Hydrology • Sampling and analysis methodology• Baseline information• Groundwater information, including the location and ownership for the permit and adjacent areas of existing wells, springs, and

other groundwater resources; seasonal quality and quantity of groundwater and usage. Water quality descriptions shall include, at a minimum, total dissolved solids or specific conductance, pH, total iron, and total manganese.

• Surface water information, including the name, location, ownership, and description of all surface water bodies such as streams, lakes, and impoundments; the location of any discharge into any surface water body in the proposed permit and adjacent areas; and information on surface water quality and quantity sufficient to demonstrate seasonal variation and water usage

• Baseline cumulative impact area information• Alternative water source information• Probable hydrologic consequences determination• Cumulative hydrologic impact assessment• Hydrologic reclamation plan• Groundwater monitoring plan• Surface water monitoring plan

(continues)

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agency in the preparation of this EIS, specifically to contribute its expertise in the areas of Indian trust resources and tribal consultation. Protection of groundwater resources was of par-ticular interest to the Indian (indigenous) people in the project area.

In September 1998, the draft EIS was published. It was more than 400 pages long (not including seven appendices), and included 108 tables and 73 figures. It addressed the scop-ing issues shown in Table 16.1-10. The EIS also identified the laws, regulations, and other government actions applicable to the project, including nine federal acts, five federal executive orders, six federal land-use or management plans, and twelve state and local laws.

A groundwater model and the Model, Monitor, and Mitigate program for groundwater protection were prepared. Both documents were reviewed at length by the BLM’s hydrologist, the BIA, and a consultant retained by the BIA. However, the agencies disagreed on these and other issues, and the BIA withdrew as a cooperator in June 2000, without facilitating consultations with Indian tribes regarding poten-tial impacts to trust resources. In April 2001, BLM reinitiated direct consultations with the Gila River Indian Community and the San Carlos Apache Tribe, which continued throughout the preparation and evaluation of the EIS.

Publication of the draft EIS was followed by a 60-day public comment period that was extended twice, and during which public and tribal open house meetings were held in four locations. Notices were published in the Federal Register and in the Eastern Arizona Courier.

The draft EIS informed readers that the 60-day comment period would end on November 25, 1998. During this period, BLM received three requests by electronic or regular mail for an extension of the comment period. BLM notified these three requesters via electronic mail and the public at large by a notice published in the Federal Register on November 30, 1998, that the comment period was being extended until December 18, 1998. The public was notified of a second extension of the com-ment period until January 29, 1999, through a notice printed in the Federal Register on December 18, 1998. Thus, the public comment period lasted a total of 127 days.

Three public open house meetings lasting 4 hours each were held at BLM field offices in Safford, Tucson, and Phoenix on, respectively, October 27, 28, and 29, 1998. Representatives from the BLM, ACE, and EPA were present in each meeting. A total of 212 members of the public attended the three meetings. A tribal open house meeting was held on December 4, 1998, on the San Carlos Apache reservation and was attended by 23 persons representing the tribe. Graphic depictions of the mine layout and selected and offered lands, a summary of the impacts of the project, and self-addressed comment sheets were available to the public at these meetings.

Within the comment period, BLM received 269 letters on the draft EIS including two letters originally sent to ACE. Of the total, 127 letters were from private individuals and 142 were from persons representing organizations, groups, businesses, or agencies. The BLM identified 650 comments in these letters.

All comments made in the letters were addressed by BLM. Those comments, and the responses to them, were

Requirement Description

Geology • Sufficient detail to assist in determining the probable hydrologic consequences of the operation on the quality and quantity of surface and groundwater in the permit and adjacent areas, including the extent to which surface water and groundwater monitor-ing is necessary; all potentially acid- or toxic-forming strata down to and including the stratum immediately below the lowest coal seam to be mined; and whether reclamation can be accomplished and whether the proposed operation has been designed to prevent material damage to the hydrologic balance outside the permit area, including, at a minimum, the following: A description of the geology of the proposed permit and adjacent areas down to and including the deeper of either the stratum immediately below the lowest coal seam to be mined or any aquifer below the lowest coal seam to be mined that may be adversely impacted by mining. The description shall include the areal and structural geology of the permit and adjacent areas, and other parameters that influence the required reclamation and the occurrence, availability, movement, quantity, and quality of potentially impacted surface and groundwaters.

• Analyses of samples collected from test borings, drill cores, or fresh, unweathered, uncontaminated samples from rock outcrops from the permit area, down to and including the deeper of either the stratum immediately below the lowest coal seam to be mined or any aquifer below the lowest seam to be mined that may be adversely impacted by mining. The analyses shall result in the following: (a) logs showing the lithologic characteristics including physical properties and thickness of each stratum and location of groundwater where occurring; (b) chemical analyses identifying these strata that may contain acid- or toxic-forming or alkalinity-producing materials and to determine their content, except that the regulatory authority may find that the analysis for alkalinity-producing materials is unnecessary; and (c) chemical analyses of the coal seam for acid- or toxic-forming materials, including the total sulfur and pyritic sulfur, except that the regulatory authority may find that the analysis of pyritic sulfur content is unnecessary.

Diversions Stream channel and other diversions to be constructed within the proposed permit area, including maps and cross sections

Protection of area Measures that will be taken to protect any publicly owned parks and historic places within the proposed permit area

Public and private interests Description, including appropriate maps and cross sections, of measures that will be taken to ensure that the interests of the public and landowners affected are protected if during mining the operator undertakes the relocation or use of public roads

Disposal Description, including appropriate maps and cross-sectional drawings, of methods for disposal of excess spoil, including the proposed disposal site, the design of the spoil disposal structures, the removal, if appropriate, of the site and structures, and any requisite geotechnical investigation

Roads Description, including plans and drawings, for each road to be constructed, used, or maintained within the proposed permit area

Source: CFR 2009.

Table 16.1-8 SMCRA reclamation requirements (continued)

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organized into 14 categories. Discussion of the categories and the responses to the letters required 95 pages in the EIS. A review of that material showed that those letters came from the following sources:

• Fifteen from other government agencies, requesting clari-fication or further response to specific issues

• Seven from individuals, objecting to specific aspects of the project or to the project in general

• Five from nongovernmental organizations, objecting to specific aspects of the project or to the project in general

• Five from Indian tribes or related organizations, object-ing to specific aspects of the project or to the project in general

• One from an Indian tribe stating no objection to the project

• One from PD, requesting clarification or further response to specific issues

The remaining 235 letters expressed support for the project or for the proposed land exchange.

In addition to the 269 letters received during the comment period, 24 letters were received after the close of the extended comment period on January 29, 1999. These letters are not included in the official administrative record for this project; however, all were read by BLM and analyzed for comments.

The BLM determined that all the issues and comments raised in the late letters had already been raised by other commenters and were being considered in the preparation of the final EIS.

In August 2001, PD submitted an updated MPO that addressed several concerns raised during the draft EIS pub-lic comment period. Specifically, PD modified the crushing, pretreatment, and material handling elements of the MPO to reduce impacts and increase the efficiencies of the ore produc-tion processes. As a result of PD’s continuing optimization efforts, the projected water usage, truck haulage and associ-ated air emissions, tank storage, and sulfuric acid truck deliv-eries were meaningfully reduced.

In July 2004, the BLM issued a Record of Decision (ROD) in favor of the land exchange, allowing the project to move forward (BLM 2004). In August the San Carlos Apache Tribe and Western Mining Action Project (WMAP) claimed that the land exchange between BLM and PD did not benefit the public interest and should not take place, and both parties filed protests to the ROD. WMAP claimed that BLM failed to meet its responsibility to ensure that springs and water holes will not be dewatered, instead saying, “Groundwater pumping and aquifer drawdown from the proposed mine will signifi-cantly reduce and/or eliminate a number of springs and water holes in the area” (Jones 2004a). The same groups also ques-tioned the validity of PD’s mining claims on selected lands

Table 16.1-9 Information needed to prepare reclamation and operations plans for surface coal mining in the United States

Natural Factors Cultural Factors

TopographyReliefSlope

ClimatePrecipitationWind patterns and intensityHumidityTemperatureClimate typeGrowing seasonMicroclimatic characteristics

AltitudeExposure (aspect)Hydrology

Surface hydrology• Watershed considerations• Flood plain delineations• Surface drainage patterns• Runoff amounts and qualities

Groundwater hydrology• Groundwater table• Aquifers• Groundwater flow amounts and

qualities• Recharge potential

GeologyStratigraphyStructureGeomorphologyChemical nature of overburdenCoal characterization

SoilsAgricultural characteristics

• Texture• Structure• Organic matter content• Moisture content• Permeability• pH• Depth to bedrock• Color

Engineering characteristics• Shrink–swell potential• Wetness• Depth to bedrock• Erodibility• Slope• Bearing capacity• Organic layers

Terrestrial ecologyNatural vegetation

• Characterization• Uses and survival needs

CropsGame animalsResident and migratory birdsRare and endangered species

Aquatic ecologyAquatic animalsAquatic plantsAquatic life systems

• Characterization• Uses and survival needs

LocationAccessibility

Travel distancesTravel timesTransportation networks

Site size and shapeSurrounding land use

CurrentHistoricalLand-use plansZoning ordinances

Land ownershipPublicCommercial or industrialPrivate or residential

Type, intensity, and value of useAgriculturalForestryRecreationalResidentialCommercialIndustrialInstitutional

Type, intensity, and value of useAgriculturalForestryRecreationalResidentialCommercialIndustrialInstitutionalTransportation/utilitiesWater

Population characteristicsPopulationPopulation shiftsPopulation densityAge distributionNumber of householdsHousehold sizeAverage incomeEmploymentEducational levels

Source: Adapted from Ramani et al. 1990.

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in the Gila Mountains, saying the validity of the claims was assumed by BLM when it prepared the EIS and the ROD. The WMAP protest accused BLM of basing the EIS and ROD on the assumption that the mine was going to be built “without determining if the projects would comply with federal law” (Jones 2004b).

By September, BLM had responded to the protests and allowed the ROD to stand. PD proceeded to file for air qual-ity and aquifer protection permits and began the final feasi-bility study for the project (Stockton 2005). The feasibility study was completed in 2006. Construction at the site began in June of 2007, and the first cathode copper was produced on December 31, 2007 (Cooper 2008).

Public Participation in the Review of PermitsThe environmental regulations in most jurisdictions pro-vide an opportunity for public participation in the permitting process. Notice of the submittal of the permit application is usually advertised locally, with information provided on the schedule for public comment, the availability of the applica-tion for public review, and the location where comments may be submitted and hearings requested.

Interested persons or organizations, particularly those who may be adversely affected by a proposed mine, have the right to submit comments and objections to the issuance of the permit during the public comment period. Requests for hear-ings or conferences on the application must also be submitted within the time provided for public comment. In most juris-dictions, affected persons who file comments on the applica-tion, and the applicant if the permit is denied, may appeal the agency’s decision through an administrative or judicial hear-ing. In an administrative hearing, evidence will be accepted, and the administrative law judge or review panel will render a decision to uphold or overrule the agency determination. Additional appeals from a final administrative decision can be brought to appropriate state or federal courts if desired by an adversely affected party.

Recently, there has been an increase in opposition to mining projects in developing countries, from individu-als and environmental organizations in developed countries. These organizations are well funded and expert in using legal maneuvering to delay or prevent projects they oppose. Legal delays are but one tactic used to prevent development projects (Olpin 1991).

One example of these organizations is Earthworks, which is “a non-profit organization dedicated to protect-ing communities and the environment from the destructive impacts of mineral development, in the U.S. and worldwide” (Earthworks 2009). Earthworks is the sponsor of the No Dirty Gold campaign, which has organized opposition to mines proposed in Canada, Costa Rica, Ghana, Papua New Guinea, Peru, Romania, and the United States (No Dirty Gold 2009). The No Dirty Gold campaign has been particularly effective in persuading prominent retail jewelers to pledge not to use gold produced from mines that the campaign judges to be noncom-pliant with its “Golden Rules,” which are as follows:

1. Respect basic human rights outlined in international con-ventions and law.

2. Obtain the free, prior, and informed consent of affected communities.

3. Respect workers’ rights and labor standards, including safe working conditions.

4. Ensure that operations are not located in areas of armed or militarized conflict.

5. Ensure that projects do not force communities off their lands.

6. Ensure that projects are not located in protected areas, fragile ecosystems, or other areas of high conservation or ecological value.

7. Refrain from dumping mine wastes into the ocean, rivers, lakes, or streams.

8. Ensure that projects do not contaminate water, soil, or air with sulfuric acid drainage or other toxic chemicals.

9. Cover all costs of closing down and cleaning up mine sites.

10. Fully disclose information about social and environmen-tal effects of projects.

11. Allow independent verification of the above (No Dirty Gold 2009).

Clearly, these rules are quite similar to the principles of sustainability adopted by ICMM. However, some of the rules are particularly difficult for mine operators. For exam-ple, Rules 4, 5, and 6 offer no consideration of the fact that ore deposits are located without respect to political condi-tions, protected areas, or human communities. Similarly, the independent verification in Rule 11 may be difficult to attain. Career environmentalists are often mistrustful of

Table 16.1-10 Scoping issues addressed in the Dos Pobres/San Juan Environmental Impact Statement

Land Use Physical Resources Biological Resources Cultural Resources Socioeconomic Resources Indian Trust Resources

Public lands management

Access and recreation

Encumbrances

Agriculture and grazing

Mineral rights

Surface water rights

Noise and vibrations

Visual resources

Hazardous materials

Climate

Air quality

Geology

Soil

Groundwater quality/quantity

Surface water quality/quantity (including legally constituted surface waters of the United States)

Vegetation

Wildlife resources

Special interest species/critical habitat

Biodiversity

Archaeological resources

Traditional cultural properties

Population and demographics

Local and regional economy

Infrastructure

Transportation

Indian trust assets

Source: Data from BLM 2004.

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government agencies and mining company personnel, so “independent verification” implies inspection and approval by someone selected by the environmental organizations. Unfortunately, these organizations do not get increased financial support by giving approval to mining and other resource development projects; quite the contrary, a mining company may be reluctant to allow “independent verifica-tion” of this type.

The direct involvement of organizations like Earthworks, Greenpeace, Oxfam, and others in the permitting process makes it even more important for mining companies to form good relationships with local people and governments well before permit applications are filed. An excellent example of a project where this was done successfully is the Diavik dia-mond mine, described in the following example.

Example 4. Diavik Diamond Mines Inc.The Diavik diamond mine operates in the Northwest Territories of Canada, one of the most untouched and ecologically sensi-tive environments in the world. The mine is surrounded by tundra and is home to bears, wolverines, and migrating cari-bou. The water of nearby Lac de Gras is exceptionally pure and hosts many species of fish and birds.

Development of the Diavik mine required about 10 years. The first claims were staked in 1991 and 1992. Sampling and exploration continued, and Diavik Diamond Mines Inc. was formed in 1996. In 1997, baseline environmental studies were completed. As required by Canadian law, a project descrip-tion was submitted in March 1998, and the environmental assessment report followed in September of the same year. Regulatory and financial approvals were given in 1998 and production began in 2003.

In planning the mine, Diavik consulted extensively with local communities about its operation and effects. Diavik is committed to providing training, employment, and busi-ness opportunities to residents in local communities of the Northwest Territories and the West Kitikmeot region of Nunavut, ensuring that it leaves a legacy of economically and socially stable local communities in the region. The process followed in developing agreements with indigenous peoples is described by Prest (2002):

At the start, we developed a shared vision with our communities with regards to project development. As part of that vision, right from the beginning we integrated social and environmental dimensions into our project plans. We had regular meetings with our all neighbor-ing aboriginal and other communities. We incorpo-rated traditional knowledge learned from community elders and members. We are proud to say that infor-mation learned from our aboriginal communities has definitely led to a better designed project. As a third step in the engagement process, we entered into a number of formal agreements for the project. There are three legs to this framework, the Environmental Agreement, the Socio-Economic Monitoring Agreement, and, separate Participation Agreements with each of our five aboriginal groups. [Diavik’s] Participation Agreements are legally binding, private contracts which contain mutually beneficial provisions for both the company and individual aboriginal communities. Parts of these

agreements address shared responsibility for train-ing, employment and business participation.

The negotiations with indigenous communities were conducted according to the traditions of those communi-ties. Diavik’s representatives met with each community and discussed all the issues until a consensus was reached. Reportedly, this sometimes took several days (R. Davey, per-sonal communication).

Diavik’s commitment to community development and investment is evident in the Diavik Socio-Economic Monitoring Agreement (SEMA), which was formalized in 1999 between Diavik Diamond Mines Inc. and the Government of Northwest Territories. The agreement was ratified by local indigenous communities and outlines Diavik’s commitment to provide training, employment, and business opportunities to north-erners and, more specifically, indigenous northerners. Diavik individualized these commitments through participation agree-ments negotiated with each of the same five aboriginal groups (Diavik 2009b):

1. Tlicho Government2. Yellowknives Dene First Nation3. North Slave Metis Alliance4. Kitikmeot Inuit Association5. Lutsel K’e Dene First Nation

Commitments under SEMA are reported publicly twice a year. Diavik has consistently exceeded expectations outlined in SEMA:

• Diavik committed to supporting a 40% northern work force during construction. At its conclusion, Diavik had reached 44% northern employment.

• Diavik committed to reaching levels of northern pur-chasing of 38% during construction. At its conclusion, Diavik had actually reached 74%, representing about Can$900 million (US$853 million) in contracts with northern companies, of which approximately $600 mil-lion was with indigenous companies.

• During operations, Diavik had committed to purchasing 70% of its annual requirements for goods and services from northern companies.

• For operations, Diavik committed to 66% northern employment and 40% indigenous employment for its operations. In 2007, Diavik’s work force averaged 785 people, 67% of whom were northern, with one-half being indigenous.

The mine meets its environmental protection commit-ments through a comprehensive management system. This system is ISO 14001:2004 certified and is responsible for managing environmental protection activities, ensuring that all employees are properly trained, anticipating and avoiding environmental problems, ensuring regulatory compliance and due diligence, and ensuring consistency with the corporate environmental policy of the company (Diavik 2009a).

Diavik has several active programs that contribute to environmental protection and sustainable development val-ues. In some cases, the measures taken in these programs go beyond the strict legal requirements that apply to the project area. The programs include the following:

• Caribou management. A small portion of the Bathurst caribou herd passes through the Lac de Gras region during

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spring and fall migrations. To protect caribou passing near the mine, haul roads display advisory signs to ensure that caribou and other wildlife have the right of way. Diavik annually monitors the caribou within the region, with the assistance of elders from local indigenous communities.

• Water quality management. During early meetings with local communities, the indigenous people emphasized the importance of preserving water quality in the lakes and drainage. Diavik constructed an extensive water collection system to help protect the surrounding lake waters. Sumps, pipe networks, storage ponds, and reservoirs collect runoff water, which is used in processing and can then be treated before release to the environment. In addition, the Aquatic Effects Monitoring Program ensures that lake water is regularly sampled and analyzed at set locations over the complete range of depth, in all seasons of the year.

• Fish habitat. The mine constructed rock-fill dikes to access the three ore bodies under the lake, so that mining operations occupy less than 0.5% of the area of Lac de Gras. However, even this small area removed some fish habitat, so Diavik constructed a coarse rock-fill area on the outside of one dike to provide new fish habitat. During mining, rock shoals are constructed inside the dike area; when the mine closes, these will become fish habitat. The area behind the dikes will be flooded, the dikes will be breached to locate islands, and the area returned as part of Lac de Gras. Thus there will be no net loss of fish habitat, as required by Canadian fisheries regulations.

• Progressive reclamation. The progressive reclamation practiced at Diavik uses knowledge gained through com-munity consultation to prepare the mine site for eventual closure. Some examples include the contouring of country rock piles to create smooth hills that allow caribou safe access, and the creation of new fish habitat. Revegetation studies and waste rock management projects are also being conducted.

• Closure security. Diavik is committed to complete closure of the mine site. It has committed a substantial amount of financial security to guarantee full closure when mining ceases, as established in the environmental agreement. The value of this security is revised regularly to adjust for the projected environmental liability and its associated cost of closure versus efforts the company has made to progressively reclaim the site.

• Sustainable development research. Diavik is cooperat-ing with Canadian universities and researchers in numer-ous scientific studies of the environment and geology at the mine site. Recent studies have included research into effects of mine blasts on fish, evaluations of poten-tial plant species for reclamation, and monitoring of dust distribution using lichen as a bioindicator. The results of these research projects are published regularly and are available on the Internet (Diavik 2009b). Research results are routinely incorporated into operating and reclamation practices at the site. Diavik is also examining the effect of the arctic climate on diamond waste rock piles, an area of which little is known. This research will facilitate long-term protection of the environment and has long-term applications throughout the world.

Mine PlanningAll of the development activities described to this point con-stitute mine planning. However, the term as used here refers

specifically to the planning of the mine workings, including gaining access to the mineral deposit, removing the valu-able mineral, and handling any waste material produced. The activity as comprehended here also includes tasks described as mine design. Although the details of these processes are described in the next section, planning for them is begun in the development stage, and is thus discussed at this point.

In mine planning, the specific day-to-day operations of the mine are set out, analyzed, and documented. Mine plan-ning continues throughout the life of every mine to account for changing geologic and economic conditions. The objec-tive of mine planning at each point in time is to determine the manner in which the mine should be operated to opti-mize the goal(s) of the operating entity, usually the return on investment. Although mine planning varies with site-specific conditions, the following points must be determined in the initial plan, and continually reevaluated through out the life of the mine:

• The extent of the mineral deposit• The market for anticipated products of the mine• The manner in which the deposit will be accessed for

extraction• The equipment and personnel that will be used for

extraction• The operating sequence for extraction• The disposition of extracted material, both waste and

valuable mineral• The interactions of mine workings with adjacent or over-

lying areas and properties

Initial mine planning will obviously take place concur-rently with the environmen tal planning and permitting, and the consideration of environmental consequences of the initial mine plan will be included in this process.

ExtractionMining methods may be classified according to a variety of schemes. Here it is convenient to distinguish surface mining, underground mining, aquatic or marine mining, and solution mining. Solution mining is the removal of valuable minerals from in-place deposits by dissolving the mineral in a suitable liquid that is then removed for recovery of the desired con-stituent. It may also be called in-situ mining or in-situ leach-ing. Solu tion mining uses techniques similar to those used in the extraction of petroleum and natural gas, and is thus not discussed further in this chapter. The operational details and environmental considerations of surface mining, under-ground mining, and aquatic or marine mining are discussed separately.

Surface MiningSurface mining is the removal of material from the earth in excavations that are open to the surface. In some cases, mate-rial is removed directly from the earth’s surface; for example, sand and gravel may be removed directly from deposits of those materials put in place by ancient lakes or rivers. In other cases, material that has no economic value (overburden) cov-ers the valuable material and must be removed.

A typical operational cycle for surface mining, described in detail by Saper stein (1992), is as follows:

1. Install erosion and sedimentation controls.2. Remove topsoil from areas to be mined.

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3. Prepare the first drill bench by leveling the bench with a bulldozer, inspecting and scaling the highwall as required, and laying out the blastholes.

4. Drill the blastholes.5. Blast the rock.6. Load the fragmented material.7. Haul the fragmented material—waste to the waste dumps

and product to the load-out for sale or to subsequent processing.

8. Manage the waste dumps as required by contouring waste piles to a stable configuration or returning waste to mine workings for use in reclamation.

9. Prepare mine workings for reclamation bya. Recontouring to the original contour, or to another

approved and stable configuration.b. Returning the stored topsoil to the mine site and

spreading it uni formly on the recontoured surfaces.10. Reclaim the prepared surfaces by

a. Revegetating with an approved mixture of seeds and plantings.

b. Irrigate and maintain revegetated areas as required until a stable con dition is reached.

11. Remove temporary drainage controls and stream diversions.

The environmental considerations that must be addressed during surface mining include the following:

• Control drainage from mine workings to avoid contami-nation of sur face water, groundwater, and the existing ecosystem. Treatment may be required to remove particu-lates or chemical contamination.

• Control inflow or surface water and storm runoff so these waters are not contaminated by passing through the mine workings.

• Carefully analyze the groundwater regime in and around the mine work ings, and provide monitoring wells as required. In some cases, it may be advisable to minimize the interaction of the mine workings with groundwater by pumping out the aquifers in and around the mine. There are many potential uses for this water. For exam-ple, it might be used in the processing of ore, discharged directly to surface drainages or discharged to constructed wetlands on the surface.

• Consider the formation of “pit lakes” when mined-out surface workings fill with water. This water, which may originate from surface runoff or flow from underground aquifers, may become acidified or otherwise contami-nated, and the effects of such contamination on the envi-ronment (including wildlife, plant life, and humans) must be managed.

• Design and construct waste dumps and tailing impound-ments to minimize erosion and protect surface and groundwater.

• Control emissions of dust and noise to meet the require-ments of local regulations and the reasonable expectations of persons living nearby. In particular, if explosives are used, control air blast and ground vibration as required.

• When mining is done at night, consider the effects of arti-ficial light on wildlife and humans living near the mine.

• Control slope stability and landslides. Of course, this is also necessary for successful mining operations, but inad-equate control of slope stability may also lead to environ-mental damage. Slope failure may block or contami nate

streams, damage wildlife habitat, and cause flooding that endangers wildlife and humans living near the mine.

• Consider the effects of increased traffic to and from the mine site, espe cially when product haulage will result in a marked increase in heavy truck traffic.

Underground MiningUnderground mining is the removal of material from the earth in excavations below the earth’s surface. Access to such underground workings may be gained through a drift or adit, a shaft, or a slope. Drifts and adits are horizontal tunnels, usu-ally in a hillside, that connect to the mineral deposit. In the case of minerals like coal that occur in seams (near-horizontal deposits of fairly uniform thickness and considerable areal extent), the drift may be developed in the mineral itself. Travel in drifts is by rail or rubber-tired vehicles. Shafts are vertical tunnels developed from the surface to access mineral bodies below. Travel in shafts is by cages or cars, which are lowered and raised by a mechanism on the surface, similar to elevators in tall buildings. Slopes are tunnels neither vertical nor hori-zontal and may be lineal or spiral. Travel in lineal slopes may be by rubber-tired vehicles or hoists but rarely by rail. Travel in spiral slopes (also called ramps) is by rubber-tired vehicles.

Saperstein (1992) has described in detail a typical opera-tional cycle for under ground mining in which material is frag-mented by drilling and blasting, as summarized:

1. Enter the workplace after the previous blasting round is detonated.

2. Ensure that the workplace is in good condition and safe for continued work by checking that ventilation is adequate and that blasting fumes have been removed; providing for dust suppression; checking for the presence of hazardous gases; and inspecting for and removing loose material.

3. Load the fragmented material.4. Haul the fragmented material to the appropriate location.5. Install ground support as required.6. Extend utilities as required: ventilation, power (electric-

ity or compressed air), and transportation.7. Survey and drill blastholes for the next round.8. Load the explosives and connect the detonation system.9. Leave the workplace and detonate the round.

This cycle is typical for the mining of narrow, steeply dipping veins (typical of metal ores), and for massive deposits of lime-stone, salt, and dimension stone, where the vertical extent of the valuable mineral is 6 m (6.6 yd) or higher.

The operational cycle for methods in which material is mechanically frag mented and removed in a continuous pro-cess may be similarly summarized:

1. Enter the workplace after the required ground support has been installed.

2. Ensure that the workplace is in good condition and safe for continued work by checking that ventilation is ade-quate and that blasting fumes have been removed; pro-viding for dust suppression; checking for the presence of hazardous gases; and inspecting for and removing loose material.

3. Cut and load the fragmented material until the limit for advance is reached.

4. Concurrently, haul the fragmented material to the appro-priate location.

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5. Remove fragmentation, loading, and hauling equipment from the work place.

6. Install ground support as required.7. Extend utilities as required: ventilation, power (electric-

ity or compressed air), and transportation.8. Survey as required to ensure that the mined opening is

maintaining the required dimensions and directional orientation.

This cycle is typical for mining in near-level seams of rela-tively soft material that have considerable areal extent and are thinner than 6 m (6.6 yd), such as coal, trona, phosphate, and potash.

Seven environmental considerations must be addressed during underground mining:

1. Locate ventilation fans and hoist houses to minimize the effects of noise on wildlife and humans living nearby.

2. Whenever possible, dispose of mine waste in under-ground mine workings.

3. When waste dumps are constructed on the surface, design them to mini mize erosion and protect surface and groundwater.

4. Control drainage from mine workings to avoid contami-nation of sur face water, groundwater, and the existing ecosystem. Treatment may be required to remove particu-lates or chemical contamination.

5. Control inflow or surface water and storm runoff so these waters are not contaminated by passing through the mine workings.

6. Carefully analyze the groundwater regime in and around the mine work ings, and provide monitoring wells as required. In some cases, it may be advisable to minimize the interaction of the mine workings with groundwater by pumping out the aquifers in and around the mine, and discharging the pumped water to constructed wetlands on the surface.

7. Analyze and predict the subsidence likely to result from mine workings. Design workings to minimize the effects of subsidence on surface struc ture, utilities, and impor-tant natural features such as lakes, streams and rivers, and wildlife habitat.

Aquatic or Marine MiningAquatic or marine mining is the removal of unconsolidated minerals that are near or under water, with processes in which the extracted mineral is moved by or processed in the associ-ated water. This type of mining may also be referred to as allu-vial mining or placer mining. The two major types of aquatic or marine mining are dredging and hydraulicking.

Materials typically recovered by aquatic or marine min-ing have usually been deposited in fluvial, aeolian, or gla-cial environments, and are thus unconsolidated. They include aggregate (sand and gravel) and materials deposited because of their relatively high specific gravities. The latter depos-its are called placers and include native (naturally occurring) precious metals, tin (as the oxide cassiterite), heavy mineral sands (oxides of zirconium, hafnium, titanium, and others), and precious stones. In some cases, placer deposits are mined by methods described in the section on surface mining; in such cases, the environmental precautions given for those methods apply.

Dredging is the use of a powered mechanism to remove unconsolidated mate rial from a body of water. The mechanism

is almost always a type of bucket or shovel. In the simplest case, it may be a metal bucket moved by chains or steel cables that are attached to a pole. The bucket is dropped through the water and into the solid material on the bottom. As the bucket is retracted, its weight and trajectory force its leading edge into the solid material, and the bucket fills. When the bucket comes to the surface, it is emptied. This type of dredge is usu-ally installed on the shore near a body of water that covers a valuable mineral deposit.

More complex dredge mechanisms attach several buckets to a wheel or a ladder. A ladder is a structure designed to sup-port a series of buckets attached to a chain, which moves con-tinuously in a loop. Both mechanisms are usually installed in a floating vessel, the dredge. While moving, the bucket wheel or the dredge ladder is lowered into the unconsolidated material below the surface, picking up that material and returning it to the dredge where it is either further processed or transferred to the shore for further usage. The dredge vessel may operate in a natural body of water or in an artificial body called a dredge pond. A typical operational cycle for dredging is comprised of the following steps:

1. If dredging in a dredge pond, complete subitems a–g; if not, proceed to Step 3.

a. Locate a source of water for filling the pond.b. Install erosion and sedimentation controls, and divert

surface water as required.c. Prepare dikes or dams required for the dredge pond.

The perimeter of the dredge pond must extend beyond the extent of the mineral to be recovered to allow for deposition of overburden or tailings removed in the first pass of the dredge.

d. Fill the dredge pond.e. Remove vegetation.f. Remove and stockpile topsoil.g. If necessary, remove overburden with excavating

equipment, and place overburden in stable piles.h. Proceed to Step 3.

2. If dredging from the shore, prepare the site for installa-tion of the dredge mechanism.

3. Install the dredge.4. Remove by dredging any overburden that was not

removed in Step 1g.a. When dredging in a natural body of water, the over-

burden will be deposited under the water in an area from which the valuable mineral has already been removed or in an area under which there is no valu-able mineral.

b. When dredging in a dredge pond or from the shore, the overburden will be deposited beside or behind the dredge in an area from which the valuable min-eral has already been removed or in an area under which there is no valuable mineral. When mining in a dredge pond, the overburden will for a time be at least partially under water; when mining from the shore, it will not. However, in both cases, the over burden will over time drain and be left exposed. It will thus require reclamation as described in Steps 12 and 13.

5. Remove the valuable mineral by dredging.6. Process the valuable mineral as required to concentrate

the valuable constituent(s). This processing is almost always done on the dredge and is integrated with the dredging of the material.

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a. When dredging in a natural body of water, the tail-ings will be deposi ted under the water in an area from which the valuable mineral has already been removed or in an area under which there is no valu-able mineral.

b. When dredging in a dredge pond or from the shore, the tailings will be deposited beside or behind the dredge in an area from which the valuable mineral has already been removed, or in an area under which there is no valuable mineral. When mining in a pond, the tailings will for a time be at least partially under water; when mining from the shore, it will not. However, in both cases, the tailings will over time drain and be left exposed. They will thus require rec-lamation, as described in Steps 12 and 13.

7. Remove the valuable constituent(s) for sale or further processing off-site.

8. Deposit the tailings under the water in an area from which the valuable mineral has already been removed or in an area under which there is no valuable mineral.

9. Continue dredging until reaching the limits of the dredge’s cables and other connections, the limits of the pond, or the boundary of the deposit.

10. If dredging in an artificial pond, prepare and fill the next pond as in Step 1, and transfer the dredge. If dredging in a natural body of water, move the dredge to the next location.

11. Begin dredge operation in the new location by return-ing to Step 3. Simul taneously, and in accordance with the approved reclamation plan, reclaim overburden and tailings piles from previous work, according to Steps 12 and 13.

12. Prepare mine workings for reclamation:a. Recontour to the original, stable contour, or to

another, approved and stable configuration.b. Return the stored topsoil to the mine site, and spread

it uniformly on the recontoured surfaces.13. Reclaim the prepared surfaces:

a. Revegetate with an approved mixture of seeds and plantings.

b. Irrigate and maintain revegetated areas as required until a stable con dition is reached.

14. Remove temporary drainage controls and stream diversions.

There may be considerable variation in the cycle, depending on how the dredge is transported between sites.

Hydraulicking is a method of mining placer deposits that was used extensively in the past but has fallen into disfavor because of the potential for serious effects on the stability of the remaining surface and on nearby surface waters.

Hydraulicking required a large deposit of auriferous allu-vium and a source of water that would provide sufficient vol-ume and pressure head. Overburden and pay gravel were both removed by high-pressure water that flowed through a monitor—a large nozzle that could be rotated horizontally and vertically. Mate rial removed by the flow from the monitor moved to the bot-tom of the valley, where the flow was controlled so that overbur-den passed directly into the stream channel and pay gravel flowed through a sluice or similar recovery device for recovery of the ore. Tailings from the sluice also flowed into the stream channel.

As mentioned earlier, hydraulicking of the placer gold deposits in the famous California Gold Rush of 1849 led to severe contamination of the rivers that drained the area of the gold deposit. The solids from the hydraulicking opera tions filled rivers with solids, which were eventually deposited

downstream with serious consequences for agriculture in the downstream areas.

Hydraulicking is still a very inexpensive method for mov-ing large volumes of unconsolidated material and is still used on a limited basis with five precautions:

1. Material discharge from a hydraulicking operation must be captured and treated to remove solids, including, in particular, any fine, suspended solids. This will require a settling pond, and chemical flocculants may also be neces-sary. Even water that appears to be clear must be tested by appropriate methods and treated on the basis of those tests.

2. Tailings, overburden, and deactivated settling ponds must be reclaimed appropriately, usually by recontouring and revegetation. It may be nec essary to remove and stockpile topsoil for use in reclamation. Coarse gravel, which may accumulate in separate piles, should receive special atten-tion to ensure it is reclaimed properly.

3. The area of the mining operation should be isolated from the flow of surface streams and runoff to prevent con-tamination of those waters.

4. Discharge of water from the hydraulicking operation should be managed to prevent interference with the exist-ing flow regimes in the drainage. The quantities and velocities of discharge should not modify the existing stream flow in a manner that will cause erosion, under-cutting of banks, or flooding.

5. Highwalls and embankments produced by hydraulicking should be re claimed, again by recontouring and revegeta-tion. Even when topsoil is removed and stockpiled, there may not be enough topsoil for the recla mation required. In such cases hydroseeding will likely be required.

CONCLUSIONActivities associated with mining have direct and lasting effects on both the physical and the human environments. In the recent past, mining was done with little concern for its effects on the environment. The consequences of this approach often resulted in significant damage to the natural environ-ment. However, as political and cultural norms changed, and new legal requirements were enacted, almost all major mining companies adopted rigorous policies and procedures for sus-tainability, community engagement, and environmental risk assessment and mitigation. These companies apply such poli-cies throughout their operations, many of which are world-wide. In addition, many mining companies work actively to remediate environmental damage caused by historic mining operations in areas where they have past or current operations.

Thus, environmental considerations are an important part of the modern mining industry. These considerations include preproject planning, permitting, compliant operation, recla-mation, and closure. These considerations must be included in all project planning, and feasibility studies must account for the influence of environmental considerations on project schedules and costs.

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