Srmining Chile 2017

5th I nte r n ation a l S e m i n a r on
E n v i ro n m e nta l I ssu e s i n Mi n i n g

4th I nte r n ation a l Con fe r e n ce on
S o ci a l R e s p on si b i lit y i n Mi n i n g
editor
Doina Priscu
5th i nte r n ation a l s e m i n a r on
e n v i ron m e nta l i s su e s i n m i n i n g

4th i nte r n ation a l con fe r e nce on
s o cia l r e s p on s i b i lit y i n m i n i n g
n ov e m b e r 8 -1 0 sa n t i ag o, c h i l e
e d i t o r
d o i n a pr i s cu
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CONTENTS
Organizers
Committees
Foreword
Preface
Acknowledgments
PLENARIES
From Investment to Territorial Development
Danae Mlynarz
An Experience in Collaborative Development: Albemarle and the Atacameo Peoples Council

Juan Pablo Armisn
Teck Carmen de Andacollo: Our Environmental Commitment with the Community for the
Sustainability of the Operation
Manuel Novoa and Ximena Retamal
Human Capital at Alto Loa Province: Sharing value between Minera El Abra and
Indigenous Communities
Carla Martinez and Claudia Corvaln
Remediation of Contaminated Sites from Past Mining Activities: A State Perspective on the Case
of Ro Negro Province, Argentina
Carolina Del Valle, Cecilia Lichtschein, Federico Martnez, Leandro Pirraglia, Juan Martn Isla,
Luciana Villalba and Luciano Pafundi
Hernn Videla Lira Smelter Modernization Project

Jos Herrera
ENVIROMINE
CHAPTER 1
Land Rehabilitation, Revegetation and Biodiversity
Biodiversity Offsets and the Mitigation Hierarchy: Key Components for a Better and Cost
Effective Closure Design
Victoria Alonso and Marcelo Ringeling
Ecological Assessment of High Andean Wetlands and Environmental Offset Measures in

Mining Activities
Iris Deustua
Assessing the Geomorphic Stability of a Rehabilitated Landform Using Climate

Change Analogues
John Lowry, Greg Hancock and Danielle Verdon-Kidd
Biocrusts Forming Cyanobacteria Favor Plant Germination and Improve the Quality of Soil
Mixed with Tailings Sands
Claudia Ortiz, Daniel Barros, Jorge Bolton and Doris Mrquez
Conceptual Integrated Stategy for Mine Tailings Reprocessing and Land Rehabilitation
Artem Golev, Mansour Edraki, Emmanuel Manlapig, Glen Corder, Mike Hourn, Paul Radulovic,
Jason Jones and Kristian Mandaran
CHAPTER 2
Sustainability Aspects of Risk Assessment
and Impact Assessment
Analysis of the Environmental Assessment Process in Mining Projects in Chile
Constanza Kutscher and Jorge Cantallopts
Remote Sensing Techniques to Generate Early Environment Warnings Oriented to

Environmental Management
Juan Carrasco and Waldo Prez
Wasteless Mining
Juan D. Rayo, Victor Encina and Juan C. Rayo
As Closure Approaches, Are You Preparing as Well as You Think You Are?
Andrew Baisley, Steven Peace and Mike OKane
Health Risk Assessment of the Mount Isa Population from Lead Exposure
Jiajia Zheng, Barry Noller, Trang Huynh, Jack Ng, Violet Diacomanolis and Hugh Harris
Risk Management of Mining-Affected Water Resources through Effective Collaborations and

Citizen Science
Stephen Edwards, Megan French, Natalie Alem, Elisa Guerrero, Karen Hudson-Edwards, Efran
Blanco, Helga Cauthin, Karen Luyckx, Jorge Quintanilla, Oscar Snchez and Gerardo Zamora
Ranking the Hazards of the Abandoned Franke Gold Mine Using an Analytic Hierarchy
Process (AHP)
Emmanuel Mhlongo, Rolindela Tshivhase and Francis Amponsah-Dacosta
Development and Application of Abandoned Mine Entries Hazard Ranking System (AME-HRS)
Emmanuel Mhlongo, Francis Amponsah-Dacosta, Armstrong Kadyamatimba, Sibulele Sigxashi and
Noxolo Kindness Mbebe
CHAPTER 3
Water Management and Effluent Treatment
Acid Mine Drainage Treatment Process Optimization for Manganese Content Reduction by
Sequential Neutralization
Nereyda Loza and Osvaldo Aduvire
Environmental Risk Analysis and Effluent Control of a Submarine Emissary: A Case Study in Mining
Alan Burdin, Ricardo Bittencourt and Gilcimar Oliveira
A Comparative Biosorption Study of Ni2+ and Co2+ Removal Using R. erythropolis and Modified
Banana Peel
Vinicius Towesend, Antonio Merma, Caroline Grossi, Ronald Rojas and Maurcio Torem
Removal of Boron from Mining Wastewaters by Electrocoagulation Method
Thiago Ribeiro, Antonio Merma and Maurcio Torem
The Impact of Salinity on the Calculation of Evaporation from Tailings

Thomas Baumgartl, Mandana Shaygan, Mansour Edraki and Bryan Richards
CHAPTER 4
Prediction, Prevention and Control
of Environmental Impact
IoT-Enabled Data Mashup Service for Environmental Hazards Detection
Ahmed Elmesiry, Natalia Bravo and Mirela Sertovic
Environmental Risk Assessment of Soils Affected by Spills in Mining Operations

Cristian Brito
The Road towards a Sustainable Mining Industry: Synergies and Challenges from the North
District of Codelco Chile
Hctor Castillo, Mara Clemencia Ovalle and Claudio Flores
SRMINING
CHAPTER 5
Social Development, Communit y Investment
and Economic Impact
What Corruption and Rent Seeking in Mining Communities Suggest About the Curse of
Natural Resources
Robert Boutilier
Economic Development and Public-Private Strategic Alliances. Project Torex Gold

El Limn-Guajes (ELG)
Edel Ojeda
Institutionalization of a Model of Intervention in Early Childhood Development in

Moquegua, Peru
Francisco Raunelli, Sergio Gonzlez, Anabel Arias, Norman Gridley and Katherine Anco
Social Investment Fund of Participative Management: Moquegua Development Fund, Peru

Francisco Raunelli, Alfredo Mogrovejo, Sergio Gonzlez, Mara Millones, Norman Gridley and
Eduardo Serpa
CHAPTER 6
Social Investment, Communit y Development,
Social Enterprise and Collective Impact
Stakeholders and the Environment: The Value of a Good Neighbor Agreement
Jon Mendieta and Carla Salinas
Shared Practices of Social Responsibility through Stakeholder Engagement

Percy Arrosquipa
Changing the Paradigm in the Relationship with our Neighbor Communities: Antucoyas
Experience in Mara Elena
Florencia Marinkovic, Anbal Chamorro, Rosa Salas and Marcelo Glavic
Sustainability of Social Programs in the Framework of the Plans of Social Management of

Mining Projects
PavelPinco andManuela de laPea
Whabouchi Project: Designed to Account for Environmental, Social and Economic Concerns
Simon Thibault
Participative Modeling of Social Investment in Rural Communities: Pilot Project in Moquegua, Peru
Francisco Raunelli, Sergio Gonzlez, Norman Gridley,
Katie Fergusson and Humberto Valverde
Electrification Project, Toconce Indigenous Community, Codelco North District

Leonardo Herrera
Assessment and Control of Dust Emissions at Opencast Coal Mine in South Africa
Francis Amponsah-Dacosta
CHAPTER 7
Free Prior and Informed Consent (FPIC)
and Negotiated Agreements
Agreements with Indigenous Communities: Seeking Consent for an Existing Mine Project
Peter Martell
Indigenous Consultation, RT Sulfuros Project, Radomiro Tomic Division, Codelco, Chile

Jorge Lagos
CHAPTER 8
Conflict Analysis, Prevention and Resolution
Environmental Management during Mining Exploration: The Importance of the First Steps
Mauricio Quiroz
A Case Study of the Social Management of an Environmental Incident with Local

Productive Impacts
Ursula Weber and Cristbal Aninat
CHAPTER 9
Innovation in Social Management Systems
Data-Driven Approaches to Measuring a Social License to Operate
Christopher Bartley, Kieren Moffat, Airong Zhang and Craig Styan
Creating Shared Value through the Implementation of Social Management Systems

Peter Martell and Tania Barron
CHAPTER 10
Human Rights and Social Due Diligence
Proactive Human Rights Due Diligence: Win-Win for Companies and Communities in Developing
Mining Projects
Lloyd Lipsett and Isabelle Gilles
Leveraging Greater Impact of Mineral Sustainability Initiatives: An Assessment of

Interoperability
Kathryn Sturman, Renzo Mori and Jean-Pierre Imbrogiano
editor
ORGANIZERS
The Enviromine-Srmining 2017 Conference was organized by the University of Queensland,

through the Center for Mined Land Rehabilitation (CMLR) and the Center for Social
Responsibility in Mining (CSRM), both forming part of the Sustainable Minerals Institute;
the Universidad de La Serena; and Valor Minero Alliance in conjunction with Gecamin.
The Sustainable Minerals Institute, The University of Queensland, Australia

The University of Queensland has a rich history of world class education and research associated
with the minerals industry. The Sustainable Minerals Institute is building on this very strong
base to expand and diversify minerals-related research and postgraduate education within the
broad context of sustainable development.
Since its founding in 2001, SMI has embarked on the task of working with the industry to
understand and implement the principles of sustainable development. Over the last six years,
SMI has steadily built expertise related to sustainable development and it has engaged widely
with the industry on a very diverse range of challenges with a sustainability focus.
The keys to SMI are the diversity of skills within the Institute and the capability to link these
skills in novel ways. People with backgrounds in technical, environmental and social disciplines
make up SMI. It is this blend of skills which allows SMI to make significant contributions to
the advancement of sustainable development within the industry.
The SMI research themes are the following: Mining; Mineral Processing; Environment;
Risk and Safety; Social Responsibility; Water; Sustainable Development; and Specialist
Investigations. SMI today possesses a diverse range of skills relevant to the challenges of
the Australian and International Minerals industry. SMI and its Centers has within the one
organization the capacity to engage effectively with the industry from geology to mining,
processing and disposal, with over-arching skills in risk and safety, environment, social
responsibility and water.
Centre for Social Responsibilit y in Mining

The Centre for Social Responsibility in Mining (CSRM) is one of six centers that form the
Sustainable Minerals Institute at The University of Queensland. CSRM works to promote
socially responsible practices within the minerals industry with the aim of ensuring that there
are long term positive outcomes the communities and regions in which resource extraction
occurs. The Centre conducts high quality applied research, delivers leading edge professional
education programs and offers research-based consulting services. It has global reach, with
particular experience in Australia and the Asia-Pacific region.
For more information, visit https://smi.uq.edu.au/csrm
Centre for Mined Land Rehabilitation
The Centre for Mined Land Rehabilitation (CMLR) was established in 1993 and was a founding
Centre of the Sustainable Minerals Institute (SMI) in 2001. CMLR addresses the minerals
industrys environmental challenges with quality science and translates research outcomes
into practices that lead to continual improvement of rehabilitation and the protection of
environmental values. The Centres focus is preventing, minimizing and remediating mining
environmental impacts by providing research, education and professional development in
the sustainability area.
For more information, visit http://www.cmlr.uq.edu.au/
Universidad de La Serena, Chile

The Universidad de La Serena calls the city of La Serena in the Coquimbo Region of Chile,
home. It is an autonomous Public Law Corporation that was founded in March of 1981 by
the fusion of two institutions that were present in the city at that time; Universidad de Chile
and the former Universidad Tcnica del Estado.
Since its beginnings as an autonomous university, the Universidad de La Serena has
continually strengthened its academic abilities by using policies aimed at work quality in
response to the needs of the regions and the country. One of the developmental focal points
is related to mining and environmental sustainability, an area sculpted by the universitys
history, strengths and regional/national interests.
Department of Mining Engineering:

A doorway to the world of mining and the environment
The Department of Mining Engineering, part of the Engineering Faculty, is the continuation
of the courses that were created by scientist and engineer, Ignacio Domeyko, at the Liceo de
Hombres de La Serena in 1838 that included courses in mining, chemistry, and metallurgy.
Part of the mission is to find talented youths that can excel in the undergraduate and
graduate programs such as Environmental Engineering and Mining Engineering. At the same
time there is interest in contributing to the development of innovative technologies related to
the department and that can have an impact on the regional and national scale.
The Department of Mining Engineering fundamentally forms professional careers in Civil
Engineering in Mining, Mining Execution Engineering and Environmental Civil Engineering.
Within its educational strengths, the Department of Mining Engineering has a Mina
Escuela where the students can take part in practical activities interrelated to their
professional development. Mina Escuela is also home to the Centro Experimental Mina El
Brillador, a center for innovative technology development and human capital training, all
alongside companies and institutions related to mining and the environment.
For more information, visit: www.userena.cl
Valor Minero Alliance
Valor Minero Alliance is a public-private institution that seeks to represent the plurality of
interests that make up the mining sector. Currently, it brings together the most important
actors from the public, private and third sectors, among which are: Ministers from different
areas, public institutions, large-scale mining companies, labor union organizations, social
organizations, NGOs, union leaders, first peoples organizations, research centers and local
government representatives.
Its range of action is framed by the work of the 2014 Mining and Competitivity Commission,
and its subsequent assignment by the President of the Republic to create a road map that
allows guidance, coordinated and in agreement, for Chilean mining to ensure value creation
for all actors and parties involved in this sector. This assignment is today the strategic agenda
Mining: A Platform for the Future of Chile
The role of Valor Minero is to: (i) Coordinate and ensure the compliance of the strategic
agenda and its initiatives: establish public-private resources with consistent strategic focuses.
(ii) Enable the development of mining from a social perspective: build a consensus among all
actors and the trust that allows for the sustainability of these agreements.
Gecamin
Powering professional development for operational excellence
Founded in 1998, Gecamin organizes highly technical, international seminars, conferences
and congresses that focus on generating interdisciplinary collaboration within multiple
industrial sectors.
In its 19 year history, Gecamin has organized technical and international conferences for
the mining industry for more than 23,000 professionals in areas like Geology and Mining,
Mineral Processing, Hydrometallurgy, Sustainability and Environment, Water and Energy,
Maintenance and Automation, and Human Capital. Starting this year, it will be broadening
its focus to include other industries like pulp and paper, agroindustry, geosynthetics and
retail among others.
During 2016, Gecamin organized 15 conferences joining 2,704 professionals from 40
countries, 667 being delegates from mining operations. Of the 16 events, each published a
book of presentations and contributed to a total number of 742 technical presentations.
Learn more about Gecamin conferences by visiting www.gecamin.com
COMMITTEES
Organizing Committee Advisory Committee

Executive Committee Ximena Abogabir, Casa de la Paz Foundation, Chile Saleem
Ali, University of Queensland, Australia and University of
CHAIR
Delaware, USA Pablo Alonso, Minera Cielo Azul, Argentina
lvaro Garca, Executive President, Valor Minero Allliance,
Marlene Anchante, Pontificia Universidad Catlica, Peru
Chile
Juan Pablo Armisn, Albemarle, Chile Alexandra Belande,
CO - ORGANIZERS Arcadis, Chile Isabel Buitrago, W ISELy and DisAndes

International, Australia Csar Cardozo, Agriculture and
David Mulligan, Director of Environmental Centers,
Livestock Service Tarapac Region, Chile Csar Carrasco, La
Sustainable Minerals Institute, Australia
Zanja Mine, Buenaventura, Peru Carlos Casas, Universidad
Kathryn Sturman, Program Leader, People Centers,
del Pacifico, Peru Luis Contreras, KGHM, Chile Fernando
Sustainable Minerals Institute, Australia
Crdova, PwC, Chile Jorge de la Cruz, La Arena Mine, Peru
Hugo Maturana, Director, Mine Engineering Department,
Marcela Curotto, SRK Consulting, Chile Gillian Davidson,
Universidad de La Serena, Chile
World Economic Forum, Canada Amelia Dondero, Pontificia
EXECUTIVE DIRECTOR Universidad Catlica de Valparaso, Chile Margarita Ducci,
Carlos Barahona, General Manager, Gecamin, Chile UN Global Compact-Pacto Global, Chile Manuel Faras,
Analysis for Development Group, Chile Sharon Flynn, Oceana
Technical coordinator Enviromine
Gold, USA Wilfredo Garzn, Goldfields La Cima, Peru
Doina Priscu, Senior Consultant, Environment/Mine
William Grosso, Lundin Mining, Peru Ronald Guzmn,
Closure, Golder Associates, Chile
Universidad del Desarrollo, Chile Ignacio Irarrzaval,
Conference Manager Center for Public Policies, UC, Chile Yanina Kowszyk,
InnovacionAL, Chile Jorge Lobato, Pierina Mine, Barrick,
Brbara Alcayaga, Conferences and Publications Manager,
Peru Paul Maidstone, Codelco, Chile Alberto Mayol,
Gecamin, Chile
Center for Research on Society, Economy and Culture, Chile
Conference Coordinator Danae Mlynarz, Valor Minero Alliance, Chile Alessandro
Carola Inostroza, International Events Coordinator, Nepomuceno, Kinross Gold, Brazil Mike OKane, OKane
Gecamin, Chile Consultants, Canada Ernesto Ortiz, Ingemina Consulting,
Chile Liliana Pautrat, Estudio Grau, Peru Carla Pea,
Yastay Consultores, Chile Sandra Riquelme, Barrick South
Directing Members
Cone, Chile Soledad Robres, Soler Consultora Ambiental,
Norman Gridley, Sustainability Manager, Quellaveco
Chile Lilian Rosales, Codelco, Chile Eduardo Ruiz, Amphos
Project, Anglo American, Peru Gabriel Bustos, Manager of
21, Peru Sebastin Salinas, Baloon Latin America, Chile
Environmental Management, Cerrejn, Colombia Cristina
Ignacio Santelices, Ministry of Energy, Chile Lorena
Frnandez, Chief of Corporate Responsibility and Community
Schmitt, Valor Minero Alliance, Chile Juan Antonio Seleme,
Involvement, Kinross, Chile Deanna Kemp, Director of the
Senior Consultant, Chile Alison Taylor, Business for Social
People Centers, Sustainable Minerals Institute, Australia
Responsbility, USA Alejandra Vial, Pascua Lama Mine,
Carla Martnez, Community Dialogue Manager, El Abra Mine,
Barrick, Chile
Freeport McMoran, Chile Paola Pinto, Environmental and
Permits Engineer, El Abra Mine, Freeport McMoran, Chile
Technical Committee
Osvaldo Aduvire, SRK Consulting, Peru Michael
Editorial Committee
Agum, Kogun Consultancy Services, Papua New Guinea EDITOR
Johny Aliaga, Universidad Nacional de Ingeniera,
Doina Priscu, Golder Associates, Chile
Peru Thomas Baumgartl, C M L R , Sustainable
Minerals Institute, Australia Charlotte Bisley, Social COPY EDITOR
Clarity, Australia Cristin Brito, Ministry of the Carola Inostroza, Gecamin, Chile Brbara Alcayaga, Gecamin,
Environment, Chile Carlos Cacciuttolo, Independent Chile
Consultant, Chile Alfonso Carvajal, Universidad de
REVIEWERS
La Serena, Chile Hctor Castillo, Codelco, Chile
Thomas Baumgartl, CMLR, Sustainable Minerals Institute,
Jorge Chvez, EnvPhys, Peru Roberto Contreras, Ca.
Australia Charlotte Bisley, Social Clarity, Australia
Minera Doa Ins de Collahuasi, Chile Glen Corder,
Cristin Brito, Ministry of the Environment, Chile Carlos
CMLR, Sustainable Minerals Institute, Australia
Cacciuttolo, Independent Consultant, Chile Hctor Castillo,
Marcela Cubillos, SR K Consulting, Chile Nick
Codelco, Chile Jorge Chvez, EnvPhys, Peru Marcela
Currey, Sustainable Mining Strategies, Australia
Cubillos, SRK Consulting, Chile Manuel Farias, Analysis
Hevina Dashwood, Brock University, Canada
for Development Group, Chile Sharon Flynn, Oceana Gold,
Ignacio Elzo, Center for Public Policies, UC, Chile
USA Jocelyn Fraser, Norman B. Keevil Institute, University
Jocelyn Fraser, Norman B. Keevil Institute, University
of British Columbia, Canada Tomas Frederiksen, University
of British Columbia, Canada Tomas Frederiksen,
of Manchester, England Rosanna Ginocchio, Pontificia
University of Manchester, England Rosanna Ginocchio,
Universidad Catlica de Chile Norman Gridley, Quellaveco
Pontificia Universidad Catlica de Chile Andrs Lpez,
Project, Anglo American, Peru Andrs Lpez, Independent
Independent Consultant, Chile Natalia Marchesvky,
Consultant, Chile Hugo Maturana, Mine Engineering
Universidad Nacional de San Luis, Argentina Carlos
Department, Universidad de La Serena, Chile Natalia
Muoz, Jaime Illanes & Asociados Consultores, Chile
Marchesvky, Universidad Nacional de San Luis, Argentina
Jorge Nez, Universidad de La Serena, Chile
Carlos Muoz, Jaime Illanes & Asociados Consultores, Chile
Claudia Ortiz, Universidad de Santiago, Chile
Claudia Ortiz, Universidad de Santiago, Chile Ernesto Ortiz,
Ricardo Oyarzn, Universidad de La Serena, Chile
Ingemina Consulting, Chile Ricardo Oyarzn, Universidad
David Parry, Rio Tinto, Australia Robert Purdon,
de La Serena, Chile Arturo Reyes, CICITEM, Chile Edgardo
Ministry of Northern Development and Mines, Canada
Rivas, Codelco, Chile Juan Seleme, Independent Senior
Felipe Ramrez, Consultora y Tecnologa Ambiental,
Consultant, Chile Arturo Silva, Andes Iron, Chile Mike
Chile Arturo Reyes, CICITEM, Chile Edgardo Rivas,
Slight, Mike Slight & Associates, Australia Kathryn Sturman,
Codelco, Chile Daniela Sierra, Pontificia Universidad
CSRM, Sustainable Minerals Institute, Australia Kathia
Catlica de Valparaso and Confiar, Chile, Chile Arturo
Tabra, Knight Pisold Consultores, Peru Victor Valdebenito,
Silva, Andes Iron, Chile Mike Slight, Mike Slight &
Los Pelambres Mine, Antofagasta Minerals, Chile Alejandra
Associates, Australia Kathia Tabra, Knight Pisold
Vial, Pascua Lama Mine, Barrick, Chile Claudia Vial, V&C
Consultores, Peru Victor Valdebenito, Los Pelambres
Asociados, Chile Mara Ins Vidal, SRK Consulting, Chile
Mine, Antofagasta Minerals, Chile Claudia Vial, V&C
Barbara Wernick, Golder Associates, Canada Jacques Wiertz,
Asociados, Chile Mara Ins Vidal, SRK Consulting,
Universidad de Chile
Chile Barbara Wernick, Golder Associates, Canada
Jacques Wiertz, Universidad de Chile
FOREWORD
In Chile, actors representing very diverse interests have made a commitment to turn
extractive industries into development platforms that are: skilled, leading to innovation
and the promotion of the countrys productive potential; inclusive, through effective
dialogue with the intention of developing the territories in which they operate; and
sustainable, including in the operations design all critical aspects that affect the socio-
environmental system.
There is no longer any doubt regarding the urgency of mining with an approach that
is sustainable in economic, social, and environmental terms. The great challenge is how
to make this a reality. Hence the need to agree to and implement specific initiatives that
pave the way towards the strategic vision of development; combining efforts between
the private sector, the public sector, and civil society.
Since 2013, work has been articulated by Valor Minero Alliance to formulate and adopt
a joint vision of mining as a platform for development, which is expected to become the
foundation of a state policy for mining that may be sustained beyond political cycles and
which allows for the development of long term objectives and the consequent methods to
reach those objectives.
From a transversal point of view, the mining sector has established the disposition
and commitment to establish a common criterion upon which to continue building; one
that harvests the efforts that have already been made, but that is also conscious of the
challenges that the new times demand. In the end, Chile needs to grow and needs to do
so in a way that is responsible with the environment, intelligent with climate change,
friendly to social development, and accurate in its economic growth.
lvaro Garca
Chair
envirom in e-srm ining 2017
5th International Seminar on Environmental Issues in Mining
4th International Conference on Social Responsibility in Mining
PREFACE
Environmental stewardship has been the focus of mining industry in the past few
decades, projects and programs have been developed and implemented allowing the
industry understand and minimize its impacts. Enviromine-Srmining 2017 focus on
environmental aspects related to mining operations allowing its participants to share new
and innovative ideas, exchange experiences on environmental learnings or a contribution
to the science. The articles included in this proceedings that are grouped in few major topics
capture the essence of the industry preoccupation striving for excellence in responsible
environmental management and contributing to the sustainable resource developments.
Authors from over 12 countries are exposing their views and sharing their experience.
44 abstracts are included in these proceedings organized in the following topics:
Enviromine
Land Rehabilitation, Revegetation and BiodiversitySustainability Aspects of Risk
Assessment and Impact
Water Management and Effluent Treatment
Prediction, Prevention and Control of Environmental Impact
Srmining
Social Development, Community Investment and
Economic Impact
Social Investment, Community Development, Social Enterprise and Collective
Impact
Free Prior and Informed Consent (FPIC) and
Negotiated Agreements
Innovation in Social Management Systems
Human Rights and Social Due Diligence
The papers published in these proceedings have been peer reviewed by professionals in the
field from around the world. We commend and thank them for their contribution, time
and dedication. We strongly believe that this conference, the presentations and the articles
published will be of interest not only to professionals that work in the environmental
stewardship, but also to community members, company managers, investors, bankers
and any other professional that may be touched by these topics.
Doina Priscu
editor
ACKNOWLEDGEMENTS
The Executive Committee acknowledges with gratitude the efforts of all the authors for
contributing a large variety of high quality, detailed and innovative papers to the technical
program. We also would like to thank the reviewers, the employees from Gecamin, and all
those involved in the creation of these proceedings for their assistance. The support of the
Organizing, Editorial, Advisory and Technical Committees has been greatly appreciated,
as has been the support of the Enviromine-Srmining 2017 Chair and the different chairs
of technical sessions.
The Executive Committee also wishes to thank the following sponsors (in the order
in which they were confirmed) for their generous support:
Mining Collaborator: Teck, Sociedad Contractual Minera El Abra,
filial de Freeport-McMoRan
Platinum: Teck
Gold: SRK Consulting
Silver: Minebridge, MWH now part of Stantec
Official Material: Sociedad Contractual Minera El Abra, filial de
Freeport-McMoRan
Social: Embajada Britnica
Institutional Partners: Sociedad Nacional de Minera (SONAMI), Chile; Consejo
Minero, Chile; Servicio Nacional de Geologa y Minera (Sernageomin), Chile; The
Brazilian Mining Association (IBRAM); Instituto de Ingenieros de Minas del
Per (IIMP); Centro de Investigacin Sociedad, Economa y Cultura (Cisec), Chile;
Fundacin Minera de Chile; Red por la Equidad de Gnero (RED EG), Chile; Australian
Government; Women in Mining Chile (WIM); Minnovex, Chile; Uk Trade and
Investment; Asociacin Gremial de Suministradores Tcnicos y de Ingeniera para la
Minera e Industria (SUTMIN), Chile; Balloon Latam; Pontificia Universidad Catlica
de Valparaso; Chile; SMI ICE Chile; Center for Public Policies UC, Chile
Official Media International: Seguridad Minera , Per
Media Partners: Gestin Minera, Chile; Revista Nueva Minera y Energa, Chile; Gua
Minera de Chile; Direcmin, Chile; El Inversor Energtico y Minero, Argentina; Panorama
Minero, Argentina; Revista Energa, Chile; Reporte Sostenible, Chile.
Finally, we would like to thank all the delegates who attended the seminar and
exchanged their valuable knowledge and expertise, thus contributing to the great success
of the Fifth International Seminar on Environmental Issues in Mining and the Fourth
International Conference on Social Responsibility in Mining. We are looking forward to
seeing you all again during the next versions of Enviromine and Srmining.
Executive Committee
ENVIROMINE
Environmental
Issues in Mining
PLENARIES
From Investment to Territorial Development
Danae Mlynarz
IDT Project, Valor Minero Alliance, Chile
ABSTRACT
We know that the successful articulation of companies social investment with a view to long term
local development is a condition for the success of a projects sustainable insertion in any territory.
In the Chilean experience, the private sectors efforts to become good neighbors at the locations in
which they operate is acknowledged, but so is the need to strengthen relationships which allow for
better results. This is the challenge that we have assumed at Valor Minero Alliance, to create an
institution out of a permanent dialogue system between companies, communities, and local
governments related to large investment projects, which may strengthen the dialogue processes and
present itself as a platform for the territories effective development.
With the private sectors commitment, the public sectors support, and the civil societys active
participation, Chileans have decided to submit to the government that will take office in 2018, a
public policy proposal that will include the learning and experience of companies, the knowledge of
local governments, social leaders and experts in the area, and the successful experiences of countries
such as Switzerland, Canada and Australia.
If we want to move forward towards more skilled, inclusive, and sustainable development, it is
imperative to have organisms that open to public debate the issues that are imminent in our country.
A public policy built by a wide range of actors, formulated in a way that is coherent with the Chilean
social, political, and economic reality. We hope will be the path toward the development that our
country needs.
There is no full article associated with this abstract
1
An Experience in Collaborative Development:
Albemarle and the Atacameo Peoples Council
Juan Pablo Armisn
Albemarle, Chile
ABSTRACT
An essential part of Albemarles growth is sustained by the harmonious relations it maintains with
the neighboring communities. This condition is achieved through a shared vision of the territorys
development with respect to its life systems and customs, continuously contributing to the
improvement of the environment and local quality of life.
As a result of this vision, based on the pursuit of the Atacama Salars sustainability, Albemarle and
18 Atacameo indigenous communities associated in the Atacameo Peoples Council made an
agreement for Cooperation, Sustainability and Mutual Benefit (2016), which marked a new
paradigm in relations between indigenous communities and the national mining industry. Its
signing was the result of a rapprochement, dialogue, and collaboration process among the parties,
which began in the year 2012.
The agreement is considered historical in the country since it marks a new understanding with
indigenous communities that is much more than the providing of monetary funds and which
involves long-term commitments to dialogue, sustainability and added value.
Through this agreement, Albemarle and the communities became partners; not only because they
share the benefits of the activity, but because they also drive their own development, working jointly
to guarantee the sustainable exploitation of the Atacama Salar.
All of the above demonstrate a single objective: to promote processes of ongoing dialogue and
cooperation based on the good faith of both parties and with a vision of generating the sustainable
development of both lithium mining as well as the communities themselves.
1
Teck Carmen de Andacollo: Our Environmental
Commitment with the Community for the
Sustainability of the Operation
Manuel Novoa and Ximena Retamal
Carmen de Andacollo, Teck, Chile
ABSTRACT
Teck has been operating since 2007 in the Andacollo commune, through its mining operation to
produce copper concentrate and cathodes.
Due to its strong mining tradition and the characteristics of the landscape and climatology, in 2009
Andacollo was declared a Saturated Zone for Particulate Material PM10 and in 2015 the atmospheric
decontamination plan for Andacollo and neighboring sectors came into effect. In that context, Teck
Carmen de Andacollo, as one of the actors who had to address this issue, began to develop several
priority initiatives that contribute to improve the air quality. In 2012 CDA designed and implemented
a Particulate Material Emissions Reduction Program (PREMP) with the objective of controlling the
emissions that could eventually be collaborating in the saturation indicators. This initiative
considered, among other aspects, operational improvements and the implementation of
infrastructure and equipment at the internal level.
The company has worked intensively, especially in the last four years, on innovations, studies,
research and measures to increase and ensure environmental controls. The results indicate a
significant change in the air quality of Andacollo, which may contribute in the short-term to a
commune that is no longer saturated.
In Teck, we feel proud and undertake permanent challenges to contribute to the positive evolution
of Andacollo's air quality. We are convinced and committed that we can be leaders in all aspects:
safety, environment, operational, people and in our relationship with the community.
1
Human Capital in Alto Loa Province: Shared value
between El Abra and Indigenous Communities
Carla Martinez1 and Claudia Corvaln2
1. Community Dialogue Management, El Abra Mine, Freeport McMoran, Chile
2. Public Affairs Office, Freeport-McMoRan, Chile Santiago
ABSTRACT
El Abra, subsidiary of Freeport-McMoRan, considers education a fundamental right and a key tool to
improve the conditions and quality of life for people. Education is a tool that closes gaps and decreasing
social inequality. To make it effective, it is necessary to guarantee that all children have access to quality
education and equal opportunities. This document presents a case study from the Alto Loa Province,
located in the region of Antofagasta in Chile and demonstrates how education is an element of
sustainability and shared value between El Abra and communities surrounding the operation,
generating public private collaboration. In the present case study, education is regarded as a tool to
strengthen community relationships and productivity in the region.
INTRODUCTION
Studies performed by the OCDE1 have demonstrated that formal education is directly related to work
opportunities and productivity of countries. In Chile, people who did not finish high school in 2011
received 34% less income than those who finished their secondary education2. This figure increases
with completion of higher education. People with technical certification in Chile receive a salary 1.5
times higher than those who finished high school education and for those with a university degree; this
figure is three times higher3.
In 2013, the indigenous population in Chile accounted for 9.1% of the countrys total population4.
When compared to the non-indigenous population, presented higher vulnerability levels regarding
their education and employment rate. The 2013 Casen survey showed that the average education level
of family breadwinners from non-indigenous populations in the country was 10.4 years, while among
indigenous populations the years of study reached 9.1 on average. On the other hand, illiteracy rates
for people who are 15 years and over reached 3.6% among non-indigenous populations and 5% among
indigenous populations. Likewise, the 2013 Casen survey detected that unemployment rates in the non-
indigenous population was 6.9%, while indigenous populations had an unemployment rate of 8%.
This reality affects both domestic economy and national performance, as the production capacity of the
country depends largely on the quality of available human capital. An example of this is the Province
of Alto Loa, located in the II Region of Antofagasta in Chile, which includes the communities of Calama,
San Pedro de Atacama and Ollage, Andean zones that have been occupied since ancient times by the
Atacama and Quechua peoples, who have provided a priceless social and cultural heritage to the area
and the country. In addition, Alto Loa Province, besides being rich in mining, hosts several copper ore
bodies and 10% of the worlds copper production as well as 27% of Chiles copper production.
One of the challenges of the Province of Alto Loa has been the availability of human resources for
productive activities. According to the study Brechas de capital humano en la minera [Human
capital gaps in mining] done by Fundacin Chile (2011-2020), in the next 5 years, 40 to 50 thousand
qualified workers will be required in the city due to new mining projects. This reality has increased
migration of qualified labor from other regions and generated a feeling of dissatisfaction in the
communities surrounding mines. They have observed a growing number of external population that
seizes employment opportunities and increases the demand of health services, education and housing 5.
1
https://www.oecd.org/latin-america/fomentando-un-crecimiento-inclusivo-de-la-productividad-en-america-
latina.pdf
2
http://portales.mineduc.cl/usuarios/mineduc/doc/201203291032500.InformeComisionAyudaEstudiantilmarz
o2012.pdf
3
http://portales.mineduc.cl/usuarios/mineduc/doc/201203291032500.InformeComisionAyudaEstudiantilmarz
o2012.pdf
4
http://observatorio.ministeriodesarrollosocial.gob.cl/documentos/Casen2013_Pueblos_Indigenas_13mar15_
publicacion.pdf
5
Nota prensa: Alcaldes llaman a paro nacional: https://municipalidadcalama.cl/web/2016/05/
This case study will show the experience of El Abra, subsidiary of Freeport-McMoRan, when
addressing the human capital challenges in the province through a document revision of its programs
and projects linked to training of Human Capital and internal evaluations of associated impacts.
Case Study: Human Capital Program for the Province Alto Loa
El Abra is located 76 km northeast of Calama. The site produces copper cathodes and has been
operating for 21 years6. El Abra is inserted in the Indigenous Development Area of Alto Loa, and is
surrounded by six indigenous communities; Conchi Viejo, Taira, Ascotn, Ollage, Chiu Chiu and
Lasana.
El Abra has recognized the importance of absorbing local labor and benefits provided by a capital
development strategy in raising productivity, by improving turnover, decreasing effects of floating
population and reinforcing community relationships. In this way, El Abra has developed long term
programs to improve access to education in Alto Loa focusing on technical and higher education levels,
emphasizing the quality of education, understanding that an education system must focus on
vulnerable groups and develop their potentials.
Through its program Capital Humano para la Provincia Alto Loa [Human Capital for Alto Loa
Province], El Abra has delivered tools to youngsters and people of all ages to face the work environment
in a better manner, becoming a real contribution and generating a personal, family, regional and
national level impact. The program that has been executed for more than 13 years with a comprehensive
view of education goes from preschool through elementary and high school as well as technical and
higher education, with more than 1,500 beneficiaries.
Pre-School Education:
James Heckman, a Nobel Prize winner economist indicates that social inequality starts at pre-school
education, and points out the importance of reducing inequality by investing in the education of
children from vulnerable sectors. Heckman states that for each dollar invested on quality pre-school
education, the social rate of return is approximately 3.8 to 12.9 dollars. In this sense, since 2013, El Abra
participates in the Human Capital program for Early Childhood, led by the Asociacin de Industriales
de Antofagasta, which provides education for pre-school children from kindergartens in the
Antofagasta Region.
Likewise, in order to support early education of children, El Abra has developed several programs with
kindergartens in the Alto Loa Province. Some of these programs include building a greenhouse for
vegetables and medicinal herbs to teach about environmental protection, rescuing local products and
traditions, as well as strengthening links between members of the school community with workshops
and lectures provided by experts.
School Education:
6
http://www.elabra.cl/el-abra/
Rural Elementary Schools in Alto Loa play a major role in the development of local towns. About 57%
of parents of students in rural schools do not finish elementary school education. Similarly the
infrastructure conditions and access to technology and support from teachers in these schools is limited.
El Abra considers this educational level as strategic and a priority for leveling the conditions in which
the education process takes place. For this reason, since 2011, El Abra has been implementing a funding
system for projects in five schools of Alto Loa, aimed at strengthening comprehensive education with
projects focused on the education process in its different dimensions. Selected projects receive technical
assistance and seek to address priorities set by each school. A selection committee evaluates projects
with the administrator and the Provincial Education Directory.
Some projects performed in this context are7:

Implementing power grid and solar heating for schools in Alto Loa. This initiative was
developed in the schools of Ayquina, Caspana and Chiu Chiu.
Scale Atacamenian Model Village as a learning resource: this was done at school G23 Pukar
de Lasana. The model village shows the evolution of the Atacamenian culture since 9,000 B.C
until the arrival of Spanish conquerors in 1532 A.D. Students act as tour guides of the small
village, explaining the development of this ancient culture.
Implementing school orchards. This initiative has allowed the school community to grow their
own organic products and has allowed transferring knowledge about agriculture to the schools
in Ollage, Caspana and kindergarten of Chiu Chiu.
Strengthening of culture by means of orchestras and music groups at schools. A remarkable
example of this is the Ollage School Orchestra.
In addition, initiatives to promote heritage and culture to children in Alto Loa include the following
projects:
The Orquesta de Nios del Altiplano San Jos de El Abra [Orchestra of High Plateau Children
San Jos de El Abra], has worked for 14 years teaching grammar school students from towns of
Alto El Loa to play violin, viola, cello, double bass and music theory and have formed a string
chamber orchestra with transverse flutes, clarinets and Andean percussion8. This initiative has
helped children develop resilience and face social, family and even school adversities.
With a strategic alliance with the Centro del Desierto de Atacama, belonging to the Pontificia
Universidad Catlica de Chile, the education atlas Mi Lugar en Lo alto del Loa9 was
developed to generate knowledge and sense of identity in local and school communities about
nature and local culture.
Technical education:
Quality technical education is key in the formation of future workers that meet the requirements of the
mining industry, focused mainly on areas such as automotive mechanics, industrial mechanics,
electricity, electronics and underground mining. This is the origin of the project Colegio Tcnico
Industrial Don Bosco de Calama located in a socially and economically vulnerable sector (Poblacin
7
http://www.elabra.cl/wp-content/uploads/2017/04/INFORM_GES_SOC_AMB_optimizada.pdf
8
9
http://www.elabra.cl/wp-content/uploads/2015/11/Alto_Loa_final_web.pdf
Gustavo Le Paige), in order to facilitate access to children living in the surroundings. This project was
developed through an alliance between the National Assets Ministry, Asociacin de Industriales de
Antofagasta (AIA), Codelco Norte Chuquicamata Division, SQM, Calama Plus and El Abra, currently
the main financing company.
Main objectives are:

To increase the offer of Professional Technical Education and generate a new training
center for technical skills development
To have a first-level technical education center which serves to strengthen human
resources and minimize the effects of turnover due to new mining projects
To capture future local labor or talents, acting as a potential breeding ground of technicians
or operators.
Additionally, El Abra takes part in the School-Company Agreement, which has allowed 140 students
to visit El Abra and learn in the field about the way a mine site works, and through technical and
motivation lectures at the school, providing them the opportunity of hearing executives speak about
their work in the mine10.
Currently there are 655 students, both male (63%) and female (37%), registered at Colegio Don Bosco
de Calama from seventh grade to second year high school divided into three specialties: Mining
Extraction, Industrial Mechanics and Industrial Electricity.
Since 2016, Minera El Abra and Veta Minera have been developing technical training programs for
youngsters and adults from Alto Loa, to certify their technical skills in heavy machinery operation and
equipment maintenance. More than 120 students have graduated allowing them to join the mining and
energy industries.
Higher education:
Regarding access to higher education, either technical or university, one of the main challenges is family
income, which limits their access and therefore future employment opportunities.
For this reason, in the last 14 years, El Abra supports economically vulnerable youngsters coming from
Alto El Loa and Calama with the Indigenous Scholarship Program, allowing access and continuity of
studies at the educational institution of their choice. In 2015, El Abra increased the scholarships by
approximately 50%, providing benefits to 66 students, while in 2017, 60 youngsters were granted
scholarships and 36% of them continued studying and renewed the benefit, 64% obtained scholarships
for the first time, 67% of these are university students and 32% are technical students. Of the students
granted with the scholarship in 2017, 58% are women11.
10
http://www.elabra.cl/noticias/
11
http://www.elabra.cl/wp-content/uploads/2016/05/Informe-de-Gestion-Ambiental-y-Social-2015-1.pdf
During the 14 years the program has been active, more than 200 people have been granted with the
scholarship in careers such as Safety Technician, Mining Engineering and Civil Engineering,
Automation Engineering, Metallurgy, Geology, Business Administration, Certified Public Accounting,
Law, Automotive Mechanics, Industrial Maintenance, Social Work, and others.
Similarly, since 2016, El Abra implemented a program of professional practice for youngsters coming
from Alto Loa. This program allows people to meet the requirements to obtain their professional degree
for a period of two months. Thirteen people have participated. Currently, El Abra is implementing a
pilot practice program for people who completed their internships and had outstanding performance.
Currently there are eight indigenous youngsters doing the internship to acquire work experience.
On the other hand, El Abra has a Career Development program since 2011.This program has benefited
182 workers of El Abra who graduated from the Technical Careers Center of Universidad de
Antofagasta at the Calama headquarters.
The main objective of this program is to strengthen skills of its workers and reinforce their personal
development, giving them the opportunity to certify their knowledge acquired through years of work
and experience by a recognized education institution. It is important to mention that because these are
workers who operate on a shift system, the agreement with Universidad de Antofagasta allows
adapting the study programs to the students time combining classroom teaching and e learning. The
Ministry of Labor and Social Security; and the National Service of Training and Employment (SENCE)
have recognized this work for its commitment to specialization of its workers.
Results: Sustainability and Shared Value between El Abra and Indigenous Communities
The Human Capital Program for Alto Loa has allowed El Abra and indigenous communities to sustain
their relationship and organizations, sharing value from two dimensions. The first dimension, for El
Abra, has to do with having technicians and professionals specialized in different processes. The
creation of training centers that provide an adequate combination of local industry requirements and
the technical profile developed, has allowed the company to have a wide offer of local qualified labor.
These efforts have led to the development of a local recruitment program allowing communities to
apply. The local recruitment plan, implemented for the first time in 2017, has incorporated five
indigenous community people members. This has resulted in strengthening their human capital and
increased job placement in different industries.
The second dimension has allowed both parties to establish commitment and build mutual trust. The
program has improved relationships with different stakeholders by activating and supporting a subject
that is highly sensitive and of public concern. Additionally, the program has contributed to the
expansion and generation of strategic alliances with different stakeholders, public as well as private,
related to education. Due to the complexity and dimension of the subject, El Abra understands the vital
need for complementing efforts with other organizations to obtain significant impacts and provide
continuity to these actions.
For the community, participating in these programs indicates commitment and strengthening of its
reputation. Compliance with training programs, low drop out and acquiring commitments inside the
community, have been part of the dynamics that these programs have strengthened inside the
community. To be benefited by these programs there must be not only a commitment to maintain good
reputation of the community and people, but make retributions. An example is that higher education
grant holders must perform retribution projects to the community in order to renew the scholarship,
such as talks about their careers and community cleaning in sectors of interest.
CONCLUSION
The conceptual framework from which Minera El Abra directs its program of Inclusive Education for
Alto Loa, understands education not only as a tool for social mobility, but most importantly as a
powerful tool to improve peoples lives, their surroundings and their capacities. The program operates
from the conviction that investment on education and training must be permanent over time, planned,
shared, monitored and its effects evaluated.
Different initiatives of the Inclusive Education Program for Alto Loa have provided benefits to more
than 2,500 people, including students of educational institutions in Calama and their families as well
as from surrounding towns and El Abra workers and contractors who have developed new tools for
their work.
El Abra has witnessed how children with more education become adults with more opportunities.
Education provides knowledge and capacity, and meets company expectations. Also it allows for
families to improve the quality of their lives and increase income, contributing as qualified labor that
optimizes the production levels.
The program implemented by El Abra not only demonstrates a permanent commitment to having
better qualified labor, but also shows company concern and efforts to advance with a subject that the
entire country has defined as priority for the development of future generations.
There is existing consensus that investing in education in the mid and long term will translate into
personal, family and social wellbeing. Some of the results of the program are:
Gradual improvement in the material operational conditions of education institutions of
indigenous communities in Alto el Loa. The work performed for many years has improved
significant aspects in the education of boys and girls belonging to indigenous communities in
the Province. Amongst these aspects, we consider infrastructure and renewal of teaching
materials and educational implementation to even out conditions between urban and rural
institutions.
It is also important to mention the impact in terms of improving capacity for preparation and
execution of projects within teachers teams of the benefited schools.
Likewise, there has been a decisive contribution to qualitative improvement of training
conditions for future mining technicians. Contributions not only imply access of students to
cutting edge technology in mining operations and procedures, but also progressing towards a
better convergence between what the local mining market demands and the work profile
produced by training centers.
Education strengthens trust and collaborative work between different stakeholders and within
neighbor communities.
Finally, in terms of scalability, this program may easily be replicated at a regional and national level,
provided the following conditions exist:
Identification of needs and gaps to provide a proper solutions
Entities, foundations or organizations available to generate necessary alliances,
Authorities that are interested in taking part in developing certain components,
Have a group of companies willing to provide funds.
BIBLIOGRAPHY
MDS. 2013. Casen 2013 Pueblos Indgenas, Sntesis de Resultados. Disponible en:
http://observatorio.ministeriodesarrollosocial.gob.cl/documentos/Casen2013_Pueblos_Indigenas_13m
ar15_publicacion.pdf
MINEDUC. 2012. Anlisis y recomendaciones para el sistema de financiamiento estudiantil.

Disponible en:
http://portales.mineduc.cl/usuarios/mineduc/doc/201203291032500.InformeComisionAyudaEstudiant
ilmarzo2012.pdf
Minera El Abra. 2015. Informe de Gestin Social y Ambiental. Disponible en:

http://www.elabra.cl/wp-content/uploads/2016/05/Informe-de-Gestion-Ambiental-y-Social-2015-1.pdf
Minera El abra. 2016. Informe de Gestin Social y Ambiental. Disponible en:

Minera El abra. 2017. Noticias. Disponible en: http://www.elabra.cl/noticias/
Nota prensa: 2016. Alcaldes llaman a paro nacional. Disponible en:

https://municipalidadcalama.cl/web/2016/05/
OCDE. 2016. Fomentando un crecimiento inclusivo de la productividad en Amrica Latina. Disponible

en: https://www.oecd.org/latin-america/fomentando-un-crecimiento-inclusivo-de-la-productividad-
en-america-latina.pdf
Remediation of Contaminated Sites from Past
Mining Activities: A State Perspective on the Case of
Ro Negro Province
Carolina Del Valle, Cecilia Lichtschein, Federico Martinez, Leandro Pirraglia, Juan
Martin Isla, Luciana Villalba and Luciano Pafundi
National Directorate of Mining Production, Environment and Community Development,
Undersecretariat of Mining Policy, Secretariat of Mining, Argentina
ABSTRACT
The National Mining Secretariat of Argentina (SEMIN) is leading the implementation of a
remediation pilot-project of contaminated site related to past mining activities in Rio Negro
province, currently at full development. This project is part of the GEAMIN Program II: Mining
Environmental Management, which is funded by the Inter-American Development Bank, with the
purpose of strengthening the environmental management capacity within the Mining Secretariat.
The project covers all phases of the remediation process: a detailed assessment with in situ
characterization of contamination sources, impact evaluation and risk assessment; the design,
preparation and implementation of remediation activities. These include: the elimination of
contaminated sources, removal and transportation of contaminated materials and final disposal of
contaminated material in a hazardous waste landfill, along with installation of monitoring systems.
The remediation process carried out in Rio Negro province also included a multi-institutional
agreement between national, provincial and municipal governments. A special committee was
formed to manage field work inspections, environmental controls and monitoring activities, and to
articulate with the provincial Ministry of Health and its healthcare program for the community. In
addition, the committee has the participation of local NGO members as observers, reflecting the
commitment to inclusive governance and transparency. The project is a major achievement since it
addresses a historical legacy of contamination that affected the health of the local population for
more than 40 years.
Throughout the experience gained from the GEAMIN Program II, more remediation projects in
different areas of the country that present contaminated sites from past mining activities can be more
successfully implemented. The result is the improvement of environmental and health conditions
within those legacy sites, engaging local communities and building trust between them and the
mining industry.
1
Hernn Videla Lira Smelter Modernization Project
Jos Herrera
ENAMI
ABSTRACT
On December 12 2013, the Ministry of the Environment proposed D.S 28: Emission Standard for
Copper Smelting and Arsenic Emission Sources. The goal of this regulation is to protect the health of
the people and environment with decreases of particulate-matter, sulfur dioxide and arsenic
emissions.
In addition to complying with these regulations, ENAMI also proposes to carry out measures in the
areas of sustainability and profitability, which allow the Hernn Videla Lira Smelter (FHVL) business
to safeguard compliance with future environmental regulations, following the guidelines of
ENAMIs Strategic Plan.
During 2016, the modernization project was implemented in two stages. The first, associated
exclusively to the S and As capture requirements and emission limits in chimneys, according to
the established requirements of D.S 28 required as of December 2018.
The second stage is associated to the development of the modernization of the FHVL, the deep
modernization project of the Chilean smelter industry.
To reach this goal, ENAMI is planning to implement Continuous Bottom-Blower Converter
Technology from China (BBR-BCC) to ensure the best operational and maintenance practices and HR
management.
BBR-BCC technology responds to current and future environmental standards, in addition to
maximizing and recovering valuable metals not recovered at present.
Thus, the FHVL modernization project will improve the capacity of ENAMI to fulfill its role of small
and medium size mining promotion, by ensuring the sustainability and profitability of the business,
and positioning a metallurgical complex within the highest standards worldwide in terms of
competitiveness, environmental care and community relations.

CHAPTER 1
Land Rehabilitation,
Revegetation and
Biodiversity
Biodiversity Offsets and the Mitigation Hierarchy:
Key Components for a Better and Cost Effective
Closure Design
Victoria Alonso and Marcelo Ringeling
Templado, Chile
ABSTRACT
In Chile, extractive industries, mining in particular, continue impacting biodiversity, despite the
availability of corporate guidelines, international best practices and local legislation to mitigate these
impacts. In fact, Chile has one of the highest rates of biodiversity loss among OECD countries. This
paper suggests that this situation is the result of lack of technical capabilities and limited experience
in both private and public sectors, with such legislation and best practices historically poorly applied.
It is also suggested that this situation creates an opportunity for a change in the way biodiversity
impacts are being managed by all stakeholders in Chile. Following international conventions and
pressure from international stakeholders, as well as the increasing availability of best practices, the
opportunity to implement the mitigation hierarchy and appropriate biodiversity offsets on ongoing
and new projects with particular focus in their respective closure plans has arisen recently as a cost-
effective, internationally accepted practice. Recent experience has proven that proper
implementation of biodiversity offsets provides stakeholder-validated opportunities for good
business practice, reduces approval timing and long term costs with less risk exposure.
The following document presents a specific case study for the design and feasibility of
implementation of a biodiversity offset that responds to a retroactive impact. The offset has been
desgined to follow best practices and current national guidelines. The suggested methodology used
in this specific case study includes stakeholder engagement recommendations, assessment of
residual impact and potential sites for compensation.
The implementation of the mitigation hierarchy and biodiversity offsets is considered an effective
tool to ensure that the long-term legacy of the operation is no net loss of biodiversity. In addition, an
appropriate design of a biodiversity offset, including an endowment for long-term management,
ensures stakeholder support and provides regulators with an accepted tool that can greatly reduce
litigation risk for environmental damage.
1
INTRODUCTION
In Chile, as in countless countries across the world, citizens and governments have become
increasingly aware of and concerned about the ecological, social, public health and aesthetic impacts
of large-scale industrial projects. In response, multiple levels of government have established and
implemented regulatory frameworks to hold industries accountable for their actions. Chile has a
range of such regulations, including an environmental impact assessment system and mitigation
requirements. However, as a young democracy, the countrys environmental mitigation programs
and regulations face a range of challenges and growing pains. These regulations are often unevenly
applied and suffer from a lack of accountability. They do not comprehensively demand the kind of
investments of time, effort and money necessary to mitigate the most serious and complex
environmental damages. In fact, Chile has one of the highest rates of biodiversity loss among OECD
countries (CEPAL/OECD, 2016).
For example, 84% of Chiles approved Environmental Impact Statements (EIS) do not attempt to
follow the governments own biodiversity offset guidelines for compensating negative
environmental impacts by restoring or replacing lost ecosystems or species. Instead companies often
end up compensating communities through unrestricted cash payments, or new infrastructure
projects that are sometimes unrelated to the original negative environmental damages that their
industrial projects have caused (Ladrn de Guevara, 2015).
At the same time, some of Chiles leading extractive industries, NGOs and consultants are taking
proactive steps to develop and implement pilot mitigation and biodiversity offset strategies and tools,
which can be deployed as part of regulatory requirements, or as voluntary efforts by industry seeking
to do well by doing good for Chiles biological diversity. For the mining sector, today there are
several drivers for addressing impacts on biodiversity, from project design to closure. In terms of
reputational international expectations around compensation, there are a number of drivers for
biodiversity offsets/compensatory actions/no net loss approaches. These include: government
regulation, as evidenced by an accelerated increase in the number of offset-related legislation in the
past 10 years1; financial institutions requiring them as part of their environmental safeguard policies
(e.g. IFC Performance Standard 6); and corporate risk management and policies as companies seek
to gain access to land and resources, obtain or strengthen license to operate, maintain regulatory
goodwill and demonstrate responsible company performance to investors and other stakeholders.
An ambitious and creative project underway in northern Chile serves as an instructive case study for
a new generation of projects, initiated by mining companies in collaboration with NGOs and
technical consultants, that link mitigation, biodiversity offsets, land conservation, and community
revitalization, all at a landscape or ecosystem scale. If proved successful, projects like this may
prepare the way for other projects to properly address biodiversity impacts and aim at no net loss in
biodiversity.
This paper focuses in the assessment of a specific case study for the design and feasibility of
implementation of a biodiversity offset, which follows best practices and current SEAs guideline.
1 The Environmental Impact Assessment Agency in Chile (SEA) published a guideline on biodiversity offsets
in December 2014.
2
METHODOLOGY
The purpose of the study was to evaluate the residual impact of operational activities and determine
if compensatory actions are needed. Compensatory actions are required by the Companys internal
corporate mandate. The aim of compensatory actions in this case is to compensate for the residual
impact associated with the historic use, for water extraction, of a High Andes wetland. Addressing
stages of the mitigation hierarchy (avoid, minimize, mitigate and offset) at this point results in a
retrospective analysis. The Companys goal is to reach a no net loss in biodiversity2, consistent with
international best practices and national guidelines.
Mitigation Hierarchy Implementation
The compensation design process must make sure the mitigation hierarchy has been implemented
for the project. In other words, before any offset is considered, the mitigation hierarchy should have
been followed to ensure that all reasonable efforts have been taken to avoid and reduce harm to
biodiversity in the project area. This involves identifying opportunities to avoid, minimize and/or
rehabilitate or restore affected biodiversity. Because the case-study this paper addresses started
before these concepts were considered in project design, there was no implementation of the
Mitigation Hierarchy designed to minimize the residual impact; however, to a certain extent, there
were avoidance and mitigation measures that can be studied as to how they reduced the residual
impact.
Stakeholder engagement
Stakeholder engagement was not addressed in the study. When strictly needed, stakeholder
expectations were inferred from companys local staff. However, definition of residual impact was
based on the Environmental Impact Assessment study that did include stakeholder participation and
thus provides a sense of what their expectations are.
Practical as well as theoretical experience available for offset design recommends that stakeholder
engagement takes place as early as possible and, for key issues, try to ensure broad-based community
consent (SEA, 2014). Although all stages in the design and implementation phases of the offset
projects will need active stakeholder participation, it is anticipated that the following validation
actions will be critical:
Scientific and community validation of the residual impact: its scientific assumptions as well
as its values to local communities
Authorities validation of the process: offset is well received among key local and national
authorities so it is considered as a valid compensation according to existing regulations as
well as conservation expectations
2 No net loss in Biodiversity refers to a target for a development project in which the impacts on biodiversity
caused by the project are balanced or outweighed by measures taken to avoid and minimise the projects
impacts, to undertake on-site restoration and finally to offset the residual impacts, so that no loss remains. Where
the gain exceeds the loss, the term net gain may be used instead of no net loss (BBOP, 2012)
3
Scientific and community validation of the selected site: scientific base for selection and
compensation measures are acceptable for affected communities
Local community at selected site: their expectations are met in terms of accepting the new
protected area as an opportunity for enhancing their quality of life
Local conservation community: the offset project is viewed as an improvement of current
status of biodiversity conservation regionally and nationally
International conservation community: the methodology used and implementation are
acceptable to international experts that have implemented offset projects in other locations
Company globally: accepts this offset project as a suitable application of their internal
corporate mandates
Other Mining companies with operations in Chile: accept that, even if biodiversity
compensation is not strictly required today for retrospective impacts, they dont feel
threatened by this pilot project and show interest in applying it themselves in the future
One key aspect in the implementation of offsets is the role of public institutions and other
stakeholders. Communities understand and support the value of ecosystem services 3, but are
confused by the fact that they have been historically compensated with money instead of being
compensated in biodiversity. On the other hand, businesses are divided into those who want to
implement appropriate biodiversity offsets and those who are comfortable with the current situation:
they pay to trash. In parallel, public institutions are tasked with defining conservation priorities
and guide implementation and monitoring, but lack internal capacity. The Biodiversity Offset
Guideline published by the Environmental Assessment System (SEA) in 2014 defines clear principles
for implementation and is looking for real projects to test its implementation. In the guidelines,
stakeholder engagement for appropriate design and implementation is presented as crucial for
success. However, several challenges lay ahead and closure plans designs present a unique
opportunity for implementing best practices.
Assessing residual impact
Following the implementation of the mitigation hierarchy, the hydrological models used to mitigate
the impact of water extraction in the wetland failed at predicting the real environmental impact. As
a consequence, due to water extraction from underground sources, water dropped lower than
predicted leaving vegetation without access to natural irrigation and causing the water mirror to
disappear. Although restoration actions are in place today, the impact cannot be restored within the
operations life of asset and, as such, it has been considered to exceed stakeholders acceptable level
of impact and, therefore, to be a residual impact on biodiversity from the operation.
Based on BBOPs methodology for residual impact assessment, the study used species richness,
singularities and conservation status for flora, fauna and habitats (key biodiversity components), and
3
The benefits people obtain from ecosystems. These include provisioning services such as food, water, timber,
and fibre; regulating services that affect climate, floods, disease, wastes, and water quality; cultural services that
provide recreational, aesthetic, and spiritual benefits; and supporting services such as soil formation,
photosynthesis, and nutrient cycling (BBOP, 2012).
4
its cultural and socio economic value as main aspects for selecting the key biodiversity components
found in the impacted site (BBOP, 2012). A summary of the findings is presented in the following
table:
Table 1. Summary of residual impact to be offset
Value Amount Justification
Orestias agassizii (high altitude Presence Endangered species restricted to water

freshwater fish) bodies only
Trichomycterus rivulatus Presence Endangered species restricted to water

(Bagrecillo, high altitude bodies only
freshwater fish)
Phoenicoparrus andinus (Andean Presence of Vulnerable species that uses water

flamingo) feeding ground bodies for feeding ground
Phoenicoparrus jamesi (James Presence of Vulnerable species that uses water

Phoenicopterus chilensis (Chilean Presence of Vulnerable species that uses water

Chroicocephalus serranus (Andean Presence of Vulnerable species that uses water

gull) feeding ground bodies for feeding ground
Presence of Vulnerable species that uses water

feeding ground bodies and wetland prairie for feeding
Plegadis ridgwayi (Puna ibis) ground
Presence of Vulnerable species that uses water

Chloephaga melanoptera (Andean feeding ground bodies for wetland prairie feeding
goose) ground
Pleurodema marmorata (Marbled Presence Endangered species restricted to water

Four-eyed Frog) bodies
Liolaemus jamesi (Jararanco de Presence Rare species with low capacity to move
James) to new environment
Oxychle Bofedal 221 hectares Niche where relevant elements of fauna

are expressed. Contains flora species
that have socioeconomic and cultural
values to local communities
Water mirror 2,5 hectares Niche where relevant elements of fauna

are expressed and that has important
hydrological regulation features.
Source: Templado (2013).
5
Assessment of potential sites
As defined above, the impacted area is basically characterized by the presence of azonal vegetation
formations, associated water bodies or water surfaces and consequently the presence of fauna species
from aquatic habitats (flamingos, ducks, fish, etc.) with the key features described in the previous
section.
The selection of potential sites for implementation of an offset was based on the following attributes:
Presence of azonal vegetation formations and water surfaces: as the main habitat features to
be considered in a future compensatory action
Alignment with conservation priorities in the Region: sites that partially coincide with a
protected area are eligible, as they constitute an expansion of an existing protected area, thus
ensuring the spatial continuity of preserved ecological processes, the eventual establishment
of biological corridors and also the strengthening of the buffer zone. Existence of Priority
Sites for the Conservation of the Biodiversity of Protected Areas (resulting from the Regional
Biodiversity Strategy) was included as a reinforcing element.
Presence of key elements related to sociological and cultural values to relevant communities:
availability of vegetation and water for grazing, food, medicine, fuel and securing the sense
of belonging.
Political feasibility, based in (1) location of the site within the limits of the same region as the
impact; and (2) ownership of the mining concessions by the same company as the impacting
operation.
The study found four sites that meet the criteria of combining a presence of relevant ecological
features, a relevant size (defined according to the size of the residual impact and suggested best
practices), stated conservation priority for the Government, a relatively simple land tenure
arrangement and close enough to the affected community.
International practice requires the biodiversity losses of a project and the biodiversity gains caused
by its offset4 to be assessed by a quantification methodology to ensure they are equivalent. The
national Guidelines published by SEA requires this assessment, but does not provide indications on
what this methodology should look like, however, there are other international metrics that are used
in international practice.
For this specific case study, the methodologies were chosen for its simplicity and applicability to the
ecosystem characteristics of the High Andes. These methodologies were (1) the Department for
Environment, Food and Rural Affairs (DEFRA, 2012), (2) the Fundacin Chile (Ladrn de Guevara,
2015) and (3) a suggested approach based on key biodiversity components presence.
The DEFRA methodology measures habitat losses and gains with a compound metric that includes
three variables: extension, distinctiveness and condition. Multipliers can be added to these variables
to account for delivery risks. The Fundacin Chile methodology is based on the concept that offset
4 Biodiversity gains caused by an offset that would not have occured otherwise are known as additionality. In
order for an offset to be deemed equivalent to an impact the additionality generated has to be equal to the
residual impact.
6
possibilities are equivalent and, from there, it accounts for extension, condition and quality of the
biodiversity, applying multipliers to account for location of the project, time gap between impact and
offset and type of management.
In addition to the methodologies proposed above, this study proposes including an additional
account system for the presence of key biodiversity components in the potential offset sites. This
account system ensures that all defined key biodiversity componentes are present in the offset sites.
The use of this simple method as a complement of the above complex and abstract metrics provides
grounded certainty that all key biodiversity components will be addressed in the design of the offset
project. Finally, the authors explored the possibility of using this pilot project as a model to channel
resources to existing public protected areas.
RESULTS
Upon closure of the operation, 10 threatened species are considered part of the residual impact. In
terms of habitat, 221 hectares of azonal vegetation and 2.5 hectares of water mirror are considered
lost and part of the residual impact5. Offset methodologies were applied to determine the value of
loss and to determine the size and scope of potential compensation options. The methodology
considers wetland size, condition and distinctiveness and results in corresponding unit values for
residual impact. Risk considerations and the lack of precision of background data may warrant the
use of a multiplier for this case.
In addition to the habitat metric, potential compensation options must also hold the threatened
species and ecosystem services to local communities such as grazing areas and presence of plants for
medicinal and other uses lost at the wetland. To achieve no net loss, the additionality must be equal
to or greater than the residual impact.
For site identification, four main criteria were applied: i. presence of azonal vegetation formations
and a water mirror, ii. alignment to regional biodiversity priorities, iii. key elements related to socio
and cultural values to relevant communities and iv., political feasibility. Species are assumed present
based on habitat formations and available information, but this will need to be tested. From this
combined analysis, four potential sites were identified as suitable for compensatory actions.
The process of identification of residual impact and selection of potential offset sites experienced
some limitations derived from the novelty of this kind of process in Chile, namely:
- Because historically, compensation for biodiversity loss in Chile has involved monetary
exchange and other out-of-kind measures (building infrastructure or providing social
programs), it was difficult to publicize the process and, therefore, there was a very limited
process of stakeholder engagement.
- The dialogue with authorities presented some difficulties on transparency and
understanding:
5 The residual impact assumes that the rehabilitation measure exceeds the acceptable level of impact in terms
of its duration (30 40 years) and effectiveness (full recovery of species).
7
o The elements being offset belonged to a past Environmental Assessment process but
there was a current Assessment of a future activity linked to the same elements.
o Legal framework for like-for-like offsets was too novel and there were little
capacities within the authorities on what to expect from it.
- The process proves to be very expensive, especially because of the lack of conservation banks
and the need to create a conservation area from scratch in a context of different levels of
ownership of territory (mining rights, water rights and land itself).
- There are several delivery risks, some liked to the feasibility of biodiversity improvements
and others to securing conservation in a context of little legal certainty for private
conservation and different levels of ownership.
- There is a general lack of enabling conditions at a national level (lack of biodiversity
compensation banks, lack of tax incentives for private conservation, lack of resources
invested in conservation, etc).
The results from this study show that there are challenges to the implementation of best practices
and current legislation but that with the guidance of study cases and international experience it is
possible to address biodiversity losses and design biodiversity offsets that can be included in any
closure plan. Securing an endowment for its implementation ensures stakeholder support and
provides regulators with an accepted tool that can greatly reduce litigation risk for environmental
damage.
CONCLUSIONS
The work will help guide compensation policy within the company and emerging regulation
nationally. It documents environmental features and their relative value, and assesses residual
impacts on these features to determine the scope and scale of different compensatory actions (sites
and other indirect actions). It also addresses potential costs of compensatory actions. The analysis
suggests that a residual impact will remain and that options exist for compensation. Therefore, the
study indicates that appropriate offset of biodiversity at the voluntary or mandatory level, is feasible
and recommended from a technical perspective, but is still trapped by a gap in capacities from
government agencies and traditional habits of other kind of compensations. Moreover it serves as a
tool to properly engage stakeholders, reduce costs and mitigate risks when designing and closing a
project. Additionally, it suggests that securing an endowment for its implementation can greatly
reduce litigation risk for environmental damage.
8
REFERENCES
Business and Biodiversity Offsets Programme (BBOP)., 2012. Standard on Biodiversity Offsets. BBOP,
Washington, D.C.
Business and Biodiversity Offsets Programme (BBOP)., 2012. Glossary. BBOP, Washington, D.C. 2 nd
updated edition.
Comisin Econmica para Amrica Latina y el Caribe (CEPAL)/Organizacin para la Cooperacin y

el Desarrollo Econmicos (OCDE), Evaluaciones del desempeo ambiental: Chile 2016, Santiago,
2016.
Department for Environment, Food and Rural Affairs (DEFRA), Biodiversity Offsetting Pilots,
Guidance for Developers, March 2012.
Ladrn de Guevara, J. et al. 2015. Gua para compensaciones en biodiversidad en la Regin de

Tarapac. Fundacin Chile, Tarapac, 2015.
Servicio de Evaluacin Ambiental (SEA), 2014. Gua para la Compensacin de Biodiversidad en el

SEIA. Gobierno de Chile, Ministerio del Medio Ambiente, Servicio de Evaluacin Ambiental.
9
Ecological Assessment of High Andean Wetlands
and Environmental Offset Measures in Mining
Activities
Iris Deustua
SRK Consulting, Peru
ABSTRACT
The high andean wetlands (known as bofedales in the Peruvian Andes) are commonly found
above 3200 meters above sea level, where most livestock production and mining operations occur
in the country. They are fragile ecosystems that must be handled carefully, since they play an
essential role in the formation of basins of the high Andes, have a high biodiversity in terms of
species richness and endemism, providing key environmental services that support the stability
of biodiversity and the well-being of human populations.
Despite their importance, are now considered ecosystems that have lost part of their capacity to
provide environmental goods and services as consequence of anthropogenic activities. The most
obvious impact on biodiversity from mining is the removal of vegetation. Biodiversity offsets are
mechanisms that compensate for the residual impacts of development projects and a mobilization
of strategic resources for conservation.
Recently in Peru, biodiversity offsetting has been considered within the EIA regulations for
projects that require environmental licensing, therefore the Ministry of Environment (MINAM)
has developed a specific regulatory framework for the implementation of environmental offsets.
This article has establish an adaptation of the methodology in the published guidelinesto be able
to estimate the ecological assessment of high andean wetlands through a rating system based on
five fundamental attributes: vegetation composition, soil stability, biotic integrity, carbon
captured and hydrological function. With the inclusion of new attributes, (carbon captured and
hydrological function) indicators and scale of rating values, it is possible to determine the total
area to be offset, for the possible installation of mining components in high andean wetlands
ecosystems and with the proposed restoration and conservation measures, the affectation to the
functionality of these ecosystems could be avoided.
However, as this is a recent mechanism, there is still uncertainty about the effectiveness of
activities under this new regulatory framework.
INTRODUCTION
High andean wetlands are a particular type of wetlands, characteristics of the high andean zone
in the subtropical Andes and tropical, located at elevations between 3200-5000 meters above sea
level (Squeo et al., 2006). They are formed by plants in the form of curved cushions to plans
(Estenssoro, 1991). In comparison to other typical high mountain plant formations, high andean
wetlands are unique ecosystems, not found anywhere else on the planet, as they provide key
environmental services that support Andean mountain biodiversity and the wellbeing of high
altitude human populations (Baied & Wheeler, 1993; Earle et al., 2003; Maldonado et al., 2011;
cited in Salvador et al., 2014), they possess high biodiversity in terms of wealth of species and
endemism (Telleria et al., 2006; Coronel et al., 2007; Meneses, 2012, Flores, 2013; Anthelme et al.,
2014; Maldonado, 2014; cited in Loza et al., 2015).
They help control and regulate the current erosion that can decrease water quality (Alzrreca et
al., 2001; Coronel et al., 2007; Squeo et al., 2006; Benavides et al., 2013; cited in Loza et al., 2015).
In addition, they can store organic carbon (Segnini et al., 2010) and have the ability to regulate
emissions of carbon dioxide through the sequestration of atmospheric carbon (Buytaert et al.,
2011). They also fill important ecological and socioeconomic functions (Loza et al., 2015). In Peru,
are used mostly for traditional grazing by domestic herds of alpaca (Vicugna pacos), llama (Lama
glama) and sheep (Ovis aries), which often form the basis of the local economy (Blench
,2001).Despite their importance, are now considered ecosystems that have lost part of their
capacity to provide environmental goods and services in consequence of drainage, urbanization,
agriculture, construction of dams, overgrazing, construction of roads, pollution and other forms
of intervention of the ecological system (MINAM, 2014). Increasing economic activities to satisfy
the needs of the Peruvian private and public sectors, generates new demands on the water and
minerals of the nascent watercourses where high andean wetlands are located, (Salvador & Cano,
2002; Salvador et al., 2010).
Ecosystems are affected by the physical perturbations of mining operations, as well as the
chemical alterations in soil and water. Mining activities vary, but can include soil compaction and
conversely, removal of the topsoil. Depending on the scale and nature of the mining operation,
these effects can be localized to the location of the mining or, through local hydrology, can extend
to nearby aquatic systems, such as stream, wetlands and lakes (Martonas, 2017). Habitat
destruction is the most important cause of biodiversity loss, especially in the humid tropics
(McNeely et al., 1995). The most obvious impact on biodiversity from mining is the removal of
vegetation, which in turn alters the availability of food and shelter for wildlife. At a broader scale,
mining may affect biodiversity by changing species composition and structure (World Resources
Institute, 2003). With reduced plant biomass, less carbon is being processed via photosynthesis,
which leads to less oxygen production, less standing biomass and reduced transfer and cycling
of nutrients. Also, plants are key regulators in an ecosystem's water cycling as they utilize
moisture in photosynthesis and transpire water vapor back into the atmosphere. As such, the
absence of plants in an ecosystem can inhibit the multiple functions and services commonly
provided (Martonas, 2017).
Environmental offsets seek to ensure that unavoidable adverse environmental impacts of
development are counterbalanced by environmental gains, with the overall aim of achieving a
net neutral or beneficial outcome (McKenney, 2005). Biodiversity offsets are mechanisms that
compensate for the residual impacts of development projects and a mobilization of strategic
resources for conservation. In Latin America, compensation generally have been considered very
early in the licensing environmental management of infrastructure projects (Lpez & Quintero,
2015).
Recently in Peru, biodiversity offsetting has been considered within the EIA regulations for
projects that require environmental licensing, which are obliged to include a management plan
with measures of mitigation, rehabilitation, restoration or offset, therefore the Ministry of
Environment (MINAM) has developed a specific regulatory framework for the implementation
of environmental offsets, which become a tool to compensate for losses caused by projects of
development and a possibility of mobilization resources for conservation actions (Guidelines for
Environmental Offsets in R.M. N 398-2014-MINAM, General Guide to the Environmental Offsets
Plans in R.M. N 066-2016-MINAM and Complementary Guide for Environmental Offsets in
High Andean Ecosystems in R.M. N 183-2016-MINAM).
Therefore, the objective of this study were to established an adaptation of the methodology in
these published guidelines to be able to estimate the ecological assessment of high andean
wetlands through a rating system based on four fundamental attributes in the ecosystem:
vegetation composition, soil stability, hydrological function and biotic integrity. This assignment
of relative values establishes a rating scale, which allows to determine the total area to offset for
the possible installation of mining components, as well as the conservation state of the ecosystem.
In addition, measures have been proposed for restoration and conservation of the high andean
wetlands, with the aim of achieving zero net loss of biodiversity, maintain the functionality of
ecosystems and, to the extent possible, obtain a net gain in an ecologically equivalent area,
considering the principles of additionality and sustainability. Nevertheless, because it is a recent
mechanism and with proposed measures, there is still uncertainty about the effectiveness of the
activities under this new framework regulatory.
METHODOLOGY
Site description
The field work was conducted at three high andean wetlands in the Province of Bolognesi
(Ancash Region) in the District of Aquia, in the Central Andes of Peru at 4100 meters above sea
level (Figure 1).
Figure 1 Study Area
Precipitation is markedly seasonal. The rainy season occurs in the austral summer (December to
March) and the eight-month dry (moisture stress) season occupies the remainder of the year,
although seasonal and inter-annual variability is significant (Martnez et al., 2011; cited in
Salvador et al., 2014). The diurnal temperature range is greater than the annual range, and
freezing temperatures occur nightly throughout the year (Tosi, 1960).
The predominant plant life forms in the ecosystems of the Puna ecoregion are prostrate, cushion
and rosette herbs such as Azorella, Baccharis, Gentiana, Geranium, Lupinus, Nototriche, Valeriana and
Werneria (Salvador et al., 2014). Plants of Distichia muscoides Nees & Meyen, Oxychloe andina Phil.
and Plantago rigida Kunth are often conspicuous, forming large cushions. Other types of
vegetation include carpets of Plantago tubulosa Decne. and Werneria pygmaea Gillies ex Hook. &
Arn. Some species of Gentiana, Hypsela, Isotes, Lilaeopsis, Ourisia, Phylloscirpus, Zameioscirpus and
Carex are also present in Puna peatlands (Salvador et al., 2009).
Field assessments were carried out in September 2013 and November 2014 in three high andean
wetlands defined according to their characteristics and possible uses in the offsets activities: Site
1 Reference area, Site 2 Impact area, possibly affected by the installation of mining components
and Site 3 Biodiversity offset area proposed (Figure 2).
Figure 2 High andean wetlands study sites
For the three sites it recorded location, co-ordinates and general site characteristics
(Table 1).
Table 1 Location and characteristics of the three study sites
Coordinates UTM Altitude Main dominant

Site Area (ha)
(WGS 84) (m.a.s.l.) plant
1 273,173 8'899,676 4013 1.18 Juncus ebracteatus
2 274,319 8899,637 4056 0.61 Plantago rigida
Plantago rigida
3 273,824 8'899,950 4024 0.80
Juncus ebracteatus
Also was analyzed the vegetation composition, collected data of physicochemical characteristics
on the water and soil to be able to estimate, with the support of the approved guides, the
ecological assessment based on five fundamental attributes in the ecosystem: vegetation
composition, soil stability, biotic integrity, carbon captured and hydrological function, where the
main parameters for each attribute are detailed in Table 2.
Vegetation composition
The vegetation composition in each site were evaluated in transects of length 50 m using the
repeated cover method (a type of point transect) recommended by Mateucci & Colma (1982) for
grasslands. Ground cover was assigned to one of the following categories: bare soil, water, ice,
moss, mulch and others. A total of 100 readings were recorded with a -inch diameter censoring
ring.
The data were converted to percentage cover values for analysis (Oyague & Maldonado, 2015).
The plant species recorded were grouped into three categories, grasses and graminoid plants,
herbs and shrubs. For the quantitative analysis it was estimated the following diversity indices:
Margalef richness (d), Pielous evenness (J), Shannon-Wiener (log2) (H) and Simpsons index of
diversity (1-D) (Krebs, 1989; Magurran, 2004).
Soil stability and Carbon captured

Soil pits, of 1 m in width by 1.2 m in length were performed for the study of soils, in accordance
with their genetic horizons or layers (Soil Survey Staff, 2014). In the three sites of study soil
samples were taken according to the range of depth on each horizon (horizon 1 beetween 0 to 25
cm, horizon 2 between 25 to 39 cm, horizon 3 between 39 to 64 cm and horizon 4 between 64 to
88 cm). The samples were taken to the laboratory of the National University Agraria La Molina.
The main parameters analyzed were texture, pH, carbonates, organic matter, cation exchange
capacity, among others. The total carbon captured C/ha was estimated based on the obtained
results of organic matter, soil texture, density and weight with support from the Methodological
Guide to Soil Pollution Research of the Public Society for Environmental Management (IHOBE,
1998) and Mendrano et al. (2012).
According to MINAM (2014), in healthy high andean wetlands the diversity of plants is high and
uniform coverage, the presence of invasive plants is scarce, there are few signs of erosion, no
signs of fragmentation are observed, and the connectivity between vegetation units present is
high, in comparison of healthy sites with management problems, plant diversity is fairly high
and coverage is not completely uniform, slight signs of fragmentation are observed and erosion
is slight to moderate, while in an unhealthy high andean wetlands the soil is poorly protected
and there are marked signs of habitat erosion and fragmentation, the vegetation cover is sparse
and non-uniform, and the soil surface is hard and dry.
Biotic integrity
The climate of the whole of Peru, and particularly of its southern parts, is characterized by
alternating wet and dry seasons with five rainy months (December to April) and seven dry
months (May to November) per year (Viparelli & Napoli, 1982; cited in Oyague & Maldonado,
2015). The high andean wetlands identified in the study area are mainly seasonal. They are
distributed in small patches, close to the puna grass plant formation, with which they form
associations, that included species indicative of overgrazing like Aciachne pulvinata, a species of
slopes, appears in overgrazed fields located in flat or low slope areas (Bustinza, 2001), is
considered an undesirable species for cattle, sheep, alpacas and vicuas (Mamani, 2001;
Maldonado, 2010).
The canopy height (cm) of the dominant species indicative of vigor was measured, using as
standard the height measure of the keys species in their optimum condition under the best
conditions of the medium (Florez & Malpartida, 1987), these species were determined in field on
the basis of the vegetal composition evaluated in each transect.
In order to estimate the amount of biomass (g/m2) data reported of dry aerial biomass by INIA -
TECHNOSERVE (2000) were used as reference, evaluated in high andean wetlands in climax
state of three sectors of the Puna (Province of El Collao, Puno Region), with results that varied
between 2,726.15 to 3,163.63 kg/ha, with an average of 2,945 kg/ha. Also, according to MINAM
(2014), in healthy high andean wetlands the biotic integrity is more than 70% of the biomass
available withFICHA SIAM PUNTO DE MUESTREO
abundant mulch, in comparison of healthy sites with management problems,
where available biomass has been markedly reduced (around 30-69%), where the production
Nombre de la Empresa: ICM PACHAPAQUI S.A.C.
comes from desirable
Nombre del Proyecto
native plants; while an unhealthy high andean wetlands contains only 0-
Proyecto MEIA U.M. Pachapaqui
25% of desirable
Nombre del Punto: plants,
T12 where invasive plants become abundant and vigorous.
Monitoreo Biolgico: Flora X Fauna Hidrobiolgico
Clase de Monitoreo: Monitoreo de Flora
Hydrological function
UBICACIN
With Distrito:
the support of AQUIA a multi parameter and pursuant to the national protocol for water resource
quality monitoring (R.J. N 010-2016-ANA), the quality of water was assessed in the three sites of
Provincia: BOLOGNESI
INVENTARIO DE BOFEDALES
study,Departamento:
by measuringANCASH the following on-site parameters: pH, temperature, total dissolved solids,
Cuenca:
electric conductivity PATIVILCA
and dissolved oxygen. According to MINAM (2014), in healthy high andean
COORDENADAS UTM (En 1. Datos
caso Generales
de transectos complementar con el tem Punto Final)
wetlands the rain penetrates the soil profile easily; the water surface on the surface most of the
Punto Inicial Mina: ICMPunto
PACHAPAQUI
Final S.A.C. Fecha: Noviembre 2014
i
Este
year, the
273,173
eyes
(m)
of water and
Zona: streams 18that
Este
run through
273,078 (m)
the ravine are clear and regular in
Registrado: flow year
SVS
Norteafter year, in
8899,676 (m) comparison of healthy
Coordenadas UTMNortesites
Norte with management
(m):
8899,660 (m) 8899,676 problems, there are slight signs of
Cdigo: T12
Este (m):
soil4 013
Altitud loss and cover,
(msnm)
FICHA SIAMwater PUNTOdoes DE not accumulate
Altitud
MUESTREO4 010 on the273,173
(msnm)
rea (ha):
surface as before, although the0.11
different
Cota (msnm): 4 013
Zonasources
18 (17, 18 present
of water 19) and adjacent Zona are 18 clear, while
(17, 18 in
19)an unhealthy high andean wetlands the
Datum
Nombre de WGS 84
la Empresa: (PSAD 56 ICM
WGS 84)
2.PACHAPAQUI
Parmetros Datum
Fsicos
S.A.C. delWGS
agua84 (PSAD 56 WGS 84)
waters after the rains do not3 penetrate easily and run on the surface between the furrows and
Nombre del Proyecto Caudal (m /da)
Proyecto MEIA U.M. N.A.
Pachapaqui Mtodo: N.A.
patches of vegetation,
Nombre del Punto: T32 also water quality has declined significantly.
Temperatura (C):
Monitoreo Biolgico: Flora Xagua Fauna
15.8 Hidrobiolgico
Clase de Monitoreo: Monitoreo de Flora
pH (u.e.) 7.79
UBICACIN
Distrito: CE (S/cm)
AQUIA 390
Provincia: BOLOGNESI
TDS (ppm) 190
Departamento: ANCASH
ORP (mV) 234
Cuenca: PATIVILCA
COORDENADAS UTM ODde

(En caso (mg/l) 7.1
transectos complementar con el tem Punto Final)
Punto Inicial Punto Final
Turbidez del agua:
i
Este 274,319 (m) Este

Cristalina x 274,223 (m)
Norte 8899,637 (m) Norte 8899,656 (m)
Turbia
Altitud 4 056 (msnm) Altitud 4 048 (msnm)
Zona 18 (17, 18 19) Zona 18 (17, 18 19) Foto
Datum WGS 84 (PSAD 56 WGS3. Caractersticas:Datum
84) El ni vel WGS
frea ti co
84del a gua fue de
(PSAD 5610 cm.
WGS 84)
Site 1: Reference area
Es a l i menta do por a gua s s ubterr nea s .
Es t a s oci a do a l a forma ci n Cs ped de Puna .
Si s e pres enta n a l guna s cha mpa s defi ni da s . Pres enta a l guna s es peci es i nva s ora s e i ndi ca dora s de
Observacin: Formacin Vegetal caracterizada por Bofedal
s obre-pa s toreo. Ti ene ca pa ci da d pa ra des a rrol l a rs e y expa ndi rs e.
La s es peci es domi na ntes fue Ca l a ma gros ti s vi cuna rum y Juncus ebra ctea tus .
Su di vers i da d promedi o es de 3.9 bi ts /i ndi vi duo.
Site 2: Impact area, possibly affected by the installation of mining components

Departamento: ANCASH
Cuenca: PATIVILCA
COORDENADAS UTM (En caso de transectos complementar con el tem Punto Final)
Punto Inicial Punto Final
i
Este 273,824 (m) Este 273,730 (m)

Norte 8899,950 (m) Norte 8899,928 (m)
Altitud 4 024 (msnm) Altitud 4 025 (msnm)
Zona 18 (17, 18 19) Zona 18 (17, 18 19)
Datum WGS 84 (PSAD 56 WGS 84) Datum WGS 84 (PSAD 56 WGS 84)
Site 3: Biodiversity offset area proposed

Figure 2 Photograh overwiew of the three high andean wetlands
On the basis of the Ecological Assessment Scales approved in the Complementary Guide for
Environmental Offsets in High Andean Ecosystems (R.M. N 183-2016-MINAM) established for
lawns, grasslands or tolares scrubs, a scale change has been made, including the indicator of total
carbon captured and the attribute of the hydrological function (water quality) for high andean
wetlands, whose values were adapted for a weighted scale of 100 points in total (Table 2).
Table 2 Adaptation of Ecological Assessment Scales
Indicator Description Score

Vegetation
Species richness (Number of species)
<20% of the reference area 0
20-50% of the reference area 3

Grasses and graminoid plants
>80% of the reference area 6.3

Herbs 20-70% of the reference area 0.5
Shrubs 20-70% of the reference area 1
Vegetation composition (%)

Grasses and graminoid plants

Herbs
20-70% of the reference area 0.5
Shrubs 20-70% of the reference area 1
Soil stability

Aerial land cover (%)

Three times more than the reference
0
site
Bare surface soil (%)
Twice more than the reference site 4
Same or less than the reference site 7.1
Severe 0
Moderate 5
Loss of surface horizon soil
Mild 15
Null 17.9
<20% of the reference site 0
20-50% of the reference site 2
Organic matter of surface horizon
51-70% of reference site 3
70% of the reference area 3.6
Biotic integrity
Canopy height of dominant
plants (cm)
Amount of biomass (g/m2)
>90% of the reference area 17
Amount of mulch (g/m2)
>30% baseline coverage 0
Invasive plants 10-30% baseline coverage 3
<10% basal coverage 5.4
Carbon captured C/ha*
Total carbon captured C/ha <20% of the reference site 0
20-50% of the reference site 2
51-70% of reference site 3
70% of the reference area 3.6
Hydrological function (Water quality- ECA category 3 D.S. N 004-2017 - MINAM)*

>3 0
T 3 1
<3 1.8
<6.5 - 8.5> 0
pH 7 1
[6.5 - 8.5] 1.8
5000> 0
CE [2500 - 5000] 1
<2500 1.8
<4 0
OD 4 1
>4 1.8
* Adaptation of the complementary guide for environmental offsets in high andean ecosystems
(R.M. N 183-2016-MINAM)
The Table 3 represents the conservation state of the ecosystems, according to the total score that
can be obtained from the ecological assessment scale (summation of the 5 ecosystem attributes:
vegetation composition, soil stability, biotic integrity, carbon captured and hydrological
function).
Table 3 Scales and Relative Value of the Ecological Value*
Scale Relative value (%) Conservation state

02> 00-20> Very poor
[24> [ 20 40 > Poor
[46> [ 40 60 > Fair
[68> [ 60 80 > Good
[ 8 10 > [ 80 100 > Very good
* According to R.M. N 183-2016-MINAM

RESULTS AND DISCUSSION
Vegetation composition and Biotic integrity
The Table 4 presents the main results obtained of the evaluation of vegetation composition in
each study site. It is observed that all areas have a coverage of 100%, with species ranging from
12 to 20, with high diversity and equity of species. The highest results are presented in Site 1
Reference area.
Table 4 Vegetation composition results
Species richness Shannon Wiener Pielous

Site % Ground cover
(S) (H) evenness (J)
1 100 20 3.99 0.94
2 100 12 3.39 0.95
3 100 15 3.38 0.94
Soil stability and Carbon captured
The Table 5 presents the main results obtained in the evaluation of soil stability and carbon
captured in each study site. It is observed that the highest results of % organic matter, % carbon
and total carbon captured (C/ha) are presented in Site 2 Impact area, possibly affected by the
installation of mining components.
Table 5 Soil stability results
% Organic Total carbon

Site Ground horizon Thickness (cm) % Carbon
matter captured C/ha
Horizon 1 12.70 25 7.38 3.17
Horizon 2 2.87 14 1.67 0.72
Site 1
Horizon 3 1.43 25 0.83 0.36
Horizon 4 1.91 24 1.11 0.48
Total amount 4.73
Horizon 1 38.78 25 22.55 9.70

Horizon 2 2.25 14 1.31 0.56
Site 2
Horizon 3 16.11 25 9.37 4.03
Horizon 4 2.12 24 1.23 0.53
Total amount 14.82
Horizon 1 15.57 25 9.05 3.89

Horizon 2 0.48 14 0.28 0.12
Site 3
Horizon 3 0.27 25 0.16 0.07
Horizon 4 0.89 24 0.52 0.22
Total amount 4.30
Hydrological function
All parameters evaluated for water quality (pH, temperature, electric conductivity, total
dissolved solids and dissolved oxygen) are within the ECA (D.S. N004-2017-MINAM) at all
study sites (Table 6).
Table 6 Water quality results
Temp. pH CE TDS OD
Site
(C) (u.e.) (S/cm) (ppm) (mg/l)
1 15.8 7.79 390 190 7.10
2 13 8.03 375 190 5.05
3 8.15 7.66 555 275 4.75
The sum of all the attributes in Site 2 (Impact area, possibly affected by the installation of mining
components) and Site 3 (Biodiversity offset area proposed) was done to estimate the scale of the
ecological value and the state of conservation in each site.
According to MINAM (2016), the estimation of offset units (UC) is based on the principle of
ecological equivalence, where the lost VET is equal to the gained VET. Thus, the area to be offset
is equal to the division between the lost VET and the ecological value after the compensatory
measures.
The estimated ecological value in the Site 2 was 40.4 points out of 100, representing 4.04 on a
1-to-10 scale, which means that the area to be impacted is fair. If the residual impact area is 0.61
ha (Table 1) with an ecological value of 4.04 before the impact, and the ecological value after the
impact is reduced to 0, then a loss of 2.46 ha of wetland is estimated. This value was calculated
using the following formula according to R.M. N 183-2016-MINAM:
Ecological value UC of impacted area = lost VET

4.04 ecological value 0.61 ha = 2.46 total lost ecological value
On the other hand, in Site 3 the estimated ecological value was 50.8 points out of 100, representing
5.08 on a 1-to-10 scale, which means that the offset area is fair. The difference between the lost
ecological value (4.04) and gained ecological value (5.08) is 1.04 and, since the total lost ecological
value is 2.46, the units of the offset area will be 2.37 ha, as estimated in the following formula
according to R.M. N 183-2016-MINAM:
UC of area to be offset (ha) = lost VET / ( gained VET)
UC of area to be offset (ha) = 2.46 / 1.04
UC of area to be offset (ha) = 2.37
Thus, assuming the possible loss of the Site 2 by the installation of mining components, whose
area is 0.61 ha, according to the estimation of its ecological value, based on the sum of five
fundamental attributes in high andean wetlands (vegetation composition, soil stability, biotic
integrity, carbon captured and hydrological function), the total offset area will be of 2.37 ha,
representing a ratio greater than 1: 3.9, considering the principle of additionality established in
the framework regulatory.
Additionally, according to the General Guide to the Environmental Offsets Plans in R.M. N 066-
2016-MINAM, offsets actions include restoration and conservation activities. In no case shall
environmental offset be understood as measures to be taken for the exclusive execution of
restoration or conservation activities only. The application of the measures will be subject to the
particular characteristics of the ecosystem. In this particullary case, for environmental offsetting
actions in high andean wetlands which are possibly affected by the installation of mining
components, the following measures are proposed:
Restoration Measures
They aim at restoring the biodiversity and ecological values that were altered or degraded.
Therefore, offsetting is considered to be achieved when good biodiversity conservation state and
ecosystem functionality are both achieved (MINAM, 2016).
For the study area, the measures include the rescue and transfer of the high andean wetland
possibly affected by the installation of mining components (Site 1) and relocation to the proposed
biodiversity offset area (Site 3).
According to the Descriptive Guide for the Azorean Water Resources of the Highland Ecoregion
(Ahumada & Faundez, 2009) carried out by the Agricultural and Livestock Service Division of
Protection of Renewable Natural Resources of Chile, considers the transfer of high andean
wetlands as one of the principal wetland mitigation or restoration measures, which is conditioned
to the characteristics of the abiotic environment of the final destination, especially the source of
water supply and substrate. In Chile, there is an existent antecedent of transfer of high andean
wetlands in 2010 for the Project Caserones of the Company Lumina Copper Chile, where the
relocation of 9.92 ha was carried out, of which it is registered that it has evolved favorably,
reaching a percentage of survival of approximately 92.5% in 2014. In addition, in Peru, Minga
(2014) has successfully reported the experimental and evolutionary phase of the transfer and
adaptability of 2000 m2 of high andean wetlands of the Immaculate Mineral Project for the Minera
Ares Company (province of Pucar of the Sara, region Ayacucho) at 4500 m.a.s.l.
Also, is necessary the implementation of restoration measures such as recovery and improvement
of the irrigation system to enhance the water regime (Santa Cruz et al., 2008), the application of
manure, control of gullies and salinity (Miranda, 2014), reforestation and replenishment with
dominant species obtained of the evaluation of vegetation composition to promote connectivity
among the wetlands patches (Farina, 1998; Fischer & Lindenmayer, 2002).
Conservation Measures
They aim at maintaining and protecting the ecosystems that are at risk. It can be said that
offsetting is achieved when both biodiversity degradation or loss and the ecosystem functionality
are avoided (MINAM, 2016).
These measures include preventing and protecting the biodiversity and ecosystem functionality
against potential threats, for this reason the offset areas need to be conserved. These areas should
not be affected by the siting of new mining components. Also, the installation of fences and
overgrazing control is needed (Alzrreca & Luna, 2001). Overgrazing and continuous grazing
result in soil and organic layer compaction by trampling; in addition, the plants are consumed
very tender, reason why they do not complete their cycle vegetative; therefore, seed production
is scarce and sometimes null (Crdenas & Encina, 2002). Likewise, in the high Andean areas, it is
common for the farmer to tend to increase his cattle above what his pastures can support, a
situation that makes difficult the rational management of high andean wetlands (Florez, 2005).
In addition, periodic biological monitoring (dry and wet season) is recommended in order to
evaluate the success of the offsetting, with application of monitoring indicators (richness,
abundance,% coverage, diversity, presence or absence of indicator species, among others).
Biological monitoring is a method to know the dynamics of the ecosystems, the state of
conservation and the quality of the habitat. Hence, it is an essential tool for making management
decisions with reasonable margins of certainty and sustainability to guarantee the conservation
and sustainable use of biodiversity (Comisin Nacional para el Conocimiento y Uso de la
Biodiversidad, 2009).
Therefore, the offset area will be a conservation zone, where improvements of other wetlands in
the area will be promoted, as well as connectivity among their patches, protection of habitats and
species, considering the principle of additionality and sustainability requested by the Peruvian
Ministry of Environment in the regulatory framework for the implementation of environmental
offsets.
The proposed restoration and conservation measures will improve the ecosystem services that
can be offered by the high andean wetlands, and can generate environmental benefits for the local
population, provided that overgrazing activities in the area are controlled. At the close of the
Project, the offset area will again be managed by the community. In that sense, the conservation
of wetlands would be beneficial for the villagers, not only due to the hydrological cycle
restoration, carbon storage and conservation of the habitat for vegetation and wildlife, but for
sustainable livestock activities and to improve the quality of pastures. Consequently, with the
prospect that biological conservation is a sustainable strategy to improve the quality of life of the
population, the sustainability of the offset area could be guaranteed at the closure of mining
operations.
CONCLUSION
The adaptation of the regulatory frameworks established methodology for the implementation
of environmental offsets, developed by the Peruvian Ministry of Environment for lawns,
grasslands or tolares scrubs (R.M. N 183-2016-MINAM), allows an estimation of the ecological
value and conservation status of high andean wetlands, through a rating system based on five
fundamental attributes: vegetation composition, soil stability, biotic integrity, carbon captured
and hydrological function. With the inclusion of new attributes, (carbon captured and
hydrological function) indicators and scale of rating values, it is possible to determine the total
area to be offset, for the possible installation of mining components in high andean wetlands
ecosystems and with the proposed restoration and conservation measures, the affectation to the
functionality of these ecosystems could be avoided. However, as this is a recent mechanism, there
is still uncertainty about the effectiveness of activities under this new regulatory framework. In
addition, due to the importance and fragility of these ecosystems, mining investment projects
must implement an alternative study considered in the national regulations for the
environmental licensing (EIA) for the installation of their components, aiming to asses relocation
alternatives for the facilitiese them, in order to avoid the negatives effects on the high andean
wetlands ecosystems.
ACKNOWLEDGMENTS
Thanks to SRK Consulting (Peru) for making the fieldwork possible.
NOMENCLATURE
EIA Environmental Impact Assessment
MINAM Peruvian Ministry of Environment
m a.s.l. meters above sea level
ha hectares
m meters
cm centimeters
ANA National Water Authority
ECA Environmental Quality Standard
T Water temperature (C)
pH Coefficient that indicates the degree of acidity or basicity of an aqueous solution
TDS Total dissolved solids
OD Dissolved oxygen
VET Total ecological value
UC Offset units
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Assessing the Geomorphic Stability of a
Rehabilitated Landform Using Climate Change
Analogues
John Lowry1, Greg Hancock2 and Danielle Verdon-Kidd2
1. Department of the Environment and Energy, Australia
2. School of Environmental and Life Sciences, University of Newcastle, Australia
ABSTRACT
The final rehabilitated landform of the Ranger Uranium Mine in Australia is required to safely
encapsulate mine tailings for a period of at least 10,000 years. A practical means of assessing the
ability of a landform to contain tailings over an extended time period is through the use of landform
evolution models (LEMs). However, such models require datasets that are able to represent the long-
term climatic variability of the region. The Alligator Rivers Region, in which the mine is located,
experiences seasonal, high-intensity rainfall events. However, comparatively little rainfall data exists
for the region that is suitable for long term modeling. Therefore, a specific concern is that any
simulation that utilises the historic rainfall data would only represent rainfall variability over a
relatively short period and not account for the range that might be expected over a period of up to
10,000 years. To address this, we applied a spatial analogue approach to develop point scale hourly
rainfall scenarios that incorporate the range of projected increase/decrease in rainfall for the Ranger
site in line with climate change predictions. These were used as inputs to the CAESAR-Lisflood LEM
to simulate the evolution of a conceptual rehabilitated landform for a period of 1,000 years. Using
this approach, we were able to identify the extent, distribution and pattern of erosion and gully
formation under rainfall scenarios arising from different climate projections. The results of these
simulations indicate areas of improvement in landform design and provide increased confidence that
the use of analogue rainfall scenarios in the CAESAR-Lisflood LEM will be able to correctly predict
the long-term evolution of a rehabilitated landform. Furthermore, the approach used in this study
can be easily transferred to other sites where rainfall variability is significant and climate change
impacts are uncertain.
1
INTRODUCTION
Assessing the success of mine site rehabilitation requires an understanding of how a landscape may
evolve over time. Numerical Landscape Evolution Models (LEM) are tools that may be used to
simulate and assess the geomorphic behavior of landscapes, through incorporating factors such as
climate variability, geology, pedogenisis, and vegetation growth. They can operate over time scales
ranging from years to millennia and spatial scales from sub-hectare to entire regions (Dietrich et al.,
2003; Tucker and Hancock, 2010).
A limitation associated with model predictions generally, and long-term predictions spanning
thousands of years in particular, is the accuracy and reliability of the data inputs. For example,
simulations that utilize historic rainfall data will only represent the variability of rainfall events that
have occurred over a relatively short period. Consequently, these simulations run the risk of not
accounting for the full range of rainfall variability that might be expected over extended periods of
thousands of years. Time frames of this length are particularly pertinent for this study as we assess
the stability of a conceptual rehabilitated landform for the Ranger Uranium Mine in the Northern
Territory, Australia, which is required to isolate and contain mine tailings and other waste materials
for a period of at least 10,000 years.
In this study, we apply a spatial analogue approach to develop point-scale hourly rainfall scenarios
as inputs to the CAESAR-Lisflood LEM to test the geomorphic stability of a conceptual rehabilitated
landform for the Ranger mine. Importantly, the scenarios incorporate the range of projected potential
increase/decrease in rainfall for northern Australia, based on climate models out to 2090. Specifically,
they identify analogue sites that represent extreme wet and extreme dry rainfall scenarios, which
represent the envelope of rainfall patterns that may be expected within a 100-year model period.
Using these datasets as starting points for model simulations provide a means for identifying the
envelope of erosion rates and erosion patterns (i.e. where erosion and deposition occurs) over model
periods of 100 years and longer. While legislation specifies that the site be erosionally stable for at
least 10,000 years (Commonwealth of Australia, 1987), here the focus is on the first 1,000 years, as this
is the period in which initial erosion output is high, longer term erosion and sediment transport
patterns are established, and the drainage pattern is set.
METHODOLOGY
In this section, we describe the methods and input parameters used to simulate periods of up to 1,000
years using the CAESAR-Lisflood model. The CAESAR-Lisflood LEM (Coulthard et al., 2013, Van de
Wiel et al., 2007) simulates landscape development by routing water over a regular grid of cells and
altering elevations according to erosion and deposition from fluvial and slope processes. The ability
of CAESAR-Lisflood to model specific rainfall events meant that it is the model of choice for this
study. Crucially, CAESAR-Lisflood requires three key data inputs: a digital elevation model (DEM)
of the landform; rainfall data; and surface particle size distribution data.
2
Digital Elevation Model
A DEM representing a fully consolidated conceptual rehabilitated landform was supplied by the
mine operator, Energy Resources of Australia, to a horizontal resolution of ten meters. Ten meters
was determined to be the optimal resolution at which the CAESAR-LisFlood model could function
within the spatial extent of the study catchments, and over the temporal periods modelled.
Importantly, it is also the resolution which is able to reliably capture hillslope geomorphology
(Hancock, 2005). The rehabilitated landform was divided into four hydrological units (Coonjimba,
Corridor, Djalkmara and Gulungul catchments) (Figure 1) and a Digital Elevation Model (DEM) of
each catchment was extracted and used in the simulations in the study.
Figure 1 Location of Ranger mine
Particle size distribution

For modelling purposes, the particle size characteristics of the landform were represented by two
broad surface types: the natural, or Koolpinyah, surface representing the undisturbed areas of the
landform; and a waste rock surface, which covered the disturbed areas of the landform.
3
Rainfall
Rainfall data exists for Jabiru Airport which is adjacent to the Ranger mine. However, this dataset is
comparatively short (22 years), incomplete and unable to represent the full range of long-term rainfall
variability which may be experienced for the region. Consequently, we have adopted a spatial
analogue approach to develop future rainfall scenarios for use in the LEM. In order to address
concerns with this approach, we specifically considered factors such as topography, elevation and
storm / cyclone tracks, which are major drivers of erosion events in the region, when selecting
analogue sites.
Two future rainfall scenarios were developed, representing alternate scenarios for a dryer or wetter
future climate (given the two way projections for rainfall projections for the region). The future
scenarios were based on Representative Concentration Pathway (RCP) 8.5 (continued increase in
greenhouse gases) and took the full model spread into account, constraining our projections by
agreement (be it minimal) between Global Climate Models (GCMs). Climate Change in Australia
(http://www.climatechangeinaustralia.gov.au/en/climate-projections/) was used to identify the
projected rainfall change for Oenpelli, the closest site to the Ranger mine with a rainfall record of
greater than 100 years (1910 to 2014). Given the long-term stability requirement for landform
rehabilitation we focused on projections to 2090 (the longest range rainfall projection available).
This process enabled two climate analogues for the Ranger mine to be identified, representing an
extreme wet climate scenario (Weipa in north Queensland), and an extreme dry climate scenario
(Mango Farm in the Northern Territory), respectively. Data from the analogues were used to generate
two 100-year rainfall replicates, representing the wet and dry climate scenarios respectively. Each
dataset was aggregated at hourly intervals for use in CAESAR-Lisflood. These datasets were each
used to generate rainfall datasets representing 1,000 years by looping each 100-year rainfall replicate
ten times.
The total load and denudation rate for each of the four catchments that drain the landform were
generated for simulated periods of 1,000 years using the extreme wet and extreme dry climate
datasets (Table 1). Results varied between catchments, but the wet climate scenario is predicted to
produce at least twice the total load and denudation rate of the dry climate scenario across the
landform. Under the dry scenario, the denudation rate for Djalkmara catchment is predicted to fall
within the background range for the surrounding undisturbed landform of 0.01 to 0.04 mm yr-1 (Cull
et al., 1992). Interestingly, this means under the dry climate scenario, for the landform within the
Djalkmara catchment, erosion rates are predicted to match those in the surrounding landscape after
a simulated period of 1,000 years. This is important as the environmental requirements for the closure
and rehabilitation of the Ranger mine specify that the final landform should possess erosion
characteristics which, as far as can reasonably be achieved, do not vary significantly from those of
comparable landforms in surrounding undisturbed areas (Supervising Scientist Division, 1999).
Table 1 Total Loads and Denudation rates after 1,000 years
Catchment Total Load (m3) Denudation rate (mm yr-1)
4
Wet Scenario Dry Scenario Wet Scenario Dry Scenario
Coonjimba 848479 321726 0.2 0.08
Corridor 668357 378283 0.16 0.09
Djalkmara 282305 117219 0.08 0.03
Gulungul 661333 324608 0.11 0.05
Both dry and wet rainfall scenarios exhibited a similar trend in the denudation rates. Specifically, all
simulations showed a rapid decline within the first 100 years, and then stabilized for the remainder
of the simulation period. For purposes of brevity, the denudation rates for the wet and dry rainfall
scenarios for Corridor Creek and Djalkmara catchments only are shown in Figure 2.
1,20
1,00 Djalkmara-Dry
Djalkmara-Wet
Denudation rate (mm yr-1)
0,80
CorridorCreek-
Dry
0,60 CorridorCreek-
Wet
0,40
0,20
0,00
0 200 400 600 800 1000
Time (years)
Figure 2 Denudation rates for Corridor Creek and Djalkmara catchments under dry and wet climate
scenarios.
The surfaces produced by the model showed unique patterns of erosion and deposition in each of
the catchments over time under both wet and dry rainfall scenarios. In addition, the unique
distribution of rainfall within each dataset was observed to have a direct influence on predicted
sediment output and water discharge, with the volumes of material produced linked to the
magnitude of discharge events (Figure 3).
5
20000 300
18000
250
Discharge (cubic metres per second)

16000
Sediment load (metres cubed)
14000
200
12000
10000 150
8000
100
6000
4000
50
2000
0 0
0 10 20 30 40 50 60 70 80 90 100
Time (Years)
Discharge-Dry Discharge-wet TotalLoad-Dry TotalLoad-wet
Figure 3 Example of variability in sediment outputs over simulated period of 100 years for Corridor Creek.
Digital elevation models of landform surfaces were produced at intervals of 50, 100, 500 and 1000
years for each catchment. Specific features that were monitored in these areas were the formation and
development of gullies, and the associated changes to the shape of the catchment along defined
transects lines, over time. The application of the dry rainfall scenario was found to produce uniformly
less erosion and gully formation than the application of the wet scenario. An example for this can be
seen in Corridor Creek (Figure 4), where the dry rainfall scenario predicted gullying to a depth of 6
meters, while the wet scenario predicted gullying to a depth of 9 meters. The deepest gullies were
predicted to form in the same location under both scenarios. This information is important as these
results indicate that without any remediation, these gullies may potentially expose buried
contaminants in some areas.
.
6
Figure 4 Evolution of the Corridor Creek catchment over a simulated period of 1,000 years. The hatched
area is the current location of Pit 1. The black line is the transect used to compare surfaces.
(A) shows the surfaces along the transect under the Dry rainfall scenario. (B) shows the
surface under the Wet rainfall scenario.
CONCLUSION
Utilizing a spatial analogue approach has provided the means of identifying and developing future
extreme climate scenarios that can be used to assess the long term geomorphic stability of a
rehabilitated mine landform. Application of these climate scenarios through LEM software has
provided an initial envelope of potential erosion and sediment transport outcomes which may be
used by mine planners to refine and enhance the design of the final rehabilitated landform.
Specifically, it identifies the potential range of erosion and sediment transport that may result under
the extremes of a dry or a wet climate scenario over a simulated period of 1,000 years. In addition, it
has identified areas in which enhancements could be made to landform modelling technologies. The
results from simulations of the conceptual landform to date provide increased confidence that the
use of rainfall data to represent spatial analogues in the LEM will improve predictions of the long-
term evolution of a rehabilitated landform once it has been constructed.
7
REFERENCES
Coulthard TJ, Neal JC, Bate, PD, Ramirez J, de Almeida GAM and Hancock GR (2013) Integrating the
LISFLOOD-FP 2D hydrodynamic model with the CAESAR model: Implications for modelling
landscape evolution, Earth Surface Processes and Landforms, Vol. 38(15), pp. 1897-1906 DOI:
10.1002/esp.3478.
Commonwealth of Australia (1987) Code of Practice on the Management of Radioactive Wastes from
Mining of Radioactive Ores 1982, Guidelines, Department of Arts, Sports, the Environment,
Tourism and Territories, AGPS, Canberra
Cull R, Hancock G, Johnston A, Marti, P, Marten R, Murray AS, Pfitzner J, Warner RF and Wasson
RJ (1992) Past, present and future sedimentation on the Magela plain and its catchment, in Modern
sedimentation and late quaternary evolution of the Magela Plain, R.J. Wasson (ed), Supervising
Scientist for the Alligator Rivers Region Research Report 6, AGPS, Canberra, Australia, pp.
226268.
Dietrich WE, Bellugi DG, Sklar LS, Stock JD, Heimsath A & Roering JJ (2003) Geomorphic transport
laws for predicting landscape form and dynamics. Prediction in geomorphology 135, 103-132.
Hancock GR (2005) Digital elevation model error and its effect on modelling soil erosion and
catchment geomorphology Sediment Budgets II (Proceedings of symposium S1 held during the
Seventh IAHS Scientific Assembly at Foz do Iguau, Brazil, April 2005. IAHS Publ. 292, 2005.
Supervising Scientist Division (1999) Environmental requirements for the ranger uranium mine,
Department of the Environment and Energy, viewed 3 April 2017,
http://www.environment.gov.au/ssd/about/ legislation/pubs/ranger-ers.pdf
Van De Wiel MJ, Coulthard TJ, Macklin MG & Lewin J (2007) Embedding reach-scale fluvial
dynamics within the CAESAR cellular automaton landscape evolution model, Geomorphology,
Vol. 90(3-4), pp. 283301.
Tucker GE & Hancock GR (2010) Modelling landscape evolution. Earth Surface Processes and
Landforms, 35(1): 28-50.
8
Biocrusts Forming Cyanobacteria Favor Plant
Germination and Improve the Quality of Soil Mixed
with Tailings Sands
Claudia Ortiz, Daniel Barros, Jorge Bolton and Doris Mrquez
Biology Department, Universidad de Santiago de Chile
ABSTRACT
Revegetation is a necessary step for the rehabilitation of soils impacted by mining activities, and
requires an adequate amount of nutrients. Biocrusts (BSC) are biotic communities formed after the
degraded site has been colonized by cyanobacteria, which supplement nutrients and favor the
germination of some plant species.
Cultures of BSC-forming cyanobacteria previously identified and isolated from different
geographical zones of Chile, were used to evaluate the effect of the microbial cultures on the
germination and growth of Polypogon australis plants. The cyanobacteria cultures were inoculated on
substrates composed by a mix of soil and copper mine-tailing sands. The establishment of the
cyanobacteria on the soil mixes was observed by optical and confocal microscopy. The germination
index, and the roots and leaves growth of the plant species were determined. Physicochemical
parameters of the soil mix were determined before and after the cyanobacterial inoculation. The
results showed that the cumulative germination of the plant species was significantly higher in the
presence of the cyanobacteria than in the controls with bacterial culture media or water. A similar
result was observed for the growth of P. australis in the presence of cyanobacteria, showing a
stimulating effect on the leaves length of the plants respect to the controls. The organic matter content
(OM) increased after the inoculation of the soil mix with the cyanobacterial culture, and the electrical
conductivity (EC) was alleviated due to the cyanobacterial inoculation. We propose that BSC-forming
cyanobacteria inoculation can be used as a first step for a successful revegetation of mining sites. The
inoculation of mining polluted soil with BSC-forming cyanobacteria diminishes the phytotoxicity of
the substrates and may favor the establishment of plant species.
1
INTRODUCTION
Biological Soil Crusts (BSCs) are a complex and intimate association between soil particles and
microorganisms such as cyanobacteria, algae, lichens, mosses, fungi and bryophytes (Belnap &
Lange, 2003). BSCs generally consist of hundreds of species, including producer microorganisms
such as cyanobacteria (blue algae), symbionts and multiple levels of consumers in the dependent
food web (Bowker et al. 2010). These microorganisms are capable of forming associations with soil
particles conferring to the substrate cohesion and stability. They also improve soil fertility and play
an important role in the germination, growth and survival of native species of plants (Zaady et al.
1997). BSCs in arid and semiarid conditions constitute a dominant biotic component and can regulate
the soil surface (Belnap & Lange, 2003), and are related to the hydrological cycle, the improvement
of the physical structure of soil and soil erosion reduction (Zhang et al., 2006; Belnap & Gillete, 1998).
BSCs play an important role in the bio-geochemistry of elements modulating the carbon cycle
(Maestre & Cortina, 2002) and the nitrogen cycle (Castillo-Monroy et al. 2010) and are considered
responsible for the autotrophic carbon and nitrogen fixation in drylands (Bowker et al., 2011). The
cohesive characteristics of BSCs in arid and semiarid lands are provided by the polysaccharides
producing Cyanobacteria component that allow the chelation and bioavailability of nutrients to other
microorganisms (Garca-Pichel & Lpez, 2001; Lin et al. 2013). The importance of the cyanobacterial
component in the BSC formation has been widely reported, being it these microorganisms that are
responsible for most of the BSC formations.
Cyanobacteria are characterized by the ability to perform photosynthesis, which provides the
reducing power necessary for the fixation of CO2 and the assimilation of other nutrients such as
nitrogen. These bacteria may have a unicellular or filamentous structure, and have the ability to
generate differentiated cells which are specialized in the fixation of atmospheric nitrogen (Bergman
et al., 1997). It has been observed that cyanobacteria are capable of improving soil conditions after
colonization, increasing the percentage of carbon, nitrogen and other nutrients (Manjunath, 2016).
They also retain moisture (Garca & Pringault, 2001) and favour the formation of aggregates,
contributing to soil fertility (Maqubela et al., 2009). These capabilities are relevant to improve the
quality of impoverished soils and for the remediation of polluted soil, which results in indirect and
direct benefit on plants growing on such soils (Bergman, 1996). In studies of soil-colonizing
cyanobacteria with high levels of salinity, it was found that plants growing in interaction with the
microorganisms improved their tolerance to the saline environment (Joset et al., 1996; Pade &
Hagemann, 2014).
Considering the benefits that the cyanobacteria are able to confer to the plants, the necessity to
improve the quality of soils impacted by mining activities, and the opportunity to make use of
biological processes in rehabilitation programmes, we evaluated the germination and growth of
Polypogon australis plants on soils contaminated with mining tailings sands. We propose that BSCs
forming cyanobacteria might contribute to the rehabilitation of mining sites as a first step of biological
colonization followed by the establishment of other species such as non-vascular plants, as it has been
proposed by Eldridge (1996) and Bowker (2007).
2
METHODOLOGY
Cyanobacteria and plant growth
A BG-11 medium culture of the cyanobacteria Leptolyngya boryana and Triccholeum desertorum was
prepared from bacteria isolated from a soil sample from the Coquimbo Region (Fernndez, 2015).
The culture was incubated under constant stirring at 120 rpm for 2 weeks at 20 to 30 C with a
photoperiod of 12 h light: 12 h darkness. BG-11 media is commonly used for cyanobacterial culture
and correspond to a mix of salts and micronutrients (Calcium chloride dehydrate, Citric acid, EDTA
disodium magnesium, Ferric ammonium citrate, Magnesium sulfate , Potassium phosphate dibasic,
Sodium carbonate, Sodium nitrate, Zinc sulfate, Manganese chloride, Cobalt nitrate, Cupric sulfate,
Boric acid and Sodium molybdate).
Polypogon australis, is a non-endemic native species belonging to the family Poaceae that presents an
herbaceous growth and produces an abundant biomass from seeds and vegetative tissue. The species
has been described as tolerant to substrates contaminated with high concentrations of copper (Ortiz
et al., 2008; Jara-Hermosilla et al., 2016). The plants used for the experiments were obtained from
seeds collected on a tailing facility from the Third Region of Chile.
Soil preparation
Three groups of 70 wells of a plastic plant trays were prepared with an autoclaved soil:tailing sand
mixture in a 85:15 w/w proportion, i.e. 15% of tailing sands. The soil was prepared mixing sand and
soil in an 80:20 w/w proportion. The composition of the tailings sands used in the experiments and
obtained from a facility located in the second Region of Chile is shown in Table 1. All the experiments
were performed under greenhouse conditions with an average temperature of 27C.
Table 1 Chemical parameters of pure tailing sand used in the experiments
pH EC OM N-NO3 Olsen-P Cd Cu Mn Ni Pb Zn
mScm -1 % mgKg -1 mgKg -1 mgKg -1 mgKg -1 mgKg -1 mgKg -1 mgKg -1 mgKg-1
8.3 45.6 1.0 216.5 21.7 2.4 1359.2 277.1 33.5 11.7 52.9
EC: electrical conductivity; (OM): organic matter, N-NO3: total Nitrogen, Olsen-P: total phosphorus
Soil characterization
Water content, pH, electrical conductivity and organic matter

To measure water content, a surface sample was weighed and then dried at 50 C in a Drying Oven
DHG-9053, and then the mass was determined again. To measure pH and electrical conductivity the
3
dried sample was mixed with water in a 1:5 soil:water ratio, and shaken for 1 hour. The mixture was
allowed to settle and the pH was measured with an Oyster pp-201 pH-meter and the electrical
conductivity was determined with a CDM92 Radiometer instrument. For the measurement of organic
matter, the Walkley & Black (1947) colorimetric determination was used.
Soil cyanobacteria inoculation
A third of the soil prepared on the wells was inoculated with 2 mL of the cyanobacteria culture and
surface irrigated by spraying water daily for 4 weeks. At the end of this period, each well was seeded
with 15 seeds of Polypogon australis plants. Three experimental groups were prepared: Cb, wells that
were inoculated with cyanobacteria; Bg, wells irrigated with 2 mL of BG-11 medium without
cyanobacteria; and Ct, are control wells without cyanobacteria and irrigated with water. The
monitoring of germination and plant growth was performed up to 4 months post-germination of P.
australis. To determine the presence of cyanobacteria in the soil, the autofluorescence of chlorophyll
was observed by confocal microscopy (Sol, 2001). Three samples were taken from different wells
and placed on a slide to seal the sample with a coverslip and tape. The sample was observed on a
Zeiss LSM 510 Axiovert 100M laser scan confocal microscope, exciting the sample at 488 nm with an
argon laser and detecting the fluorescence with a 505-550 nm filter.
Seed germination, plant growth, chlorophyll and protein content
After sowing the seeds, cumulative germination on experimental soils was registered. The percentage
of germination was calculated on 450 seeds per each condition. The height of P. australis plants was
measured from the second month after germination and was followed during 4 months. At the end
of the experiment, the total chlorophyll and the total protein content were determined in P. australis
plants as a measure of the physiological condition of the plants. The chlorophyll content was
determined by spectrophotometric analysis according to Lichtenthaler & Wellburn (1983). The
protein content was measured according to Bradford et al. (1976).
When indicated, the data were analyzed using a 2-way ANOVA with Dunnett's multiple comparison
post test.
The establishment of the cyanobacteria on the soil mixes was observed by optical and confocal
microscopy showing about 25% of coverage after a month (Figure 1). The soil mix and the amount
of tailing sands used for the experiments simulate the effect of tailing sands deposition produced by
wind erosion. The arrows in panels B and D show green patches that are representative of a
cyanobaterial colonization of the soil mixed with tailing sands.
4
A B
C D
Figure 1 Cyanobacterial experimental soils colonization. A) Control soil water irrigated day 1; B)
Cyanobacteria inoculated soil day 1; C) Control soil irrigated with water day 30; D) Cyanobacteria inoculated
soil day 30
Effect of cyanobacteria on the germination and growth of plants

The results showed that the cumulative germination of both plant species was significantly higher in
the presence of the cyanobacteria than in the controls with bacterial culture media or water (Figure
2). A similar result was observed for the growth of P. australis in the presence of cyanobacteria, which
have a stimulating effect on the growth of the leaves of the plants than compared to the controls
(Figure 2 and Figure 3).
A B
Figure 2 Cumulative germination and leaves height of P. australis plants on experimental soils. A) P. australis
germination B) P. australis leaves length. Filled circles: soil with cyanobacteria; Filled triangles: control soil;
Filled squares: soil with BG-11 media. The asterisks indicate significant differences among the data. The results
show the average of triplicate determinations +/- SD for each point
5
Figure 3 P. australis plants germinated and grown on tailing sands polluted experimental soils during four
months. A) Soil inoculated with cyanobacteria; B) Soil irrigated with BG-11 culture media; C) Soil irrigated
with water
The chlorophyll and protein content measured in P. australis plants after 4 months in the experimental
soils was significantly higher in soils inoculated with the cyanobacteria compared with the control
non-inoculated and irrigated with water (Figure 4).
Figure 4 Chlorophyll and protein content of P. australis plants germinated and grown on tailing sands polluted
experimental soils during four months. A) Chlorophyll content; B) Protein content. (Cb) soil inoculated with
cyanobacteria; (Bg) soil treated with culture medium; (Ct) water irrigated control soil. Different letters on top
of the bars indicate significant differences. The results show the average of triplicate determinations +/- SD for
each point
Effect of cyanobacteria on soil chemistry
The water content and the pH did not show significant changes among the three different
experimental soil conditions (Table 2). The EC was significantly higher when the soil was irrigated
6
with the culture media, probably due to the mix of salts present in the nutrient media. However, the
cyanobateria inoculation decreases the EC, with values lower than in the control soil irrigated with
water. A similar result was verified when using different species of cyanobacteria on saline soils
using a species of the genus Anabaena sp. and Nostoc sp. (Aziz & Hashem, 2003). Cyanobacteria are
able to retain the salts present in the soil, by the exchange of inorganic cations between the bacteria
and their environment, and also by the releasing of compounds that retain ions present in the soil
(Pade, 2014). It is noteworthy that when the BG-11 culture medium is added to the soil, the EC
increases twice which is an effect of a media that contains salts, like sodium nitrate 0.15%. Therefore,
the presence of cyanobacteria not only decreased the salinity present in the soil containing tailing
sands, but also decreased the salinity added to the soil by the nutrient medium in which they grow.
The OM content in the soils inoculated with the bacteria was significantly higher than in the non-
inoculated soils, showing that in 4 months, there is a supply of organic matter to the soils by the
cyanobacteria. This can be a result of the carbon fixation by photosynthesis and/or the production of
exopolysaccharides released by the microorganisms (ERPS).
Table 2 Physicochemical parameters of experimental soils
Soil sample Water pH Electrical Organic

content conductivity matter
% mScm-1 %
Ct 24.58 1.41 7.59 0.05 1.90 0.09a 3.50 0.05 a

Bg 25.57 1.10 7.35 0.15 3.73 0.21 b 3.44 0.20 a
Cb 27.37 0.96 7.74 0.08 1.22 0.05c 4.33 0.07b
The determination was performed after 4 month of different initial conditions: (Cb) soil inoculated with
cyanobacteria; (Bg) soil treated with culture medium; (Ct) water irrigated control soil. Different letters indicate
significant differences. The results show the average of triplicate measurements +/- SD
CONCLUSION
Our results show that the inoculation of a mix of soil and tailing sands with BSC forming
cyanobacteria improve the cumulative germination and growth of P. australis. The chlorophyll and
protein content in the plants grown during four months under the treated soils is higher than plants
in non-inoculated experimental soils. The organic matter content increased and the electrical
conductivity decreased after the inoculation of the soil with the cyanobacteria. BSC-forming
cyanobacteria inoculation can be used on mining polluted soil to favour the establishment of plant
species for rehabilitation purposes.
7
ACKNOWLEDGEMENTS
The work was sponsored by FONDEF-Chile ID 14L10151 and IT16I10090.
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Aziz MA and Hashem MA (2003) Role of cyanobacteria in improving fertility of saline soil. Pak J Biol Sci
6(20):17511752
Belnap, J & Lange, OL (2003), Biological Soil Crust: structure function and management, Springer, Berlin,
Heidelberg. First Edition, pp. 506.
Bowker,M., Belnap J, Davidson, D W. & Phillips S.l. (2005) Evidence for micronutrient limitation of
biological soil crusts: importance to arid-lands restoration. Ecological Applications, 15: 19411951.
Bradford, M. M. (1976). A rapid and sensitive method for the quantitation of microgram quantities of protein
utilizing the principle of protein-dye binding. Analytical biochemistry, 72(1-2), 248-254.
Fernndez, D. A. (2015). Aislamiento y caracterizacin de cianobacterias formadoras de costras

biolgicas presentes en muestras de suelo desrtico. Trabajo de Titulacin para la obtencin del Ttulo
de Ingeniero en Biotecnologa. Universidad de Santiago de Chile.
Garcia-Pichel, F., & Pringault, O. (2001). Microbiology: Cyanobacteria track water in desert soils. Nature,
413(6854), 380-381
Jara-Hermosilla D., Daniel Barros-Vsquez, Alejandro Muoz-Rojas, Sergio Castro-Morales and

Claudia Ortiz-Caldern (2017) Enzymatic reduction of Hydrogen Peroxide on Polypogon australis plants
grown in a copper mining liquid waste. South African Journal of Botany. 109 (2017) 4249
Joset, F., Jeanjean, R., & Hagemann, M. (1996). Dynamics of the response of cyanobacteria to salt stress:
deciphering the molecular events. Physiologia Plantarum, 96(4), 738-744.
Lichtenthaler, H. K., & Wellburn, A. R. (1983). Determinations of total carotenoids and chlorophylls a and
b of leaf extracts in different solvents. Biochemical Society Transactions, 11(5), 591-592.
Manjunath, M., Kanchan, A., Ranjan, K., Venkatachalam, S., Prasanna, R., Ramakrishnan, B., ... &
Singh, B. (2016). Beneficial cyanobacteria and eubacteria synergistically enhance bioavailability of soil
nutrients and yield of okra. Heliyon, 2(2), e00066.
Maqubela, M. P., Mnkeni, P. N. S., Issa, O. M., Pardo, M. T., & DAcqui, L. P. (2009). Nostoc
cyanobacterial inoculation in South African agricultural soils enhances soil structure, fertility, and maize
growth. Plant and soil, 315(1-2), 79-92.
Muoz-Castillo, F. A. (2015). Caracterizacin de poblaciones microbianas asociadas a costras biolgicas

presentes en muestras ambientales. Trabajo de Titulacin Presentado en Conformidad a los Requisitos
para la obtencin del Ttulo de Ingeniero en Biotecnologa. Universidad de Santiago de Chile.
8
Ortiz-Caldern, C., Alcaide, O., & Li-Kao, J. (2008). Copper distribution in leaves and roots of plants
growing on a copper mine-tailing storage facility in northern Chile. Rev. Chil. Hist. Nat, 81, 489-499
Pade, N., & Hagemann, M. (2014). Salt acclimation of cyanobacteria and their application in biotechnology.
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Sadzawka A., Carrasco M. A., Grez R., Mora M. L., Flores H. y Reaman A. (2006) Mtodos de anlisis
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Singh, S. (2014). A review on possible elicitor molecules of cyanobacteria: their role in improving plant growth
and providing tolerance against biotic or abiotic stress. Journal of applied microbiology, 117(5), 1221-1244.
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to determine cyanobacteria biomass in microbial mats. Journal of microscopy, 204(3), 258-262.
Walkey, A., & Black, J. (1947). A critical examination of a rapid method for determining organic carbon in
soil. Soil sci, 63(25), l-263.
9
Conceptual Integrated Strategy for Mine Tailings
Reprocessing and Land Rehabilitation
Artem Golev*1, Mansour Edraki1, Emmanuel Manlapig1, Glen Corder1, Mike Hourn2,
Paul Radulovic2, Jason Jones3, Kristian Mandaran3
1. Sustainable Minerals Institute, The University of Queensland, Australia
2. Glencore Technology, Australia
3. Mount Isa Mines, Australia
ABSTRACT
The current strategy of managing mining waste is based on linear economy thinking (take-make-
waste). Waste is viewed as a necessary expense and large scale storage is the only option. This
practice of managing waste is often costly, sometimes inefficient, comprises inherent safety and
environmental risks with potential undesirable consequences. A new transformational perspective
to mining waste is urgently needed. This paper identifies a conceptual integrated strategy for mine
tailings reprocessing and land rehabilitation at a lead-zinc and copper mining and mineral processing
operation with the potential to significantly extend the life of mine, improving the overall resources
recovery and minimizing the costs and environmental impacts associated with mined land
rehabilitation.
1
INTRODUCTION
Strategically developed and designed mining waste reprocessing operations can be built into existing
operations or implemented as a separate project. Reprocessing operations can deliver additional
economic revenue (from minerals and other useful materials sale/use) and produce a relatively
benign remaining waste. The recovery of remaining minerals can contribute to extending the life of
mine(s), and developing a secondary resource base for metals through mine waste utilization. The
benign waste can eliminate or drastically reduce environmental and human health related risks at
present and in the future (Edraki et al., 2014, Franks et al., 2011, McLellan et al., 2009).
The investigated case study is Mount Isa Mines (MIM) in North-West Queensland (Australia), one of
the worlds largest lead-zinc and copper mining and mineral processing operation. MIM has been in
continuous operation for more than 90 years and has made a significant contribution to the
Queensland economy.
The accumulated tailings at MIM contain significant volumes of metallic minerals. Previous works
identified the most valuable metals which could be recovered from tailings include:
zinc;
lead;
copper;
silver; and
cobalt (Forsyth, 2014).
The tailings grade and composition vary greatly across the points of origin at the processing plant,
within the tailings treatment system, as well as within past and current tailings storage facilities
(TSFs), both in terms of location and depth (the latter relates to changes during the history of mining
and processing operations).
The average concentration of valuable metals in tailings, based on information from different sources
including direct sampling, has been previously estimated as follows (ppm):
Zn 83001500;
Pb 5300600;
Cu 2100400;
Co 46060;
Ag 162 (Forsyth, 2014).
All previous investigations for metal recovery from waste at MIM concluded that most of the
accumulated waste materials are uneconomic to process through the conventional metallurgical
route due to low recovery rates (around 30%), with the only exception for the small amount of waste
tailings and slag from the early ages of operation (McGeough, 2003).
MIMs current Life of Mine (LOM) has operations ending post-2030 for the zinc-lead operations, with
tailings storage facility closure and rehabilitation to commence as soon as practicable thereafter.
Given the timeframe, it is worthwhile to investigate alternative opportunities for mine closure,
2
highlighting alternative rehabilitation options for the TSFs as well as reassessing the potential for
mineral recovery from waste.
The integration of both could provide additional previously unnoticed opportunities, leading to
potential improvement in environmental, economic, and social and community related aspects of the
mine closure. Notably, an alternative approach could potentially result in and/or allow:
recovery of additional value from tailings prior to disposal and/or decommissioning (e.g.
metal concentrates, construction materials, and engineered soil components), thus extending
the life of mining and processing operations, as well as preventing the loss of non-renewable
resources;
provision of local (on site) materials suitable for land rehabilitation and mine closure, namely
benign cover materials and/or top soil components;
decontamination and reduction of the poor quality seepage potential of the tailings, thus
helping to minimize long-term environmental impacts and potentially reducing the overall
costs for mine closure and future maintenance.
REUSE, RECYCLING, AND REPROCESSING
Reprocessing, recycling and reuse of mine waste are not new and have been well described in
literature (Rampacek, 1982, Driussi and Jansz, 2006). For all of these examples both technical and
economic requirements must be met for establishing a feasible business case and ensuring successful
environmental rehabilitation of mined land. Furthermore, the nature of recycling mine waste and
rehabilitation is case by case dependent on each individual mine.
In the case of metal mines, some typical physical and chemical constraints for rehabilitation of
deposited tailings are fine-grained texture, high mechanical resistance, extreme pH conditions,
hyper-salinity, and elevated concentrations of metals and metalloids. The intrinsic abiotic constraints,
including a dysfunctional physical structure and hydraulic capacity, unstable geochemistry and
chemical conditions make the rehabilitation of mine tailings a very challenging task (Bell and Jones,
1987, Licsk et al., 1999, Osborne, 2000, Das and Maiti, 2007, Mendez and Maier, 2008). The lack of
sufficient volumes of topsoil and/or inert spoils and overburden materials to create a deep soil profile,
which would assist in isolating the tailings, has prompted increasing interest in the direct
revegetation of tailings.
Higher prices of metals and environmental costs may justify reprocessing of some old tailings. For
example, old tailings which contain economical quantities of copper, if re-processed, could
potentially have higher production rates than primary mining operations. However, if copper
minerals are found as fine inclusions and intergrowths with pyrite and as associations with gangue
(e.g. dolomite), fine re-grinding followed by selective flotation may not be justifiable due to high
associated costs (Kitobo et al., 2009). Also, the geochemical and physical changes since the deposition
of tailings may affect recovery. On the other hand, reprocessing may overly concentrate pyrite and/or
3
certain trace elements. New methods and techniques are needed to increase the feasibility of re-
processing whilst also reducing the potential environmental impacts.
Hydrometallurgical techniques are frequently the most preferred option for re-treatment of tailings
due to their proven operational simplicity and robustness. For tailings reprocessing, to produce
highly concentrated metal liquor suitable for the final step of electrowinning or precipitation, it is
feasible to couple a solvent extraction circuit to the bacterial leaching of re-floated sulphide tailings
in view of the ultimate recovery of the remaining copper and/or zinc.
Most leaching of wastes is conventional acid sulphate systems. However, metal-winning processes
based on the activity of microorganisms also offer a possibility to recover metals from mineral
resources not accessible by conventional techniques. Some bacteria and fungi convert metal
compounds into their water-soluble forms and are biocatalysts of this process called microbial
leaching or bioleaching. Ilyas et al. (2013) showed the feasibility of bioleaching process by using
various organic wastes as substrates and enhanced effectiveness of the process after sulphuric acid
pretreatment of substrates. Maximum solubilization of nickel (55%), copper (67%), magnesium (69%),
cobalt (60%), and zinc (65%) was achieved in the media containing glucose, tea leaves, molasses, and
waste winery grapes, respectively.
Hansen et al. (2005) used tailings originating from the El Teniente copper mine of Chile to investigate
the copper speciation in tailings from porphyry copper mining. In the smallest particles of the
tailings, the dominating species of copper were carbonates and oxides around 70% of the solids, in
contrast to only about 20% as sulphides. More copper could be leached out in smaller particles of the
tailing irrespective of the type of acids used - nearly 90%, compared to less than 40% from the larger
particles in 1M acid. The properties of nitric acid as an oxidizing agent, and citric acid which could
form complexes with the copper cation, did not make any difference.
Bruckard and McCallum (2007) have suggested that if the sulphide component of the tailings stream
could be separated out relatively simply into a low volume fraction that could be stored and managed
this would represent a major step forward in the environmental management of sulphide tailings.
The use of environmental desulphurization has been proposed by Benzaazoua and Bussire (1999)
via froth flotation. Pyrite (or pyrrhotite) in this process can be effectively separated before tailings
disposal, and further upgraded to a saleable product and/or utilized in underground mine
backfilling. The Ok Tedi copper mine in Papua New Guinea has introduced a Tailings Pyrite Plant
(TPP) to remove a sulphur-containing pyrite concentrate, with the majority of the pyrite mill tailings
samples being non-acid forming (NAF) (Ok Tedi, 2017). This technique is especially relevant in the
last few years of mining operations in preparation for mined land rehabilitation, providing on-site
benign cover materials (Bussire, 2007). Therefore, the treatment of waste tailings by flotation is an
important subject of interest to researchers and engineers.
Gravity concentration can be used to separate high specific gravity minerals (usually 4.6 g/cm3)
including various sulphides, iron oxides, hematite and magnetite from silicates and aluminosilicates
(Bruckard and McCallum, 2007). The gravity concentration results show that high-grade silica sand
4
can be produced, as well as heavy bulk sulphides, mainly pyrite concentrate. De-sliming can be
useful in concentrating bulk sulphides where the majority of iron sulphides report to slimes fraction.
For tailings rich in magnetite, e.g. in the case of iron oxide - copper - gold (IOCG) deposits, an
additional circuit of regrinding and magnetic separation may allow an economic recovery of iron ore
product (Siliezar et al., 2011). Figure 1 shows a micrograph of the rougher tailings from a copper
concentrator (+300 microns) processing ore from an IOCG deposit. The light grey mineral grains in
the particles are magnetite (typically cubic in structure) contained in the non-sulphide gangue
(typically, feldspar and quartz) matrix.
There is a significant difference in the hardness of the magnetite mineral compared to quartz and
feldspar. This means that if the particles are broken through grinding including impact breakage
the magnetite will be relatively easily released from the host matrix and can be further separated
from non-magnetic gangue in magnetic separator. If there is any monoclinic pyrrhotite recovered, it
can be removed by flotation.
A B
Figure 1 Photomicrograph (A) and color image (B) of typical rougher tailings sample from an IOCG
concentrator treatment plant. Notes: A) the light grey minerals are magnetite grains contained in a darker
siliceous gangue matrix; B) magnetite is blue, the copper sulphide is orange and the host matrix is light grey
High sulphur content tailings (e.g. rich in pyrite) may be treated through roasting as an option for
tailings desulphurization if combined with sulphuric acid production (Lei et al., 2015). Apart from
sulphur extraction and elimination of acid mine drainage (AMD) risk to the environment, the
roasting operations would concentrate and assist with the recovery of other metals.
Due to usually low remaining content and value of minerals in tailings, it is important that the
recycling system allows spreading the costs of excavating and transporting the tailings over a number
of different outcomes. Ideally, all of these outcomes provide an additional income or a significant
cost saving to the overall mining operations, as well as help with eliminating the need for costly
tailings rehabilitation (Struthers et al., 1997, Bian et al., 2012).
5
THE CASE OF PB-ZN AND CU TAILINGS AT MOUNT ISA MINES
Tailings storage facilities: current status
MIMs TSFs are located in the upper catchments of the Leichhardt River, close to the city of Mount
Isa, and have been in operation since 1931. The ore at MIM is concentrated by grinding and flotation,
followed by smelting. Currently, about 25% of the combined copper and lead-zinc tailings stream is
utilized as hydraulic fill in underground mine operations while the remaining portion is sent to TSFs.
Currently in operation, Tailings Dam Number 7 (TD-7) and TD-8 facilities, established in 1964 and
1974 respectively, have been progressively developed to accumulate most of the tailings at the mine
site. These operational TSFs are approximately 13 km2 in area, contain more than 200 Mt of tailings
materials and are still being expanded.
Seepage collection systems have been constructed at the base of each dam wall, and a network of
surface and ground water monitoring points have been established around the periphery of the TSFs.
Tailings seepage waters at MIM can be generally described as having a neutral to alkaline pH and
electrical conductivities ranging from 7,000 to 12,000 S/cm. Tailings seepage waters collected in the
seepage collection ponds contain elevated concentrations of sulphates and magnesium as major
constituents; and cobalt, manganese, arsenic, boron and molybdenum as minor constituents.
If the tailings dam surface is left to dry and desiccate due to a positive evaporation flux after (mine)
closure, there would be a period of intense oxidation. The duration of acid generation depends on
the amount of sulphides in the upper 1-2 m of tailings and rates of oxidation. In the case of Pb-Zn
tailings which will be the dominant type of tailings in the years leading to closure, laboratory column
leaching experiments showed the potential acid generation by sulphides in tailings for a longer time
than acid neutralization by gangue minerals. Therefore, it is important to develop, trial and utilize
appropriate cover systems as part of closure strategy for the TSFs, unless an alternative solution is
found (likely to be needed and applied well in advance of pending closure).
MIM has developed a rehabilitation and closure strategy for the TSFs, and continues to commission
studies and trials and analyze options to improve confidence in expected outcomes. The current
rehabilitation and closure strategy for the TSFs includes placing 1.5 m of inert cover material overlain
by 0.5 m of growth media (all sourced locally), with a period of seepage water treatment following
cessation of operations.
6
Proposed treatment of current arising tailings
We discuss the potential to reprocess tailings from the copper concentrator1 at MIM to develop benign
tailings which could be used as an alternative cover material. The reprocessing of tailings would aim
to recover some remaining valuable minerals from the tailings whilst producing benign material
suitable for rehabilitation and capping of the TSFs. The potential benefits to MIM if reprocessing of
tailings is pursued include:
extension of processing operations and revenue through minerals recovery;
reduction of disturbance footprint for sourcing rehabilitation materials; and
reduction of TSF rehabilitation materials handling and seepage water treatment costs.
The copper tailings contain approximately 0.2-0.3% remaining copper (compared to about 2-3% in
the ore), primarily as chalcopyrite, with minor presence of chalcocite and covellite. The mineralogical
analysis shows relatively equal distribution between smaller (-40 m) and larger (+40 m) particles.
However, the mineral liberation (defined as 80% free particle surface) is quite low for larger
particles (less than 30%), while it is relatively high for smaller particles (more than 60%) (based on
Forsyth, 2014). This can be explained by the flotation circuit used for copper minerals extraction. As
previous work shows (McGeough, 2003), retreatment of tailings within the same flotation process,
after additional regrinding, is not capable of delivering a good recovery, impractical and cost
prohibitive.
The pyrite concentration in copper tailings is in the range of 6-10 wt. %. There is also a minor presence
of pyrrhotite, as well as other sulphides such as galena, arsenopyrite, and sphalerite. The mineral
liberation rates are higher than for copper minerals, but most importantly, pyrite is mainly associated
with other sulphide minerals rather than non-sulphide gangue (NSG) (Forsyth, 2014).
The major NSG minerals in copper tailings are quartz and dolomite, with mineral liberation rates
higher than 90% across different particle size groups. Other NSG include chlorite, amphibole,
ankerite, muscovite and talc. In total they account for about 86-92 wt. %.
The information above, and a more detailed analysis of known mineralogical and physicochemical
characteristics of copper tailings at MIM which is not presented here, allowed us to conclude that
density separation would be the most suitable reprocessing technology. It is also important that
existing mineral beneficiation and waste treatment operations at the mine site can incorporate this
reprocessing step relatively easily.
1A separate but similar treatment plant scenario could be applied to the tailings from the lead-zinc
concentrator, as well as (mixed) tailings accumulated in TSFs. Despite differences in content and
properties, in all types of tailings pyrite is primarily associated with other sulphide minerals rather
than non-sulphide gangue, which is crucial for the proposed flowsheet.
7
The current arising tailings can be treated in a gravity separation technology that allows the
separation of fine low specific gravity (SG) material like liberated quartz and dolomite in the tailings
from the higher SG material like chalcopyrite and pyrite, including coarser composite particles
bearing chalcopyrite or pyrite and NSG. There are different approaches to separate materials based
on differences in particles sizes and minerals density (Wills and Napier-Munn, 2015), specific process
and equipment will be defined based on detailed mineralogical characteristics of tailings materials
and experimental work. The liberated gangue would be free of sulphide minerals and could be used
as benign cover material for the existing TSFs, as well as waste rock dumps (Figure 2).
Figure 2 Proposed potential flowsheet for treating current arising tailings from the Copper Concentrator
The coarser and higher SG product of the gravity separation step could then be sent to the existing
Wet Fill Station where the coarse material is separated using cyclone devices, and then transported
as paste to fill voids underground. It is also recognized that the higher SG product which would be
sulphide rich, could be sent to the Copper Smelter as a source of pyrite and chalcopyrite minerals
(Figure 2). Sulphide rich product may also be treated with alternative technologies. An important
aspect in developing and further testing of this flowsheet relates to ensuring that pozzolanic
properties of the paste fill used for underground mine backfill remain unaltered.
The major difference of this suggested approach compared to previous attempts to reprocess tailings
at MIM is the focus on operational (untreated unmixed) tailings targeting recovery/ production of
benign cover materials versus prioritizing extraction of valuable minerals. The reprocessing
flowsheet can be simplified, the associated costs reduced and recovery rates improved for the
treatment of specific type of tailings. The most significant economic outcome is the opportunity to
produce on-site cover materials versus purchasing and/or excavating and delivering those from
outside. Importantly, potential production volumes of benign materials from operational tailings in
the coming years can meet the required volumes needed for mine site rehabilitation.
8
The main advantages and disadvantages of the high-level options for (metalliferous) tailings
reprocessing are summarized in Table 1. In the case of MIM, reprocessing of operational tailings
could deliver additional economic outcome from recovering Zn, Pb and Cu (and potentially other
metals such as Co) and reduce disturbance footprint from sourcing future rehabilitation materials. In
addition, the reprocessing of all (accumulated) tailings would extend the life of processing
operations, and minimize the acid generation potential of (reprocessed) tailings, thus potentially
avoiding the need for long-term water seepage treatment and long-term risks associated with AMD.
One of major challenges for both options relates to concentrating pyrite rich materials, which may
require further upgrade to a saleable product if feasible, or finding a way to dispose these materials
safely.
Table 1 Main advantages and disadvantages of tailings management reprocessing options
Standard closure plan Reprocessing of operational Reprocessing of old

(base case scenario) (fresh) tailings (accumulated) tailings
Objectives Comply with regulation, In addition to base case: In addition to base case:
ensure safe, stable and non- minerals and other materials minerals and other materials
polluting post mining recovery, reduced metals recovery, reduced acid
landform concentrations in tailings forming sulphides and metals
in waste storage facilities
Advantages Costs associated with Scalable, allows to spread the Can be done as a separate
sourcing and handling of costs and benefits of tailings project, usually delayed in
rehabilitation materials are reprocessing and mined land time to the period of mine
delayed in time to the period rehabilitation across the life of closure, partially or fully
of mine closure mine eliminates residual risk
Disadvantages Prolonged post-mining Concentrated hazardous Additional costs for tailings
monitoring and seepage materials may require excavation, requires
water treatment additional treatment and/or managing all by-products
disposal
Revegetation
The benign soil-like materials produced in the proposed tailings reprocessing operation could be
used to construct cover systems and a revegetated layer on the TSFs. The proposed tailings treatment
system aims to produce material with favorable revegetation properties. Tailings samples collected
from TD-5 at a depth of 27.5 m and from TD-8 at a depth of 24.5 m had sulphide/sulphur
concentrations ranging from 2.5 to 6.5 wt. %. These samples were classified as non-acid forming
(Forsyth, 2014). This could be used as the starting target property for treated tailings. By reducing the
sulphide/sulphur (removing as much pyrite as possible), it is possible that the potential for acidity
will be eliminated. The risk of releasing chalcophile elements (including toxic heavy metals) will also
be substantially reduced.
9
The benign tailings produced in the suggested process (Figure 2) would be a better substrate to
establish native plants. According to You et al. (2016), at Mount Isa, native plant communities
distributed in colluvial plains are dominated by slow-growing and water-nutrient efficient spinifex
and acacia species (Fox et al., 2001, Specht and Specht, 1999). Due to their highly adaptive
ecophysiological traits in infertile and arid landscapes (Diagne et al., 2013, Reid and Hill, 2013). For
example, Chisholms Wattle (Acacia chisolmii, C3 plant, N2-fixing legume shrub) and Spinifex
(Triodia spp., C4 grass) are two keystone native plant species widely present on stony and lateritic
soils in the colluvial and well drained land of Mount Isa region (Fox et al., 2001, Specht and Specht,
1999).
Previously, a revegetation trial at MIM was established on a decommissioned TSF (TD-5). The trial
involved mixing topsoil (20-30 cm), deep tillage (1 m) and sewage sludge with tailings. Initially the
mixing of materials with tailings resulted in establishing of diverse native and exotic plant species.
Species diversity declined rapidly within a couple of years, resulting in the dominance of buffel grass
(Cenchrus ciliaris), which is highly competitive in water acquisition. Huang et al. (2012) related this
decline to the short-lived effectiveness of initial remediation measures for reconstructing a root zone.
Huang et al. (2012) emphasized on the importance of hydro-geochemical stabilization across the
whole root zone reconstructed from remediated tailings. Key hydraulic and chemical processes (e.g.
water infiltration, ion adsorption/desorption) and conditions (e.g. redox status, pH, soluble ions)
need to be restored to foster and stimulate biological activities in the root zone system.
Water infiltration through the depth profile, capillary rise of pore water from depth and water storage
capacity, which determines the capacity of reconstructed root zones to respond to local climatic
conditions and water use requirements of revegetated plant communities across wet and dry seasons,
are considered as key hydraulic processes that need to be controlled. Favorable geochemical, physical
and hydraulic properties in soils will facilitate rehabilitation of soil biological capacity, characterized
by a microbial community structure from autotrophic to heterotrophic bacteria and fungi, and
established biological functions of decomposing organic matter. Decomposing organic matter
initially can be added to the tailings or produced in-situ from the litter from plant communities (Li et
al., 2014, Huang et al., 2012).
CONCLUSION
Tailings from metalliferous mining operations often represent significant environmental risks even
under best practice rehabilitation methods. Reprocessing and decontamination of tailings materials
has the potential to significantly reduce environmental risk at closure. Future research of this practice
could be important to the mining industry.
Depending on physio-chemical and mineralogical characteristics, different technologies can be
utilized in tailings reprocessing. The most common practices and/or their combinations include
flotation, (bio)-leaching, density separation, and roasting.
10
The lead-zinc and copper mining and processing operations at MIM have resulted in accumulation
of significant amount of tailings in TSFs more than 200 Mt and still expanding. Due to significant
pyrite and other metal sulphides content, these materials represent a risk of AMD. Rehabilitation can
be costly (mainly due to significant amount of inert cover materials required) and will require
prolonged maintenance after mine closure. Therefore, alternative solutions, including waste
reprocessing to produce cover materials and recover remaining valuable minerals, are being
investigated.
Based on known mineralogical characteristics and physicochemical properties of tailings at MIM, a
gravity separation stage has been proposed for treating current tailings. This process relies on
differences in mineral specific gravity between benign gangue materials (low SG) and metal
sulphides (high SG), coupled with favorable liberation rates for minerals found in tailings at MIM.
The gravity separation stage could be incorporated into the existing mineral beneficiation and waste
treatment operations, relying on and using the benefits of established infrastructure at the mine site.
Similar process, with minor modifications, could also be developed and applied for reprocessing of
old tailings, accumulated in TSFs at MIM to date, allowing to further decontaminate existing tailings
dams and improve the environmental legacy of mining operations.
ACKNOWLEDGEMENTS
The authors would like to acknowledge the support of Glencore Technology and Mount Isa Mines,
and an early career research grant (# 1720901) provided to the first author by The University of
Queensland.
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11-16, 1997, 16.
Wills, B. A. and Napier-Munn, T. (2015) Wills' mineral processing technology: an introduction to the
practical aspects of ore treatment and mineral recovery. Butterworth-Heinemann.
You, F., Dalal, R. C. and Huang, L. (2016) 'Biochemical properties of highly mineralised and infertile
soil modified by acacia and spinifex plants in northwest Queensland, Australia', Soil
Research, 54(3), pp. 265-275.
13
CHAPTER 2
Sustainability
Aspects of Risk
Assessment and
Impact Assessment
Ranking the Hazards of the Abandoned Franke Gold
Mine Using an Analytic Hierarchy Process (AHP)
Emmanuel Mhlongo, Rolindela Tshivhase and Francis Amponsah-Dacosta
Department of Mining and Environmental Geology, University of Venda, South Africa
ABSTRACT
Most abandoned mine sites in developing countries pose serious environmental hazards and public
health and safety concerns. For most of these mines, there is limited information about the nature
and extent of environmental and physical hazards they present and the effect they have on the nearby
communities. South Africa has a large number of abandoned mines which the cost of rehabilitating
them is frighteningly high. Moreover, the resources needed to compile a comprehensive inventory
of these mines and to carry out their rehabilitation are limited and/or not available. The main aim of
this work was to conduct site characterization and ranking of the environmental and physical
hazards of abandoned Franke Gold Mine in the Giyani Greenstone Belt. This was done to set
rehabilitation priorities for the hazardous features and areas of the mine. The approach used includes
identification and assessment of the features and areas that pose environmental and physical risks
and ranking of these hazards of the mine using Analytic Hierarchy Process (AHP). The results of the
study show that the open surface excavations are the predominant hazardous features followed by
spoil dumps, opened shaft, dilapidated buildings, paved grounds, and steel packs. The ranking of
the hazards using the AHP provided a strong scientific basis for prioritization of future efforts of
dealing with the problems at the mine site. It is suggested that rehabilitation of the abandoned Franke
Mine be conducted in such a manner that priority is given to the extremely hazardous open
excavations and then to relatively less hazardous spoil dumps, old shafts, dilapidated buildings and
lastly the least hazardous steel packs and cemented grounds.
1
INTRODUCTION
The term abandoned mine sites refer to those sites where the mining operations have ceased
without rehabilitation of the land (Mackasey, 2000). The problems of these mines can be broadly
classified as environmental impacts, physical hazards or public health and safety concerns and socio-
economic issues. The physical hazards of abandoned mines are generally unsealed or unprotected
mine openings such as adits, shafts, and mine workings whereas the environmental hazards are the
pollution from the abandoned mine sites and the presence of dilapidated mine infrastructure.
Pollution may be due to contaminated soils and water generated from the mine waste dumps which
are mostly left un-rehabilitated during the abandonment of these mines. In some cases, polluted
water or water with extremely low pH (known as Acid Mine Drainage: AMD) is discharged by old
mine workings and turn to affect other parts of the environment (McCarthy, 2011; Makgae, 2012).
The main aim of this work was to use the Analytic Hierarchy Process (AHP) to rank the hazards
presented by abandoned Franke Gold Mine in Giyani Greenstone Belt.
The use of AHP as a decision making strategy in mining has been identified in cases such as the
selection of appropriate mining method, rating of post mining land uses, and making decisions in
the planning stage of the mine. AHP can be described as a Multi Criteria Decision Making (MCDM)
tool used to combine qualitative and quantitative factors in the decision making process (Abdalla et
al., 2013). According to Coyle (2004), the AHP method has advantages of being able to detect
inconsistency in judgment, providing an estimate of the degree of inconsistency, and the capability
of ranking alternatives in the order of their effectiveness or impotence in situations where conflicting
objectives have to be met. In addition, it can be supported by commercially available software
packages such as Expert Choice and Vanguard Software, it can be as well easily performed in
Microsoft Excel (Zoran et al., 2011; Abdalla et al., 2013).
Location of Franke Gold Mine
The Franke Mine is one of the gold mines operated by the Gazankulu Gold Mining Company Ltd.
(known as GazaGold) in the 1980s. It was prematurely closed together with Klein-Letaba and
Birthday mines in mid-1995 when GazaGold was liquidated (Ward & Wilson, 1998). The mine is
situated at 2317 20 S and 3034'15E in the vicinity of Ka-Mapuve Village, West of Giyani Town,
along the Khavagari Limb of the Giyani Greenstone Belt (see Figure 1).
Franke Mine is situated less than 100m south of the settlement area (Ka-Mapuve Village) and
approximately 500m from the Klein-Letaba River along the south. Major features of the mine include
three deep surface excavations, extensive heap of spoil material, and five shafts and four dilapidated
buildings and these are depicted in Figure 1. Other features of Franke Mine include several paved
floors/concrete stands and steel packs found in almost all parts of the abandoned mine site.
2
Figure 1 The location and distribution of the features of Franke Gold Mine
METHODOLOGY
The collection of data for rating of the hazards presented by Franke Mine began with conducting an
extensive and systematic site characterization. This involved identification and description of the
state of the mine features in terms of the nature of environmental problems and physical hazards
they present. The seriousness of such hazards was established by means of the use of an Analytic
Hierarchy Process (AHP). The following sections provide a detailed description of the application of
the AHP in ranking the hazards of the abandoned Franke Gold Mine.
Scoring and ranking of the hazards
The AHP method was used in evaluating the seriousness of the contributing factors in the occurrence
of the hazards (both environmental and public health and safety). Based on detailed site description
of individual features of the mine, the factors responsible for the hazards presented by each mine
feature were assigned even number scale of 2, 4, 6 and 8 following the criteria presented in Table 1.
The scores assigned to each factor in the given mine feature was used in constructing a decision
making matrix for each factor. In each factor, the comparison matrix of the AHP was developed by
comparing the state of the mine features over each other (i.e. M i over Mj).
The matrices were developed to be reciprocal and transitive. Reciprocal matrix represents consistent
judgments while transitivity suggest that the matrix is developed in a way that if the judgment
detects that A is important than B, and B is important than C, then A is more important than C
(Masingwini & Minnitt, 2008; Ataei et al., 2008). Based on the developed matrices, the eigenvectors
were computed to satisfy equation 1.
AEij = max Eij and max n (1)
3
The relationship between max and n defined by equation 2 was used in the calculation of the
consistency index CI. The calculated CI and the random consistency index values presented in Table
2 were used in the calculation of the consistency ratio (CR) value using equation 3. The CR allowed
that the degree of consistency in judgments be easily determined. Where the CR value was found to
be less or equal to 0.1, the computed weights were considered acceptable.
Table 1 Scale of relative importance of the factors leading to occurrence of hazards
Scale Importance of Description of scores for the three factors

factors (Weight) Source: current state Exposure or easy Impact, degree of body
of mines feature accessibility of the mine and environmental
feature damage
2 Equal to moderate Relatively stable with Prevented access: e.g. Petty body injuries
petty injuries fenced excavation (hospitalization might not
be required)
Physical Hazards
4 Moderate to Moderately stable Open to the public and with Minor body injuries (few
strong with minor hazards visible hazards days hospitalization)
Away from the access roads
6 Strong to very Unstable with Open to the public and with Permanent body injury:
strong evidence of promising hidden hazards e.g. body crippling injury
failure Away from the access roads
8 Very strong to Highly unstable with Open to the public and with Result to fatality: e.g.
extremely strong evidence of earlier hidden hazards falling into the open shaft
failure Close to access roads
2 Equal to moderate Disturbances equal to Simple mine features that Reversible impact
those caused by can be easily removed (e.g.,
natural processes concrete slabs)
Environmental Hazards
Moderate to Localized impact Preventable environmental Mine impacts

4 strong degradation Require simple
rehabilitation
Can support a number of
alternative land uses
Strong to very With potential to Stable features that might Require special
6 strong affect the area away have negative impacts at a rehabilitation
from the mine long time if not managed Can support few
alternative land uses
Very strong to Has extensively Unstable mine feature: e.g. Cannot support any post
8 extremely strong affected a large area un-rehabilitated mine waste mining land use
away from the mine
Table 2 Random consistency values (from Saaty & Vargas, 1991)
n 1 2 3 4 5 6 7 8 9
RI 0 0 0.58 0.9 1.12 1.24 1.32 1.41 1.49
(max 1)
CI(n) =
(n 1) (2)
4
CI(n)
CR(n) =
RI(n)
(3)
The eigenvector was calculated by applying the product of the entries of every row to the n th root
(1/n) which was the number of the features being compered based on a particular factor. The
computed eigenvector was then normalized (ENij) by dividing each entry of the matrix by the sum of
the eigenvector value in a column as shown in equation 4 and this brought the sum of the mine
feature of each column vector to 1. In order to obtain the weighted matrix (W ij), the sum of the
normalized column was divided by the number of features of the mine being compared and rated.
Eij
E N ij = n
i=1 Eij (4)
Determination of the total hazard score of the mine feature
The weighted hazards score (i.e. both environmental and physical hazards) of each mine feature was
basically considered to be the average weighted score of the factors identified to be contributing to
the occurrence of hazards. The average hazards scores of the mine features was taken as the average
normalized weighted environmental (QNVij) and physical hazard (QPYij) scores presented by equation
5. The mine feature with the highest weighted total hazard score was ranked the most hazardous and
the one with the lowest was considered the least hazardous.
QNV ij + QPY ij
Hazard(%) = (5)
2
Surface excavations
The abandoned surface excavations were identified as most hazardous features of Frankie Mine.
These features had the highest weighted physical hazard score of 40.4% as shown in Table 3. The
physical hazards are due mainly to unstable high walls and the fact that they can be easily accessed
by the members of the general public. The extensive (255m long) and unsafe excavation has high
walls (70 to 90 slope angle) of about 20 to 30m high. The deepest section of this pit is connected to
open underground mine workings/stope that is filled with water of pH value of 6.8 (See Figure 2a).
A huge discontinuity identified as evidence of instability of the walls of this pit can be seen in Figure
2b.
The concentrations of toxic metals such as Mn (0.72ppm), Zn (0.29ppm) and Mo (0.25ppm) in the
water in the pit were found to be slightly above the DWAF permissible levels for domestic,
recreational and agricultural uses. The shallow parts of the pits are used by nearby communities as
illegal dumping sites for domestic waste. This coupled with the fact that women from the nearby
5
village collect grass for house thatching around and in this pits increase the level of community
exposure to the physical hazards presented by the pits. The exposure to the hazards of this mine
feature is also increased by the fact that the mine site is presently used by the community as grazing
site for different domestic animals. In view of this, the surface excavations had the highest score
(44.2%) for exposure to physical hazards (see Table 3).
Figure 2 The deepest part of the surface excavations at Franke Mine, (a) the section of the pit connected to
underground mine workings and (b) the illustration of the massive discontinuity above the pit wall.
Mine shafts and dilapidated building

The mine has five shafts which are temporally closed using 12.3 m2 reinforced concrete slabs. On
one of the openings of the shafts, the slab was found vandalized thus increasing the risks of people
and animal falling into the shaft. The fact that the shafts occupied a smaller area and were found
treated to limit or eliminate some of the physical hazards they possess resulted to them having
relatively lower physical and environmental hazard scores as indicated in Table 3 & 4. However, the
shaft with partly vandalized treatment structure had slightly high physical hazard score of 17.5%.
The public safety concern of the shafts at Franke Mine is mainly due to the fact that their location are
not marked and that the slabs used to treat them was found partly covered by debris and tall grass
at the entrance of the two shafts. This presents safety hazards to people and animals that normally
walk around the mine site, especially when the treatment structure begin to fail. On the other hand,
the ventilation shaft was found still with the ventilation infrastructure (see Figure 3a). This structure
has sharp edges that might cause body injuries to children or adventurous people who might attempt
to climb up the structure.
The features such as old mine buildings were as well identified to be presenting a considerable
physical and environmental hazards and are weighted as 12.8% and 13.2% respectively. All the four
dilapidated buildings identified in different parts of the mine site were without roof, doors and
windows. The biggest building around the mine site covered an area of approximately 910m2 and is
shown in Figure 3b. These buildings are generally characterized by cracked; unstable walls which
pose a safety threat to people and animals. Young boys from the nearby villages were seen during
the field work sitting on the walls of some of the old mine buildings. The members of the community
6
also indicated that these buildings serve as hideout areas for criminals. In addition, several patches
of concrete slabs and sharp steel pegs were identified scattered all over the mine site and these
features were collectively assigned the least hazard scores (see Table 3 & 4).
Figure 3 (a) ventilation shaft and (b) is the dilapidated building at the mine site.
Spoil dumps
The mine waste dumps (heaps of spoil material) occupy a large portion of land and they have altered
the natural landscape thus affecting the aesthetic appearance of the area. This together with the fact
that these dumps have potential to leach out toxic metals they were assigned a second high
environmental hazard score of 30.0% (see Table 4). The high environmental hazards score made the
spoil dumps to be the second hazardous mine features of Franke Mine with the average hazard score
of 19.8%.
Table 3: Ranking of physical hazards of abandoned Franke Mine
Mine Features (n) Individual normalized principal eigenvector for physical Total physical
hazards factors hazards Weight
Potential body Accessibility of the Current state of the (%)
harm (%) feature (%) feature (%)
Open surface pits 39.9 44.2 37.0 40.4
Opened shafts 24.3 2.3 25.9 17.5
Old buildings 16.6 7.5 14.4 12.8
Spoil dumps 2.3 23.9 2.7 9.6
Ventilation shafts 7.7 8.3 9.0 8.3
Sealed shafts 6.4 3.1 7.6 5.7
Other features 2.8 10.7 3.5 5.6
Measurements of consistency in judgment
Consistency Ratio (%) 9.9 8.30 8.1 8.8
max 7.80 7.67 7.65 7.7
Consistency Index (CI) 0.13 0.11 0.11 0.12
7
Table 4: Ranking of environmental hazards of abandoned Franke Mine
Mine Features (n) Individual normalized principal eigenvector for physical Total
hazards factors environmental
Damage to the Pathways and/or impact Current hazards Weight
environment on aesthetic beauty of the state of the (%)
(%) Environment (%) feature (%)
Open surface pits 41.1 32.5 38.5 37.4
Spoil dumps 27.4 31.2 31.5 30.0
Old buildings 12.5 14.1 13.0 13.2
Ventilation shafts 6.9 7.2 5.5 6.5
Opened shafts 5.2 5.2 5.0 5.1
Sealed shafts 4.2 6.7 3.8 4.9
Other features 2.8 3.1 2.7 2.9
Measurements of consistency in judgment
Consistency Ratio (%) 7.5 7.59 7.5 7.5
max 7.61 7.30 6.30 7.1
Consistency Index (CI) 0.10 0.05 -0.12 0.01
Prioritization of rehabilitation work

In general, all the mine features at the Franke Mine presented a certain degree of physical and
environmental hazards (see Figure 4). The open excavations were identified as the most physical and
environmental hazardous features of the mine and the score awarded to them were 40.4% and 37.8%
respectively. The second hazardous feature was the spoil dumps which presented high
environmental hazards in the area. The old buildings presented more serious hazards than mine
shafts with destroyed sealing structure. Consequently, the dilapidated buildings were ranked third
hazardous feature at the mine while the opened shaft was ranked fourth. Among all the identified
mine shafts, the sealed shafts were found to be least hazardous followed by the ventilation shaft.
Other features such as cemented floors and steel packs presented the least hazards of all the
abandoned mine features of Franke Mine. Figure 4 shows the rank of the hazards of the features of
the abandoned Franke Gold Mine.
Figure 4 The rank of the hazards of the Franke Mine.
8
CONCLUSION
The results of the study show that open surface excavations are the most hazardous mine features at
the abandoned Franke Gold Mine followed by the spoil dumps which have relatively high
environmental concerns. It is recommended that in addressing the negative legacy of the abandoned
Franke Mine, serious attention should be given to surface excavations. Apart from this, priority of
rehabilitation of the site should be given to spoil dumps, old buildings, mine shafts (especially the
shafts with vandalized treatment structure) and then the other features such as paved grounds and
steel packs according to the order indicated.
This paper has shown that it is possible to use Analytic Hierarchy Process (AHP) in ranking hazards
at abandoned mine sites. The difference in the prevalence of factors leading to the occurrence of both
environmental and physical hazards and the level of damage caused by the present state of the mine
features made it possible to use the AHP method in making decisions about the level of hazards
presented by different abandoned mine features. The ability of the AHP method to rank the hazards
of the features of Franke Mine in the order of significance of their hazards; demonstrated the
appropriateness of this method for ranking the hazards of the features of abandoned mine sites
wherever they are found. However, it is worth mentioning that the application of this method in
prioritization of rehabilitation of abandoned mines with complex problems might require that the
criteria for scoring the factors responsible for the occurrences of the hazards be slightly modified.
ACKNOWLEDGEMENTS
The authors are grateful to the National Research Fund (NRF) for financially supporting the work.
The assistance given by Ms. Khensani Matseketa in the field survey stage of this work is greatly
acknowledged.
NOMENCLATURE
Eij is the eigenvector of comparison matrix (A) corresponding to the maximum eigenvalue (max)
REFERENCES
Abdalla, S., Kizil, M.S., Canbulat, I. (2013) Development of a Method for Layout Selection Using
Analytical Hierarchy Process, 13th Coal Operators' Conference, University of Wollongong, The
Australasian Institute of Mining and Metallurgy and Mine Managers Association of Australia, pp.
27-37.
Mackasey, W.O. (2000) Abandoned Mines in Canada, WOM Geological Associates Inc. Sudbury,
Ontario, p. 14.
9
Makgae, M. (2012) The Status and Implication of the AMD Legacy Facing South Africa, In:
International Mine Water Association, McCullough, Lund, Wyse, eds., Annual Conference,
International Mine Water Association (IMWA), Bunbury, Australia, pp. 327634.
McCarthy TS (2011) The Impact of Acid Mine Drainage in South Africa, South Africa. Journal of
Science, Vol. 107, pp. 107712.
Musingwini, C., Minnitt, R.C.A. (2008) Ranking the Efficiency of Selected Platinum Mining Methods
Using the Analytic Hierarchy Process (AHP), 3rd International Platinum Conference Platinum in
Transformation, The Southern African Institute of Mining and Metallurgy, pp. 319-326.
Saaty, T. L., Vargas, L. G (1991). Prediction, Projection and Forecasting, Kluwer Academic Publishers,
Dordrecht, pp. 251.
Ward J.H.W., Wilson M.G.C. (1998) Gold outside the Witwatersrand Basin, In: The Mineral Resources
of South Africa (Wilson M.G.C and Anhaeusser C.R, eds), 6th edition, Handbook 16, Handbook,
Council for Geoscience, pp.350 386.
Zoran, D., Saa M., Dragi, P. (2011) Application of the AHP Method for Selection of a Transportation
System in Mine Planning, Underground Mining Engineering, 19, pp. 93-99.
10
Development and Application of Abandoned Mine
Entries Hazard Ranking System (AME-HRS)
Emmanuel Mhlongo1, Francis Amponsah-Dacosta1, Armstrong Kadyamatimba2, Sibulele
Sigxashi3 and Noxolo Kindness Mbebe1
1. Department of Mining and Environmental Geology, University of Venda, South Africa
2. Department of Business Information System, University of Venda, South Africa
3. Department of Ecology and Resource Management, University of Venda, South Africa
ABSTRACT
Mine entries such as shafts, adits and declines are common features of abandoned underground mine
sites. In different abandoned mine situations, these features present varying types of physical and/or
environmental hazards as well as some degree of socio-economic concerns to the host communities.
In different parts of South Africa, temporal and long-term shaft treatment options have been used to
randomly address primarily the physical hazards of the entries. This paper presents the ranking
system developed for preliminary prioritization of the rehabilitation of abandoned/historic mine
entries. The system is designed to rank the mine entries in terms of their physical hazards,
environmental problems, and socio-economic concerns. The basic information used in the ranking is
gathered by conducting preliminary field assessment of the mine entries. The application of the AME-
HRS in the ranking of abandoned/historic mine shafts in the Giyani-Mesina Region (Limpopo
Province) showed that the system is robust and consistent with many generic decision-making
methods. The use of AME-HRS for preliminary ranking of the mine entries was found appropriate
for use in countries like South Africa; where there are limited resources for conducting detailed mine
sites characterization and quantification of numerous abandoned mine sites. It is anticipated that as
more information about site specific problems of the abandoned mine entries is continuously
collected and made available, the AME-HRS will develop to be more impartial and accurate.
1
INTRODUCTION
Mine entries (especially shafts) are common features found in all sites where mineral exploitation
was by underground mining methods. In general, mine shafts present serious risks of accidentally
falling into the underground mine workings (Holmes, 2008). According to Salmon & Degas (2003)
and Wrona et al. (2016), falling into old mine shafts can lead to death due to physical body injuries,
drowning in water filling the old underground mine workings, suffocation, and exposure to toxic
mine gases. Exacerbating the safety risks of the mine entries is the fact that they are mostly found at
deplorable state, untreated or treated with temporal structures which collapse so easily when there
are minor ground movements (Chambers et al., 2007). However, it is also worth noting that shaft
treatment strategies considered permanent also do collapse after a long time of installation (Culshaw
et al., 2000; Wrona et al., 2016). Although the hazardous nature of abandoned mine entries seem to
be obvious, the number and nature of fatalities and accidents caused by these features are usually
under-reported. For example, illegal gold miners who go underground through abandoned mine
entries in South Africa (especial in the Gauteng Province) mentioned that although there is no official
figure, at least every week one person dies in the abandoned mine shafts in the country (Roodepoort,
2016). The problem of under reporting was explained by Skinner & Beckett (1994) to be associated
with the fact that there is normally no formal way of reporting accidents of abandoned mines in many
countries or regions.
In many parts of South Africa, attempts of closing abandoned mine shafts with different temporal
and long-term treatment strategies have been haphazardly conducted. This has led to problems of
carrying out rehabilitation/treatment of the shafts without conducting the necessary assessment of
the specific issues of the shafts to establish the seriousness of the hazards they present. This paper
presents the method (formally known AME-HRS) developed for preliminary ranking of abandoned
mine entries to prioritize their rehabilitation while providing guidance on the most suitable treatment
options to use. The method was applied in ranking several abandoned mine shafts in the Giyani-
Mesina Region (Limpopo Province of South Africa) which is characterized by several underground
gold and copper mining sites which were abandoned without any rehabilitation of the land.
Description of the study area
In general, the abandoned underground copper mines in the study area are found near Mesina area
in the far northern part of Limpopo Province while gold mines are scattered throughout the Giyani
Greenstone Belt (GGB) in the eastern part of the province (see Figure 1). The known abandoned
copper mines in the region include; Mesina Mine, Campbell Copper Mine, Harper Mine, Artonvilla
Mine and Spence Mine as shown in Figure 1a. According to Wilson (1998) and Bahnemann (1986),
large scale underground copper mining in the Mesina area began in 1906 and ceased in 1991.
Although the knowledge of the final depth of these mines has not been clearly established, in 1972
mining was reported to have reached the depth of 1310m (Hammerbeck, 1976; Visser, 1981). On the
other hand, the known abandoned gold mines in the GGB include Klein Letaba, Louis Moore, Golden
Osprey (also known as New Union), Fumani, Franke, and Birthday Mines as shown in Figure 1b
2
(Ward & Wilson, 1998). The gold mining in the GGB took place at relatively shallower depth (i.e.,
<300m depth) and is known to be have commenced in 1930 and ceased in the early 1990s.
The Giyani-Mesina region is a host to several abandoned mine shafts. Although the efforts made by
the government (through the Council of Geoscience) to close some of the shafts with the purpose of
eliminating their physical hazards were witnessed, a considerable number of them are still open. The
strategies used to treat the shafts in different parts of the region were (i) a heavy steel grate, (ii)
concrete slab with steel wire screen, (iii) reinforced concrete slab, (iv) steel wire screens, and (v)
concrete plugs.
Figure 1 The distribution of abandoned mine sites in the (a) Mesina and (b) Giyani areas (From Chaumba et al.,
2016; Parnham, n.d)
METHODOLOGY
The AME-HRS was developed to provide an estimate of the seriousness of both environmental and
physical hazards of abandoned mine entries. It also allowed that based on the seriousness of the
environmental and physical hazards of the shafts, the level of their socio-economic concerns is
established. Generally, the work of ranking the mine shafts in this method begin with building a field
inventory of the shafts. This is then followed by scoring of individual risks presented by the shafts
3
and such scores are used to compute the total hazard score of the mine shafts. The following section
briefly describes the key steps of developing and applying the AME-HRS in ranking of abandoned
mine shafts in the Giyani-Mesina region.
Field inventory of mine shafts
Ground survey method was used in locating the abandoned mine shafts in the region. This involved
traversing around the abandoned mine sites with the aim of locating the mine shafts and describe
them in terms of environmental and physical hazards they present. The choice of this method was
because most of the shafts in the GiyaniMesina area are in relatively densely vegetated areas without
headframe structures to aid in their identification. This therefore, makes the identification of these
shafts using alternative methods such as remote sensing techniques extremely difficult. Guidance by
the local people, former employees of these mines and artisanal miners working around the
abandoned mining sites assisted in locating the most hidden shafts. Such guidance was very
important as the maps showing the layout of the abandoned mine sites (including the location of the
mine entries) were not available.
A handheld Garmin GPS 60 was used to mark the location of all identified mine shafts. This was then
followed by the field description of the shafts in terms of their current state, their uses and associated
potential environmental and physical hazards. Such a field description of the mine shafts provided
the essential information for scoring of the environmental problems and physical hazards of the
shafts.
Scoring and ranking of physical and environmental hazards
The ranking of the hazards of abandoned mine entries using the AME-HRS involved assigning
numerical scores to: (i) the source of the identified risk of the mine entry, (ii) the ways of exposure of
the hazard or pathways of the identified risk affecting the environment (i.e. environmental hazards),
and (iii) the potential impact of the hazard on people, animals and other parts of the environment.
Based on the results of the field description of the mine shafts, the scores categorized as Low (1.5
3.0), Moderate (3.5 5.0) and High (5.5 7.0) were assigned to each of the factors described above.
The total hazard scores which indicates the seriousness of the environmental problems and physical
hazards of the shaft were computed using Equation 1 and 2 respectively. The details of the scores
and their respective colour codes are shown in Table 1.
Q i Pj R x n
EHscore = (1)
FN
(Ni + Mi )
[Q s Ea ]n
2
HSscore = (2)
FN
4
Table 2: Criteria for scoring of physical and environmental hazards of the mine shafts.
Rank Score Colour Rank Score Colour Rank Score Colour

coding coding coding
1.5 Non 3.5 Blue 5.5 Orange
Low 2.0 White Moderate 4.0 Green High 6.0 Pink
2.5 Yellow 4.5 Gray 6.5 Papule
3.0 Black 5.0 Brown 7.0 Red
Evaluation of socio-economic impact
The socio-economic issues associated with the mine shafts were quantified using the chart shown in
Figure 2. The position of the mine shaft when its environmental problem score is plotted in the chart
against the shafts physical hazards score allowed that the socio-economic concerns of the shafts are
classified as Low, Moderate, and High. The shafts with low socio-economic concerns fall between the
zone of 0 to 4 on the chart while those with moderate and high fall between the zones of >4 to 21 and
>21 to 45 respectively (see Figure 2). This chart was developed based on the assumption that physical
hazards of the abandoned mine shafts/entries affect greatly the social well-being of the host and
surrounding communities while their environmental problems turn to affect mainly the economic
status of these communities. For example, open shafts near the mines host community present
psychological and social challenges to the community while ground instability and discharge of
contaminated/acidic water turn to affect the larger part of the environment thus negatively affecting
the economic value of the land. According to the chart shown in Figure 2, shafts with less than 0
physical and/or environmental hazard scores are presenting negligible level of social and/or
economic concerns.
Figure 2 The social-economic impact evaluation chart for abandoned mine shafts
5
The inventory of the abandoned mine shafts compiled through the review of literature and
undertaking preliminary field assessment of the shafts allowed environmental and physical hazards
to be identified and quantified. In general, the process of ranking the seriousness of the hazards of
the abandoned mine sites with the purpose of prioritizing the work of their rehabilitation is a
challenging endeavor. The main reason being the fact that abandoned mine sites are characterized by
varying conditions and problems; including their physical and environmental hazards. In view of
this, the ranking system used in this work employed common physical and environmental risks of
abandoned mine shafts/entries to provide the ranking. The physical risks considered in the system
were (i) falling into the mine shafts, (ii) drowning in the water filling the underground mine
workings, (iii) dangers of rock/ground falls, (iv) exposure to dangerous mine gasses, and (v) ingestion
and/or having dermal contacts with contaminated mine water discharged by the mine shafts. The
environmental problems that were taken into consideration were (i) the problems of land degradation
that limits the alternative use of the land, (ii) impacts of the abandoned mine shafts on the aesthetic
beauty of the landscape, and (iii) the potential contribution of the shafts to pollution of the
environment. The total scores of both health and safety risks as well as the environmental problems
of the mine shafts in the Giyani-Mesina region is shown in Appendix-A.
The physical and environmental hazards of the shafts
The shafts with relatively high physical hazard scores (the majority found in the Mesina Area)
presented high risk of falling into the shafts as they were found open and in highly unstable grounds.
Such ground instability resulted to these shafts also possessing high risks of rock falls which are
serious threats to adventurous people who might want to enter the underground mine workings. In
addition, the depth (>1300m) of the abandoned copper mining shafts (ACMS) in the Mesina area
made the consequences of falling into the shafts to be rated high as they have high potential of
resulting to death with no hope for successful recovery of the body.
Comparatively, the open abandoned gold mine shafts (AGMS) in the Giyani area presented relatively
low risks of falling into the shafts and rock falls. That these shafts are mainly shallow (few hundreds
of meters deep) and their physical impact to the victim of falling into the shafts was given a moderate
score (ranging between 3.5 and 5 score). However, since illegal/artisanal miners around the Klein
Letaba Mine go underground through the old inclined mine shafts in their endeavors of mining the
remnants of the deposit underground made the exposure to the risks of drowning in water filling the
mine workings, accidental or voluntary ingestion of contaminated mine water underground, and
getting exposed to harmful mine gases relatively high. As a result, these risks were found to be higher
in abandoned gold mining shafts than in copper mining shafts (see Figure 3a).
The major environmental problem presented by the abandoned mine entries/shafts is mainly that
they are at times found discharging contaminated and/or acidic water from the underground mine
workings. The shaft used to pump water for irrigation purposes at Klein Letaba Mine was the only
6
shaft that had high pollution potential risk score in the region. However, the highest environmental
issues presented by most of the shafts in the Giyani-Mesina region are mainly physical degradation
of the land which also affect the aesthetic appearance of the landscape. The shafts found in physically
unstable grounds around Mesina presented the highest problems of land degradation (see Figure 3b).
This is because the land occupied by these shafts is mainly on the state that it cannot support even
the basic post-mining land uses such as crop farming and development of the site for animal grazing
purposes. As shown in Figure 3b, the mine shafts from both sites of the region had almost equal risk
scores for their impact to the aesthetic appearance of the landscape.
Figure 3 Radar charts showing the average risk scores of the abandoned mine shafts, (a) physical hazard scores
and (b) environmental hazard scores.
Socio-economic concerns of the mine shafts

Plotting the environmental and physical hazard scores on the socio-economic impact evaluation chart
showed that the abandoned mine shafts in the Giyani-Mesina region are generally characterized by
low to moderate socio-economic concerns. According to Figure 4, the shafts found with intact
treatment structures (i.e. concrete plugs and slabs) had negligible (<0 score) level of social concerns
and very low economic issues. The untreated shafts, those for which the treatment structure was
vandalized or removed, and the only shaft used to pump ground water for irrigation and domestic
uses were also identified with more social problems than economic concerns. The use of the
abandoned gold mine shafts for illegal/artisanal gold mining activities were identified as the major
social concerns of these shafts. This is because these activities expose many people to different health
and safety risks of the mine shafts. These activities are also associated with several environmental
problems such as cutting and/or uprooting of trees and deposition of contaminated soils from the
abandoned mine sites into the nearby surface water bodies (mainly rivers) during the process of
sluicing to concentrate gold (Magodi, 2017). On the other hand, the major social concern of the
abandoned copper mining shafts is mainly that these shafts are used as storage sites for illegal or
stolen goods.
7
Figure 4 The seriousness of the socio-economic issues of the abandoned mine shafts.
CONCLUSION
The AME-HRS was developed to rank abandoned/historic mine entries based on the level of
environmental and physical hazards they possess as well as their associated socio-economic
concerns. The ranking of the mine shafts using the AME-HRS in the Giyani-Mesina region
demonstrated that the risks of falling into the shafts and the problems of ground instabilities were
respectively the major physical and environmental hazards presented by most of the abandoned
shafts in the area. In view of this, it is recommended that strategies that provide long term sealing of
the shafts while preventing the problems of ground movement, release of toxic gases, and discharge
of contaminated mine water by the shafts are taken into consideration in the rehabilitation or
treatment of the shafts.
The ranking approach employed by the AME-HRS is consistent with the generic rational decision-
making theories and can be applied in all areas where the situation of the problems of abandoned
mine shafts is like the one in the Giyani-Mesina area. Such an approach include (i) finding occasions
of deciding through conducting a preliminary field assessment of the mine entries, (ii) investigating
and/or analyzing the possible sources of action through identification of the sources of physical and
environmental hazards of the mine entries, and (iii) selecting a source of action by ranking the risks
presented by the mine entries.
The ranking of the mine entries based on the information gathered through carrying out a
preliminary field assessment of the shafts is comparable to that used by the Risk Ranking
Methodology (RRM); employed in ranking the abandoned mine sites in British Columbia. The
development of such ranking scheme for abandoned mine entries is necessary as there are mainly no
enough resources for carrying out a detailed characterization/inventory of the large number of
abandoned/historic mine sites found mostly is developing countries with long history of mining like
south Africa.
8
ACKNOWLEDGEMENTS
This paper was written from the ongoing PhD work in the Department of Mining and Environmental
Geology (University of Venda). The authors are grateful to the University for funding the work
through the Capacity Development Grant (D027). The assistance given by Mr. G.K Pindihama and
Mr. C Muzerengi in the field survey stage of this work is greatly acknowledged.
NOMENCLATURE
Qi Source of the environmental hazard presented by the abandoned mine shaft

Pj Pathway (in case of land degradation and aesthetical impact of mine shafts, the pathways
were assigned the score of 1)
Rx Magnitude of the consequences of the occurrence of the hazard
n number of risks identified
Qs Source of health and safety hazards presented by abandoned mine shafts
Ea Exposure route to the hazardous shafts (where the shaft presented only safety or health
hazards, the factor was assigned a score of zero)
Ni Magnitude of the health risk
Mi Magnitude of the health risk.
NF Value of 8 employed to reduce the order of magnitude of the hazard scores
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11
APPENDIX-A
THE SCORES OF THE MAJOR RISKS OF INDIVIDUAL ABANDONED SHAFT
Coordinates Physical Hazards Environmental Risks

No. Latitude (S) Longitude (E) Shaft-ID PI DH ICW MG RF AA LD PP
1 22 20 15" 30 02 38" MCM-1 1.69 1.1 0.5 1.0 1.7 2.3 12.0 3.4
2 22 18 14" 30 05 45" ATV-1 15.5 3.8 2.5 5.0 3.8 2.25 16.00 3.38
3 22 18 33" 30 05 44" ATV-2 159.3 1.7 0.5 11.3 1.1 9.00 20.00 3.38
4 22 22 28" 30 59 2" CCM-1 171.5 6.0 0.8 13.5 171.5 42.00 49.00 3.38
5 22 22 25" 30 59 1" CCM-2 171.5 6.0 0.5 6.0 171.5 20.00 35.00 2.25
6 22 22 31" 30 59 5" CCM-3 171.50 6.0 1.7 7.5 171.5 49.00 49.00 4.50
7 22 22 16" 30 60 8" CCM-4 90.8 6.0 0.5 6.0 32.0 3.00 16.00 3.38
8 23 17 41" 30 33 34" KLM-1 68.3 205.6 52.5 105.0 171.5 30.00 36.00 75.00
9 23 17 41" 30 33 39" KLM-2 147.9 192.5 159.3 0.8 2.8 16.00 36.00 180.00
10 23 17 42" 30 33 36" KLM-3 171.5 123.8 2.8 43.3 79.6 25.00 25.00 3.38
11 23 11' 11" 30 50' 39" HSM-1 1.7 4.00 4.00 3.38
12 23 11' 10" 30 50' 41" HSM-2 1.7 4.00 4.00 3.38
13 23 11' 12" 30 50' 38" HSM-3 10.5 1.7 18.00 10.50 2.25
14 23 11' 12" 30 50' 36" HSM-4 7.3 1.7 10.50 9.00 3.38
15 23 17' 21" 30 24' 17" FGM-1 21.0 4.5 1.7 1.7 1.7 6.00 6.00 3.38
16 23 17' 20" 30 34' 16" FGM-2 14.0 3.4 1.7 1.7 1.7 9.00 12.00 2.25
17 23 17' 19" 30 34' 17" FGM-3 4.5 0.0 3.4 12.00 12.00 3.38
18 23 17' 22" 30 34' 5" FGM-4 9.0 3.4 0.0 1.7 9.00 9.00 3.38
19 23 17' 35" 30 34' 38" FGM-5 15.8 9.0 0.0 6.8 20.00 16.00 3.38
20 23 19' 23" 30 46' 19" BDM-1 1.7 4.00 5.00 3.38
21 23 19' 22" 30 46' 19" BDM-2 1.7 4.00 5.00 3.38
22 23 19' 22" 30 46' 20" BDM-3 1.7 4.00 5.00 3.38
23 23 19' 24" 30 46' 17" BDM-4 1.7 4.00 4.00 4.50
24 23 19' 29" 30 46' 14" BDM-5 1.7 4.00 4.00 4.50
25 23 19' 28" 30 46' 14" BDM-6 1.7 4.00 4.00 4.50
26 23 19' 38" 23 19' 38" BDM-7 1.7 4.00 4.00 4.50
27 23 19' 39" 30 46' 16" BDM-8 1.7 4.00 4.00 4.50
28 23 19' 38" 30 46' 18" BDM-9 1.7 4.00 4.00 4.50
29 23 19' 35" 30 46' 15 BDM-10 1.7 4.00 4.00 4.50
30 2301'2.3" 3043'37" NUM-1 105.6 8.3 4.0 50.0 36.00 36.00 18.00
31 2301'28" 3043'31" NUM-2 105.0 22.0 13.5 37.5 25.00 25.00 3.38
32 2301'11" 3044'6" NUM-3 171.5 7.0 1.7 7.8 4.0 36.00 36.00 3.38
33 2301'08" 3044'08" NUM-4 171.5 20.3 4.0 60.0 49.00 36.00 3.38
34 2301'28" 3043'31" NUM-5 147.0 9.0 4.0 72.0 33.00 36.00 3.38
35 2301'21" 3044'2" NUM-6 171.5 7.0 4.0 24.0 49.00 42.00 3.38
36 23 01' 21" 3044'3" NUM-7 171.5 7.0 1.7 24.0 33.00 33.00 3.38
37 23 13' 13" 3041'48" LMM-1 171.5 78.0 4.0 108.0 32.50 30.00 48.00
38 23 13' 13" 3041'45" LMM-2 171.5 153.0 4.0 75.0 36.00 30.00 48.00
39 23 13' 13" 3041'46" LMM-3 56.0 3.4 4.0 1.7 25.00 25.00 48.00
Note: PI=Physical Body Injury, DH=Drowning Hazards, ICW=Intake of Contaminated Water, MG=Mine Gases,
RF=Rock Falls, AA=Aesthetic Appearance, LD=Land Degradation, And PP=Pollution Potential
12
Analysis of the Environmental Assessment Process in
Mining Projects in Chile
Constanza Kutscher and Jorge Cantallopts
Research department, Chilean Copper Commission, Chile
ABSTRACT
Projects in Chile that are likely to cause adverse environmental impacts are legally required to be
submitted to the environmental impact assessment system (SEIA), which must grant an
environmental permit before the project activities may start. Because of this legal requirement, it is
relevant to know the characteristics of the SEIA, along with what happens to the projects once they
enter it. The following report specifically analyzes mining projects entered between 2011 and 2016,
their size, location, evaluation duration, and evaluation status.
The main findings include the following: 454 projects were entered to the SEIA in the evaluation
period. Half of the projects entered in the study period were approved, 2% were rejected, 19% were
not allowed to process because they lacked the minimum information, 16% were withdrawn from
evaluation by the project owner, 6% were not qualified, and 7% remained under qualification. Eight
projects were rejected, of which, only three for environmental reasons, while the others were rejected
because of lack of information for their evaluation. In addition, 25% of all entered projects were re-
entered, meaning they had been rejected in the past and were subsequently modified (12% of large-
scale mining projects and 29% of medium-scale mining projects were re-entered). The regions of Chile
that were presented with the most mining projects were Atacama, Antofagasta, Coquimbo and
Tarapac. Of these regions, Antofagasta was where most projects were approved (76%), and
Coquimbo was where the least were approved (33%). Lastly, compared to the large-scale mining
projects, more medium-scale mining projects were not allowed to process (8 vs. 23%) and fewer were
approved (65 vs. 45%). Medium size projects seem to face more difficulties when submitting a project
to the SEIA. Apparently, because of their lack of experience, they fail in including all the required
information for a proper environmental impact assessment.
1
INTRODUCTION
In 1994, Law 19.300 on General Environmental Bases was approved in Chile. This Law regulates the
right of every person to live in an environment free of pollution. It was amended in 2010 by the Law
20.417, and in 2013 its regulation was created. The law states that any project or activity that is likely
to have a negative impact on the environment (defined in the 10th article) must be submitted to the
Environmental Impact Assessment System (SEIA) for evaluation, through an Environmental Impact
Study (EIA) or Environmental Impact Declaration (DIA). The former is more complete and complex
than the latter, and is mandatory when the project may cause a significant negative impact to the
people or the environment, which is defined in the 11th article of the Law.
When a project is submitted to the SEIA, it is subjected to an admissibility test, whereby the
Environmental Assessment Service (SEA) determines whether all chapters needed to be evaluated
are present. If this condition is not met, the project leaves the SEIA as Not allowed to process. On
the contrary, if the chapters are complete, the project is admitted and labeled Under qualification.
After this, the SEA of the corresponding region of Chile (the proposed project site), sends a request
for evaluation to all competent public services. If the project lacks relevant or essential information,
the project leaves the SEIA under Not qualified. If during the process the project holder decides to
withdraw the project, it leaves the SEIA under Desisted. If the project has more negative impacts
than benefits, or it lacks sufficient information to be evaluated, it is classified as Rejected. On the
other hand, if the public services determine the project is satisfactory, it is classified as Approved.
In terms of participation, the public services can conform, dis-conform, or evaluate with
observations. They can also decide they do not participate in the evaluation if they believe they
lack competence in the subject. The person in charge in the SEA gathers all observations from the
public service evaluations and creates a document called ICSARA (Consolidated report of
clarifications, rectifications or extensions). This document is delivered to the project holder and he
must submit the answers in a report called Adenda. If needed, this process is then repeated. If after
two cycles the project is still not satisfactory, it will be rejected.
The main objective of this study is to analyze outcomes (or statuses) of projects that are submitted to
the SEIA. More specifically, it looks for potential associations between project characteristics, such as
region and project holder type (large or medium size project holder), and outcome. The study will
present the main reasons for a project to stay longer in the SEIA as well as the reasons for it to not be
approved. It will also show which public services participate the most in project evaluations, and the
reasons for a project to be rejected.
METHODOLOGY
The researchers of this study generated a database of the mining projects that have entered the SEIA
between January 2011 and December 2016. The information was extracted from the SEIA webpage
and included only the projects on mining development. Projects on oil, gas, carbon, clay and peat
were excluded. The information about the projects gathered in the database were: name of the project,
2
size of the projects holder, if it entered through DIA or EIA, region of Chile where it was entered,
name of holder, amount of investment, entry date, current state, qualification date, time in the SEIA
(in total days), and public service evaluators and their determinations.
With regard to the size of the projects holder, it is prudent to mention that in Chile there are three
main groups of miners: Large, medium and small or artisanal. Large and medium groups are
required to submit their projects to the SEIA. In this study, a project belongs to the large size mining
group if the holder processes more than ten thousand tons of material per day, even though the
project itself may not involve that amount of material. On the contrary, if the projects holder
processes less than ten thousand tons of material per day, the project will be considered part of the
medium size mining group.
Entered Projects and Status
Between January 2011 and December 2016, 454 mining projects entered the SEIA. Of those, 227
projects were approved (50%), eight were rejected (2%), 31 remained under qualification (7%), 73
were desisted (16%), 88 were not allowed to process (19%), and 27 were not qualified (6%). See Figure
1.
Not qualified
6%
Not allowed to
process
19%
Approved
Desisted 50%
16%
Under
Qualification Rejected
7% 2%
Figure 1 Distribution of projects by status
It can be seen here that, despite that half of the projects are approved, only 2% are rejected, and almost
one fifth of the projects are not allowed to process, this is, they enter lacking basic information. This
situation shows that there is a lack of understanding from many project owners regarding the
minimum contents of the required reports.
3
Given that projects that are not allowed to process or that are desisted tend to re-enter the SEIA (re-
entered projects), it is relevant to analyze the true number of projects that entered the SEIA. This
amount corresponds to 341 projects (75% of the total 454 entered), meaning 25% of the projects re-
entered the SEIA.
Of the entered projects, there were 399 DIA projects submitted (88%) vs. only 55 EIA projects (12%).
Of those 55, only 38 are different project. Because of this, it was not possible to analyze differences
between both categories, since the number EIA projects is not enough to be representative.
Project status by region

In Chile, four of the total fifteen regions are considered mining regions because of the contribution
that mining has to the regional GDP (higher than 30%). These are Tarapac (34 projects), Antofagasta
(104 projects), Atacama (157 projects) and Coquimbo (87 projects). These regions account for 84% of
the entered projects. Other regions that have mining activity are Arica y Parinacota (7 projects),
Valparaiso (21 projects), R. Metropolitana (10 projects), and OHiggins (11 projects). There are clear
differences between regions in terms of the percentage of approved projects. See Figure 2.
100%
90%
80%
70%
60% Not qualified
50% Not allowed to process
40%
76 8 Desisted
30%
16 73 5
20% 33 9 Under qualification
2
10%
Rejected
0%
Approved
Figure 2 Project status by region
In comparative terms, Antofagasta has a higher percentage of large size mining projects than
Atacama and Coquimbo. Large size mining projects owners tend to have more experience in
submitting projects to SEIA, or they hire environmental consultancy companies to write the reports
for them. Therefore, the approval rate of those projects tend to be higher than medium size mining
projects. Figure 3 shows a trend between the percentage of approved mining projects and the
percentage of large size mining projects among the regions.
4
80%
70%
60%
50%
40%
30%
20% % approved
10%
0% % large size mining
Figure 3 Correlation between percentages of approved projects and large size mining projects
Project status by mining size

It is relevant to analyze the status of projects in both large and medium size mining projects. The
number of medium mining projects (336) is greater than that of large mining projects (118) by about
three times. However, compared to those in the large mining group, the percentage of approved
projects is lower (45% versus 65%) and the percentage of projects that are not allowed to process is
higher (23% versus 8%) among projects in the medium size mining group. See figure 4.
Figure 4 Project status by mining size
Of note, there is also a considerable difference between the numbers of re-entered projects in large
and medium size mining. While in the large size mining group, re-entered projects represent 12% of
the total number entered, in medium size group, re-entered projects represent 29% of the total
number entered. These results also show that large mining projects would be more likely to be
5
approved than medium mining projects, and they also appear to better understand the instructions
on how to enter a project (fewer project qualified as not allowed for process).
Public services participation
As explained above, public services solicited for the evaluation process can declare the extent of their
participation in four different ways: conform, non-conform, pronouncement with observations, or
not participating. According to the regulation, if the service does not pronounce on the project, it is
assumed that it is conform. However, for the purpose of this report, the absence of pronunciation is
considered as such. The public services that have a higher rate of participation are Sernageomin
(National Geology and Mining Service) with participation in 97% of evaluations, DGA (General
Water Management) at 96.7%, SAG (Agriculture and Livestock Service) at 96.4%, Ministry of Health
at 96.1%, and Ministry of Environment at 92.3%.
When the information in the reports is not enough to make a proper environmental impact
assessment, public services may require further information or studies regarding the project and the
projects impacts. It has been seen that project owners complain about this, arguing that such studies
are expensive, and also cause a delay in the projects approval. However, a proper evaluation cannot
be done without complete information, and an incorrect evaluation can lead to irreversible
environmental impacts. On the other hand, public services prefer that the project is complete, so they
do not have to ask for further information and they can get to have the evaluation done earlier.
Evaluation time and rejections
The following section assesses potential correlations between project characteristics and evaluation
time, and analyzes the rejected projects.
Evaluation time
The average evaluation time among the total number of entered projects is 202 days (total days),
while the evaluation time among approved projects is 289 days. However, there are projects that were
in the evaluation process for more than thousand days (three to four years). The main reason for this
prolonged evaluation time is that sometimes projects holders do not present the relevant studies to
assess the negative impacts on the environment, so the public services have to request them. Some of
these studies, such as hydrological studies, have to be carried out in a year considering all four year
seasons. Figure 5 shows the amount of days the projects have been under evaluation. The ones
entered in 2016 are mainly still under evaluation, therefore the number of days is lower. Every bar in
the figure represents a different project, which was presented in the corresponding year.
6
1500
1000
Days
500
0
2016
2011
2016
2016
2015
2015
2015
2014
2014
2013
2013
2013
2013
2013
2013
2012
2012
2012
2012
2011
2011
2011
2011
2011
Figure 5 Days under evaluation of all projects
In average, EIAs last longer than DIAs (645 vs. 257 days in average for approved projects). There is
also a difference between projects that were submitted before and after the SEIA regulation in 2013
(323 vs. 270 days in average for approved projects). One explanation of this difference is that, with
the 2013 regulation, the number of ICSARAS (instances of questions and answers) is reduced to two.
This means, if the project owner does not give satisfactory answers by the second ICSARA, the project
will not be approved. Before the regulation the number of ICSARAS was, in average, 2.3 (some
projects even had as much as 4 or 5), vs 1.9 after 2013.
Rejections
Eight of 454 projects were rejected in the period of evaluation. Of these eight projects, five were
rejected because of incomplete information that did not allowed the SEA and the public services to
correctly evaluate the project, while only three projects were rejected because of environmental
reasons. Two of the rejected projects were determined to severely impact the regions cultural
heritage, and one would have contaminated the ground water where indigenous communities
inhabited. Even though there are more than three projects that can cause an environmental impact,
in these particular three cases, there was a great opposition of the indigenous communities living in
the area. One of these three projects was approved in first instance, but the permit was revoked due
to community strong complains (Los Pumas manganese project).
This statistic is very relevant, because it exposes that, even though only half of projects are approved,
only a few are rejected. This is, the SEA works together with the project owner to make them comply
with the law and eventually approve them, instead of rejecting every project that can cause an
environmental impact.
7
CONCLUSION
The percentage of approved projects (50%) greatly surpasses that of those that are rejected (2%).
However, approved projects represent only half of the entered projects. A high percentage of projects
are not allowed to process because of lack of information on the study. This percentage is especially
high in projects of medium size mining (28%). This analysis demonstrates that the high percentage
of unprocessed projects can be partly explained by almost one third of the medium size mining
projects that do not comply with instructions and leave out some of the required chapters.
In contrast, large size mining projects tend to enter the projects correctly, most likely because they
have more experience in evaluative processes. Both the SEIA and those submitting project proposals
would benefit from clearer instructions for creating the environmental assessment reports (for both
EIA and DIA).
The consideration of environmental effects in the economic evaluation is crucial for a complete
projects evaluation. The damages to the environment and to peoples health not only mean an
expense for the country, but also violates the fundamental right to live in an environment free of
contamination. Therefore, even though the Environmental Impact Assessment process in certain
way delays the construction and operation of the projects, the process is necessary to avoid or
mitigate environmental impacts.
REFERENCES
SEIA. Sistema de Evaluacin de Impacto Ambiental. Viewed: December 2016.

http://seia.sea.gob.cl/busqueda/buscarProyecto.php
Biblioteca del Congreso Nacional de Chile. Ley sobre Bases Generales del Medio Ambiente. Last update.
June 2016. https://www.leychile.cl/Navegar?idNorma=30667
Biblioteca del Congreso Nacional de Chile. Reglamento del Sistema de Evaluacion de Impacto Ambiental.
Last update: October 2014. https://www.leychile.cl/Navegar?idNorma=1053563
8
Remote Sensing Techniques to Generate Early
Environment Warnings Oriented to Environmental
Management
Juan Carrasco 1 and Waldo Prez2
1. Environmental area, Geomonitoring, Chile
2. Sciences Faculty and Hmera Earth Observation Center/Universidad Mayor, Chile
ABSTRACT
This paper presents concepts developed from the perspective of early environmental alerts oriented
to environmental management, based on satellite surveillance and focused on soil surface
contamination, soil moisture infiltration, identification of chlorophyll activity and air quality.
It is based on the use of remote sensors (instruments that acquire information without being in direct
contact with the element or area of interest), such as satellital optical or radar data, supported by field
sampling with electronic instruments. This methodology allows to work without intervening in the
productive process, minimizing the risks for the human resource and a temporary response shorter
than other techniques.
The methodology allows to identify heavy metals, infiltrations, moisture, vegetation, hydrocarbons,
and others. The support instruments are an x ray fluorescence spectrometer that allows the
identification of chemical elements and their level of concentration and a field spectroradiometer that
obtains the spectral signature of the elements observed and gives the ability to relate them to the
satellite image, among others.
1
INTRODUCTION
The identification and management of environmental impacts during the entire mining project cycle
is a task that has not been easy to implement. Our purpose is to generate a tool that serves both
internal management and the monitoring of environmental commitments committed to authority.
Understanding that a method for mapping the spatial distribution of contaminants involves
systematic sampling and laboratory analysis of sediment samples, followed by interpolation of the
results, generating maps of distribution of pollutants, is a demanding method in time and money
(Choe et al., 2008), this is implemented in stages. In order not to reach a state of disaster while it is
being implemented, such as the cases in Samarco or Monte Polley, in the case of collapsed walls, or
another associated with chemical stability or deposit infiltration, Monitoring in different scales and
frequency, according to the response time of the technologies, since in the case of glimpsing some
situations that could affect or be indicative of some physical or chemical instability, where there is
dispersion of heavy metals, an action is required Immediate to understand its extent and intensity
(Higueras et al, 2012) in order to intervene immediately.
In order to be able to describe a problem of the presence and concentration of polluting chemical
elements, samples should be taken at the study site, sent to the laboratory to perform chemical
analysis of content and concentration, and then interpret and represent the results in the territory
through techniques of spatial statistics, with the purpose of covering the totality of the surface
analyzed and being able to approach reality, generating information in places where it does not exist
considering the existing point data, having the disadvantage that the chemical elements do not
always behave in a regular way or with some regular tendency at the surface level.
At present, and in view of the need to conduct surveys and monitoring of natural resources, remote
sensing is used as the technique that allows obtaining information about an object, area or
phenomenon through the analysis of data acquired by an instrument which is not in contact with the
object, area or phenomenon under investigation (Chuvieco, 1995). In the case presented, satellite
optical images are used, which capture the interaction between an electromagnetic radiation flux and
the observed object, serving in cases such as flood monitoring, soil moisture levels, installations and
earth movements , Work and civil works, deforestation of forests, avalanche mapping and processes
that require rapid and repetitive observations.
This satellite information is supplemented on ground with instruments such as "field
spectroradiometer", which allows to calibrate and classify satellite data. It is a portable device that
measures the amount of electromagnetic energy reflected or radiated by a surface, generating a
continuous register in a defined spectral range (visible, near infrared, other) and recording it as a
"spectral signature" or a graphic representation of the reflectance of the elements (property of a body
to reflect the light) in the ranges of the electromagnetic spectrum. In this context, the reflectance or
reflectivity is represented as a percentage of the incident radiation that is reflected by a characteristic
and unique two-dimensional surface (Chuvieco, 1995) of each element.
2
Also used is an x-ray fluorescence spectrometer, an instrument that identifies the elements present
and their concentration. It records measures of the number of rx emissions, which provide a
quantitative indication of the concentration of the metals present in the sample, emphasizing the fact
that each atomic element present produces a unique characteristic set of rx, which happens to be a
type of "fingerprint" for the specific element (Ulmanu et al., 2011). The principle of "x-ray
fluorescence" is based on a phenomenon that occurs when an emission of these rays strikes a sample
or object of study, having the possibility of being absorbed by atoms or dispersed through the
material. In the case that rx are absorbed, which occurs only when the radiation that impinges on the
substance provides the appropriate amount for that element, the atoms begin to excite and emit an
rx whose energy level is unique to the impacted element, which is registered and called "RX
Fluorescence" or "XRF".
Obtaining information about the quality of the soil, considering large areas and for repeated periods
of time, has been one of the greatest challenges for professionals in the earth sciences.
physicochemical analyzes of soil are quite costly and time-consuming, so it is necessary to find and
use methods that are more economical and capable of covering large areas of land in less time. This
information can generate remediation projects that could include the removal of metal pollutants
from the soil or the removal of contaminated soil from the soil (Ulmanu et al, 2011).
It should be mentioned that according to the Soil Science Society of America (SSSA), in 2008, it is
considered that heavy metals are those metallic elements having a density greater than 5.0 mg / kg,
including: Cadmium (Cd), Cobalt (Co), Chromium (Cr), Copper (Cu), Iron (Fe), Mercury (Hg),
Manganese (Mn), Nickel (Ni), Lead (Pb) and Zinc (Zn). Some metalloids like Arsenic (As) are
included since they are considered heavy metals by their toxicity. However, some of these elements
are essential for the biochemical processes of plant nutrition, but they become a problem when the
concentration is high enough to induce toxicity (Melndez-Pastor et al, 2011). Another point to
consider is that heavy metals are naturally present in soils depending on the type and chemical
composition of the parent material, but in other cases they are artificially introduced as a consequence
of anthropogenic activities such as: mining activity and associated processes, use of agricultural
inputs (fertilizers, pesticides and others), and metallurgical and chemical industries.
The objective of the present investigation is to use remote sensing and its methodologies to generate
early environmental alerts related to the different stages of the mining project, including the last stage
of the closure, and referring, among other things, to the superficial distribution of heavy metals,
infiltrations and other.
3
METHODOLOGY
2.1. Study area and material.
Figure 1.
Study area 1 (Figure 1) shows a deposit located in central Chile. It is a
hyperspectral scene, whose spectral range goes from 405 nm to 2441
nm, presenting 354 bands.
In relation to the samples analyzed to classify, it consists of five of 50

gr each one, certified by Sigma-Aldrich RTC and correspond to clay
based samples. Sample 1 (CLAY_1) presents arsenic, cadmium,
chromium, cobalt, copper, lead, manganese, mercury, nickel and zinc,
with concentrations ranging from 0.1 mg / kg to 120 mg / kg. Sample
2 (CD_HIGH) shows cadmium, chromium, lead and nickel in high
concentration (between 1000 mg / kg and 1250 mg / kg). Sample 3
(CD_LOW) has the same components as CD_HIGH, but at a low
(AS_HIGH) presents arsenic, cobalt, mercury and zinc in high
(AS_LOW) has the same components as AS_HIGH, but at low
concentration (between 75 mg / kg and 115 mg / kg). The classified
hyperspectral image is an image obtained by a hyperespectral type
sensor, brand SPECIM, model AisaDUAL, of spectral range 403.05 nm
- 2438.75 nm, obtained in a flight dated March 25, 2011, provided for
academic purposes by the Aerophotogrammetric Service Of the
Chilean Air Force (SAF).
4
The study area (Figure 2) observed in the scene of the WorldView 3 sensor is located in the northern
part of Chile and comprises part of a mining tailings deposit.
Figure 2.
Figure 2 shows an image obtained

by a superspectral type sensor,
WorldView 3 sensor, of spectral
range between 400 nm - 2365 nm,
which has 17 bands and dated June
16, 2015, facilitated by
GEOMONITORING, reseller
company of DIGITAL GLOBE.
2.2. Equipment and software.
For case 1, the spectral signatures of the samples are acquired using a portable or field
spectroradiometer, brand Spectra Vista Corporation (SVC) model GER 2600. For the post-process the
GER 2600 software is used, which allows visualizing and exporting the spectral readings. It
complements the work with the SAMS software for post-processing of spectral records, licensed
commercially by the University of California. The results of the measurements are interpreted and
related to the application of these in the image of check using ENVI software (ENVI version 5.2, Exelis
Visual Information Solutions, Boulder, Colorado).
Regarding the elements and their concentration, the reference samples are analyzed with a portable
X-ray fluorescence spectrometer, Inov-X Systems Inc., model DELTA, with support table. The
spectrometer analysis software is Delta PC Software, version 2.5.16.32.
5
2.3. Methodological description.
In the case 1, work begins with the analysis of the reference samples using XRF, whose contents are
shown in Table 1. The method used is the "EPA 6200 Field portable X-ray fluorescence spectrometry
for the determination of elemental concentrations in soil and sediment."
Subsequently, the samples are analyzed with the field spectrometer in an open environment, to
obtain a characteristic spectral register for each of them. Then, they are adjusted to values of the
image, in terms of spectral range and unit of measure, using them to classify the image by means of
Spectral Angle Mapper (SAM), defining a maximum value of spectral angle of 0.1 radians (5.72957
degrees ).
For the case 2, algorithms (NDVI, NDWI and unsupervised classification) are used using ENVI
software (ENVI version 5.2, Exelis Visual Information Solutions, Boulder, Colorado). Geometric,
radiometric and atmospheric corrections are made to the image. Then the normalized difference
water index (NDWI) is applied, which is sensitive to the amount of water in the vegetation or the
level of soil saturation, as well as the normalized difference vegetation index (NDVI) used to estimate
the quantity, quality and development of the vegetation based on the measurement of the intensity
of the radiation of certain bands of the electromagnetic spectrum that the vegetation emits or reflects.
6
The classification of image 1 is shown in Figure 3.

Figure 3.
Table 1.
Sample CLAY 1 CD_HIGH CD_LOW AS_HIGH AS_LOW
Percentage Percentage Percentage Percentage Percentage
Elements
in 50 gr in 50 gr in 50 gr in 50 gr in 50 gr
Arsenic - - - 1,976 0,192
Cadmium - 1,954 0,3 - -
Chrome 0,274 3,272 1,058 0,632 -
Cobalt 0,0214 0,0112 0,0104 0,0808 0,0184
Copper 0,126 - 0,042 0,054 0,05
Lead 0,098 2,3 0,222 0,07 0,07
Manganese 0,5 0,274 0,244 0,228 -
Mercury - - - 3,264 0,24
Nckel - 2,462 0,316 0,108 0,102
Zinc 0,238 0,06 0,066 2,298 0,266
Potassium 0,0000242 18,946 18,308 17,278 17,61
Calcium 3,974 5,198 5,338 5,132 5,426
Titanium 15,982 0,000025 0,0000252 0,0000246 0,0000248
Vanadium 0,252 0,386 0,378 0,386 0,372
Iron 0,0000488 0,000024 0,0000242 0,0000244 0,0000246
Rubidium 0,158 0,0706 0,0704 0,0488 0,0686
Strontium 0,078 0,938 0,976 0,934 1,076
Zirconium 0,642 0,592 0,588 0,572 0,648
Antimony - 0,29 - - -
Thorium - 0,098 0,076 - 0,102
Uranium - - - 0,138 0,03
Sulfur - - - 2,196 -
TOTAL 22,343473 36,851849 27,992849 35,395649 26,271049
7
The results of case 2 are shown in Figure 4 and Figure 5.
Figure 4.
Figure 5.
Figure 4 shows water bodies and surface moisture downstream of the tailings wall, which have to be
solved if they have the same chemical characteristics.
In Figure 5, in addition to observing the above, chlorophyllic activity associated with vegetation is
observed.
Finally, we present an analysis that was made to Figure 2 that allows to identify if some constituent
element of the body of the tail is present outside the wall, without it occurring naturally, but there is
for example some evidence of filtration under the wall. Walls 1 and 2 show images of repository
8
walls. Filtrations are analyzed and for the case of wall 1, no surface filtration is seen. However, for
the case of wall 2, filtration or presence of 2 different elements apparently drained under the wall can
be seen.
Wall 1. Filtration analysis 1.
Wall 2. Filtration analysis 1. Filtration analysis 2.
The monitoring method proposed is of rapid application and covers a large area (100 km2) for each
image, supporting the control of the internal management and giving sustenance with new
technologies to the environmental commitments acquired with the authority.
9
The response time of this methodology is considerably lower than the traditional method, which
would allow to approach in time some type of contamination or environmental imbalance resulting
from some phase of the mining project, granting even the possibility of monitoring the development
of this one.
Given the results shown in this paper, we would like to put on the table an issue related to authority,
and the question is how it is possible to modify the methodologies incorporated in the acquired
environmental commitments, according to the technological advance.
CONCLUSION
This method allows the identification of anomalous situations in an incipient way, generating early
warnings to the management of environmental issues.
The proposed method optimizes the resources identifying areas of interest at a distance and allows
to guide specific analyses and initiate actions to verify such situation.
This brings specific actions to specific locations in a timely manner, and territorially encompasses the
affected area, and can discriminate at risk situations for the district, whether physical or chemical.
Knowing the reality using a method that allows to gather the information with 100% coverage, will
always be preferable to others that use samples to build models of reality.
This method allows identifying elements present in the sample, their concentration and subsequent
location in the territory.
This method allows to monitoring with high frequency some phenomenon or area of interest.
ACKNOWLEDGEMENTS
We are especially grateful for the data, software and professional consulting services to the Criminal
Investigation Laboratory of the Investigation Police of Chile (PDI) and the Aerofotogrammetric
Service of the Chilean Air Force (SAF).
REFERENCES
Chuvieco, E. (1995). Fundamentos de teledeteccin espacial. Edicin 2. RIALP. Madrid.
Choe, E., Van der Meer, F., Van Ruitenbeek, F., Van der Werff, H., De Smeth, B. and Kyoung-Woong,
K. (2008). Mapping of heavy metal pollution in stream sediments using combined geochemistry,
field spectroscopy, and hyperespectral remote sensing: a case study of Rodalquilar mining area, SE
Spain. Remote sensing of environment, Volume 112, Number 7, 3222 - 3233.
10
Higueras, P., Oyarzn, R., Iraizoz, J., Lorenzo, S., Esbr, J. y Martnez-Coronado, A. (2012). Low-cost
geochemical surveys for environmental Studies in developing countries: Testing a field portable XRF
instrument under quasi-realistic conditions. Journal of geochemical exploration, Volume 113, 3-12.
Melendez-Pastor, I., Navarro-Pedreo, J., Gmez, I. and Almendro-Candel, M. (2011). The use of
remote sensing to locate heavy metal as source of pollution. Advances in environmental research,
Volume 7, Number 1, 217 233
Ulmanu, M., Ildiko, A., Gament, E., Mihalache, M., Neagu, E. and Ilie, L. (2011). Rapid and low-cost
determination of heavy metals in soil using an x-ray portable instrument. Scientific papers, UASVM
Bucharest, Series A, Volume 54, 69-76
11
Wasteless Mining
Juan D. Rayo1, Victor Encina2 and Juan C. Rayo3
1. R&D & Innovation Department, JRI Ingeniera, Chile
2. R&D Department, Centro de Investigacin JRI, Chile
3. Technical Management Department, JRI Ingeniera,Chile
ABSTRACT
One of the major environmental impacts caused by the mining industry is the creation of tailing
deposits, which overuse the land and lead to soil devaluation, safety risks, acid water drainage and
dust pollution, among other environmental impacts. Over the last 90 years, Chilean mining tailings
have been hydraulically deposited in confined deposits. More than 10 significant disasters have
occurred during this period, resulting in the loss of human lives and the incurrence of high material
damages. Around 30% of Chilean mining is concentrated in its Central Valley, between the
Coquimbo and El Maule regions, where it is estimated that about 50% of the copper reserves are
located and where approximately 70% of the Chilean population lives. In the coming decades, this
scenario will present a major problem: environmental and land cost restrictions will create very
difficult business conditions for the traditional big mining industry. Therefore, new mining
technologies need to be considered, otherwise, the mining industry will have to stop production.
In response to this threat, JRI Ingeniera developed a new mining method named Wasteless Mining
(WLM). This new method proposes that ores, extracted via block or panel caving, be processed next
to the mine, where the tailings would be thickened and then transported to the rim of the caving.
Here, the tailings will be deposited as a paste. These processed would be done simultaneously. This
method has major environmental benefits: no major tailing dam, no dust, a smaller mine area and no
acid water drainage.
Since 2015, JRI has carried out several cutting-edge R&D and technical-economic studies, which look
to solve some main technical and economic questions. These studies have produced promising
results. This paper will present the methodology of these studies, the findings up to this point, and
potential work going forward.
1
INTRODUCTION
For the last 90 years, Chilean mining tailings have been hydraulically deposited in confined deposits.
More than 10 significant disasters have occurred during this period, resulting in the loss of human
lives and the incurrence of high material damages. Today, the mining industry produces up to 1.8
million tons of tailings each day and in the next decade, approximately 8,000 [MTon] will be placed
in dams (Figure 1) [6]. Additionally, around 30% of Chilean mining is concentrated in its Central
Valley, between the Coquimbo and El Maule regions, where it is estimated that about 50% of the
countrys copper reserves are located and where approximately 70% of the Chilean population lives.
This scenario presents a major problem: environmental restrictions and the high cost of land lead to
very difficult business conditions for the traditional large mining industry. Operational costs for land
and transport will be impossible to handle if traditional tailing disposal is used. Even more
significantly, current large mining deposition licenses will last up to 2030, and with an eventual
future restriction of tailing disposal there is a lot of uncertainty regarding what will happen next with
this industry.
For these and other reasons, tailing deposition is currently one of the main concerns the mining
industry is focused on [2], and several solutions are proposed in [3].
Figure 1. Chilean tailings production per decade [6]
Over the past decade, JRI Ingeniera [1] has begun to study the performance of high density slurries
discharged over a block of broken dry material, where the non-newtonean nature of the slurries stops
the paste from flowing any further than a certain limited distance. The research findings permitted
the company to create in 2014 an innovative solution that should be considered a major mining
technological breakthrough: a new process called Wasteless Mining (WLM), which proposes that
2
ores, extracted via block or panel caving, be processed next to the mine, with the tailings thickened
on-site and then transported to the rim of the caving for deposit, where they will be processed into
a paste for final disposal, thus avoiding the construction of a big tailing dam.
TECHNOLOGY DESCRIPTION
The technology presents a new process of mining production. The method would be utilized
exclusively in the area of underground mining, with block or panel caving operation. It is proposed
that the ores would be processed in a typical concentration plant next to the mine, with the tailings
being thickened and then transported to the rim of the caving, where they would be processed into
paste for their ultimate disposal. This paste would be deposited over the mining material which has
descended via gravity bottom discharge. This method would avoid the construction of a major tailing
dam [4].
Nevertheless, in order to implement this technology, the mine cave has to be set up in order to receive
the paste, which has fluid-dynamic properties and less density than the ores. The top of the caving
has to be filled with specific crushed material that will be able to hold the paste without percolation.
If the mine had a previous open pit mine operation, the paste can be laid immediately. If not, some
structure has to be designed in order to hold the excess volume caused by the density difference
between paste and primary rocks.
The closing of the mine and on-going production can be carried out simultaneously and, when this
process is finished, only minor infrastructure has to be considered.
Figure 2 Simplified schema WLM technology.
TECHONOLOGICAL ADVANTAGES
Even though WLM might carry a higher cost than a typical mining process, it presents several
advantages in productivity and safety if it is well implemented with highly automatized
3
technologies. Nevertheless, the main advantages and opportunities of WLM are, by far,
environmental:
It reduces the environmental costs associated with the construction of large tailings dam
and waste embankments from open pit mines, because the waste is returned to its origins.
It should be very attractive to the authorities and larger community, because it minimizes
most of the negative impacts of mining outside the domain of the mining area itself.
It dramatically simplifies the process of dealing with generalized opposition and
stakeholder fears, making it easier to obtain permits and the social license to operate.
In Greenfield projects, this methodology would reduce the geographic area in which third
parties, glaciers or property boundaries are affected by the deep pit.
The operation would be very friendly to the environment, due to its minimum
consumption of fossil fuels, as well as water consumption amounting to less than 0.25 m3/t.
The rate of consumption is much lower than in conventional mining. It also produces a
significant reduction in the emission of dust and significantly lowers the risk of acid water
infiltration.
R&D RESULTS
To support the concept of WLM, during 2015, some prototype research studies were developed. One
looked at concentrate paste performance under the condition of confinement, another at paste
percolation through a granular tampon. There were also operation simulations to look at the gravity
flow of caved material with paste overburden.
The main objective of the first R&D studies was to validate, at an experimental level, the basic fluid-
dynamic aspect of laying pastes onto broken material during the caving process. Empirical
understanding of this process would allow JRI to say that WLM is not just a good idea, but also an
eminently feasible one.
Block Caving filled with paste essay

A simulation was developed to test the gravitational essay of a block caving with tails filling in the
crater, using a scalable and appropriate constitution of material and slurry (Figure 3). The results
showed that the idea is viable as well as scalable.
4
Figure 3. Physical simulation of block caving with thickened slurry filling.
Slurry Infiltration Study

These simulations consisted of verifying the possibility of holding a thickened tailing paste with a
permeable crushed material. A laboratory reduced model was developed for this purpose, as well an
industrial scale model of greater height (Figure 5). It was verified that if the paste is well tuned for the
permeable media, it will permanently stop flowing after a certain distance. These experiments were
done with real tailing samples from a big Chilean mine.
Figure 4. Laboratory percolation test with real paste sample
5
Figure 5. Slurry percolation essay of thickened slurry through permeable media. a) initial level of the slurry, b)
final level of the slurry
Mining Process Simulation

A mathematical model was developed to measure the displacement of the mineral, the diffusion of
the paste and the interaction with the paste during the operation of the caving. The simulations were
done with a discrete element method analysis (DEM) (Figure 6) and validated with a physical
simplified scale model in a laboratory. These simulations are necessary to understand the process of
slurry filling during the block caving in more complex situations.
The results obtained so far have been satisfactory both qualitatively and quantitatively, even with
complex simulations [5].
Figure 6. DEM Simulation of slurry and mineral interaction
6
Geomechanical Simulation
Geomechanical simulations with Finite Element Analysis (FEM) were performed in order to compare
the behavior of the subsidence zone of the caving when filled. It was demonstrated that the WLM
scheme is much more stable due to the lateral stress the compressed paste exerts on the cave walls.
This results in smaller subsidence zones, which implies smaller mines.
Figure 7. Subsidence level simulation: a) simulation without slurry filling, b) simulation with slurry filling
Consolidation Experiments
High pressure consolidation tailing tests were performed in an ad-hoc installation with real mine
tailing samples. A pressure of 20 [atm] was applied, and the density reached 1.46 to 1.49 t/m3, the
residual humidity was on the order of 25% and the permeability reached very low values: 10-7 [m/s]
This test allows an estimation of the effects and infiltration of the residual water. The results showed
that the water tends to go up, and that the probability of acid infiltration should be very low, due to
the low permeability values reached.
R&D CONCLUSIONS
The R&D results confirmed the following concepts:

It is possible to safely lay tailing pastes onto broken permeable material. Nevertheless, the
paste must be properly prepared at the beginning of the filling and the operation of the
mining must be well performed.
The tests proved that it is possible to hold thickened tailing slurries with typical mining waste
material with a reasonable grain size. This implies cost reduction, and thus techno-economic
feasibility.
The paste in the cave helps to hold its walls, avoiding large displacement and fractures. The
caving wall is kept almost vertical, which makes the mine smaller.
7
The confined slurry is practically impermeable. The compaction resulting from the weight
on it allows a high rate of water recovery. In the case of the closure of the mine, the filled
cave would be at low risk for water absorption, acid drainage or instability.
STAKEHOLDERS DILEMMA
Despite the clear environmental advantages presented in this paper, the WLM concept presents some
difficulties that it is also necessary to highlight:
The main weaknesses and risks of WLM are the same as with any technological
breakthrough that has not yet been industrially applied: it is always difficult to find a large
mining company with the sufficient boldness to be the first to implement a new worldwide
technology. Everybody wants to be the second.
It has been hard to explain and convince the mining executives of the value of WLM. They
usually do not properly value the strengths of a new process, especially if it is related to
environmental and productivity issues, instead of purely economic metrics or common
practices. There is always a tendency to use proven technology as it is a known commodity.
WLM technology solves a long term problem, so there are no natural incentives for the
upper management of large companies to consider this solution in the short term or make
it a top priority.
It will be necessary to test the technology on a medium scale, in order to convincingly show
feasibility as well as to study other secondary phenomena. This test would necessitate a
major investment for an R&D study.
This scenario presents a dilemma in searching for support for such an innovation. The leaders of the
mining industry are not naturally motivated enough to pursue the development of such a
breakthrough. In this case, long term mine owners (public or private), governmental and
environmental authorities, and even final consumers should play an important role in pushing for
technologies like WLM to be implemented.
All of these interested parties should be notified that it is possible (techno-economically) to have a
sustainable mining industry that complies with ever stricter strict environmental constraints. In the
case of Chile, this (WLM) might be the only chance to continue development of mining in the central
area.
In particular, the role of the Government should be the following:
To promote solutions like WLM where it is applicable.
Focus R&D budget and activities onto this (WLM) and other sustainable mining processes
Coordinate the financing of a major pilot/test mine with WLM technology, in order to test
the technology.
Consider a pilot/test mine a major R&D project which is eligible to apply for R&D tax
benefits
Finally, all parties with a stake in the mining industry, whether it be financial, environmental, or
social, should push for the development of a fully sustainable mining industry , making a strong
distinction between the copper (or any other commodity) produced in normal conditions (with high
environmental impact) versus the copper produced with the lowest impact possible. If the necessary
8
push is made, this has the potential be an opportunity for the mining industry to once again be
something that people can be proud of.
REFERENCES
[1] JRI Ingeniera (2015), www.jri.cl
[2] AltaLey, Corfo, Consejo Minero, Fundacin Chile (2015) From Copper to Innovation, Santiago,
Chile.
[3] Rayo, J.C. (2015) Alternatives to Tailings Dams in Mining Operations, Tailings 2015, 3rd
International Seminar of Tailings Management, Gecamin, Santiago de Chile.
[4] Rayo, J.C. & Encina, V. (2016) Wasteless Mining, Copper 2016, 9th International Copper
Conference, Kobe, Japan.
[5] Rayo, J.D. (2016) Simulation of block caving operation using a discrete element method (DEM),
Minin 2016, 6 International Conference about Innovation in Mining Operation, Gecamin,
Santiago de Chile.
[6] Rayo, J.C. (2017) Relaves Futuros Yacimientos Artificiales y Re-depsito, SUMMIT Relaves
Mineros: Los Yacimientos del Futuro Corfo, Santiago de Chile.
9
As Closure Approaches, Are You Preparing as Well as
You Think You Are?
Andrew Baisley1, Steven Peace2 and Mike OKane1
1. OKane Consultants, Canada
2. OKane Consultants, United Kingdom
ABSTRACT
Characterization and assessment of waste rock has been the subject of considerable research, with
the publication of a sizeable body of international guidance documents. Although detailed
information exists for geochemical characterization of waste rock, there is limited detail on how to
integrate these studies into engineering planning decisions around waste management options. A
quantitative assessment is required to balance environmental management risks and operational cost
constraints to facilitate planning decisions.
Current industry practice, and the majority of guidance documentation, focuses solely on
geochemical classification, without the subsequent connection to engineering planning. Hence, a
disconnect exists between study outputs and operational requirements for placement method risk
and cost assessment.
A quantitative assessment methodology is required to determine risk/cost of various waste
management approaches. This assessment must consider the complex interplay of factors
influencing water quality at operations in long into closure. Only once these contributing factors to
water quality are quantified can one appropriately understand, and quantify, risks associated with
closure; in short, to properly plan for closure by achieving close alignment with mine planning and
closure planning.
OKane Consultants have developed an assessment process based around a quantitative risk tool to
now allow the industry to accurately assess the risk/cost trade-off of waste management to water
quality. Our assessment process captures multifaceted inputs, and employs an analytical model to
provide quantitative analysis and outputs. Quantitative analysis and outputs allows risk to be
assessed based on waste placement technique and facility engineering design; not solely material
properties. Our approach allows assessment of progressive management measures against a deferral
of all risks to final closure solutions, such as cover systems and/or mine effluent collection and
treatment.
1
INTRODUCTION
This paper asks the question: As closure approaches, are you preparing as well as you think you
are? The question should result in a follow-up along the lines of: What is the context and what is
the metric against which we are measuring ourselves? The focus of this paper is technical; however,
to address the question posed in the title, as well as the proposed follow-up question, context is
needed. In short, whether or not one is preparing well enough, comes down to a question of risk
acceptance. That is to say, to what extent will you encounter unrecognized and unfunded liability
during closure, or when undertaking detailed closure planning leading up to closure? Typically this
liability manifests as water quality issues a result of geochemical processes occurring within waste
storage facilities.
MEND (2013) conducted a survey within the mining industry of mine drainage treatment and sludge
management practices. The majority of sites surveyed reported the expectation to treat in perpetuity.
As such, the mines choice of treatment is critical not only for economic but also for environmental
reasons. That is not to say that these sites are not economic, or werent economic; rather, that because
of unfunded and unrecognized liability during mine planning, which arose during closure planning,
that these projects are not economically optimized. Clearly then, there is an economic impetus to
addressing this potentially unfunded and unrecognized liability and economically optimize projects.
METHODOLOGY
To address encountering unfunded and unrecognized liability at closure, the mining industry is
moving towards an appreciation that mine planning and closure planning should be aligned. To
optimize the economics of a project, alignment must occur early, and often, during mine planning so
that there is an appreciation of the need for community and stakeholder engagement, establishing
closure objectives, to communicate using risk as a communication tool, and a wide variety of other
closure planning facets, such as closure time frames, which should be part of mine planning.
Mine closure planning practitioners often struggle communicating with convincing mine planners
that there might be value, or economic benefit in building, for example, a waste rock dump (WRD)
differently. This is because the mine planner is very often answering a different question,
typically tasked with optimizing ore grade, extraction, blending, etc. for the lowest cost possible; and
time frames are typically life-of-mine (LOM). In contrast, a mine closure planning practitioner does
not function on a LOM time scale; rather, it is a mine-life cycle time frame, where the realities of
closure planning are often brought forth by communities and stakeholders that are highly
knowledgeable and possessing an understanding for longer term closure liability (i.e. longer that
LOM).
The key then is to change the question such that mine planners and closure planners are working
within the same time frame, such that it is not a question of, for example: optimize development of
the open pit to build the lowest cost LOM waste rock dumpORmanagement of mine waste water
effluent; but rather: optimize construction of the LOM waste rock dumpANDminimize risk of
long-term water quality resulting in adverse risk to the environment. The OR question drives us
to be compliant and efficient; however, the AND question drives us to be effective and sustainable.
Appropriately addressing this New Question, from a technical perspective, is not a trivial
challenge. However, the following presents a quantitative assessment approach to addressing this
2
new question. The assessment approach has been developed by the authors of this paper such that
the benefits of aligning mine planning and closure planning when designing a WRD can be
understood, quantitatively.
Mine Waste Rock Management Assessment Tool

Characterization and assessment of waste rock forms the initial stage of waste management strategy
planning. Prior to decision making, waste management strategies should evaluate both costs of
waste management and risks associated with exposure, stockpiling and placement of waste
materials, such as spontaneous combustion, toxic gas production, and metal leaching- acid rock
drainage (ML-ARD). These risks are complex, are all interrelated, and are associated with air and
water entry into the waste material where subsequent oxidation reactions occur (Lottermoser, 2010).
It has become common practice in the industry as part of waste characterization to classify material
in a deterministic manner on the basis of primarily geochemical risk factors and to define material
types, for example, as potentially acid generating (PAG). Material that is determined to pose
significant risks of ML-ARD such as PAG is then prescribed a specific management method such as
encapsulation as part of a placement strategy to reduce potential ML-ARD risks. However, this
assessment method is prescriptive and polarized as materials are categorized into a few catch all
categories. For example, material categorized as PAG results in polarized decisions, such that all PAG
must be managed in a set manner even though a range of risk across the category is possible.
ML-ARD risks are known to be complex and interrelated; strongly related to the structure of the
WRD and how this influences oxygen ingress and water flow into the WRD, where subsequent
oxidation reactions can occur. The influence of airflow, water flow and storage, and the site specific
diurnal or seasonal variations in these are likely to be key risk drivers.
Geochemistry forms only one of the many risk factors. However, it is important to note that the
typical industry approach to ML-ARD assessments is for the study to be based for the most part on
laboratory testing related to geochemical properties only. A simple summary of this observation is
to state that although the characterization of materials is important, the method and timing of
placement, and the site environment in which they are placed are perhaps more important variables;
and are often disregarded in the typical industry approach for assessing ML-ARD risk.
To evaluate risk based on multifaceted variables requires application of semi-quantitative analysis.
The authors of this paper herein have developed an assessment process based around a risk matrix
that captures these multifaceted inputs and employs an analytical approach to provide semi-
quantitative analyses and outputs. This method of assessment allows risk to be assessed on the basis
of placement technique and not just on material geochemical properties in isolation. A full
description of this method is outside the scope of this paper and is described in detail in Pearce et al
(2015a). In summary, the assessment process is based around a quantitative risk assessment tool that
utilizes a series of complex algorithms and connections of processes to assess how waste materials
will react to placement in a given scenario. Outputs from the assessment tool are then collated into
a risk matrix that captures these multifaceted inputs. This method of assessment allows risk to be
assessed on the basis of placement technique, and incorporation of closure mitigation solutions, and
not just on material properties in isolation. The assessment tool developed evaluates advective gas
transport, intrinsic oxidation rate (pyrite and carbon) spontaneous combustion, seepage, carbonate
dissolution rate and acidity generation.
3
Waste Rock Dump Construction and Links to ML-ARD Seepage Risk
Construction of WRDs generally includes one, or some combination of the following methods: end-
tipping, paddock dumping, push-dumping, or encapsulation. The specific method used on a given
site to construct the WRD is generally based on availability of equipment, cost and the scale of
construction; hence, construction methods are far from uniform across all sites.
Some aspects contributing the largest ML-ARD risk are typically overlooked. The construction of
using end tipping methods results in unfavorable hydrogeological characteristics to control air
(oxygen) and water flux throughout the waste material. Given that oxygen and water flux are major
controls in the production and release of ML-ARD to the receiving environment, WRD construction
is clearly a very significant variable to factor into ML-ARD risk.
The waste rock placement strategy to address ML-ARD risk focuses on minimizing oxidation of
sulfide minerals during waste placement. By placing waste rock in a manner to minimize stored
oxidation products (or more appropriately, stored acidity), long-term reliance on a cover system
and/or mine water effluent collection and treatment as the sole means of managing seepage from
a WRD is reduced or eliminated entirely. Minimizing oxidation of sulfide minerals involves strategic
placement of run-of-mine (ROM) waste such that advective gas transport within the WRD (i.e.
oxygen transport) is limited because airflow capacity (air permeability) is controlled. The primary
airflow mechanism being addressed by utilizing this strategy is convection, which results from a
temperature differential within, and external, to the WRD. This management strategy also allows
operators to manage highly reactive materials being placed in a WRD and the potential for elevated
temperatures (i.e. spontaneous combustion).
CASE STUDY
The Martabe gold and silver mine in the Province of North Sumatra is operated by Agincourt
Resources. The mine is situated approximately 40 km south of the port of Sibolga. The primary WRD
area is integrated into and being developed as the main downstream containment structure of the
tailing storage facility (TSF). The WRD will include all mine waste, including potentially acid forming
(PAF) waste rock, from open pits. There are currently two active pits, and over time additional pits
are expected to be brought on line as exploration and resource development activities are progressed.
Waste Rock Management

A detailed waste rock management plan has been developed by OKC and Agincourt Resources
technical teams (mine geology, exploration, mine planning, TSF) for the Martabe mine. The plan
provides technical guidance for specific aspects of waste rock management during the development
and operational phases, and an overall framework for the management of waste materials during the
construction of the TSF.
Agincourt Resources have developed a significant materials characterization database through
geochemical characterization of the waste rock. Several sources of geochemical data was available to
develop the risk-based waste rock classification process flow methodology for operational use in
characterizing blocks of waste rock.
4
Waste classification and subsequent modelling into discrete class system in the reserve model and
schedule have been designed to take into account the broad characteristics of the deposit and
translate this into a means of identifying material based on predicted ARD risk, potential utility for
use in construction (soft materials are more amenable to compaction for example), and potential
acidity buffering potential (presence of carbonates such as calcite).
A detailed mine waste schedule has been developed for the site based on the waste classification
system and identifies the sources of materials over LOM to ensure that the build plan can meet the
design specification. It is therefore important that the mine schedule and LOM build plan reference
each other to ensure the successful management of waste requiring management as it exits the pit.
Scheduling is important to be carried out over LOM because design specification indicates that
construction of sealing layers require a source of low risk (with respect to AMD) finer textured lower
risk materials, and criteria for compaction is based on particle sizing.
The Progressive Encapsulation Method and Oxygen Ingress Assessment

The conceptual model for assessing AMD risk assumes that oxygen availability to PAF waste rock
within the WRSF is dominated by diffusion rather than advection; a result of the sites high rainfall
and associated infiltration rates, and the placement of fine textured waste on the embankment outer
slopes. This creates and maintains an engineered tension saturated layer across the surface of the
embankment which limits oxygen ingress and thus AMD production and release.
Figure 1 shows the engineering concept, with PAF material being progressively encapsulated during
construction on a lift by lift basis, where lifts constructed as part of the embankment raise are 10m in
height, and waste is placed in 1m thick compacted layers.
OKC completed a detailed modelling study of advective airflow within the WRSF LOM design using
numerical modelling tools coupled within the GeoStudio (Geo-Slope International, 2012) software
suite: TEMP/W, AIR/W, and SEEP/W (Pearce 2016). Surface infiltration seepage rates were calculated
using VADOSE/W. The objective of the numerical modelling program was to develop guidelines for
waste placement.
Figure 1 PEM design used as basis for modelling assessment
5
Key conclusions from the airflow modelling work were:
Advective airflow rates are substantially lower than diffusion rates as a result of the WRSF
wetting up. As long as the material maintains sufficient saturation, advection will not
contribute a significant source of oxygen for oxidation.
Oxygen ingress due to thermal convection cells is anticipated to be low, even with elevated
internal WRSF temperature and low degree of saturation conditions (worst case scenario).
The placement of high grade sulfide near the outlying slopes of the landform should be
minimized.
Oxygen ingress was shown to be substantially decreased by the presence of the sealing
layers. Oxygen ingress varied greatly for the material depending on the texture of the
material, its water retention characteristics and the assumed in-place dry density.
With increased as-placed waste density a decrease in oxygen ingress results. Additional
compactive effort produces increased density leading to decreased porosity, increased air
entry value and water retention, and a decreased hydraulic conductivity. All leading to an
increase in the degree of saturation of the encapsulation system materials and decreased
oxygen ingress rates.
Results from the numerical modelling program were used to inform waste material placement
guidelines encompassing the range of potential waste and operational cover system materials for the
interior of the WRSF. Material envelopes were developed based on particle size, and included the
geotechnical specifications required for the as-constructed sealing layer to reach the specific targets
for oxygen ingress.
WRSF Concept Validation

PT Agincourt initiated a program to validate the WRSF engineering design concept in 2015, with the
objective of confirming that sulfide oxidation within the WRSF embankment is being reduced due to
the implementation of the sealing layer concept. Validation work to date has consisted of OKC
designing and installing monitoring systems within the sealing layer profile at two locations
monitoring temperature gradients, oxygen concentration, pore-water pressure, volumetric water
content, and matric potential.
Preliminary monitoring data indicates that the sealing layer is performing akin to the conceptual
model and as per modelling predictions. VWC and suction data are indicative of material that is
maintaining a high degree of saturation. Calculated saturations are high in that they remain above
approximately 80%. Oxygen concentrations within and below the sealing layer are reduced to near
zero (Figure 2).
6
8
WRSF1 - 1.0 m
WRSF1 - 2.0 m
7
WRSF2 - 0.5 m
WRSF2 - 1.5 m
6
WRSF2 Station
Installed Dec. 2016
Oxygen (%)
5
0
May-16
Aug-16
Nov-16
Sep-16
Dec-16
Feb-16
Mar-16
Jun-16
Feb-17
Mar-17
Jan-16
Jan-17
Apr-16
Apr-17
Jul-16
Oct-16
Figure 2 Oxygen concentration within WRSF sealing layer.
Material characteristics and monitoring data collected during the 2016 monitoring period, were
utilized to develop estimates of a range of air permeability (kair) for the field for the various material
envelopes at the Martabe site under a range of dry density values (Fig. 3), which is an important facet
in understanding the potential air permeability. In situ dry density significantly affects the achieved
field kair, as illustrated in Figure 5. The estimates in kair shows that material can have up to an order
of magnitude decrease with increases in compaction effort.
1.E-06
1.E-07
1.E-08
1.E-09
1.E-10
Air Permeability (m2)
1.E-11
1.E-12
1.E-13
1.E-14
1.E-15 Envelope 1 - 1,500 kg/m3 Envelope 1 - 1,750 kg/m3
Envelope 3 - 1,500 kg/m3 Envelope 3 - 1,750 kg/m3
1.E-17
Envelope 3 - 2,000 kg/m3 Envelope 4 - 1,500 kg/m3
5% Passing #200 Sieve - 1,750 kg/m3 5% Passing #200 Sieve - 2,000 kg/m3
1.E-20
0% 10% 20% 30% 40% 50% 60% 70% 80% 90% 100%
Saturation (%)
Figure 3 Air permeability of Martabe material at compaction specification envelopes.
When saturation levels are maintained above 75%, air permeability is lower than 1 10-10 m2 which
limits the dominant oxygen ingress mechanism to diffusion irrespective of the envelope the material
7
falls in. Figure 3 demonstrates there is inherent flexibility in the construction of the WRSF sealing
layers given that if sufficient fine grained material is not available, oxygen ingress targets can still be
achieved through application of increased compaction effort.
CONCLUSION
This paper presents a technical framework, for LOM development of a WRD whereby the waste
placement methodology is viewed as being as important, if not more important, to closure
performance, as compared to a final (closure) cover system and mine effluent collection and
treatment. Creating a physical environment within the WRD that addresses the risks presented by
the reactive waste material, represents a fundamental shift in the typical approach to managing
reactive mine waste. This framework was successfully utilized for the case study site to mitigate
AMD risk. It is clear that an assessment of WRD construction requires consideration when final
closure solutions such as cover systems or mine effluent collection and treatment are being selected
and relied upon as the main closure mitigation solution for ML-ARD management.
It is notable that to date the strategy has proven to be compatible with the Martabe mine plan,
logistically feasible and cost effective. The strategy has been validated to date by detailed in situ
monitoring studies, with close alignment between modelled and measured performance.
With the technical framework presented here, the industry can now quantify the relative difference
in waste placement techniques. Our technical framework represents a substantial advancement in
mine waste rock management. The advancement our framework produces is due to the risk/cost
trade-off assessment of how WRDs are constructed, how that can be completed at the mine planning
stage, and the improvement to mine closure risk and cost estimation. In summary, this paper presents
an economic discussion, as well as a quantitative technical framework that allows mine operators to
be good stewards of mining assets by closely aligning mine planning and closure planning early on
within the mine-life-cycle, and during LOM.
REFERENCES
Lottermoser, B.G., 2010. Mine wastes characterization, treatment and environmental impacts. 3rd
edition, Springer, Berlin Heidelberg.
MEND. 2013. Review of Mine Drainage Treatment and Sludge Management Operations, MEND
Report 3.43.1, Publisher/Institution, Mine Environment Neutral Drainage Program, March 2013.
Pearce, S.R., and Lehane, S., 2015a. Quantitative risk assessment tools to assist with waste
management and placement guidelines. Proceedings of the 10th International Conference on Mine
Closure June 1-3, 2015 A.B. Fourie, M. Tibbett, L. Sawatsky and D. van Zyl (eds) Vancouver, Canada.
Pearce, S., Scott, P., Webber P., 2015b. Waste rock dump geochemical evolution: matching lab data,
models and predictions with reality. In Proceedings of the 10th International Conference on Acid
Rock Drainage and IMWA Annual Conference. April 2015, Santiago, Chile.
Pearce, S., Dobchuk, B., Shurniak, R., Song, J., and Christensen, D., 2016. Linking waste rock dump
construction and design with seepage geochemistry: an integrated approach using quantitative tools.
IMWA Annual Conference, June 2016, Leipzig, Germany.
8
Health Risk Assessment of the Mount Isa Population
from Lead Exposure
Jiajia Zheng1, Barry Noller1*, Trang Huynh1, Jack Ng2, Violet Diacomanolis2 and Hugh
Harris3
1. Centre For Mined Land Rehabilitation, Sustainable Minerals Institute, The University of
Queensland, Brisbane, Australia
2. Queensland Alliance for Environmental Health Sciences (QAEHS), The University of
Queensland, Australia
3. Department of Chemistry, University of Adelaide, Australia
ABSTRACT
The Lead Pathway Air Study (2007-2012) provides an understanding of sources of lead and human
exposure at Mount Isa. The project carried out hazard assessment, exposure assessment and health
risk assessment of lead by utilizing the Australian risk assessment framework. Potential exposure
routes of lead getting into the human body are via two routes: ingestion through the mouth to the
digestive system; and inhalation through the mouth and nose into the lungs; absorption through the
skin is insignificant. Lead particle size in the environment and chemical form are critical factors. Thus,
inhalation is shown to be <5 % of the total exposure for people living in Mount Isa, while ingestion is
>95 %. Extensive dust/soils sampling of mining/smelting origins and residential area provided
physico-chemical characteristics of samples including Synchrotron-based X-ray absorption
spectroscopy (XAS) method for lead speciation/composition data and high resolution lead isotope
measurements to understanding complexity of multiple sources including past and present, natural
and anthropogenic inputs. The study indicates that PM 10 air particulates exiting from the Mount Isa
smelter stacks were not the major sources of lead exposure via inhalation in the Mount Isa city area
at the times the samples were taken. The major source is via ingestion of air particulates (<250 m
diameter) from ground deposition as fallout. This conclusion is based on lead isotope ratios showing
a clear fingerprint of lead originating from the Urquhart Shale on the mine site and outcrops in the
city area. Copper smelter stack samples have a distinct fingerprint, not visible in samples obtained
from the city during this study. Lead isotope ratios can show origin of lead in air particulates and
dusts regardless of chemical or mineral form while XAS analysis gives the chemical form. XAS can
show differences even when lead isotope ratios are the same.
1
INTRODUCTION
Lead Pathways Study
The Lead Pathways Study investigates emissions to land, air and water at Mount Isa, North
Queensland, Australia (Noller et al., 2017). The Air study focuses on the Mount Isa environment
and sources of concern to community from exposure to lead. Lead is widely present in mineralized
areas and associated processing sites and is a potential cause of a range of health effects extending
from low absorption by the receptor (e.g. lead sulfide) to high (e.g. lead acetate) (IPCS, 1995).
The two major routes of lead absorption by the human body are through ingestion and inhalation
pathways, whereas absorption through the skin is considered to be insignificant (IPCS, 1995).
Particles < 250 m in size (PM250) enter through the ingestion route because coarser particles are less
likely to adhere to hands and be transferred to the mouth. The uptake of ingested lead is typically <
5 % for adults, but is as high as 50 % for children (Zeigler et al., 1978). The inhalation pathway consists
of breathing particles < 10 m (PM10) and those < 2.5 m (PM2.5) penetrate deep into the lungs and
transfer into the bloodstream (IPCS, 1995). The solubility of lead compounds relate to their uptake or
absorption in the human body, described as bio accessibility (Ruby et al., 1996). The bioavailability
of lead is the fraction ingested and/or inhaled reaching the circulatory system and measured in the
blood. In the absence of site specific bioavailability data, it is assumed to be 100% for risk assessment
purposes (Diacomanolis et al., 2007). A case study using rats demonstrated that the bioavailability of
lead in soils and mine wastes was <10 % (Diacomanolis et al., 2007).
Sustainable Mining at Mount Isa

The International Council on Mining and Minerals (ICMM, 2007) published ten principles on
sustainable mining. Principal 4 provides for implementing risk management strategies based on
valid data and sound science (MCA, 2005). Lead mining and processing at Mount Isa are identified
as key sources of lead pollution in Australia (NPI, 2012). Thus contributions of lead sources to blood
lead need understanding. Sustainable development of mining requires an understanding of potential
environmental and health risks while maintaining production with safely (ICMM, 2007).
Aims of the Study

The aims of the Lead Pathways Study Air are to: (i) investigate the potential airdust pathways of
lead and other heavy metals and metalloids in the Mount Isa air shed; and (ii) estimate the potential
risks to human health of air-dust pathways on the Mount Isa residential area.
METHODOLOGY
Mount Isa city is located in Northwest Queensland, Australia and is the site of major silver, lead, zinc
and copper mineralization (Figure 1). The city with over 25,000 people and the mining and mineral
2
processing facilities is divided by the Leichhardt River (Noller et al., 2017). The semi-arid location
has a mean annual rainfall of 418mm and daily evaporation of 8.4 mm (BOM, 2012).
Mining commenced following the discovery of silver-lead ore at Mount Isa in 1923. Mount Isa Mines
Ltd (MIM) was formed in January 1924. The silver-lead-zinc enriched mineralization is confined to
the upper Urquhart Shale (Blake et al., 1990) and some zones extend into the city area (Figure 1). In
2012 the operations of two separate mining / processing streams, namely copper and zinc-lead-silver,
generate dust and metallurgical fumes that can contain lead (NPI, 2012). To process George Fisher
underground mine ores, MIM increased the plant's capacity in mid-2000, adding six additional
IsaMills for ultra-fine regrinding in the zinc circuit, and improving the cleaner flotation and
thickener operations to increase grades and throughput. The zinc operations at MIM included the
Black Star and Handle Bar Hill open pit leadzinc mines and the George Fisher underground lead
mine (MIM, 2012a). A blast furnace treats sintered leadsilver concentrate to produce crude lead
silver bullion. Drossing operations remove copper and arsenic from the bullion followed refining at
the Britannia Refined Metals Northfleet Refinery (MIM, 2012a). 90 % of zinc concentrates from MIM
are exported to Asian and European smelters and the balance is sold domestically (MIM, 2013).
Xstrata purchased MIM in 2003 and merged with Glencore in 2013. MIM conducts copper and
leadzincsilver mining / processing operations at Mount Isa and is a Glencore company.
Figure 1 Mount Isa Mines Geology and City
Chemical and Physical Characterization of Lead

The Lead Pathways Study sought to understand environmental exposure pathways for lead.
Extensive dust/soil sampling of mining/smelting origins of MIM and residential area was
undertaken on over 400 samples collected between 2007-2012 comprising natural outcrops of the
Urquhart Shale containing the lead mineralization and other adjacent geological formations (mainly
non-lead bearing shale) (Figure 1), the MIM site, residential area at locations inside and outside of
3
67 houses for measurement of total concentrations (aqua regia digest on the <2 mm soil fraction)
primarily by NATA-registered analytical laboratories. The 67 houses were statistically-representative
based on using a sample size equation with the geometric standard deviation (1.8 g/dL) of the
Mount Isa blood lead survey (Queensland Health, 2008), a minimum analytical difference of 1.2
g/dL for blood lead measurement and corrected for confounding factors (Kupper and Hafner, 1989).
Synchrotron-based X-ray absorption spectroscopy (XAS) method was used for lead speciation. Lead
LIII edge x-ray absorption near-edge spectroscopy (XANES) was undertaken at the Australian
National Beamline Facility, Photon Factory, Tsukuba, Japan, with the resulting XANES spectra being
analyzed using a well-defined statistical procedure to determine the composition of the lead minerals
present, including principal component analysis followed by target transformation to select the set
of model compounds for linear combination fitting. XANES spectra for 300 samples were analyzed.
Other measurements were performed at the University of Queensland: (i) Lead isotope ratio
measurements in the Radiogenic Isotope Facility using a high-resolution, multi-collector inductively-
coupled plasma mass spectroscopy (MC-ICP-MS); (ii) X-ray diffraction (XRD) spectra recorded at
the Centre for Microscopy and Microanalysis (CMM) to identify mineral forms of lead and
complement XANES analysis (XRD is insensitive (DL <1% Pb) compared with XANES (<50 mg/kg);
(iii) Particle size analysis using a Malvern Mastersizer 2000 at the School of Chemical Engineering ;
and (iv) Scanning electron microscopy at the CMM to examine particles present in samples.
Bioavailability and Bioaccessibility testing of Lead
Bioavailability testing was undertaken on MIM samples using Sprague Dawley rats at the
Queensland Health and Forensic Scientific Services Biological Research Facility, Coopers Plains
(Animal Ethics approval number 07P05). Ten composite samples were prepared from community
soils, roof gutter dusts, carpet dusts, lead smelter dust, Tailings Dam 5 surface dust, Leichhardt River
sediment, naturally mineralized outcrop of Urquhart Shale, lead concentrate, copper smelter dust
and a slurry prepared of particulates dislodged ultrasonically from 50 high-volume air sample filters
(HVA) collected at Mount Isa city from 2008-2010. Bioavailability (as absolute values) of lead was
measured in rats blood and urine following oral dosing with samples and used comparison against
lead acetate reference (assumed 100% bioavailable). Bioaccessibility (BAc) was measured using the
physiologically-based extraction test [PBET] (Ruby et al., 1996) in the <250 m fraction (Ng et al.,
2015). Linear regression of bio accessibility tests on the 10 composite samples for bioavailability
enabled calculation of the bioavailability of a sample from its bio accessibility test.
Health Risk Assessment for Mount Isa Study
The Australian risk assessment approach was used (Figure 2; enHealth, 2012). The National
Environmental Protection Measure (NEPM) of the National Environmental Protection Council
(NEPC) set environmental guidelines. Comparison of lead data with the NEPM soil contamination
guidelines identified exceedances (NEPC, 2013). The NEPM also sets ambient air quality guidelines
4
(NEPC, 2002) and the Queensland Environmental Protection (Air) Policy (EPP, 2008) identifies
primary management aims for the protection of air. The Integrated Exposure Uptake Biokinetic
(IEUBK) model (U.S. EPA, 2010) was used to predict blood lead levels in children from exposure to
air and dusts at each of the 67 houses in Mount Isa.

All data from the Lead Pathways Air Study is given in the report (Noller et al., 2017). Total
concentration data of lead was examined by Q-Q plots and the Shapiro-Wilk test and indicated that
the data were not normally distributed. Thus, non-parametric statistical tests were used to determine
the associations between various data sets and displayed as median values and geometric means.
Figure 2 Accepted risk assessment framework (enHealth 2012)
Lead Mineralogy
Sources of lead at Mount Isa arise from mining and mineral processing activities or from natural
mineralization. In addition, lead at Mount Isa may also be from lead-acid batteries and old residues
of leaded petrol from engine oil sumps. Lead occurs in a wide variety of minerals. Selective samples
from MIM open pit and sinter plant were analyzed by XRD (Noller et al., 2017) and identified
primary and secondary lead minerals in mineralization and mineral processing. Common forms of
lead in the natural environment also include lead absorbed to goethite or to humic substances in soil
(Ostergren et al., 1999). Lead-goethite was commonly found at Mount Isa using XANES spectra.
Health Risks from Airborne Lead
Mount Isa childrens blood lead in 2007 (Qld Health 2008) with a geometric mean of 4.97 g/dL (see
Table 1) showed that 50.8% of children exceeded the 2016 guideline of 5 g/dL (NHMRC, 2016). The
2011 study (Qld Health 2011) showed a reduction in mean blood level to 4.27 g/dL and 43.7% of
children >5 g/dL. No particular part of the city had higher lead levels than others (Qld Health 2011).
The NHMRC blood lead level for investigation (now current) was reduced from 10 to 5 g/dL in 2016
(NHMRC, 2016). MIM has operated an air-quality control system for over 40 years at Mount Isa for
5
airborne dusts and fumes (MIM, 2012b). Mount Isa air quality met the operating licence conditions
at 5 locations with air concentrations below the maximum level of 0.5 g/m3 for lead (air-PM10, 1-year
average) (MIM, 2012b).
Outcomes of the Health Risk in Mount Isa
Issue identification. The MIM smelters were not the major sources of PM10 lead in the Mount Isa city
area at the times of sampling. Lead isotope ratios show a clear fingerprint of lead originating from
the Urquhart Shale at MIM and the city area. The copper smelter has its own distinct lead isotope
fingerprint, not visible in city samples during this study. Lead from the Urquhart Shale in the
residential area and being mined at MIM could not be distinguished using lead isotope ratios
(Figure 3). XANES analysis showed that samples from MIM contained lead sulfide (Figure 4), but
was absent from the haul road, tailings dam surface material and Urquhart Shale surface outcrops
with leadgoethite. Lead sulfide in fallout, PM10 and carpet dust samples in houses indicates that the
material originated from MIM. However, large proportions of leadgoethite could mean other
sources were present (Figure 4) as soil from non-lead-bearing formations had different lead isotope
ratios (Noller et al., 2017).
Figure 3 Lead isotope ratios for floor wipes and carpet dust with soil and mine dust
Figure 4 Comparison of lead speciation as % composition from XANES fitting for floor wipes, carpet dust, soil,
and mine dust (mean relative error of XANES fitting is 20%)
6
Hazard assessment. Rats dosed orally with Mount Isa samples had lead bioavailability < 10%, with
the highest being 6.2% for the HVA slurry; all other samples were <3%. Linear regression of rat oral
bioavailability vs. bio accessibility for lead gave the equation %ABA = %BAc x 0.17 using the upper
95 % confidence interval level for slope (0.17) of the line fitted through zero: this enables calculation
individual bioavailability. The median bio accessibility of the 10 composite samples from the rat
study was 14.9% and lower than all samples obtained from MIM (%BAc = 29) and the city (%BAc =
21). The HVA slurry (%BAc = 20.5%) was similar to the median for soil <250 m fraction (%BAc =
22%), showing similarity of composite air particulates to soil-derived material. Lead-containing
particles in the size ranges for ingestion and inhalation were present in dirt, dust and air samples in
Mount Isa but lead in PM10 was below the air NEPM guideline. Studies of urban air have reported
inhalation of lead to be < 6 % of the contribution to blood lead (Davies et al., 1990). The low
contribution of lead via inhalation arises because the maximum weight of air particulate matter
inhaled by a child or adult is quite small. At Mount Isa inhalation of lead was found to be less
significant in humans compared to ingestion (Noller et al., 2017).
Exposure assessment. The US EPA IEUBK model has default values for lead sources to which a child
might be exposed. These include lead in food, maternal blood lead level, bio availabilities of lead in
dusts that might be ingested or inhaled, and lead in water. The accuracy of the model is improved by
using default values for site-specific conditions which included measured levels of lead in dust, soil
and high-volume PM10 air sampling in the sample set of 67 houses in Mount Isa. By inputting the
study data into the IEUBK model, the risk to young children from inhalation of airborne lead in
Mount Isa is very low. The contribution of airborne sources of lead via inhalation to blood lead levels
ranges from 0.2 to 2.1 per cent of the total blood lead but the contribution from dust and soil via
ingestion ranges from 37 to 93 % (with a median value of 74 %). Dietary intake of lead makes up most
of the balance of lead intake via the digestion route (Walker and Griffin, 1998). Thus, inhalation is
shown to be less than 5 % of the total exposure for people living in Mount Isa, while total ingestion
is greater than 95 %. There is also a relatively low risk for most of the population of young children
in Mount Isa from ingestion of lead-containing substances including non-nutritious dust and soil.
The mean of bio accessibility obtained from four pH values over the whole gastrointestinal tract
rather than a single acid pH for the stomach phase is the best predictor of blood lead in children
(Table 1). The predicted risk as blood lead in children agrees with the human blood surveys
conducted by Queensland Health. Importantly gastric-only bio accessibility measurement will over-
predict bioavailability of lead, demonstrated by using the IEUBK model to predict blood lead increase
from ingestion of only soil by children. Food in the stomach and intestine is a very important factor
in lead absorption. Following solubilisation in the stomach lead is transferred with nutrients from
food to the intestine whether absorption of lead occurs. Lead absorption occurs via the intestinal
phase and not from the gastric/stomach phase where solubilisation occurs. An average pH
representing the fast, semi-fed and full-fed states of the stomach and the near neutral pH of the
intestine is selected to provide an intermediate pH for testing in the PBET and represents a nutritional
status intermediate between fasting and fed states. This is a more realistic exposure scenario of a daily
7
life rather than the most conservative assumption that exposure only occurs during the fast-state
(hunger).
Table 1 Comparison of measured and predicted blood lead concentrations
Location Mount Isa

IEUBK model prediction IEUBK model
Queensland Queensland
Data source (BAc approach) in this prediction (ABA
Health (2008) Health (2011)
study approach) in this study
Test time 20062007 2010 2008 and 2010* 2008 and 2010*
Age group 14 years 14 years 0.57 years 0.57 years
Test number (n) 400 167 67 67
Maximum (g/dL) 31.5 22.4 10.2 2.8
Minimum (g/dL) 1.3 1.9 1.5 1.1
Number 5 g/dLa or over 203 73 17 0
Percentage 5 g/dLa or over 50.8% 43.7% 25.4% 0
Geometric mean (g/dL) 4.97 4.27 3.48 1.46
95% confidence interval (4.69, 5.24) (3.96, 4.61) (3.05,3.90) (1.37,1.54)
Note: a. The current Australian guideline for blood lead ( 5 g/dL) NH&MRC (2016)
Risk characterization. When the dust and soil input parameters in the IEUBK model were adjusted
using the bioavailability data, there was no predicted exceedance ( 5 g/dL) of the NHMRC blood
lead investigation level. The model predicted that soil contributed 19 % (median value) of the blood
lead and the various sources of dust, 51 %. Given the dominant role of ingestion for lead transfer to
children, hand-to-mouth behavior by young children in an environment is a significant contributing
influence on blood lead concentrations where lead in soil and dust is present. The predicted blood
lead results by the IEUBK model are in the form of probability distributions rather than a single value
for each house. The model predicts different values for children grouped according to age within the
range of 14 years age range. The output results are summarized as geometric means for each house
and the associated probability of exceedance of the 5 g/dL recommended level. When the more-
conservative bio accessibility numbers were used for the dust and soil samples, the IEUBK model
predicted a mean value of the geometric means of the blood lead level for children living in each of
the 67 houses of 3.8 g/dL, and a median of 3.4 g/dL, with 25.3 % of the children exceeding 5 g/dL
recommended level (Table 1). The highest predicted levels were associated with houses having
highest levels of lead in garden soils (located in areas underlain by Urquhart Shale). The blood lead
concentrations predicted by the IEUBK model are compared with the Queensland Health programs
in Mount Isa in 20062007 and 2010 for children aged 14 years (only age group tested).
The geometric mean of blood lead concentrations of the children tested by Queensland Health was
4.97 g/dL in 20062007 and 4.27 g/dL in 2010. Using average bio accessibility data was closer to
the Queensland Health childrens blood lead levels in Mount Isa. The IEUBK model indicated key
8
contributions to blood lead levels in Mount Isa children from lead in soil, carpet dust, surface dust
and food; the contributions from airborne dust and water were insignificant. The houses with highest
concentrations of lead in dust and soil were those with the highest predicted blood lead levels in
children. Associations were found between childrens blood lead and factors (owning pets, chewing
non-food items, and bare soil) in Mount Isa (Queensland Health, 2008, Queensland Health, 2011).
CONCLUSION
The Lead Pathway Air Study (2007-2012) provided an understanding of sources of lead, and human
exposure at Mount Isa. There was a relatively low risk for most of the population of young children
in Mount Isa from ingestion of lead-containing substances including dust and soil. This conclusion
was based on tests to determine the bioavailability and bio accessibility of lead in air and dusts in the
Mount Isa city environment, and putting the results of these tests into the IEUBK model developed
by the US EPA. This model was used to predict blood lead levels in children from a childs exposure
to lead and the bioavailability of the lead to which it had been exposed (U.S. EPA, 2010).
The sophisticated analytical and risk-based approach used in this study included a statistically based
house dust campaign and is generally applicable to study health risks from dust/soils samples of
other mining/smelting operations and residential areas. The combination of bioavailability/bio
accessibility measurement with synchrotron-based XAS method provided lead
speciation/composition data. This was the best method to help with the interpretation of
bioavailability/bio accessibility data while the lead isotope method provided understanding of the
complexity of a particular sample matrix and demonstrated that soil contamination could have come
from multiple sources including past and present, natural and anthropogenic inputs.
The results in this study indicated that the Mount Isa smelters were not the major sources of PM10
lead in the Mount Isa city area at the times the samples were taken. This conclusion was based on
measurements of lead isotope ratios that showed a clear fingerprint of lead originating from the
Urquhart Shale on the mine site and in Urquhart Shale outcrops in the city area. The copper smelter
samples, on the other hand, had their own distinct fingerprint, and this was not visible in the samples
obtained from the city during this study. In addition, PM10 samples obtained during a period in 2010
when the lead smelter was shut down for maintenance showed no apparent difference in lead
concentrations from those taken in 2009 and 2011. This implies a minimal contribution from the lead
smelter operations to these samples to the 2009 and 2011 samples, when the smelter was operating
together with re-entrainment of deposited smelter dust. Lead isotope ratios can show origin of lead
in air particulates and dusts regardless of chemical or mineral form while XAS using XANES gives
the chemical form. XANES shows differences in lead composition even when lead isotope ratios are
the same.
Further measures were identified to reduce exposure of Mount Isa children to lead and having an
elevated blood lead level: (i) Continued focus on measures to reduce mine dust transfers from key
lead sources at the mine site operations; (ii) Promote personal hygiene, particularly with children;
9
(iii) Wash all home grown fruit and vegetables thoroughly before eating/cooking; and (iv) Continue
to seek improvement in childrens blood lead levels following actions taken by MIM and members
of the Mount Isa community show that measures being taken are helping to minimize childrens
blood lead levels and demonstrate that a diligent approach to reducing lead exposures does work.
ACKNOWLEDGEMENTS
Glencore- MIM funded the Lead Pathways Study. XANES was performed at BL20B, Photon Factory,
KEK, Tsukuba, Japan, supported by the Australian Synchrotron Research Program and funded by
the Commonwealth of Australia under the major National Research Facilities. The XANES results
were independently reviewed by Dr Jade Aitken, University of Sydney, who confirmed the findings.
NOMENCLATURE
ABA Absolute bioavailability

BAc Bio accessibility
DL Detection limit
IEUBK Integrated Exposure Uptake Biokinetic model
PBET Physiologically-based extraction test
USEPA United States Environmental Protection Agency
REFERENCES
Blake, D. H., Etheridge, M. A., Page, R. W., Stewart, A. J., William, P. R. and Wyborn, L. A. I. (1990)
Mount Isa inlier - regional geology and mineralisation. Geology of the Mineral Deposits of Australia and
Papua New Guinea, Volume 14: 915-925.
BOM 2012, Climate Statistics for Australian locations. Bureau of Meteorology. Available:
http://www.bom.gov.au. Accessed on 7 May 2012.
enHealth 2012, Environmental health risk assessment. Guidelines for assessing human health risks from
environmental hazards. The Environmental Health Committee.
Davies, D. J. A., Thornton, I., Watt, J. M., Culbard, E. B., Harvey, P. G., Delves, H. T., Sherlock, J. C.,
Smart, G. A., Thomas, J. F. A. and Quinn, M. J. (1990) Lead intake and blood lead in two-year-old
U.K. urban children. Science of The Total Environment, 90: 13-29.
Diacomanolis, V., Ng, J. C. and Noller, B. N. (2007) Development of mine site close-out criteria for
arsenic and lead using a health risk approach. In: Fourie, A., Tibbett, M. & Wiertz, J., eds.Mine Closure
2007, Santiago, Chile. Australian Centre for Geomechanics, 194-198.
EPP 2008, Environmental Protection Act 1994 - Environmental Protection (Air) Policy 2008. Queensland
Government, Australia.
10
ICMM (2007) Metals Environmental Risk Assessment Guidance. International Council of Mining &
Metals.
IPCS (1995) Environmental health documentinorganic lead. International Programme on Chemical

Safety, WHO. Geneva.
Kupper, L. L. and Hafner, K. B. (1989) How Appropriate Are Popular Sample Size Formulas? The
American Statistician, 43: 101-105.
MCA (2005) Enduring Value: The Australian Minerals Industry Framework for Sustainable Development.
Minerals Council of Australia.
MIM (2012a) Mount Isa Mines: history Available:

http://www.mountisamines.com.au/EN/aboutXMIM/Pages/History.aspx. Accessed on 9 May 2012
MIM (2012b) Air quality in Mount Isa. Mount isa Mines Limited.
MIM (2013) Zinc in Mount Isa. Available:

http://www.mountisamines.com.au/EN/aboutXMIM/Pages/ZincInMountIsa.aspx. Accessed on 9
July 2013.
NEPC (2002) Ambient air quality standards. National Environment Protection Council. Canberra.
NEPC (2013) National Environment Protection (Assessment of Site Contamination) Measure. National
Environment Protection Council. Canberra.
NHMRC (2016) Managing individual exposure to lead in Australia a guide for health practitioners.
Ng, J C, Juhasz, A, Smith, E, and Naidu, R. 2015, Assessing bioavailability and bioaccessibility of
metals and metalloids. Environ Science Pollution Research, 22, 88028825.
NPI (2012) National Pollution Inventory. Department of Sustainability, Environment, Water,

Population and Communication, Australian Government. Available: http://www.npi.gov.au.
Accessed on 8 May 2012.
Noller, B., Zheng, J., Huynh, T., Ng, J., Diacomanolis, V., Taga, R. and Harris, H. 2017, Lead Pathways
StudyAir. Health Risk Assessment of Contaminants to Mount Isa City. 7 February 2017 Mount Isa Mines
Limited, Mount Isa. pp 1-414 plus appendices.
http://www.mountisamines.com.au/EN/sustainability/Pages/LEADPATHWAYSSTUDYPORTAL.as
px
Ostergren, J. D., Brown, G. E., Parks, G. A. and Tingle, T. N. (1999) Quantitative Speciation of Lead
in Selected Mine Tailings from Leadville, CO. Environ. Sci. Technol., 33: 1627-1636.
Queensland Health (2008) Mount Isa Community Lead Screening Program 2006-2007. Queensland
Health.
Queensland Health (2011) Mount Isa Community Lead Screening Program 2010. Queensland Health.
11
Ruby, M. V., Davis, A., Schoof, R., Eberle, S. and Sellstone, C. M. 1996, Estimation of lead and arsenic
bioavailability using a physiologically based extraction test. Environmental Science & Technology, 30:
422-430.
U.S. EPA (2010) Integrated Exposure Uptake Biokinetic Model for Lead in Children. U.S. EPA.
Walker, S. and Griffin, S. (1998) Site-specific data confirm arsenic exposure predicted by the U.S.
Environmental Protection Agency. Environ Health Perspect, 106: 133-139.
Wrigley, T. J. (1992) Environmental monitoring at Mount Isa. Sampling Practices in the Minerals
Industry, Mount Isa. The Australasian Institute of Mining and Metallurgy, Melbourne, 7374.
Zeigler, E. E., Edwards, B. B., Jensen, R. L., Mahaffey, K. R. and Fomon, S. J. (1978) Absorption and
retention of lead by infants. Pediatric Research, 12: 29-34.
12
Risk Management of Mining-Affected Water
Resources through Effective Collaborations and
Citizen Science
Stephen Edwards1, Megan French2, Natalie Alem3, Elisa Guerrero4, Karen Hudson-
Edwards5, Efran Blanco6, Helga Cauthin3, Karen Luyckx7, Jorge Quintanilla6, Oscar
Snchez3 and Gerardo Zamora8
1. UCL Hazard Centre, Department of Earth Sciences, University College London, UK
2. Institute for Risk and Disaster Reduction, University College London, UK
3. Centro de Comunicacin y Desarrollo Andino, Bolivia
4. Department of Earth & Planetary Sciences, Birkbeck, University of London, UK
5. Camborne School of Mines and Environment & Sustainability Institute, Exeter University, UK
6. Instituto de Investigaciones Qumicas, Universidad Mayor San Andrs, Bolivia
7. Catholic Agency for Overseas Development, UK
8. Facultad Nacional de Ingeniera, Universidad Tcnica de Oruro, Bolivia
ABSTRACT
Risk management aims to avoid or control a hazard and reduce exposure and vulnerability to it, and
increasingly focuses on resilience (coping/adaptive capacity). For individuals and communities,
resilience is most effective if they understand risk, participate in risk management processes,
strengthen their capabilities, and develop risk reduction solutions in collaboration with experts. To
exemplify this, a case study is presented of mining-affected communities in the semi-arid upper
catchment of the Lake Poop Basin, eastern Bolivian Altiplano.
The area has been subjected to unregulated tin, silver, lead and zinc mining and waste disposal since
the 16th century, and acid-generating and potentially toxic tailings continue to affect rivers. Poor
communities live with limited access to water, and with water, land and air contaminated by tailings.
In 2012 collaboration was developed between these communities and UK and Bolivian universities
and non-government organizations in order to assess and reduce the exposure of the population and
its livestock and agricultural practices to water of hazardous quality. This involved building trust,
sampling and analyzing waters, assessing vulnerability, sharing all information, and training water-
monitoring volunteers. Communities are now able to monitor water quality and are, therefore, more
confident to claim for their rights and propose projects to the government for access to more water
of better quality. The collaboration has led to the creation of one of Bolivias 16 water monitoring and
surveillance systems by the Vice-Ministry of Water Resources and Irrigation, and annual monitoring
involves community volunteers, health centers, municipalities, and regional and national
government bodies.
Results have demonstrated that all river waters affected by tailings are unsuitable for human and
livestock consumption and irrigation, and that many natural sources of water are also of hazardous
quality. Research continues to examine the stability and treatment of minerals in mine tailings.
1
----------------------------------------------------
2
CHAPTER 3
Water Management
and Effluent
Treatment
Acid Mine Drainage Treatment Process
Optimization for Manganese Content Reduction by
Sequential Neutralization
Nereyda Loza and Osvaldo Aduvire
ABSTRACT
Many times the quality of a treated effluent from a mining operation does not comply with the
required legislation as in the case of Peru, where Maximum Permissible Limits for mining
operations are not met due to the content of metals such as manganese, which usually requires
specific conditions for removal. Therefore, some re-evaluation tests were made to the treatment
system, mainly in the neutralization stage of the effluent, in order to identify the problem and
propose possible solutions.
The study considers a first stage or experimental phase in which a set of laboratory tests were
carried out. The first differentiating criterion is the type of neutralization applied (direct or
sequential neutralization); the second criterion is to minimize the number of reagents in the
process while maintaining the effectiveness of the implemented treatment system. In addition to
the tests, there are continuous measurements carried out before, during and after the
experimental tests, of parameters such as pH, electrical conductivity and the oxide reduction
potential, which allowed for the identification of cut-off times in the proposed treatment.
As a result of the study, the manganese surplus was removed from the treated effluent; we were
able to identify the sequence that allowed compliance with Peruvian Maximum Permissible
Limits; finally, we agreed on the need to implement a modification to the existing treatment
system, in compliance with the legislation, and with the lowest operational possible cost.
1
INTRODUCTION
Acid mine drainage, depending on the mineralogical nature of the area in which they are
generated, will carry different metal loads, which will be associated with conditions such as the
reaction rate of materials that will be excavated, acid/base capacity of minerals and barren,
material size and solubility, water neutralization capacity, oxygen transport, interstitial water
mobility, permeability, climate and temperature, evaporation and infiltration, catalytic action of
bacteria, adsorption of metals, etc. Therefore, it is important to carry out a proper characterization
of the effluents that are generated in mining processes, since this directly influences the type of
treatment to be used for acid drainage remediation, and it can also condition the different stages
of the treatment process.
The chosen treatment must comply with environmental regulations approved in recent years in
Peru; that is, it must guarantee compliance with the Maximum Permissible Limits and
environmental quality standards, so that the discharges do not alter the quality of aquatic
ecosystems existing in receiving bodies.
OBJECTIVES
To optimize acid drainage treatment systems so that the treated water complies with the LMP
and ECA for surface water, mainly regarding the content of manganese since this is the most
difficult element to clean in mine drainage.
METHODOLOGY
Prior to experimental tests, field measurements were carried out with portable equipment for pH,
Eh, dissolved oxygen, electrical conductivity, temperature and flow.
Sample-taking was performed pursuant to standardized procedures in 250 and 500 ml HDPE
flasks, which were first washed with 10% nitric acid and rinsed with water from the sampling
point. In the laboratory, metals were analyzed in total and dissolved concentrations; they were
filtered at 0.45 microns, preserved with HNO3 to pH<2 and chilled to 4 C for transportation
purposes.
Experimental neutralization and sedimentation tests were carried out seeking to obtain doses of
reagents to be used in treatment processes by means of curves in which hydrolysis zones were
identified. For this purpose, the following reagents and equipment were used (See Photo 1).
Samples of mine acid drainage
Neutralization reagents: lime
Reagents for flocculation-sedimentation
Beaker
Magnetic stirrer
Balance
pH-meter and Potential Redox meter
2
Photo 1. Equipment for experimental tests.
DIAGNOSIS AND DISCUSSION OF RESULTS
Next we will present a mine drainage treatment case that did not meet the MPL and WQS in the
receiving body mainly due to Manganese (Mn) concentrations. To carry out this study, an initial
characterization of the acid mine drainage was carried out, the results of which allowed us to
program a series of experimental neutralization tests aimed at optimizing the process that was
being applied; direct and stepwise tests were performed with separation of solids formed in the
neutralization process. In these tests, the reagent consumption necessary to reach effluent
neutralization was estimated in order to experimentally determine the basic parameters for the
preliminary design of the devices that will make up the treatment system, the sequence of
operation and residence times in each stage.
Experimental Tests
Direct experimental tests and trials included the monitoring of specific parameters for indirect
tracking of neutralization reactions and the construction of experimental reagent consumption
curves required to reduce mine drainage acidity. The reagent used was lime and the various
neutralization curves constructed evidenced hydrolysis and/or buffer zones, where solid phases
are formed as hydroxides for the case under study.
The recorded data showed the experimental mobilization ranges of elements that provide acidity
to mine drainage as well as lime consumption. Table 2 shows the initial characteristics of the
drainage to be treated (such as pH <3 and its most significant concentrations (Fe, Al, Mn, Zn)).
Fe Al Mn Pb Zn
pH mg/l mg/l mg/l mg/l mg/l
Total Concentrations
2,1 285 22 350 3.1 70
Table 2. Initial characteristics of the drainage to be treated.
3
Figure 3. Typical scheme of a processing Figure 4. Typical scheme of the treatment system
system using direct neutralization. applying staged neutralization.
Direct Neutralization Tests

These tests were carried out with continuous addition of lime, knowing that initial concentrations
of Fe, Al, Zn, Pb and Mn were around 350 mg/l. The process showed a pH increase from 2.1 to
9.5 on average. During the test, sludge formation was observed at specific pH ranges (formation
of insoluble solids corresponding to Fe, Al, Mn, Zn and Pb hydroxides according to the metal
content of the sample). As pH increased the color of the sludge varied. This test simulates the
generalized process in acid treatment plants installed in various mining operations. Fig. 3 shows
a representative scheme.
At the end of the neutralization process, and once sludge was separated, the treated water
showed the characteristics recorded in Table 3, where it is evident that Mn contents are still at
levels that require reduction, which in many cases need the addition of more treatment devices
based on ultrafiltration, ion exchange or others to the treatment system.
Final Concentrations Final Concentrations (Stage Neutralizatin)

Parameter Unit (Direct Neutralizatin) Stage 1 Stage 2
Total Dissolved Total Dissolved Total Dissolved
pH e.u 9.5 4.5-5.5 5.5-10
Fe mg/l 1.8 1.2 0.29 0.1 0.18 0.10
Al mg/l 1.02 0.8 1.07 1.08 0.11 0.05
Mn mg/l 140 136.5 320 298 0.22 0.14
Pb mg/l 0.15 0.09 1.03 0.98 <0.01 <0.01
Zn mg/l 1.8 1.6 63.8 50.3 0.95 0.15
Table 3. Acid drainage characteristics after direct neutralization and stage neutralization.
Staged neutralization tests
The main objective of neutralization tests where lime was added in stages, with Mn contents
greater than 200 mg/l, was to remove metals contained in samples according to the pH range in
which they theoretically form insoluble solids. Also, to obtain not only a better quality of the
effluent (optimized treatment system) but also sludge, in each stage, with significant metal
content from which specific metals could be recovered or, in some cases, allocated to a new
application.
4
The set of tests involved two-staged and three-staged neutralization tests, as well as the
separation of sludge obtained in each stage. The best results regarding reagent consumption and
quality improvement of effluents were obtained in two-staged neutralization tests. In these tests,
the first stage involved a pH increase up to 5.5, where mainly Fe and Al solid stages were formed.
In the second stage, the neutralization process continued until a pH of 10 was obtained, with
production of black sludge, which may correspond to solid phases of Zn, Mn, and Pb, among
others, depending on their initial content in mine drainage. The test simulated a stepwise
neutralization treatment. Figure 4 shows a representative scheme.
This sequential procedure would allow avoidance of re-dissolution of sludge formed in pH<5
ranges and minimize possible interference in the removal of metals that form solid phases at
higher pH ranges, as well as lower reagent costs.
Photo 2. Sludge color as pH increases.
The results obtained in the staged neutralization treatment are quite clear in terms of the
effectiveness of metal load separation from mine drainage. Table 3 shows metal concentrations
in the sample after each treatment stage, with effective removal of Zn and Mn.
The curves were built based on recorded data. Figures 5 and 6 show lime consumption and redox
evolution curves during the neutralization process. In this particular case, Figure 5 shows solid
phase or buffering formation zones due to Fe, Zn and Mn hydrolysis mainly. These zones
correspond to the pH ranges in which solid phases of these elements are formed. As pH is
increased, the Eh values decrease below 80 mV, which corresponds to unaffected natural waters.
Due to the shape of curves and the results obtained in laboratory tests, it is confirmed for this
case, that the treatment of this effluent should be carried out in two (2) stages: the first stage
would be implemented until a pH of 5 and 5.5 is reached. At this point, mainly Fe solid phases
would be removed. Then the process would continue with the addition of lime until a pH of 10
is reached. In this second stage the formed sludge, mainly hydroxides or oxyhydroxides of Mn
and Zn and other elements in smaller amount, such as Pb, should be removed.
5
Figure 5. Neutralization curve and formation zones of Figure 6. Potential Redox evolution in treatment.
Fe, Zn and Mn solid phases.
Figure 5 shows the buffer zones on the lime consumption curve (equivalent acidity), indicated by
the pH and changes in the slope of the curve, from where a necessary lime dosage is estimated to be
used in the neutralization process to remove Fe and Al contents from water in the form of solid
phases.
The hydrolysis zones in acid range corresponding to Iron (pH 2.5-3.7) and Aluminum (pH 4.5-5.5)
represent the removal of metal load from water, which in turn generates acidity. As a result, the
system is temporarily buffered, evidenced in the following reactions:
Fe3+ + 3 H2O Fe(OH)3 + 3 H+ Eq. 5
Al3+ + 3 H2O Al (OH)3 + 3 H+ Eq. 6
From pH 6.5 to pH 8 and pH 10, the system also experiences buffering, in this case induced by the
Zn and Mn content in this effluent with the latter having a less steep slope associated with lower
reaction rates corresponding to the formation of Mn oxyhydroxides.
Photo 2 shows the solid phases obtained in the test: in the first stage, the solids have an ocher
coloration (in some cases especially orange), where major phases are iron hydroxides. In the second
stage, the solids obtained at the end of the test at pH 9.5 to 10.0 has a black or very dark brown
coloration, which corresponds mainly to Zn and Mn solid phases.
The staged tests show processing times greater than direct tests, mainly due to the waiting time for
the solid-liquid phase separation necessary for the removal of solids formed in the first and second
stages.
The material balance performed as part of the follow-up of the reactions involved in the process, as
shown in Fig.7, also evidences removal of metals of interest in each stage of the test.
6
Figure 7. Mass content variation of Fe, Zn and Mn, Figure 8. Lime consumption in tests.
among other minor elements, in the staged test.
Comparison of lime consumption.
In the staged treatment, passing Fe and Al contents to a solid phase requires a pH of 5.5, and 280
mg/L of lime. Passing all Zn contained in water to a solid phase requires lime addition until a pH
of 9.5 to 10 is reached, where lime consumption reaches 520 mg/l (Fig. 8). If sludge from the first
stage is not removed, then it can be re-dissolved and return to the water of the system; therefore,
more lime should be added to precipitate the sludge by supersaturation, thus, increasing the cost
of acid drainage treatment.
By comparing a 2-staged treatment to a direct single-stage treatment regarding lime
consumption, there are lime savings between 15 and 20%. This situation implies a reduction in
the cost of treatment and a more efficient process when reducing the Mn content to levels
required by current legislation.
In general, staged lime neutralization processes allow us to comply with discharge limits for
heavy metals. The following steps are worth mentioning:
pH control and agitation/retention, in order not to incur in lime passivation, obtaining lime
dissolution and metal precipitation.
Solid-liquid separation, to allow metal oxide/hydroxide sedimentation. It can be obtained by
means of flocculation, coagulation or solid-phase sequestration processes.
Discharge of a clean effluent in compliance with quality and relevant standards.
Unit Operations in a staged treatment system
The main Unit Operations involved in a staged treatment system are: Dissolution (of process
reagents), Agitation and Decantation (Fig. 9) in each stage. They are complemented by secondary
operations that allow controlling the process.
7
By applying a staged acid drainage treatment system, the obtained sludge has well-defined
characteristics and the same peculiarities, with possibilities of recovering metals from process
sludge.
Water from the treatment process can be discharged into a natural watercourse (receiving body),
after being subjected to quality control in order to minimize the environmental impact. The
sludge without recovery interest will be stored in suitable tanks or sent to the tailings pond or
other deposit prepared for this purpose.
After the experimental stage, a pilot test should be carried out in order to adequately dimension
the treatment system for each type of mine discharge.
Figure 9. Unit operations in a staged treatment system.
CONCLUSIONS
Characterization of acid mine drainage in function of acidity helps to choose the most suitable
and efficient treatment system, either through active or passive systems, since not only proton
acidity but also mineral acidity is included, aspect that is not usually considered in classic
characterization methods.
When mine drainage contains mainly Fe and Mn, staged neutralization can be applied in order
to optimize mine water treatment processes; being fundamental for the conditioning of the
treatment system: a phase of initial tests in laboratory followed by field tests that will allow to
tune-up the operation parameters.
The application of a mine drainage treatment system based on acidity content and staged
neutralization would provide benefits such as an optimal use of resources with less spending of
lime in the neutralization process, the possibility of recovering metals of economic interest from
process sludge, improvement of efficiency of the treatment system and greater environmental
control.
8
REFERENCES
Bigham, J.M. y Nordstrom, D.K. 2000. Iron and aluminum hydroxysulfates from acid sulfate
waters. En: Alpers, C.N., Jambor, J.L. y Nordstrom, D.K. (eds), Sulfate minerals: crystallography,
geochemistry and environmental significance. Reviews in Mineralogy & Geochemistry, MSA,
Virginia. USA. (40), 350-403.
Buamah, R. 2009. Adsorptive Removal of Manganese, Arsenic and Iron from Groundwater.
UNESCO-IHE, Institute for Water Education, Delft, The Netherlands.
Jnsson, J., Jnsson, J. and Lvgren, L. (2006) Precipitation of secondary Fe(III) minerals from acid
mine drainage. Applied Geochemistry 21, pp. 437-445.
Nordstrom, K. 1985. The rate of ferrous iron oxidation in a stream receiving acid mine effluent.
Hydrologic Sciences, 1, 113-119.
Nordstrom, K. 2000. Aqueous redox chemistry and the behavior of iron acid mine waters. En:
Wilking, R., Ludwig, R, y Ford, R. Proceeding of the Workshop on Monitoring Oxidation-
Reduction Processes for Ground-water Restoration. Cincinnate, OH, USA. 43-47.
Rose, A., Means, B. y Shah, P. 2003. Methods for passive removal of manganese from acid mine
drainage. Annual West Virginia Surface Mine Drainage Task Force Symposium. Morgantown,
WV, USA. 12pp.
Snchez, J., Lpez, E., Santofimia, E., Aduvire, O., Reyes, J. Barettino. D. 2005. Acid mine drainage
in the Iberian Pyrite Belt (Odiel river, Spain): geochemistry, mineralogy and environmental
implications. Applied Geochemistry, 20, pp. 1320-1356.
9
Environmental Risk Analysis and Effluent Control of
a Submarine Emissary: A Case Study in Mining
Alan Burdin, Ricardo Bittencourt and Gilcimar Oliveira
Environmental Department, Anglo American IOB, Brazil
ABSTRACT
Industrial effluents discharged into the sea by submarine emissaries can adversely affect the
environmental balance, causing changes in water quality, disturbance to aquatic organisms and
damage to regional and economic activities. In terms of mining, the characteristics of industrial
effluents can vary according to the process used, production inputs and chemicals applied, as well
as characteristics of the water used. With the objective to comply with the legislation that establishes
standards for the discharge of effluents into water bodies and in order to minimize the possibility of
environmental damage, an environmental risk analysis was prepared for the discharge of effluents
from a pipeline and a filtration plant of iron ore through an submarine emissary located on the coast
of a Brazilian city. The analysis was performed considering technical criteria of probability of
occurrence and severity from the design phase to the stage of operation. The method of quantitative
environmental risk analysis is based on a risk matrix and on the establishment of preventive and
corrective environmental controls, which include: establishment of checklists, which are applied
monthly in the filtration plant and is intended to guarantee the process control; treatment of effluents;
monitoring of physical, chemical and ecotoxicological parameters; previous analysis of the chemicals
to be incorporated in the process; periodic monitoring of environmental parameters at sea; technical
studies to evaluate the dilution of the effluent and the dispersion of its plume in the environment;
corrective actions if legal standards are exceeded. Conducting the environmental risk analysis and
establishing the controls, provided the company with the identification of the main issues and the
establishment and implementation of action plans that resulted in the improvement of the
operational process and satisfactory environmental performance of Anglo American pipeline and
filtration plant.
1
INTRODUCTION
The case study deals with the Minas-Rio System (Figure 1), an enterprise of Anglo American Iron
Ore Brazil, whose objective is to extract, benefit and export iron ore. The project is located in Brazil
and covers the states of Minas Gerais (MG) and Rio de Janeiro (RJ), being composed of a mine and
an iron ore beneficiation plant, both in the state of Minas Gerais; an iron ore pipeline with 530
kilometers, which is the largest in the world currently and passing through the two states; an iron
ore filtration plant in the state of Rio de Janeiro and an iron ore terminal adjacent to the filtration
plant, under a joint venture regime with Prumo Logstica (50% stake for each company).
Figure 1 Minas-Rio System - Anglo American Iron Ore Brazil.
The Minas-Rio System began operations in October 2014 and one of the biggest challenges is to ensure
the total compliance of its operations in terms of environmental standards established in Brazilian
legislation and international standards. For Anglo American Brazil, the control of the effluent from
the filtration plant is currently considered one of the priorities in terms of environmental issues,
because 1,324 m/h of effluent is launched daily in the sea for 24 hours/day. Any mistake in the dosage
of chemicals, in the operation of the filtration or in the treatment of the effluent can imply irreversible
environmental damages in the environment. Therefore, it is necessary to conduct technical studies,
procedures, emergency plans, monitoring and environmental controls, in order to subsidize a
technical approach to establish an effective risk analysis, making it possible to map the main risks of
non-compliance with environmental standards.
METHODOLOGY
Description of the Filtration Process and Effluent Treatment
2
The filtration processes consist of an iron ore pulp receiving station, a thickener, homogenization
tanks, ceramic filter plates, clarifier (effluent treatment), reagent plant, process water treatment
station, submarine emissary and an emergency pond, which receives pulp and effluent in case of
operational and environmental emergencies. During the filtration process, ceramic filter plates are
used to separate the pulp in solid phase (dry iron ore) and liquid phase (effluent). Subsequently, the
effluent generated is sent to the next treatment stages (Table 1).
Table 1 Steps of the effluent treatment
Treatment Local
Injection of CO2 (carbon dioxide) into the

pH correction effluent piping, before arriving at the
clarifier
Coagulation and flocculation Clarifier

Injection of CO2 (carbon dioxide) into the
pH correction emissary
Physical dissipation with two diffusers

equidistant from each other 400 m and End of submarine emissary
located at a depth of 7.27 m
The quality of the effluent is directly influenced by the water quality used, the efficiency of the
effluent treatment in the filtration plant as well as the processes used in the beneficiation plant,
pipeline and filtration plant, which involve the use of chemicals.
In addition, in order to understand how the effluent dispersion from the project occurs, a study of
the mathematical modeling related to dispersion of the emissary plume in the sea (Atlantic Ocean)
was elaborated. The characterization of the circulation patterns was obtained from the analysis of
available environmental data and numerical simulations. The tool used for modeling was the Delft3D
numerical model system. In terms of the effluent release simulations, were used the models systems
CORMIX (for the simulation of the dilution factor in the near field) and CHEMMAP (for the far field),
being considered the wind and tide in the composition of the hydrodynamic model. Then, the model
was applied to two seasonal periods (summer and winter) in order to provide the current fields used
in the effluent release simulations. As base legislation, the maximum concentrations established for
quality standards were salt water Class 1, according to the Article 18, of CONAMA Resolution
number 357.
Environmental Risk Analysis and Management
In order to ensure compliance with environmental standards, a risk analysis for the effluent from the
filtration plant was implemented. These mechanisms include the elaboration of a 5x5 Risk Matrix
3
(Table 2), which with the Risk Rating (Table 3) allows associate the occurrence of some event with it
respective consequence level; a guideline for the 5x5 Risk Matrix (Table 4), which contains the
description of each risk rating determined after the crossing between Tables 2 and 3; a Risk and
Critical Control Register (Table 5), which contains details about critical controls related to the
emissary and a Bow-Tie preventive and corrective (Tables 6 and 7).
Table 2 Anglo American integrated risk management
ANGLO CONSEQUENCE LEVEL

AMERICAN (Consider the maximum reasonable potential consequence of the event)
ORMP RISK 1-
2 - Minor 3 - Moderate 4 - High 5 - Major
MATRIX Insignificant
Lasting years;
Lasting days or Lasting Lasting months;
impact on sub- Permanent impact;
less; limited to weeks; impact on an
basin; affects a whole
small area reduced area extended area
environmentall basin or region;
(E) (metres); (hundreds of (kilometres); area
y sensitive highly sensitive
Environmental receptor of low metres); no with some
environment/ environment
Impact significance/ environmenta environmental
receptor (endangered
sensitivity lly sensitive sensitivity
(endangered species, wetlands,
(industrial species/ (scarce/ valuable
species/ protected habitats)
area) habitat) environment)
habitats)
Table 3 Risk rating
Probability Classification
11 16 20 23 25
5 - Almost Certain
(Medium) (Significant) (Significant) (High) (High)
7 12 17 21 24
4 - Likely
(Medium) (Medium) (Significant) (High) (High)
4 8 13 18 22
3 - Possible
(Low) (Medium) (Significant) (Significant) (High)
2 5 9 14 19
2 - Unlikely
(Low) (Low) (Medium) (Significant) (Significant)
1 3 6 10 15
1 Rare
(Low) (Low) (Medium) (Medium) (Significant)
Table 4 Guidelines for risk matrix
Risk Rating Guidelines for Risk Matrix

A high risk exists that managements objectives may not be achieved.
21 to 25
Appropriate mitigation strategy to be devised immediately.
A significant risk exists that managements objectives may not be achieved.
13 to 20
Appropriate mitigation strategy to be devised as soon as possible.
4
A moderate risk exists that managements objectives may not be achieved.
6 to 12 Appropriate mitigation strategy to be devised as part of the normal management
process.
A low risk exists that managements objectives may not be achieved. Monitor
1 to 5
risk, no further mitigation required.
Table 5 Risk and critical control register
Risk and Critical Control Register (RCCR)
Risk Classification Monitoring Critical Controls

Consequence
Max Top Event / Monitoring Periodicity
Critical Controls
Likelihood (E) Risk Critical Risk
of the Event Environment Rank
Effluent not in Dosing of

compliance with chemicals
2: Unlikely 4: High 14 (S) Report Monthly
environmental according to
standard procedure
Send the effluent
Effluent not in to the pond if it is
compliance with in disagreement
environmental with the
standard environmental
standard
Effluent not in
Preventive
compliance with Maintenance
2: Unlikely 4: High 14 (S) maintenance Monthly
environmental report
equipment
standard
Effluent not in Employee

compliance with qualified for
environmental monitoring and
standard maintenance
Monitoring
Effluent not in Reports.
Environmental
compliance with Mathematical
2: Unlikely 4: High 14 (S) monitoring of Monthly
environmental Modeling of
effluent
legislation Effluent Feather
Dispersion
Monitoring
Effluent not in Reports.
Surface water
compliance with Mathematical
2: Unlikely 4: High 14 (S) quality Monthly
environmental Modeling of
monitoring
legislation Effluent Feather
Dispersion
5
Table 6 BOW TIE (current preventative control information)
BOW TIE: Effluent not in compliance with environmental standards and legislation
Critical
Causes of the top Control
Current Preventative Controls Control Type Control (Y /
event Quality
N)
Failed to Treatment of Dosing of chemicals according to
2 Quality
Effluent procedure Administrative Yes
60-90%
Failed to Treatment of Send the effluent to the pond if it is in

2 Quality
Effluent in the Clarifier disagreement with the environmental Administrative Yes
60-90%
standard
Failed to Treatment of
2 Quality
Effluent Preventive maintenance equipment Administrative Yes
60-90%
Failed to Treatment of
Employee qualified for monitoring and 2 Quality
Effluent Administrative Yes
maintenance 60-90%
Failed to Monitoring
2 Quality
the effluent Environmental monitoring of effluent Administrative Yes
60-90%
Table 7 BOW TIE (current recovery control information)
BOW TIE: Effluent not in compliance with environmental standards and legislation
Current Critical
Control
Consequences of the top event Recovery/Mitigatory Control Type Control
Quality
Controls (Y/N)
Contamination of surface water,
Surface water quality
seabed and damage to aquatic 2 Quality
monitoring Administrative Yes
organism 60-90%
Considerations about the Risk Management and Emissary Monitoring
Based on the risk analysis elaborated from Tables 2 and 3, the risks associated with the discharge of
the effluent to the ocean through the submarine emissary were classified as significant. As established
in Table 4, to this level it is necessary to implement mitigation strategies in order to avoid adverse
impacts on the environment.
The risk analysis and the risk management system allowed the compliance of the effluent with the
environmental standards established in the Brazilian legislation for most of the parameters
6
monitored. When a parameter is not reached, the causes are investigated and action plans are
structured. Below (Tables 8, 9, 10, 11 and 12) are presented the results of the filtration effluent,
organized by frequency of collection.
Table 8 Effluent performance (daily monitoring)
Maximum Last Results (2017)

Parameters
limit
28/07 29/07 30/07 31/07 01/08 02/08 03/08 04/08 05/08 06/07
Sedimentable Solids
1.0 ml/l* 0.1 0.1 0.1 0.1 0.1 0.1 0.1 0.1 0.4 0.2
(ml/l)
Min. (5.0)
pH 8.1 8.5 7.0 7.6 7.9 8.1 6.9 8.4 8.4 8.1
Max. (9.0)*
Temperature (C) 40.0 C* 27.1 25.6 27.0 26.6 26.3 28.2 24.8 25.9 25.4 25.4
Chemichal Oxygen
Demand Affluent - 551.0 319.0 461.0 377.0 308.0 640.0 603.0 333.0 438.0 495.0
(mg/l)
Chemichal Oxygen
Deman Effluent 250.0 mg/l** 195.0 201.0 184.0 200.0 213.0 188.0 235.0 225.0 250.0 218.0
(mg/l)
Active Chlorine
5.0 mg/l** <Q.L. <Q.L. <Q.L. <Q.L. 0.2 0.3 0.4 0.1 0.3 0.5
(mg/l)
<Q.L. = below the quantification limit.

(*) Resolution of the National Environment Council (CONAMA), n 430, May, 13, 2011.
(**) Monitoring established by the Rio de Janeiro Government for Minas-Rio System, July, 17, 2016.
Table 9 Effluent performance (bi-weekly monitoring)

Parameters
limit
12/06 14/06 19/06 21/06 26/06 28/06 03/07 05/07 10/07 12/07
Total Boron
5.00 mg/l* 0.01 0.05 0.02 0.06 0.02 0.01 0.05 0.12 0.02. 0,02
(mg/l)
Hexavalent
Chromium 0.10 mg/l* <Q.L. <Q.L. <Q.L. <Q.L. <Q.L. <Q.L. <Q.L. 0.01 <Q.L. 0.01
(mg/l)
Total Tin
4.00 mg/l* <Q.L. <Q.L. <Q.L. <Q.L. <Q.L. <Q.L. <Q.L. <Q.L. <Q.L. <Q.L.
(mg/l)
7
Dissolved Iron
15.00 mg/L* <Q.L. <Q.L. 0.02 0.02 <Q.L. <Q.L. <Q.L. <Q.L. <Q.L. <Q.L.
(mg/l)
Dissolved
manganese 1.00 mg/l* 0.01 0.03 0.12 0.07 0.02 0.04 <Q.L. <Q.L. 0.16 0.54
(mg/l)
Total Phenols
0.200 mg/l* <Q.L. <Q.L. <Q.L. <Q.L. <Q.L. <Q.L. 0.005 0.004 0.004 0.003
(mg/l)
Mineral Oils
20.00 mg/l* <Q.L. <Q.L. <Q.L. <Q.L. <Q.L. <Q.L. <Q.L. <Q.L. <Q.L. 19.50
(mg/l)
Vegetable Oils
and Animal 30.00 mg/l* <Q.L. <Q.L. <Q.L. <Q.L. <Q.L. <Q.L. <Q.L. <Q.L. <Q.L. <Q.L.
Fats (mg/l)
Total
Aluminium 3.00 mg/L** 6.84 15.42 1.97 4.19 12.65 4.49 6.97 7.18 7.18 3.57
(mg/l)
Total Chrome
0.50 mg/l** <Q.L. <Q.L. <Q.L. 0.01 0.02 <Q.L. <Q.L. 0.01 0.01 0.01
(mg/l)
Total Copper
0.500 mg/l** 0.006 0.008 0.005 0.007 0.012 0.009 0.015 0.021 0.007 <Q.L.
(mg/l)
(*)Resolution of the National Environment Council (CONAMA), n 430, May, 13, 2011.
(**) Monitoring established by the Rio de Janeiro Government for Minas-Rio System, July, 17, 2016.
Table 10 Effluent performance (weekly monitoring)

Parameters
limit
22/05 29/05 05/06 12/06 19/06 26/06 03/07 10/07 17/07 24/07
Ammonia
20.00 mg/l* 0.05 0.08 0.04 0.10 0.08 0.10 0.40 0.10 0.10 0.08
Nitrogen (mg/l)
Sulfide (mg/l) 1.00 mg/l* 0.01 0.07 0.00 0.04 0.00 0,01 0.01 0.02 0.00 0.00
Sulfite (mg/l) 1.00 mg/l** <Q.L. <Q.L. <Q.L. <Q.L. <Q.L. <Q.L. <Q.L. <Q.L. <Q.L. <Q.L.

(*)Resolution of the National Environment Council (CONAMA), n 430, May, 13, 2011.
(**) Monitoring establish by the Rio de Janeiro Government for Minas-Rio System, July, 17, 2016.
Table 11 Effluent performance (fortnightly monitoring)
8
Parameters
limit
01/03 16/03 03/04 17/04 01/05 16/05 01/06 15/06 04/07 18/07
Acute Ecotoxicity
8 TU* 2 4 8 2 1 1 4 1 2 2
(Toxicity Unit-TU)
Total Mercury
0.01 mg/l** <Q.L. <Q.L. <Q.L. <Q.L. <Q.L. <Q.L. <Q.L. <Q.L. <Q.L. <Q.L.
(mg/l)
(*) Monitoring establish by the Rio de Janeiro Government for Minas-Rio System, July, 17, 2016.
(**) Resolution of the National Environment Council (CONAMA), n 430, May, 13, 2011.
Table 12 Effluent performance (quarterly monitoring)
Last Results
Maximum
Parameters 2015 2016 2017
limit
18/09 22/12 28/03 29/06 15/09 08/12 08/03 02/06
Total Arsenic
0.50 mg/l* 0.030 <Q.L. <Q.L. <Q.L. <Q.L. <Q.L. <Q.L. <Q.L.
(mg/l)
Total Barium
5.00 mg/l* 0.130 0.237 0.309 0.115 0.066 0.033 0.071 0.049
(mg/l)
Total
Cadmium 0.20 mg/l* <Q.L. <Q.L. <Q.L. <Q.L. <Q.L. <Q.L. <Q.L. <Q.L.
(mg/l)
Total Lead
0.50 mg/l* <Q.L. <Q.L. <Q.L. <Q.L. <Q.L. <Q.L. <Q.L. <Q.L.
(mg/l)
Dissolved
1.00 mg/l* <Q.L. 0.020 0.009 <Q.L. 0.016 0.004 0.003 0.007
Copper (mg/l)
Trivalent
Chromium 1.00 mg/l* <Q.L. <Q.L. <Q.L. <Q.L. <Q.L. <Q.L. <Q.L. <Q.L.
(mg/l)
Total Fluoride
10.00 mg/l* < Q.L 0.060 0.080 0.310 <Q.L. <Q.L. <Q.L. <Q.L.
(mg/l)
Total Nickel
2.00 mg/l* <Q.L. <Q.L. 0.010 <Q.L. <Q.L. <Q.L. <Q.L. <Q.L.
(mg/l)
Total Silver
(mg/l)
9
Total
Selenium 0.30 mg/l* <Q.L. <Q.L. <Q.L. <Q.L. <Q.L. <Q.L. <Q.L. <Q.L.
(mg/l)
Total Zinc
5.00 mg/l* 0.012 0.022 0.052 0.041 0.041 <Q.L. <Q.L. 0.013
(mg/l)
Chloroform
1.00 mg/l* 0.036 0.009 0.033 0.050 0.008 <Q.L. <Q.L. <Q.L.
(mg/l)
Benzene
(mg/l)
Styrene (mg/l) 0.07 mg/l* <Q.L. <Q.L. <Q.L. <Q.L. <Q.L. <Q.L. <Q.L. <Q.L.
Dichloroethen
es (mg/l)
Ethylbenzene
(mg/l)
Total Phenols
0.50 mg/l* <Q.L. <Q.L. <Q.L. 0.004 <Q.L. <Q.L. <Q.L. <Q.L.
(mg/l)
Carbon
Tetrachloride 1.00 mg/l* <Q.L. <Q.L. <Q.L. <Q.L. <Q.L. <Q.L. <Q.L. <Q.L.
(mg/l)
Toluene (mg/l) 1.20 mg/l* <Q.L. <Q.L. <Q.L. <Q.L. <Q.L. <Q.L. <Q.L. <Q.L.
Trichloroethen
e (mg/l)
Xylenes (mg/l) 1.60 mg/l* <Q.L. <Q.L. <Q.L. <Q.L. <Q.L. <Q.L. <Q.L. <Q.L.
Free Cyanide
0.20 mg/l* <Q.L. <Q.L. 0.005 0.001 <Q.L. <Q.L. <Q.L. <Q.L.
(mg/l)
Total Cyanide
1.00 mg/l* 0.092 <Q.L. 0.014 0.005 <Q.L. <Q.L. <Q.L. <Q.L.
(mg/l)
Percentage of
Removal of
Chemical Min. 60.00%* 68.69 N.A > 63.00 58.97 N.A. 71.76 17,13 70.56
Oxygen
Demand (%)
Virtuall Virtuall Virtuall Virtuall Virtuall Virtuall Virtuall

Floating Virtually
y y y y y y y Absent
Materials Absent*
Absent Absent Present Absent Absent Absent Absent

N.A. = not avaible.
(*)Resolution of the National Environment Council, CONAMA, n 430, May, 13, 2011.
10
In the Figure 2 are presented the quarterly results of chronic ecotoxicity using Ceriodaphnia dubia.
Figure 2 Results of chronic ecotoxicity.
The Resolution of the National Environment Council, CONAMA, n 430 establishes that Effluent
Concentration at the Receiving Water Bodies should be less than or equal to No Observed Effect
Concentration when an ecotoxicity test is performed to measure the chronic toxic effect. As shown in
Table 13 (Results of Mathematical Modeling), the Effluent Concentration in the receiving aquatic
environment is 2% in the near field. The effluent is not toxic to aquatic organisms in terms of chronic
effect.
Considerations about the Performance Effluent
Analysing all the results, the filtration plant effluent complies with almost environmental standards
of Resolution of the National Environment Council, CONAMA n 430, and most of the standards
established by the Rio de Janeiro Government for Minas-Rio System. Could be realized that the total
aluminium exceeded the maximum limit. The high concentrations of aluminium detected in the
monitoring are due to the use of chemicals in the filtration plant that increases the pH of the effluent.
In July 2017, improvements were made in the filtration in order to neutralize the pH of the effluent
before its treatment, allowing the removal of the aluminium.
It was also observed that the minimum percentage of removal of biochemical oxygen demand in
some dates was not reached. This fact occurred because there was a low amount of organic matter at
the entrance of the system in the dates when it was verified the efficiency of removal below 60%.
11
Considerations about the Results of the Mathematical Model
The near field corresponds to the initial dilution zone where prevail the effects from the active source
(diffusers), characterized by the initial ejection velocity (initial jet amount) and the density difference
between the effluent and the environment.
The main results obtained from the development of mathematical model are presented in the Table
13.
Table 13 Results of the mathematical model the near field
DILUTION FEATHER
DIFFUSER SEASON ECRWB* (%) LENGTH (m)
FACTOR THICKNESS (m)
Summer 50.0 2 26.5 1.9
Diffuser 01
Winter 51.0 2 31.4 1.7
Summer 50.0 2 23.0 2.0
Diffuser 02
Winter 52..0 2 32.0 1.7
(*)Effluent concentration at the receiving water bodies.
The results of the simulations in the near field related to the effluent discharge point evidence that
the contaminants undergo an average dilution of 50 fold and, although there is no significant
variation, the dilutions are slightly higher during the winter season than in the summer.
With regard to the distant field, it was concluded that for Diffuser 01 the 500-fold dilution will be
reached between 450 and 520 meters from the launch point for the summer and winter seasons,
respectively. For Diffuser 02, this dilution will be reached about 430 and 470 meters in the summer
and winter seasons, respectively.
CONCLUSION
The risk management is a process that is supported by a set of principles. In addition, it must be
supported by a structure appropriate to the organization and its external environment. A well-
succeeded risk management initiative must be commensurate with the level of risk in the
organization (related to size, nature and complexity), aligning with corporate activities, broad in
scope, incorporating into routine and dynamic activities, responding to the changing of
circumstances (AIRMIC, ALARM, IRM, 2010).
12
The effluent risk analysis allowed the identification of critical risks and the establishment and
implementation of critical controls, as well as the periodic verification of these controls, which, in
turn, ensured the compliance of the effluent with the environmental standards of Brazilian
legislation, thus, avoiding fines and embargoes at Anglo American's operations.
REFERENCES
Association of Insurance and Risk Managers, AIRMIC. public sector risk management association,
ALARM and the Institute of Risk Management, IRM. (2010). A structured approach to Enterprise
Risk Management. IRM E-book. London (UK).
Brazil. Resoluo do Conselho Nacional de Meio Ambiente, CONAMA, n 430, de 13 de Maio de

2011, dispe sobre as condies e padres de lanamento de efluente. Braslia, DOU n 92, May, 16,
2011.
ISO, International Organization for Standartization. 2009. ISO 31010 - Risk manangement risk
assessment techniques. Switzerland.
13
A Comparative Biosorption Study of Ni2+ and Co2+
Removal Using R. erythropolis and Modified Banana
Peel
Vinicius Towesend, Antonio Merma, Caroline Grossi, Ronald Rojas and Maurcio Torem
Department of Chemical and Materials Engineering, Pontifcia Universidade Catlica do Rio de
Janeiro, Brasil
ABSTRACT
Discard and distribution of heavy metals ions through industrial effluents of metallurgical, ceramic,
dye, wood preservatives and pesticides manufacturing industries has adverse effects on the
environment. Biosorption of metallic species from aqueous solutions has proved to be a very
promising process for the treatment of these effluents, offering significant advantages such as low
cost, ease of operation, and high efficiency, especially, when dealing with low metal ion
concentrations. Biological materials (biomasses) have affinity for inorganic pollutants, with effective
biosorption potential to uptake of metal ions, chemical treatments can also be used to modify their
surface chemistry and increase their biosorption capability. In this work, the Rhodococcus erythropolis
and modified banana peel were used as biosorbents for the removal of nickel (I) and colbalt (II) from
aqueous solutions. The objective was the evaluation of the biosorption capacity of both biosorbents.
The parameters studied were, pH solution, initial heavy metal ions concentration, initial biomass
concentration and equilibrium time. The biosorption process was also evaluated by adsorption
isotherms. It was observed that the removal efficiency was depending on solution pH, it can be
explain due to the ionizing of the biomass functional groups as a function of pH. The results showed
the potential of both biomasses for the removal of Ni2+ and Co2+, however, modified banana peel
presented a higher biosorptive capacity than R. erythropolis. Thus, it is highlight the application of
modified banana peel as biosorbent for the treatment of industrial effluents containing nickel and
cobalt species.
1
INTRODUCTION
Heavy metals are introduced into the environment through natural phenomena and anthropic
activities, resulting in the contamination of environment. The discharge of wastewaters into water
bodies is one of the major environmental threats worldwide, because they contain toxic heavy metals
and other organic and inorganic pollutants. An industrial wastewater often contains heavy metal
species, which are non-biodegradable and many of them are soluble in aqueous media and easily
available to living organisms (Ali, 2017). Heavy metals are among the most common pollutants found
in industrial effluents. Even at low concentrations these metals can be toxic to organisms, including
humans (Veneu, 2013). Nickel is extracted from two types of minerals: lateritic and sulphide.
Lateriticites are mostly for the production of ferromilhos and the sulphides are refined to produce
high quality nickel. All nickel ores contain cobalt, to a greater or lesser extent. However the waste
water generated in the extraction of nickel consequently has cobalt (Crundwell et al., 2011). Ni and
Co in small concentrations they are essential to life, excessive levels may be detrimental. Therefore,
heavy metals in wastewater should be minimized (Triantafyllou, 1999).
Several physico-chemical methods have been utilized for the removal of heavy metals from aqueous
solutions including: coagulation, ion exchange process, chemical precipitation of metals in form of
insoluble salts and membrane separation. These methods have several limitations, which include:
high operating costs, lack of selectivity, imperfect removing of metal ions, in addition to the
production of wastes during their production (Sadeek, 2015). New technologies, with acceptable
costs, are necessary to reduce the concentration of heavy metals, presents in wastewaters, in the
environment to acceptable levels (Bueno, 2012).
Biosorption is a physical-chemical process, simply defined as the removal of substances from solution
by biological material. This is a property of both living and dead organisms (and their components),
and has been heralded as a promising biotechnology because of its simplicity, analogous operation
to conventional ion-exchange technology, apparent efficiency, availability of biomass and waste bio-
products and for being an environmentally friendly material (Abdel-Ghani, N. e El-Chaghaby, 2014).
All kinds of microbial, plant and animal biomass, and derived products, are investigated in a variety
of forms, and in relation to a variety of pollutants substances (Gadd, 2009). A large number of reviews
are already available, dealing with elimination of heavy metals using various kinds of biosorbents
(Veneu, 2013).
Rhodococcus erythropolis, is a Gram positive nonpathogenic microorganism found widely in nature in
a large variety of sources (Oliveira et al., 2017). The cell wall has components which impart an
amphoteric character to the cell surface. This characteristic makes this microbial species a potential
sorption agent, besides conferring properties of collector in flotation systems (Bueno, 2012). few
works in the literature on the use de genera Rhodococcus as a biosorbent of heavy metals (Bueno,
2012; Cayllahua e Torem 2010).
Banana is one of the most widely grown tropical fruits, cultivated over 130 countries; the carboxyl
groups present in cel wall is strongly bind metal cations in aqueous solution. Thus, banana peels
2
powder could be used for the bio-adsorption of soluble form of heavy metals in wastewaters, which
have raised increasing concern in several countries (Vilardi et al., 2017). According to Hokkanen et
al. (2016) Alkaline treatment induces changes on the biosorbents's surface by increasing its surface
area, average pore volume, and pore diameter.
In this work, the Rhodococcus erythropolis (RE) and modified banana peel (BPM) were used as
biosorbents for the removal of Ni (II) and Co (II) from aqueous solutions, the aim of this work was
the evaluation of the biosorption capacity of both biosorbents during the removal of Ni (II) and Co
(II), at different conditions. The Langmuir and Freundlich adsorption isotherm models were used to
fit the experimental data. Electrophoretic studies were carried out in order to evaluate the influence
of metal speciation on both biosorbents.
METHODOLOGY
Microorganism, media and growth
Rhodococcus erythropolis was cultivated in tryptic soy broth (TSB) culture medium. The TSB culture
medium is composed of pancreatic digest of casein 17.0 g/l, papaic digest of soybean 3.0 g/l, dextrose
2.5 g/l, sodium chloride 5.0 g/l and dipotassium phosphate 2.5 g/l. Stocks of the bacteria were
prepared using a solid medium in Petri plates and saving them in a refrigerator at 4 C to later be
inoculated in liquid medium. After the bacterial inoculation in liquid medium, the flasks were
disposed on a rotary shaker, maintained at 150 rpm and 28 C, until the maximum concentration is
reached. Thereafter, the bacterial suspension was centrifuged and the obtained biomass was twice
washed with deionized water, then the cells were re-suspended in a 10-3 M NaCl solution. Finally,
the bacterial concentrate was autoclaved in order to avoid further bacterial development. For the
measurement of cell concentration in suspension the dry weight method was used.
Preparation and Chemically modified of banana peels
Banana peel was collected from a local fruit and vegetable sectors. It was washed thoroughly with
water, then was cut into small pieces of approximately 10 mm and then was dry at 60 C for 48 h. The
dried Banana peels was ground and sieved to the desired size, between 0.075 and 0,25 mm.
For enhancing the adsorption sites on adsorbents surface the ground banana peels was chemically
treated with NaOH 0,05 M at 25 C for 5 h. Then the content was filtered out and banana peels was
separated and washed with an excessive amount of distilled water and was dry at 60 C for 24 h.
Metal solutions
Synthetic solutions were prepared with distilled water from stock solutions of 1000 mg L -1 of Nickel
and Cobalt, separately, from the corresponding Chloride salts. All reagents were of analytical grade.
3
Both reagents were diluted in distilled water in the appropriate proportions for each case. The pH of
the solutions was adjusted to a desired value with 0.1 N HCl and 0.1 N NaOH.
Batch biosorption studies
The Experiments were conducted in 125 mL Erlenmeyer flasks containing nickel(II) or cobalt(II)
synthetics solutions of known concentrations and doses of biosorbent fixed in 1 g L -1. Flasks were
agitated on a shaker at a constant shaking rate of 120 rpm for 30 min to ensure that equilibrium, after
the biosorbent is separated from the solution by simple filtration. The amount of metal adsorbed was
calculated by:
v(C Ce)
=
m
(1)
Where: C and Ce are the initial and equilibrium concentrations of metal (mg L-1), M is the dry weight
of biomass (g) and V is the solution volume (L). The regression coefficient (R2) was used to measure
the goodness-of-fit.
Effect of solution pH
The pH of wastewater has a large influence on the extent of biosorption. The adsorption capacity of
both biosorbents was investigated using solutions with a fixed nickel(II) and cobalt(II) concentration
of 20 mg L-1 and pH varying from 4.0 to 8.0. The final concentrations of the solutions were measured
by atomic absorption.
Zeta potential measurements
Zeta potential were measuremented for both biosorbents, before and after interaction with nickel (II)
and cobalt(II) at different pH values. The measurements were carried out on the micro-
electrophoresis apparatus Zeta Meter System 4.0; NaCl was used as indifferent electrolyte with a
concentration of 10-3 M. The pH was adjusted using diluted HCl and NaOH solutions.
Equilibrium modeling
To study the equilibrium of biosorption the most frequently used approach consists of measuring the
uptake capacity, which represents the quantity of metal removed (q) against the equilibrium
concentration of metal ion in solution. Classical adsorption models (Langmuir e Freundlich) were
used to describe the equilibrium between adsorbed metal ions onto biossorbents and metal ions in
solution at constant temperature (Febrianto et al., 2009).
The Langmuir model suggests that uptake occurs on a homogeneous surface by monolayer sorption
without interaction between adsorbed molecules and, is expressed by the following equation.
4
q B Ce
=
1 + B Ce
(2)
The empirical Freundlich model can be applied to non-ideal adsorption on heterogeneous surfaces
as well as multilayer adsorption and is expressed by the following equation.
1
= K Ce
(3)
Adsorption isotherms
One of the most critical parameters of biosorption processes is pH, because, it affects the charge of
surface active sites on the biomass (Farooq et al., 2010). Fig. 1 shows the effect of pH value on the
removal of Ni (II) and Co (II) by biosorption process with both biosorbents.
70
Remoo (%)
60 Co (RE)
50
40 Ni (RE)
30
Co (BPM)
20
10 Ni (BPM)
0
3 4 5 6 7 8 9
pH
Figure 1. Effect of solution pH on the removal of Ni(II) and Co (II), using both biosorbents (initial
concentration of biosorbent: 1gL-1; concentration metals; 20 mg L-1; stirring speed: 120 rpm; temperature: 25 C
and contact time 30 min).
It is possible to observe, from Fig.1, that the removal of both metals present a similar profile,
moreover, the removal of Ni(II) was a few higher than of Co(II) for both biomasses. The maximum
removal of Ni (II) achieved a value of around 38%, at pH 7.0 and of 66% at pH 8 for RE and BPM,
Respectively. Nevertheless, according to the chemical speciation of the metals, at pH 8 the formation
of complex and precipitated species is predominant to the formation of the monomeric cationic
species, thus, in order to avoid the predominance of the other species it was considered the removal
value obtained for BPM at pH 7 (64% and 57% for Nickel and Cobalt, respectively). Akar et al. (2009)
found that the Phaseolus vulgaris adsorbed nickel at pH 7, also, Pal et al. (2006) found that fungi
biomass adsorbed cobalt at pH 7. According to the surface complexation theory (Stumm and Morgan,
1996), the improvement in metals removal as pH increased can be explained on the basis of a
reduction in competition between proton and metal species for the surface sites.
5
Adsorption isotherms
Text Equilibrium sorption studies determine the capacity of the sorbent, which can be described by
a sorption isotherm, characterized by certain constants, whose values express the surface properties
and affinity of the sorbent. The Langmuir equation (Eq.2) can be rearranged to the following linear
form:
Ce Ce Ce

=
q
+
q B
(4)
So The slope of the graphical representation of Ce/q versus Ce equals 1/qmax and the intersection is
equal to 1/(qmaxB).
The logarithmic form of Freundlich equation (Eq.3) is:
1
log = K + log Ce (5)

The slope of the graphical representation of log q versus log Ce equals 1/n and the intersection is
equal to log Kf.
Co (RE) Ni (RE) Co (RE) Ni (RE)

Co (BPM) Ni (BPM) Co (BPM) Ni (BPM)
Lineal (Co (RE)) Lineal (Ni (RE)) Lineal (Co (RE)) Lineal (Ni (RE))
Lineal (Co (BPM)) Lineal (Ni (BPM)) Lineal (Co (BPM)) Lineal (Ni (BPM))
2
(b)
Ce/q (gL-1)
3
(a) 1,5
2,5
Log q
2
1
1,5
1 0,5
0,5
0 0
0 5 10 15 20 25 30 35 40 -1 -0,5 0 0,5 1 1,5 2
Ce (mgL-1) Log Ce
Figure 2 Linearized Langmuir isotherm (a) and linearized Freundlich isotherm (b) for Ni(II) and Co (II) both
biosorbents (initial concentration of biosorbent: 1 g L-1; stirring speed: 120 rpm; temperature: 25 C and contact
time 30 min).
Figs. 2 show the linearized isotherms with Langmuir and Freundlich models for both biosorbent for
Ni(II) and Co (II), respectively. The Langmuir and Freundlich parameters for the biosorption of Ni(II)
and Co (II) are listed in Table 1.
Table 1. Isotherm model constants for the biosorption of Ni(II) and Co (II) onto RE and BPM
Metal Isotherm
Langmuir Freundlich
qmax B R2 Kf n R2
BPM
6
Nickel 29,359 0,805 0,991 10,265 2,293 0,920
Cobalt 24,719 1,262 0,998 9,865 2,322 0,962
RE
Nickel 14,469 0,264 0,995 3,394 2,289 0,859
Cobalt 16,068 0,240 0,996 3,478 2,182 0,813
According to the Langmuir model the uptake capacity (qmax) of R. E for achieved a value of 14,469 mg
g-1 and of 16,068 mg g-1 for Nickel and Cobalt, respectively. Higher values were obtained for BPE,
where the qmax achieved 29,359 mg g-1 and 24,719 mg g-1 for Nickel and Cobalt, respectively. In the
Freundlich isotherm, the adsorption feature is defined by both Kf and n values, where Kf value
represents the adsorption coefficient and n value is related to the effect of concentration of metal ions.
It is possible to observe higher values of Kf when the BPE was used, presenting values of 10,265 and
9,865 for Nickel and Cobalt, respectively. Based on the R2 correlation prediction, the adsorption of
both biosorbents follows the Langmuir model, due to the higher R2 values in contrast to the
Freundlich model.
Zeta potential measurements

15 RE + Co (II) RE + Ni(II) RE BPM + Ni (II) BPM + Co (II) BPM
0
10
-5
Potncial Zeta (mV)
5
Potncial Zeta (mV)
-10
0
-15
-5
-20
-10
-25
-15 -30
-20 -35
-25 -40 (b)
-30 -45
1,5 3,5 5,5 7,5 1 3 5 7 9 11
pH pH
Figure 3 Zeta potential measurements of RE (a) and BPM (b) in NaCl: 10-3 M, Co (II) and Ni(II) concentration:
20 mgL1 and biosorbent concentration: 1mgL1.
Zeta potential measurements are related to surface properties of the samples. Fig. 3 (a) shows the zeta
potential measurements of the bacteria R.E, before and after interaction with Ni (II) and Co (II). The
isoelectric point (IEP) of the bacteria was shifted from pH 2.8 to pH 3,1. It is possible attribute the
shift in the IEP value to a specific adsorption of the metallic species. Fig. 3 (b) shows the zeta potential
profile of BPM, before and after interaction with Ni (II) and Co (II). A change is observed in the
surface properties of BPM after interaction with metal ions. The surface charge of the biomass is
negatively charged, in any pH value. After the interaction with the metal an increment on the zeta
7
potential values was observed (less negative values), this can be attributed to electrostatic adsorption
of the metals.
CONCLUSION
Results showed that BPM has more adsorption capacity for Ni(II) and Ni(Co) uptake than R.E. The
isotherm model that better adjusted the biosorption data was the Langmuir model, presenting higher
R2 values for both biosorbents. The biosorption of metal ions dependent on pH and pH 7 was found
to be the most suitable for Ni (II) and Co (II) biosorption in both cases. R.E exhibited positively
charged surface below pH 3.1 and negatively charged surface above this value. This explains its
highest efficiency in the metal removal at pH 7. BPM exhibited negatively charged surface in all pH
range, but they present more negative values in the range of pH 7 and 8, this explains its highest
efficiency in the metal removal at pH 7.0. Thus, it is suggested that RE and BPM could be considered
as a low cost, novel and abundant bioreagent for the removal of nickel and cobalt ions from aqueous
solutions.
ACKNOWLEDGEMENTS
The authors gratefully acknowledge CNPq for supporting this research.
NOMENCLATURE
amount adsorbed at equilibrium (mg g1)

v volume of solution (L)
m dry weight of biosorbent (g)
C initial concentrations of metal (mg L-1)
Ce equilibrium concentrations of metal (mg L-1)
qmax maximum adsorption capacity (mg g1).
B constant related to the affinity of the binding sites
Kf equilibrium constants indicative of adsorption capacity
n adsorption intensity
REFERENCES
Abdel-Ghani, N. e El-Chaghaby, G. (2014) Biosorption for Metal Ions Removal From Aqueous
Solutions: a Review of Recent Studies, Mnkjournals.Com, 3, 1, 2442.
Akar, T., Kaynak, Z., Ulusoy, S., Yuvaci, D., Ozsari, G., & Akar, S. T. (2009), Enhanced biosorption
of nickel (II) ions by silica-gel-immobilized waste biomass: biosorption characteristics in batch and
dynamic flow mode Journal of Hazardous Materials, 163(2), 1134-1141.
Ali, A. (2017). Removal of Mn (II) from water using chemically modified banana peels as efficient
adsorbent. Environmental Nanotechnology, Monitoring & Management, 7, 57-63.
8
Bueno, B. Y. M., Torem, M. L., de Carvalho, R. J., Pino, G. A. H. e de Mesquita, L. M. S. (2011)
Fundamental aspects of biosorption of lead (II) ions onto a Rhodococcus opacus strain for
environmental applications, Minerals Engineering, 24,14, 16191624.
Cayllahua, J. E. B., & Torem, M. L. (2010). Biosorption of aluminum ions onto Rhodococcus opacus
from wastewaters. Chemical Engineering Journal, 161(1), 1-8.
Crundwell, F. K., Moats, M. S., Ramachandran, V., Robinson, T. G. and Davenport, W. G. (2011)
Extractive Metallurgy of Nickel, Cobalt and Platinum Group Metals. Elsevier.
Farooq, U., Kozinski, J.A., Khan, A., Athar, M. (2010) Biosorption of heavy metal ion using wheat
based biosorbents a review of recent literature, Bioresource Technology 101, 50435053.
Febrianto, J., Kosasih, A.N., Sunarso, J., Ju, Y., Indraswati, N., Ismadji, S. (2009) Equilibrium and
kinetic studies in adsorption of heavy metals using biosorbent: a summary of recent studies, Journal
of Hazardous Materials 162, 616645.
Gadd, G. M. (2009) Biosorption: critical review of scientific rationale, environmental importance and
significance for pollution treatment, Journal of Chemical Technology & Biotechnology, 84, 1, 1328.
Hokkanen, S., Bhatnagar, A., & Sillanp, M. (2016). A review on modification methods to cellulose-
based adsorbents to improve adsorption capacity. Water research, 91, 156-173.
Olivera, C. A. C., Merma, A. G., Puelles, J. G. S., & Torem, M. L. (2017). On the fundamentals aspects
of hematite bioflotation using a Gram positive strain. Minerals Engineering, 106, 55-63.
Pal, A., Ghosh, S., & Paul, A. K. (2006) Biosorption of cobalt by fungi from serpentine soil of
Andaman, Bioresource Technology, 97(10), 1253-1258.
Sadeek, S. A., Negm, N. A., Hefni, H. H. H. e Wahab, M. M. A. (2015) Metal adsorption by

agricultural biosorbents: Adsorption isotherm, kinetic and biosorbents chemical structures,
International Journal of Biological Macromolecules, 81, 400409.
Triantafyllou, S. (1999) Removal of Nickel and Cobalt from Aqueous Solutions by Na-Activated
Bentonite, Clays and Clay Minerals, 47,5, 567572.
Veneu, D. M., Torem, M. L., & Pino, G. A. (2013). Fundamental aspects of copper and zinc removal
from aqueous solutions using a Streptomyces lunalinharesii strain. Minerals Engineering, 48, 44-50.
Vilardi, G., Di Palma, L., & Verdone, N. (2017). Heavy metals adsorption by banana peels micro-
powder. Equilibrium modeling by non-linear models. Chinese Journal of Chemical Engineering.
9
Removal of Boron from Mining Wastewaters by
Electrocoagulation Method
Thiago Ribeiro, Antonio Merma and Maurcio Torem
Department of Chemical and Materials Engineering, Pontifcia Universidade Catlica do Rio de
Janeiro, Brazil
ABSTRACT
Water stress occurs around the world due to the trend of growing population coupled with
industrialization and urbanization. Excess boron in drinking and irrigation water is a serious
environment and health problem because it can be toxic to many crops and lead to various human
and animals diseases with long-term consumption. As a result, the World Health Organization
(WHO) has set a guideline limit of 2.4 mg/L in drinking water. Removing boron from water is difficult
and can be prohibitively expensive and impractical. Interest in electrochemical methods for the water
treatment, such as electrocoagulation (EC) has been increasing. This method is considered nowadays
to be one of the most promising methods for the purification and treatment of potable water and
sewage. EC as a technology for water treatment is attractive due to simple and easy to operate
equipment, a short operation time, none or negligible amounts of chemicals, decreased amount of
sludge and the possibility of complete automation. In this work, the removal of boron from aqueous
solution was carried out by EC using aluminum electrodes as anode and cathode. EC cell of 5.5 L was
used in this research at a stirring speed of 250 RPM and an arrangement of 4 monopolar electrodes.
The following operating parameters on the removal efficiency of boron were investigated: initial pH,
current density and initial boron concentration. The optimum removal efficiency of 70% was
achieved at a current density of 18.75 mA/cm and pH0 = 4, within 90 minutes of operating time. The
concentration of NaCl was 0.160 g/L with a 1 cm spacing between the electrodes.
1
INTRODUCTION
Boron is an element found in nature forming compounds with oxygen, mainly borates. It is present
in the oceans, sedimentary rocks, coal, shale and some soils. These compounds are naturally released
into the atmosphere and aquatic environments by geothermal steam flows, erosion of clay-rich
sedimentary rocks and anthropogenic sources (Horta, 1977).
In aqueous medium boron is usually present as boric acid (H 3BO3) and borate ions [B(OH)4]-. The
dominant form of inorganic boron in natural water systems is like undissociated boric acid. Boric
acid is a weak Lewis acid which behaves in solution as an electron acceptor by gaining OH- ions. Its
ionization constant is: Ka = 5.8 x 10-10, (pKa = 9.24) at 25 C.
Boron compounds are used in the metallurgical industry, micro-electronics, glassware, agriculture,
etc. This element is an essential micro-nutrient in the development of microorganisms, plants,
animals and humans. However, it can be toxic in large concentrations and therefore needs to be
removed from wastewaters (Ferreira et al., 2006).
Boron pollution has become a significant problem at actively mined boron deposits. It can be
mentioned that the Kramer deposit, in California (USA), has been mined intensely for the last 150
years. Consequently, the Rio Tinto Borax site, which mines boron from the Kramer deposit, has
contributed to high levels of boron contamination of soils in areas surrounding the mine (Kistler et
al., 1994). As a result of mining practices, the soils nearby the Rio Tinto Borax mine are severely
contaminated with boron, which ranges in concentration from 7-700 mg/L boron (Stiles et al., 2011).
The recommended maximum concentration of boron by the WHO guideline for drinking water is 2.4
mg/L. Although the value of 2.4 mg/L is below the tolerable level of human health risk, it exceeds the
limit concentration of various types of crops. Therefore, many countries still implement their own
standard. (Wang et al., 2014).
There is no easy or simple method for the removal of boron from wastewater. The main technologies
used in the removal of boron from effluents are precipitation, adsorption, ion exchange, reverse
osmosis and EC (Parks and Edwards 2005). A number of these techniques suffer from disadvantages,
for example the adsorption process is highly pH selective, has a low adsorption capacity, poor
physical integrity, requires acidification and its effectiveness for boron removal reduces after each
regeneration. The most recognized method for boron removal is ion exchange, but the disadvantage
is regeneration and waste disposal after treatment (Wolska and Bryjak, 2013). In this context,
therefore, there is a need for a boron removal process with high removal efficiencies and easy to
handle solid by-product.
EC requires simple and easy-to-operate equipment, where current and potential can be monitored
through automation. The gas bubbles formed promote the homogenization of the coagulating agent
in the solution. In addition, low sludge production is observed, which is easy to dehydrate, due to its
high concentration of hydroxides and oxides. Another advantage is the formation of more stable and
larger flocs which can be separated by filtration. The gas bubbles facilitate the removal of the
2
pollutant by flotation. EC equipment has few moving parts, hence presenting lower maintenance
costs (Mollah et al., 2001). Thus, EC is a promising technology.
EC involves three main mechanisms: (i) generation of coagulants by electrolytic oxidation of the
anode, (ii) destabilization of contaminants, particulate suspension and breaking of emulsions and (iii)
aggregation of destabilized phases to form a floc (Subramanyan Vasudevan et al, 2010). The
destabilization of colloidal particles occurs through the compression of the electric double layer,
charge neutralization, sweep flocculation and bridge formation (Tamamuski and Tamaki, 1959).
Several of these mechanisms occur simultaneously, but the dominant mechanism depends on several
parameters, such as the concentration of the pollutant, pH of the solution and type of coagulant.
The most widely used electrode materials in EC process are aluminum and iron. In the case of
aluminum, main reactions are as:
At the anode: Al(s) Al3+(aq) + 3e-
At the cathode: 2H2O + 2e- 2OH-(aq) + H2(g)
During the oxidation of the sacrificial anode, aluminum forms polymeric species such as
[Al6(OH)15]3+, [Al7(OH)17]4+, [Al8(OH)20]4+, [Al13O4(OH)24]7+, and [Al13(OH)34]5+, that finally transform
into Al(OH)3(s) (Ghosh et al., 2008). Al(OH)3(s) has a large surface area for effective adsorption and its
flocs are separated from solution by sedimentation or flotation.
In this work, the removal of boron from aqueous solution was carried out by EC using aluminum
electrodes as anode and cathode. EC cell of 5.5 L was used in this research at a stirring speed of 250
RPM and an arrangement of 4 monopolar electrodes with a 10 mm spacing between them. NaCl was
added as supporting electrolyte. The following operating parameters on the removal efficiency of
boron were investigated: initial pH, current density and initial boron concentration.
METHODOLOGY
Characteristics of synthetic wastewater
Synthetic wastewater simulating the range of boron concentrations in mining wastewater was
prepared by dissolving appropriate quantity of boric acid (H3BO3) in distilled water to form a stock
solution. The working concentrations of 100, 50, 25 and 12.5 mg/L were prepared by means of
dilution.
Experimental Apparatus
The system consisted of an electrochemical cell and a DC power supply (ICEL-PS-1001). The synthetic
wastewater was magnetically stirred at 250 RPM to ensure homogenization. The pH was monitored
with a pH meter (Hanna). All experiments were carried out at room temperature (25 1 C).
3
The EC unit was made of acrylic with the following dimensions: 150 mm long, 190 mm wide and 170
mm high. The cell was equipped with four aluminum electrode plates, which were fully submerged.
The electrodes were 120 mm long, 130 mm wide and 1 mm thick and were perforated uniformly with
a 5 mm drill bit to facilitate the movement of the solution inside the cell. Taking into account the
volume occupied by the magnetic rod at the bottom of the reactor and the totally submerged
electrodes, the actual volume of the cell was 5.5 L. The cell was operated in monopolar mode, which
means that all the electrodes were physically connected to either the positive or the negative outlet
of the DC power supply. The distance between an anode and a neighboring cathode was 10 mm.
Experimental Procedure
The experiment started with the introduction of the solution into the cell. The initial pH was adjusted
to the desired value (3, 4, 5, 6, 7 and 8) with aliquots of HCl (1 mol/L) or NaOH (1 mol/L). The
concentration of supporting electrolyte used was 0.160 g/L NaCl. A given current density (6.25, 12.50
and 18.75 mA/cm2) was then applied to the cell and kept constant for each experimental run. Samples
were collected at 0, 5, 10, 15, 20, 40, 60 and 90 minutes during the operation. The pH was also
measured at the same time intervals. For each experiment, the residual boron concentrations in the
samples filtered through 0.45 micron filter paper (Millipore) were determined.
Before the EC test and in order to avoid any interference and ensure surface reproducibility,
electrodes were prepared as follows: 1) Mechanically polished with abrasive paper; 2) Cleaned in
HCl solution for 2 minutes; 3) Rinsed with distilled water and 4) Dried with absorptive paper.
Experimental Analysis
Boron elements in filtrates were analyzed by an inductively coupled plasma mass spectrometry (ICP-
MS, DRC II, Perkin Elmer).
In this section, the following operational parameters were investigated: initial pH, current density
and initial concentration of boron.
Effect of initial pH
The initial pH is a parameter that strongly affects the performance of the EC process, above all, the
degree of hydrolysis of the Al 3+ cation. In EC, the pH of the solution increases during the process as
a result of the hydroxyl ion generation in the cathode. Accordingly, the range of pH values that the
solution exhibits throughout the process plays a key role.
In this study, the effect of initial pH (pH0) on boron removal as a function of time was investigated
for pH0 = 3 to pH0 = 8 as shown in Figure 1. As can be observed, the highest removal of boron was
achieved at pH0 = 4. Several authors (Missaoui et al., 2013; Ezechi et al., 2012 and Yilmaz et al., 2005)
4
found the highest boron removal at pH0 = 7, this difference can be justified because of the different
experimental conditions that led to a different pH evolution throughout the EC process.
Figure 1 Effect of the initial pH (pH0) on boron removal ([NaCl] = 15mM, RPM = 250, d = 10mm, [B] = 50mg/L, J
= 6.25mA/cm2).
The data presented in Figure 1 indicate that the highest removal of boron is achieved at pH 0 = 4,
corresponding approximately to a final pH of 8. The effect of initial pH on boron removal can be
explained in terms of aluminum speciation. According to the results obtained by Caizares et al.
(2006), at pH = 4, the predominant coagulant species are represented by monomeric cations. At this
pH value, boron is mostly as boric acid and has a negative zeta potential value, thus being removed
predominantly by charge neutralization mechanism. As the pH of the solution increases over time,
from pH = 4 to pH = 8, the predominant removal mechanism changes to involve the precipitates of
aluminum hydroxide, which represents the predominant species, in a sweep flocculation mechanism.
It is important to note that in the pH range (6 to 8) aluminum hydroxide exhibits its lowest solubility.
Figure 2 show the initial pH which achieved the highest removal of boron. The behavior of pH
throughout the process can be observed. In addition, for the better visualization of the removal
mechanisms involved, the predominant species present in the solution along the EC process can be
observed.
5
Figure 2 Behavior of the pH throughout the process and the predominant species present in the solution in the
scenario of highest removal of boron ([NaCl]=15mM; RPM=250; d=10mm; [B]=50mg/L; J=6,25 mA/cm2).
Thus, it is notorious that the mechanism of charge neutralization has a relevant contribution in the
removal of boron.
Effect of current density
A key parameter in the EC process is the current density, since it plays a wide influence on the
reaction kinetics. The current density is related to the extent of the anodic dissolution. At the same
time, the rate of electrolytic gas and the size of bubbles also depend on the applied current density.
Therefore, current density directly affects the dosage of coagulant, removal of the contaminant by
flotation, and mixing of the solution.
To investigate the effect of current density on boron removal, experiments were performed using
different current densities. Figure 3 shows the boron removal as a function of initial pH at current
densities of 6.25, 12.50 and 18.75 mA/cm2.
6
Figure 3 Boron removal as a function of initial pH at different current densities ([NaCl] = 15mM, RPM = 250, d
= 10mm, [B] = 50mg/L, t = 90min).
It can be seen from Figure 3 that the removal of boron increases along with the current density. These
results converge with those obtained by Ezechi et al. (2012). Such behavior may be justified by the
higher generation of the Al3+ coagulating cation due to the increasing anodic dissolution and
consequent increase of the hydrolysis products, especially the aluminum hydroxide precipitates. In
addition, with increasing current density, an approximation between boron removal values at
different initial pHs is observed. This behavior can be explained by the higher concentration of
precipitates in the solution.
Effect of the initial concentration of boron
To investigate the effect of the initial concentration of boron on the removal of boron, experiments
were performed using different initial concentrations. In electrocoagulation the coagulant dosage is
clearly related to the electrolysis time through Faradays laws of electrolysis. Consequently, the data
displayed in Figure 4 may be seen as the residual concentration of boron as a function of the coagulant
dosage.
7
Figure 4 Normalised variation of the concentration, Bt/B0, of boron plotted as a function of the
electrocoagulation time in solutions containing different initial concentrations of boron ([NaCl] = 15mM, RPM
= 250, d = 10mm, J = 12.50mA/cm, initial pH = 4, t = 90min).
It is clearly evident from this figure that the solution containing 12.50 mg/L of boron presents faster
removal and requires less coagulant than the solution containing 100 mg/L of boron.
It can be seen from Figure 4 that the removal of boron decreases with the increase of the initial
concentration of boron. These results converge with those obtained by Yilmaz et al. (2005). This
behavior can be justified because of the scarcity of available adsorption sites for the species of excess
boron (Missaoui et al., 2013).
CONCLUSION
EC does not require chemical reagents and makes the boron containing wastewater treatment easy
for regulation and automation.
Boron was effectively removed from synthetic wastewater by EC. The optimum conditions for boron
removal were pH0 = 4, current density = 18.75 mA/cm2, 90 minutes contact time and 50 mg/L initial
boron concentration. Residual boron concentration of 12.90 mg/L was obtained from synthetic
wastewater treatment. Treatment of synthetic wastewater in a continuous flow system and process
scale-up is still a subject of further research.
ACKNOWLEDGEMENTS
The authors acknowledge PUC-Rio, CAPES and FAPERJ for supporting this work.
8
NOMENCLATURE
WHO World Health Organization
EC Electrocoagulation
RPM Revolutions Per Minute
DC Direct Current
REFERENCES
Caizares, Pablo, et al. (2006) "Comparison of the aluminum speciation in chemical and
electrochemical dosing processes." Industrial & engineering chemistry research 45,26, 8749-8756.
D. Ghosh, C. R. Medhi, and M. K. Purkait. (2008) Treatment of fluoride containing drinking water
by electrocoagulation using monopolar and bipolar electrode connections. Chemosphere. Volume
73, Issue 9, Pages 1393-1400.
Ezechi, Ezerie Henry, Mohamed Hasnain Isa, and S. R. B. M. Kutty. (2012) "Boron in produced water:
challenges and improvements: a comprehensive review." Journal of Applied Sciences(Faisalabad). 12,5,
402-415.
Ferreira, O., De Mores, S., Duran, N., Cornejo, L., Alves, O. (2006). Evaluation of boron removal
from water by hidrotalcite-like compunds. Chemosphere. 62, 80-88.
Horta, A., (1977). Determinao rpida de boro em gua do mar por espectrofotometria de absoro
atmica. Tese de mestrado, DCMM, PUC-Rio, Brasil.
Kistler, R. B., & Helvaci, C. (1994). Boron and borates. Industrial minerals and rocks, 6, 171-186.
Missaoui, Khaoula, et al. (2013) "Boron removal by electrocoagulation using full factorial design."
Journal of Water Resource and Protection. 5,09, 867.
Mollah M. A., Schennach R., Parga R., David L., (2001) Electrocoagulation (EC)science and
applications. Journal of Hazardous Materials. B84, 2941.
Parks J.L., Edwards M. (2005) Boron in the environment. Crit Rev Environ Sci Technol 35,81114.
Stiles, A. R., Liu, C., Kayama, Y., Wong, J., Doner, H., Funston, R., & Terry, N. (2011). Evaluation of
the boron tolerant grass, Puccinellia distans, as an initial vegetative cover for the phytorestoration of
a boron-contaminated mining site in southern California. Environmental science & technology, 45(20),
8922-8927.
Subramanyan V., Jothinathan L., Sagayaraj M. S. (2010) Optimization of the process parameters for
the removal of boron from drinking water by electrocoagulation a clean technology. J Chem Technol
Biotechnol. DOI 10. 1002/jctb. 2382.
Tamamushi, B, and Tamaki, K. (1959) The action of long chain cations on negative silver iodide sols.
Colloid. Polym. Sci. Volume 163, Issue 2, Pages 122126.
9
Yilmaz A. E., Boncukcuolu R., Kocakerim M.M., Keskinler B. (2005) The investigation of
parameters affecting boron removal by electrocoagulation method., J Hazard Mater, Volume 125,
Issues 13, Pages 160-165.
Wang N. N., Yan T. S., Fu L. N., Zhou G. F., Liu Y. Z., Peng S. A. (2014) Differences in boron
distribution and forms in four citrus scion-rootstock combinations with contrasting boron efficiency
under boron-deficient conditions., Trees, Volume 28, Issue 6, Pages 15891598.
Wolska, J., and Marek B. (2013) "Methods for boron removal from aqueous solutionsA review.",
Desalination, Volume 310, Pages 18-24.
10
The Impact of Salinity on the Calculation of
Evaporation from Tailings
Thomas Baumgartl1, Mandana Shaygan1, Mansour Edraki1 and Bryan Richards2
1. The University of Queensland, Sustainable Minerals Institute, Brisbane, Australia
2. Industry Fellow, Sustainable Minerals Institute, Brisbane, Australia
ABSTRACT
Quantification of water content and evaporation is necessary to identify solutions to minimize water
losses and risks related to the management of tailings storage facilities. Water balance calculations
are used to quantify the individual parameters of the water balance equation, of which evaporation
is tainted with a high level of uncertainty. Closing the water balance is reliant on the accurate
quantification of evaporation, which can vary strongly temporally and spatially across a tailings
storage facility.
High levels of salinity as those found in tailings dam waters and towards the evaporating surface of
tailings can reduce evaporation by up to 30% or more. The current approach of using correction
factors for the quantification of evaporation does not consider the consequence of varying salt
concentrations and may therefore misjudge water loss through evaporation. This may consequently
also affect the calculation of other parameters of the water balance equation, like for example deep
drainage and seepage of contaminated water into the environment.
The objective of the paper is to quantify the importance salts can have on evaporation. Results of a
study will be used to generalize the impact salts have on evaporation by using parameters which are
easy to determine. A numerical model will be applied to quantify and validate the effect of various
salt concentrations on the overall evaporation.
1
INTRODUCTION
Mine operators are required to use tailings dam water balances to make informed decisions around
the management of the dams either as operational water reservoirs or with regards to the risks, in
operation or closure, which they pose to the environment through overflow or seepage.
Understanding and quantifying each component of the water balance is a fundamental aspect of the
development of these tailings dam management and closure strategies. In many cases the dominant
and most uncertain component of the water balance is the volume of water lost through evaporation,
either from ponded water or from the desiccated tailing surface.
Evaporation measurements from ponded water or quasi-saturated tailings are commonly
determined using standard formulas based on fresh water. However, this method neglects the impact
of water salinity typically found in tailings dam water and may over-estimate evaporation by up to
30% ((Newson and Fahey, 1997; 2003; Tailings and Mine Waste '04, 2004)). Although some
investigations have been carried out in the past, a generalized mining-related application in this area
is sparse and focused on the effects rather than quantification of the impact on evaporation rates.
In many cases the extent of ponded water in tailings dams is relatively small and they have large
expanses of exposed tailings "beaches" which are at or close to saturation. Notwithstanding climatic
conditions, evaporation from these areas is governed not only be the salinity of the near surface water
but by the physical and geochemical properties of the tailings. Upon exposure, tailings typically and
rapidly form a desiccation crust of evaporated salts which further reduce evaporation.
Evaporation is proportional to the difference between the saturated vapor pressure of a liquid and
the unsaturated vapor pressure of the atmosphere (Turk, 1970). The vapor pressure of an aqueous
phase is affected by the activity (a measure of salinity) of ions in solution and hence by the chemical
composition of the water (Calder, 1984):
0 = (0) (0)
e0: vapor pressure at surface; eS: vapor pressure at saturation @temperature T; aw: activity of water of
the solution @ temperature T
The higher the activity of water, e.g. the higher the content of dissolved salt, the lower is the saturated
vapor pressure of the solution and hence the smaller the difference to the unsaturated vapor pressure
of the atmosphere. The gradient between solution and atmosphere becomes smaller with increasing
activity (salinity) of water and the evaporation rate reduces. The activity of water is affected by the
concentration of ions in solution and their charge. Thermodynamically, this is also expressed as the
osmotic potential of water.
The objective of this study is to systematically investigate the impact of various degrees of salinity of
tailings waters to quantify the impact of dissolved salts on evaporation. Increasing knowledge of the
relationship between salinity of tailings water and the consequence on evaporation will greatly
improve the accuracy of evaporation calculations of waters in saline environments as can be found
in the mining industry and enable a greatly improved ability to confidently calculate the other
parameters of the water balance equation.
METHODOLOGY
Solutions of mono-salt concentration of some of the major ions/salts typical for the chemical
composition of tailings waters (eg. NaCl, CaCl2, KCl, MgCl2 and tailings water) have been used to
2
quantify the effect of specific ions/salts on the evaporation rate. The solution of the tailings water was
prepared by mixing dry tailings with de-ionized water with a mixing ration of 1:5.
Up to eight different concentrations of salt solutions of each salt have been prepared covering
concentrations of 1%, 2%, 4%, 8%, 16% and 32%, 64% and 80% of each salt. As a control and reference,
de-ionized water was evaporated in parallel to each test. Evaporation dishes with a diameter of 60mm
and a volume of 76cm3 were chosen for the evaporation tests.
A second set of tests investigated a mix of the four salt at the same concentrations. Note that the
percentage of salt was based on the saturation point of each salt.
The main driver for evaporation was the ambient atmospheric condition and the tests were carried
out under controlled laboratory conditions. Various pre-tests using de-ionized water were carried
out testing the use of a drying oven, benches, shelves, fume hood and a closed cabinet to test the
uniformity of evaporation. The closed cabinet has achieved by far the best result to achieve
homogenous evaporation and minimize any disturbance by heterogeneous air flow to create
evaporation rates as similar as possible. Pre-tests using 20 evaporation dishes filled with de-ionized
water and equally distributed over the area of the chamber achieved evaporation rates for the test
conditions of 8.8 mm/day and a standard deviation of 0.044.
The dishes were filled to the top of the evaporation dish, weighed and placed into the closed cabinet
for exactly 24 hours. After this time the dishes were weighed again and as a bulk measure of the
chemical properties, the electrical conductivity and the pH of the solution was determined. The tests
were carried out only over the period of 1 day to minimize the effect of up-concentration of the salts
in the solution and complication in the interpretation of the results.
Temperature of the solution was recorded at the time of weighing. Temperature fluctuation in the
closed cabinet were recorded at a 10min time interval and showed regular daily fluctuations ranging
between 20.5 and 22.5 deg C. The relative humidity was not determined on a continuous basis but
earlier experiences have shown fluctuations between 40 and 50% under these laboratory conditions.
RESULTS
Results are first presented by analyzing the investigations of a single-salt solutions, followed by the
comparison of various single-salt solutions and lastly analyzing evaporation tests of multi-salt
solutions.
Evaporation of single-salt solutions

Using MgCl2 the effect of the increase of the salt solution on a reduction of the evaporation rate can
be clearly detected. While at concentrations up to 4% MgCl2, the evaporation rate decreases non-
significantly with increasing electrical conductivity (EC), at higher concentrations the evaporation
reduces substantially. At ambient laboratory conditions the two highest concentrations of 64% and
80% have reached osmotic potentials which prevent evaporation and the salt solutions are taking up
water from the atmosphere, i.e. the evaporation rate is negative (Figure 1).
3
1.6
1.2 de-ionised
Evapora' on [mm/day]
2%
0.8
4%
0.4
8%
0 16%
0.0 40.0 80.0 120.0 160.0 200.0
-0.4 32%
-0.8 64%
80%
-1.2
EC [mS/cm]
Figure 1. Electrical conductivity of various salt concentrations of MgCl2 and its effect on evaporation rate
1.2
de-ionised
0.8
Evapora on [mm/day]
2%
0.4 4%
8%
0 16%
3.0 4.0 5.0 6.0 7.0 8.0
32%
-0.4 64%
80%
-0.8
pH
Figure 2. Value of pH for various salt concentrations of MgCl2 and its effect on evaporation rate
The electrical conductivity of saline solutions is strongly determined by the dissociation of salts and
hence the strength and weakness of the electrolytes. The molar conductivity of ions is a property
reflecting the possibility of carrying charge. The ions H + and OH- have a very high molar conductivity
compared to other cations and anions. For the example of the investigated MgCl 2 solutions this is
shown in a very strong relationship between pH and evaporation rate (Figure 2).
4
Comparison of evaporation of various single-salt solutions
The evaporation of different single salt solutions (de-ionized water, NaCl, CaCl2, KCl, MgCl2) and
concentrations was determined. As all single-salt solutions evaporation tests were carried out as a
single batch experiment (including de-ionized water) the evaporation rate was normalized to the
evaporation of de-ionized water of the NaCl evaporation tests to better compare the results as the
ambient laboratory conditions of each of the tests was slightly varying leading to slightly different
values of the evaporation rate of de-ionized water between the batch tests.
Figure 3 summarizes the results. The evaporation rate decreases with increase in EC. It reduces by
about 20% when EC reaches 100 mS/cm and is very similar across the investigated salt solutions.
Increase of the salinity/EC beyond this point shows a diversion of the reduction of the evaporation.
While the monovalent electrolytes show a proportional decrease in evaporation, more pronounced
for the sodium salt, the divalent salts decrease evaporation very strongly and at salt concentrations
equivalent to an EC of approximately 200mS/cm reach a condition which forces an uptake of water
with further increase in salt concentration (Figure 3). Unclear at this stage is the cause of the decrease
of EC despite expecting higher salt concentrations/precipitation of salt with further water loss.
1.20
1.00
0.80
0.60
evapora on [%]
0.40
NaCl
0.20 KCl
0.00 CaCl2
0 100 200 300 400 500 600
MgCl2
-0.20
-0.40
-0.60
-0.80
EC [mS/cm]
Figure 3. Relative change of evaporation of different salts of different concentrations (normalised to

evaporation of de-ionised water)
Multi-salt solutions and evaporation

Evaporation of the combination of single-salt solutions to one solution (Figure 4) shows a similar
trend compared to Figure 3. The relative evaporation decreases with increasing EC values and
reaches conditions of zero evaporation at EC values around 200mS/cm.
5
Different to the analysis of relationship of pH and evaporation as shown for the mono-salt solution
(Figure 2), mixing of the salts creates a more complex situation. While there was a strong decrease of
evaporation with increasing acidity (H+-concentration), no trend between evaporation and pH values
can be observed in case of the mixing of the mono-salt solutions (Figure 5).
Figure 6 depicts the relationship between solutions extracted from tailings substrate of two different
TSFs/mine sites. The results show a trend of decrease in evaporation as a consequence of the increase
in EC. Although EC levels increase only minor, the evaporation rate decreases between 10-20% and
it can be extrapolated that under in-situ drying conditions of a TSF close to the salt saturation point,
evaporation is further decreasing.
1.2
1
rela ve evapora on
0.8
0.6
0.4
0.2
0
0 50 100 150 200 250
EC [mS/cm]
Figure 4. Relative change of evaporation of multi-salt solutions (NaCl, KCl, CaCl2. MgCl2) of different
concentrations (normalized to evaporation of de-ionized water)
6
1.2
1
rela ve evapora on
0.8
0.6
0.4
0.2
0
6.8 7 7.2 7.4 7.6 7.8 8 8.2
pH
Figure 5. pH of various salt concentrations of multi-salt solutions (NaCl, KCl, CaCl2. MgCl2) and its effect on
evaporation
1.400
Evapora on [mm/day]
1.300
1.200 de-ionised
TSF Mine1
1.100 TSF Mine2
1.000
0.00 2.00 4.00 6.00 8.00 10.00 12.00
EC [mS/cm]
Figure 6. Evaporation rate of tailings water from two different TSFs and de-ionized water
DISCUSSION
Laboratory tests have replicated the effect salts have on a reduction of evaporation. The relationship
between decrease of evaporation rate and electrical conductivity seems to be proportional only at low
7
salt concentrations. If the osmotic potential of the salt solution becomes too high, the salt solutions
may take up water.
For single-salt solutions the dominating influence of the molar conductivity of protons has been
presented clearly and under such conditions, pH measurements could be used as a surrogate to
predict the decrease of the evaporation rate. Mixing of salts, however, changes this relationship and
the electrical conductivity remains the only bulk measure, which can be used to derive the effect of
salinity on solutions for the prediction of a decrease of evaporation. The decrease in evaporation rates
compares to evaporation of de-ionized water can be substantial even at low EC values as has been
shown for a test of the decline of the evaporation rate for TSF waters.
From the results in can be deducted, that salinity plays an important role for the prediction of the
actual evaporation rate. Electrical conductivity has the potential to be used as a surrogate for such
predictions, but further studies have to validate whether this approach can be applied ubiquitously.
The quantification of the water balance parameter evaporation of TSFS can be strongly affected by
the concentration and the type of salts of the tailings water. The higher the salts concentrate in the
solution at moist appearing tailings surfaces, the smaller will be the evaporation rate. But in opposite,
salts are increasing the surface tension of the saline solution and foster water rising to the surface
(Naya et al, 2014). However, this effect is relatively small but contributes to the complexity of the
processes. Hence, predicting evaporation in such environments is dynamically changing and
requires a more refined approach to predict evaporation from TSFs more accurately. The error caused
by neglecting the importance of salinity for evaporation can be substantial.
Improving the prediction of evaporation is hampered by the difficulty to monitor salinity and change
of salinity over time, but also across space. TSFs are not uniformly drying and evaporation from a
presumably less saline tailings surface runoff collection pond will be higher than from a saturated or
drying tailings surface. Accessibility of the TSF will require alternative approaches.
ACHNOWLEDGEMENTS
The authors like to thank the Sustainable Minerals Institute (SMI), The University of Queensland, for
the financial support of this study by the SMI Category 1 collaborative grant scheme.
REFERENCES
Calder, I.R., Neal, C., 2009. Evaporation from saline lakes: a combination equation approach.
Hydrological Sciences Journal 29, 8997. doi:10.1080/02626668409490924
Turk, L.J., 1970. Evaporation of Brine: A Field Study on the Bonneville Salt Flats, Utah. Water Resour.
Res. 6, 12091215. doi:10.1029/WR006i004p01209
Naya, K.G., Panchanathan, D., McKinley, G.H., Surface Tension of Seawater, J. of Phys. & Chem. Data
(2014) 43(4), 043103, DOI: 10.1063/1.4899037
Newson, T., Fahey, M., 1997. Salinisation due to evaporation from tailings 128133.
Geoenvironmental engineering. Contaminated ground: fate of pollutants and remediation. Proc.
Conference, Cardiff, 1997, Pages 128-133
8
Newson, T.A., Fahey, M., 2003. Measurement of evaporation from saline tailings storages.
Engineering Geology 70, 217233. doi:10.1016/S0013-7952(03)00091-7
9
CHAPTER 4
Prediction, Prevention
and Control of
Environmental Impact
IoT-Enabled Data Mashup Service for Environmental
Hazards Detection
Ahmed Elmesiry1, Natalia Bravo1 and Mirela Sertovic2
1. Department of Electronics Engineering, Universidad Tcnica Federico Santa Maria, Chile
2. Faculty of Humanities and Social Sciences, University of Zagreb, Croatia
ABSTRACT
Internet of things (IoT) is a new paradigm for collecting, processing and analyzing various contents
in order to detect anomalies and to monitor particular patterns in a specific environment. The
collected data can be used to discover new patterns and to offer new insights. IoT - enabled data
mashup is a new technology to combine various types of information from multiple sources into a
single web service. Mashup services create a new horizon for different applications.
Environmental monitoring is a serious tool for the state and private organizations, which are located
in regions with environmental hazards and seek to gain insights to detect hazards and locate them
clearly. These organizations may utilize IoT - enabled data mashup service to merge different types
of datasets from different IoT sensor networks in order to leverage their data analytics performance
and the accuracy of the predictions.
This paper presents an IoT - enabled data mashup service, where the multimedia data is collected
from the various IoT platforms, then fed into an environmental cognition service which executes
different image processing techniques such as noise removal, segmentation, and feature extraction,
in order to detect interesting patterns in hazardous areas. The noise present in the captured images
is eliminated with the help of a noise removal and background subtraction processes. Markov based
approach was utilized to segment the possible regions of interest. The viable features within each
region were extracted using a multiresolution wavelet transform, then fed into a discriminative
classifier to extract various patterns. Experimental results have shown an accurate detection
performance and adequate processing time for the proposed approach. We also provide a data
mashup scenario for an IoT - enabled environmental hazard detection service and experimentation
results.
1
INTRODUCTION
Environmental monitoring is one of the areas, which attracts public concern. The advance of cloud
computing and Internet of things reshaped the manner in which the sensed information is being
managed and accessed. The advances in sensor technologies have accelerated the emergence of
environmental sensing service. These new services grasp the significance of new techniques in order
to understand the complexities and relations in the collected sensed information. Particularly, it
utilizes surveillance systems to extend the sensing range, and cloud-computing environments to
analyze the big amount of data collected by various IoT sensor networks in a productive form.
Various kinds of sensors are being deployed in the environment as the physical foundation for most
of the environmental sensing services. However, it is highly desirable to link this sensed data with
external data collected from different services in order to increase the accuracy of the predictions (J.
San-Miguel-Ayanz, et al., 2012). In regions with environmental hazards, large number of citizens
makes intensive multimedia sharing about these regions using their mobile phone during their daily
activities. This massive multimedia data is expected to be generated from different sources and
published on various online social services such as YouTube, Twitter and Foursquare. In such a
situation, it is beneficial to include such data in the decision-making process of environment
cognition services. Since the veracity and accuracy of the collected data are important, it is necessary
for the Data Mash-up service to have the capability to pre-process the extracted data to remove noise
and handle missing data issues on time before transferring it to other third parties. In this context,
Data Mash-up services appear as a promising tool to accumulates, treat and manage this data in an
appropriate way. The data mashup (Trojer, Fung, & Hung, 2009) is a web technology that combines
information from multiple sources into a single web application for specific task or request. Mashup
technology was first introduced in (Hof, 2005) and since then it creates a new horizon for service
providers to integrate their data to deliver highly customizable services to their customers (Ahmed
M. Elmisery & Dmitri Botvich, 2011; A. M. Elmisery & D. Botvich, 2011; Elmisery, Rho, & Botvich,
2015; Trojer et al., 2009)
We believe that environmental cognition services can be enriched by extensive data collection
infrastructures of IoT-enabled data mashup services especially in the domain of urban environmental
monitoring. IoT mashup techniques can be used to merge datasets from external IoT networks to
leverage the functionalities of environmental cognition service from different perspectives like
providing more precise predictions and computation performance, improving the reliability toward
citizens, minimizing the impacts of environmental hazards on affected citizens, and providing an
early response in cases when the event is inevitable. Due to that, Providers of the next generation
environmental cognition services keen to utilize IoT - enabled data mashup services for their systems.
Effective multimedia mining is an essential requirement for the IoT - enabled data mashup services,
since, the extracted patterns obviously requires the integration of different multimedia contents
generated from multiple IoT networks. These multimedia contents may contain random noise, which
complicates the pattern discovery process. A serious decline in accuracy occurs when the noisy data
is present in the pile of contents that will be processed through the data mashup techniques. Handling
2
this noisy data is a real challenge since it is hard to be distinguished from an abnormal data, it could
prevent the environmental cognition service from fully embracing the useful data extracted from the
mashup service. Managing this problem will enable the IoT - enabled data mashup services to execute
different recognition methods for identifying the abnormal objects in an effective manner.
In this work, we presented an architecture supporting the evolution of IoT - enabled data mashup
service business model. Our approach is based on the software agent technology, because of the
fundamental features of multi-agents systems such as inter-agent communication ability; autonomy
and adaptability are essential requirements of our approach. We focus on stages related to
multimedia contents collection and mining and omit all aspects related to environmental monitoring,
mainly because these stages are critical with regard to accuracy as they involve different entities. The
proposed architecture bear in mind accuracy issues related to mashup multiple datasets from IoT
networks for environmental monitoring purposes. The multimedia data is collected from the various
IoT devices, and then fed into an environmental cognition service that executes different multimedia
processing techniques such as noise removal, segmentation, and feature extraction, in order to detect
interesting patterns in urban area. The noise present in the captured images is eliminated with the
help of a noise removal and background subtraction processes. Markov based approach was utilized
to segment the possible regions of interest. The viable features within each region were extracted
using a multiresolution wavelet transform, then fed into a discriminative classifier to extract various
patterns. The presented approach attains accuracy and preserves the aggregates in the merged
datasets in order to maximize usability and attain accurate insights. In section II describes some
related work. In section III we introduced a scenario related to IoT-enabled data mashup service. In
section IV introduces the proposed techniques used within the environmental cognition service. In
section V describes some experiments and results based on the proposed approach. Finally, Section
VI includes conclusions and future work.
METHODOLOGY: DATA MASHUP IN IOT-ENABLED ENVIRONMENTAL

MONITORING SCENARIO
We consider the scenario where the IoT-enabled data mashup (MDMS) integrates datasets from
multiple IoT networks for the environmental cognition service; figure (1) illustrates the architecture
supported in this work. The proposed architecture hosts an intelligent middleware for private data
mashup (DIMPM), which enables connectivity to diverse IoT devices via varied sensing technologies.
In doing so, the functionalities of the proposed architecture support a cloud based infrastructure for
environmental cognition services. The cloud environment promotes a service-oriented approach to
big data management, providing a deep learning layer for analyzing the merged data.
3
Fig. 1. IoT-enabled data mashup with Third Party Environmental Cognition Service.
The data mashup process can be summarized as follows;

The environmental cognition service sends a query to the IoT - enabled data mashup service
to gather information related to a specific region to leverage its predictions and performance.
At the IoT - enabled data mashup:
o The coordinator agent at search in its cache to determine the providers which could
satisfy this query, then it transforms the query into an appropriate sub-queries
language suitable for each providers database.
o The manager agent unit sends each sub-query to the candidate IoT providers to incite
them about the data mashup process.
Based on prior agreement between the mashup provider and data providers, the providers
who agree to offer purpose specific datasets to the mashup process will:
o Forward the sub-query to its manager agent within the intelligent middleware for
private data mashup.
o The manager agent rewrites the sub-query considering the privacy preferences for
its host and produces a modified sub-query for the data that can be published. This
step allows the manager agent to audit all issued sub-queries and prevent ones that
can extract sensitive information.
o The resulting dataset is concealed to hide real data using the appropriate obfuscation
algorithm depending of the type of multimedia data.
o Finally, each provider submits its concealed data to the IoT - enabled data mashup
service that in turn unites these results and performs further analysis on them.
4
The obtained information is delivered to environmental cognition service. The
environmental cognition service uses these datasets to accomplish its data analytics goals.
Proposed Anomaly Detection in the IOT-Enabled Data Mashup Service

In this section, we proposed a new service for anomaly detection with markov based segmentation
approach to detect possible regions of interest, then fed the extracted features within each region into
a discriminative classifier to extract various patterns. Figure 2 depicts the basic flowchart of our
approach, which consists of four modules. Firstly, the noise present in the captured images is
eliminated with the help of a noise removal and background subtraction processes. The second
module executes Markov based approach to segment the possible regions of interest. The third
module extracts the viable features within each region using a multiresolution wavelet transform.
Finally, the last module, is a discriminative classifier that learns effective features from each region
and distinguish it into anomaly or normal region.
Fig. 2. Building Blocks of the Anomaly Detection System
In the next sub-sections, we introduce the various steps involved in our proposed anomaly detection
service. Each step utilizes an effective technique, which plays an important role in the system. The
building blocks of the proposed systems are depicted in the figure (2). The proposed anomaly
detection system consists of following steps:
Step 1: Noise Removal and Background Subtraction Processes
The noise present in the captured images is eliminated with the help of anisotropic diffusion
combined with non-local mean and Gaussian background process (Tschumperl & Brun, 2009). The
5
method successfully analyse the images according to each and every pixel present without
eliminating the important features such as line, interpretations, and edges. More over the anisotropic
diffusion process can effectively analyse blurred images. This process is applied to images using
following equation:

= ((, , )) = . + (, , ) (1)

Where ( (, , ) ) represents the divergence operator of the diffusion coefficient c(x,y,t) in
relation with the image gradient operator . Based on (1) the anisotropic diffusion is applied to the
image, if the pixel corrupted with the noise can be replaced using a non-local approach (Narayanan
& Shmatikov, 2008), where the similarity between pixels of the image is determined using the pixel
intensity and is defined as follow:
() = () + () (2)
Where () is defined as the current value of pixel in given image , () is defined as the true
value of pixel and () is defined as the noise mixed with the value of pixel . The noise exists in the
image is analyzed according to the following assumption, that () is an independent value extracted
from Gaussian distribution with a variance 2 and mean equal to 0. Based on that, the similarity
between the neighboring pixels is defined depending on the weights (, 1 ) and (, 2 ). Then the
non-local mean value of each pixel (Narayanan & Shmatikov, 2008) is calculated as follows,
()() = (, )() (3)

is defined as the image with noise, and the weights (, ) satisfy that 0 (, ) 1 and
(, ) = 1 and is defined as follow:
(2 22 (,)
1
(, ) = () (5)
is as defined as the standard deviation of the noise and () is defined as a normalizing constant
and is defined as follow:
(, )
() = [1,2] (6)

is defined as the weight-decay control parameter. After that the neighborhood similarity value is
defined as using the weighted value of the pixel and is calculated as follow:
(, ) = ( ) ( )22, [1,2] (4)
is defined as the neighborhood filter employed on the neighborhoods squared difference and
is defined as following:
1
=
= 1/(2 |1)2 (5)

is the distance between the weight and the center of the neighborhood filter. provides higher
values if the pixels near the neighborhood center, and provide lower values if the pixels near the
neighborhood edge. Finally, these values are used to generate the final image.
6
The background subtraction was performed (Piccardi, 2004) using the Gaussian model. The
background model has been constructed using the selective average method for eliminating the
unwanted background pixel information as follow:

=1 (, )
(, ) = (6)

Where (, ) is defined as the intensity of pixel (, ) of the background model, (, ) is defined
as the intensity of pixel (, ) of the frame of the captured video, and is defined as the number
of video frames utilized to construct the background model. The background model is defined using
a Gaussian mixture model as follow,

(|) = (| , ) = 1, . . . , (7)
=1
Where is defined as continuous-valued data vector, are defined as the mixture weights, and
(| ) are defined as the component of gaussian density functions (Elgammal, Harwood, & Davis,
2000), After that the probability value of each pixel is calculated,

( , ) (8)
=1
is the probability density function that has a mean vector and covariance . is defined as the
weight of the Gaussian. The new pixel value is compared to each Gaussian, if the Gaussian
weight is matched < , then the Gaussian parameters are updated in accordance with:
, = (1 ) ,1 + ,
= (1 ) 1 +
2 = (1 ) 1 + ( ) ( )
= ( )
is the learning rate for the Gaussian weight. Additionally, the unmatched pixel are eliminated
using , = (1 = ) , 1. If none of the pixel matches the Gaussians weight, lowest weight pixel
is replaced with . When the Gaussians values are stored in a corresponding index with a
descending order, the initial values of this index will probably represent the background. After
eliminating the background pixels and noise, the images are fed into the next step.
Step 2: Regions Segmentation

The segmentation approach is done using markov random field (Panjwani & Healey, 1995) to ensure
the effective extraction of meaningful regions. It uses the local image feature value, prior probability,
and marginal distribution value of the image. At the start, Markov random neighboring value must
be defined from the image in terms of both first and second order neighboring values. Then the initial
probability value for each feature value is set as 0 or 1. After that the mean and variance value of each
pixel value is computed and labeled in the image. From the computed values, marginal distribution
value is calculated according to the Bayes theorem. Finally, the probability value must be calculated
7
and the pixels with similar values are grouped into the particular cluster or region. This process is
repeated until the prior probability value reaches to a maximum value other than the defined one.
The extracted regions are fed into the next step.
Step 3: Features Extraction
The multiresolution wavelet transform was employed for feature extraction. At first, the segmented
regions are divided into sub-regions (Ojala, Pietikainen, & Maenpaa, 2002) in all the directions and
then the key elements of the scale descriptors are selected. This step starts with applying a Gaussian
filter on the image to detect the key elements. The maximum and minimum values of the edges are
determined using the following equation (, , ) = (, , ) (, , ), where (, , ) is
the difference in the Gaussian image, (, , ) is the convolution value of the image (, , ) =
(, , ) (, ), and (, ) is the Gaussian blur value. Detecting key elements is accomplished
using Taylor series, which is calculated as:
1 2
() = + + 2 (9)
2
From the detected key elements and their locations, each key elements is assigned magnitude
(, ) and orientation (, ) in every direction as following:
2 2
(, ) = (( + 1, ) ( 1, )) + ((, + 1) (, 1))
(, ) = 2((, + 1) (, 1)), (( + 1, ) ( 1, ))
Based on the extracted key elements, different features can be calculated such as mean, standard
deviation, entropy and variance. The extracted features are fed into the next step.
Step 4: Anomaly Detection
In the last step, the extracted features are used to train support vector machine classifier to detect
anomalies from the captured videos, the training stage reduces misclassification error and increases
the recognition rate. Each feature in the training dataset is represented as = {( , )| ,
{1,1}}. The output value of this stage is defined as {1,-1}, in which 1 is represented as the normal
feature and -1 denoted as the anomaly feature. Then the feature belongs to the class is defined by
applying the hyper plane which is calculated as . = 0, where x is represented as the features
exists in the training set, The normal hyper plane vector is w and hyper plane offset is b. The extreme
learning neural networks (Feng, Huang, Lin, & Gay, 2009) were utilized to reduce the maximum
margin classification, which in turn improves the anomaly detection process. At the testing stage, the
extracted features are matched with the training features to successfully detect the anomaly features.
The accuracy of the proposed system was examined using the experimental results.
8
EXPERIMENTAL RESULTS
The proposed techniques were implemented in C++, we used message-passing interface (MPI) for a
distributed memory implementation of anomaly detection service to mimic distributed reliable
components. We used Intel Core i7 CPU working at 2.2GHz and 8 GB RAM were used for the
evaluation process. Since, there is no publicly available datasets for environmental hazards on the
internet repositories. Therefore, we constructed our own datasets that utilizes the video footages of
Forest fires dataset, which was provided by the National Protection and Rescue Directorate of
Croatia, and other fire videos from an online social service such as YouTube. This dataset consists of
1020 fire and non-fire video clips. There are 130 forest fire video clips, 260 indoor fire video clips, 320
outdoor fire video clips and 310 non-fire video clips among the collected dataset. The resolutions of
video clips were 480x360 pixels and each video clips consists of 200300 frames. Almost 1/4 of the
video clips were used for testing while the remaining were used for training. The testing set contains
40 forest fire video clips, 60 indoor fire video clips, 80 out fire video clips and 80 non-fire video clips.
For negative video clips, collection of videos contains some kind of flame, such as ambulance light,
Flame Effect Light, and so on. Table 1 shows that the proposed techniques achieved the real-time
performance for this resolution. The most time-consuming part was related to the calculation of pixel
intensity. To check the effect of the resolution of videos on the processing time, another video
sequence, which had 1280x720 pixels resolution, was tested. Tests have shown that the complexity
was increased by more than 2 times for 5.33 larger frame size. The Precision of this solution applied
on these videos is about 94%.
Precision Recall True Negative Accuracy F-Measure Processing Time (MS)

Rate
(480x360) (1280x720)
0.8998 0.89 0.82 0.9543 0.9128 25.1 55.2
Table 1: Performance of Proposed solution
CONCLUSION AND FUTURE WORK
In this work, we presented our ongoing work on building an anomaly detection in IoT - enabled data
mashup service to serve environmental cognition service. A brief overview over the mashup process
was presented. A Novel anomaly detection solution was also presented in detail, which achieves
promising results in terms of performance. The experiments were conducted on a real dataset and it
shows that the accuracy of our solution is more than 94%. However, the ability to detect
environmental hazards such as fires and reduce false positives depends mainly on the image quality.
Many challenges were realized in building a data mashup service. As a result, we have focused on
anomaly detection within an environmental cognition service scenario. This allows us to move
forward in building an integrated system while studying issues such as a privacy and security at a
9
later stage and deferring certain issues such as virtualized schema and auditing to future research
agenda.
ACKNOWLEDGEMENTS
This work was partially financed by the Direccin General de Investigacin, Innovacin y
Postgrado of Federico Santa Mara Technical University- Chile, in the project Security in Cyber-
Physical Systems for Power Grids (UTFSM-DGIP PI.L.17.15), and by the Microsoft Azure for
Research Grant (0518798).
REFERENCES
Elgammal, A., Harwood, D., & Davis, L. (2000). Non-parametric model for background subtraction.
Computer VisionECCV 2000, 751-767.
Elmisery, A. M., & Botvich, D. (2011). An Agent Based Middleware for Privacy Aware Recommender
Systems in IPTV Networks. In J. Watada, G. Phillips-Wren, L. C. Jain, & R. J. Howlett (Eds.),
Intelligent Decision Technologies: Proceedings of the 3rd International Conference on Intelligent
Decision Technologies (IDT 2011) (pp. 821-832). Berlin, Heidelberg: Springer Berlin
Heidelberg.
Elmisery, A. M., & Botvich, D. (2011, 10-11 June 2011). Agent based middleware for private data mashup
in IPTV recommender services. Paper presented at the 2011 IEEE 16th International Workshop
on Computer Aided Modeling and Design of Communication Links and Networks
(CAMAD).
Elmisery, A. M., Rho, S., & Botvich, D. (2015). A distributed collaborative platform for personal health
profiles in patient-driven health social network. Int. J. Distrib. Sen. Netw., 2015, 11-11.
doi:10.1155/2015/406940
Feng, G., Huang, G.-B., Lin, Q., & Gay, R. (2009). Error minimized extreme learning machine with
growth of hidden nodes and incremental learning. IEEE Transactions on Neural Networks,
20(8), 1352-1357.
Hof, R. D. (2005). Mix, Match, And Mutate. BusinessWeek.
Narayanan, A., & Shmatikov, V. (2008). Robust De-anonymization of Large Sparse Datasets. Paper
presented at the Proceedings of the 2008 IEEE Symposium on Security and Privacy.
Ojala, T., Pietikainen, M., & Maenpaa, T. (2002). Multiresolution gray-scale and rotation invariant
texture classification with local binary patterns. IEEE Transactions on pattern analysis and
machine intelligence, 24(7), 971-987.
Panjwani, D. K., & Healey, G. (1995). Markov random field models for unsupervised segmentation
of textured color images. IEEE Transactions on pattern analysis and machine intelligence, 17(10),
939-954.
Piccardi, M. (2004). Background subtraction techniques: a review. Paper presented at the Systems, man
and cybernetics, 2004 IEEE international conference on.
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Trojer, T., Fung, B. C. M., & Hung, P. C. K. (2009). Service-Oriented Architecture for Privacy-Preserving
Data Mashup. Paper presented at the Proceedings of the 2009 IEEE International Conference
on Web Services.
Tschumperl, D., & Brun, L. (2009). Non-local image smoothing by applying anisotropic diffusion PDE's in
the space of patches. Paper presented at the Image Processing (ICIP), 2009 16th IEEE
International Conference on.
11
Environmental Risk Assessment of Soils Affected by
Spills in Mining Operations
Cristian Brito
Waste and Environmental Risk Office, Ministry of the Environment, Chile
ABSTRACT
Environmental incidents can occur in mining operations, which can lead to pulp spills with mineral
concentrates or tailings, chemical substances spills and inadequate disposal of hazardous wastes.
These incidents generate an environmental impact on soil, so it is necessary to have a technical tool
that allows determining if the soil affected by these incidents, generate an environmental risk for the
environment or for the population, based on technical and objective criteria. The Ministry of the
Environment has a methodological guide for the management of soil with potential presence of
contaminants which based on technical criteria, establishes the procedures that must be carried out
to determine the magnitude of the environmental risk that a contaminated soil could have. This guide
has three main phases; the first is an initial review of the affected soil, in the second phase a sampling
and evaluation is performed of the pollutants present in the soil and compared with the reference
values of the Environmental Media Evaluation Guides (EMEGs for its English acronym), in the third
phase, an expanded soil sampling is carried out, exposure to pollutants is determined, and the
environmental risk generated by contaminants present in the soil is evaluated.
This methodological guide is an official instrument of the Ministry of the Environment since it was
approved by exempt resolution No. 406 of May 15, 2013. As a result of this, this guide is a technical
tool widely used and validated in Chile. Therefore, mining companies can use this guide to determine
whether spill-affected soils have risks to the environment and human health and to determine the
environmental impacts magnitude of the spills.
1
The Road towards a Sustainable Mining Industry:
Synergies and Challenges from the North District of
Codelco Chile
Hctor Castillo1, Mara Clemencia Ovalle1 and Claudio Flores2
1. Sustainability and External Affairs Management, Chuquicamata Division, Codelco Chile
2. Community Affairs and Sustainability Management, North District, Codelco Chile
ABSTRACT
Nowadays, the mining business contemplates greater challenges mainly in environmental and social areas.
Mining worldwide is changing by establishing proactively new environmental and social standards which
are more demanding and that are necessary to implement in order to achieve a better future development.
Codelco focuses on this through its sustainability policy, norms, plans, and standards, with the objective of
doing all the efforts that are needed to attain sustainable operations.
Codelcos North District gathers and organizes different mining operations which are very different each
other. In spite of the differences between the five divisions that constitute the District, all of them share the
same social and environmental issues, which make it feasible to have a district overview at environmental
components such as: water, air, soil and waste. This allows for common strategic planning, encourages
synergies, and helps meeting common challenges in order to develop a Sustainable Mining Management.
The North District faces a complex and challenging road, all efforts should be focused on having a
comprehensive view of its divisions, especially on key environmental components of development. In order
to share experiences, we will present two cases: a) Implementation D.S 28/2013 Emission Standards for
Copper Smelting and Arsenic Emitting Sources and b) Implementation of "Clean Production Agreement".
In the first case, Codelco has invested in improvement of its cooper foundry, project that is in the
construction process and which have their environmental qualifications according the actual regulation.
Our objective is to fulfill the emission of 476 ton/year of arsenic and 24.850 ton/year of sulfur in December
2018. In the second case, Codelco has implemented new technologies in the transportation of concentrate
to port. Our objective is to fulfill the goals set in the "Clean Production Agreement" and remain a benchmark
in the industry by introducing new improvements.
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What Corruption and Rent Seeking in Mining
Communities Suggest About the Curse of Natural
Resources
Robert Boutilier
Simon Fraser University, Canada
ABSTRACT
Peter Ekehs theory of corruption views it as an expression of loyalty to what he calls primordial
groups at the expense of more formal civic institutions. This paper explores what might be learned
about discouraging rent seeking and corruption around mines by combining the primordial versus
civic distinction with the social capital based concept of the radius of trust.
Macroeconomic studies have identified corruption and rent-seeking as key factors in generating the
curse of natural resources. The curse consists of a tendency for economies rich in natural resources,
such as precious metals and oil, to grow more slowly than those without such endowments.
Recommendations for avoiding the curse have been directed at national governments and extractive
companies but very little advice is available for local mine managers. To examine how Ekehs theory
and social capital based concepts might help provide such recommendations, this paper reports on
specific actions taken by site level management of a gold mine in Papua New Guinea to combat
corruption and rent seeking by a few stakeholders. The case featured a clear set of primordial groups
(i.e., traditional clans) and a set of civic institutions (i.e., administrative institutions continued from
the colonial era). The findings are compatible with a more general interpretation of Ekehs theory and
corroborate anthropological findings of changes in group boundaries when traditional communities
start receiving compensation or royalties for resource extraction.
In terms of relevance for mine managers, it was found that institution-oriented strategies (e.g., legal
defenses, education in trust fund protection, and the exclusion of selected local authorities from fund
distribution chains) produced only temporary reduction in corruption, bribery, and rent-seeking. A
more promising approach might be to treat corruption and rent seeking as a type of collective action
problem. Such problems are frequently resolved with multi-party initiatives that expand the radius
of trust.
1
CORRUPTION AND RENT SEEKING BY MINE STAKEHOLDERS
Corruption as the root of the resource curse
Natural resource extraction companies have been criticized by economists and political scientists for
generating the curse of natural resources. The term was coined by Auty (1993) to describe the
tendency for countries that depend heavily on income from exportable natural resources like oil and
precious metals to have economies that grow more slowly than countries with no such dependence
(Sachs and Warner, 2001). Karl (1999) drew attention to a lower quality of government institutions in
cursed countries. Studies that compared cursed countries (e.g., Angola, Democratic Republic of the
Congo, Nigeria, Venezuela) and non-cursed resource dependent countries (e.g., Botswana, Canada,
Chile, Norway) on the quality of their government institutions converged on the importance of
aspects of institutional quality and practice that are associated with less corruption and rent-seeking
(Butkiewicz and Yankkaya; 2010; Iimi, 2007; Koyama, 2005; Mehlum et al, 2006; Robinson et al, 2006).
Political scientists also argued that resource dependent states are either less democratic or slower to
democratize (Ross, 2001). The literature, however, has yielded complex, mixed results on that
question (Collier and Hoeffler, 2009; Ross, 2015).
The conversation about corruptions, democracy, and development took a sociological turn with
empirical evidence that some countries making the transition from low to high per capita GDP
remained corrupt autocracies, with institutions lacking in impartiality, transparency and democratic
accountability, until after they became prosperous (Uberti, 2016). These findings are at odds with the
macroeconomic regression studies that associate corruption and rent seeking with persistently low
GDP growth. To resolve the apparent contradiction, Uberti hypothesized that the specific structures
of the networks of flows of rents and bribes can explain why some corrupt autocracies promote
economic development while others prevent it. Prime examples of growth promoting autocracies
that democratized after becoming prosperous are Singapore, South Korea, and Taiwan. Uberti
suggested that if lower level government officials neither issue rents nor accept bribes and if,
therefore, corruption is limited to transactions between top policy makers and industrialists, then
growth oriented policies tend to get implemented. This highlights the importance of both (a) studying
social network structures, and (b) resisting corruption at the local level. Even growth-promoting
corruption depends on eliminating corruption at the local level.
Despite the importance of minimizing local level corruption and rent seeking, evidence-based
insights to help mine managers deal with the topic is scarce. The economic resource curse literature
only offers advice to company executives and national governments (e.g., Humphreys and Sandbu,
2007; Shaxson, 2007). This paper reports on some strategies attempted by mine managers and then
explores alternative views of corruption that may suggest more effective strategies.
2
Embeddedness views of corruption and rent seeking
Neoliberal views of corruption have assumed that there is a market for bribes and rents, each being
exchangeable for the other. If the costs of the transaction go up, all else equal, the volume of such
transactions will decline (Uberti, 2016). For example, if a transparency initiative raises the probability
of punishment for offering or accepting a bribe, bribery should decrease. The scant recent empirical
research on the efficacy of transparency initiatives suggests that they are insufficient to reduce
corruption (Kasekende et al, 2016; ge, 2014; Sovacool et al, 2016). Indeed, in some circumstances,
transparency has the opposite effect because it signals not only that corruption is the norm but also
what price is appropriate for each type of bribe (Muthukrishna, 2017). Accumulating evidence casts
doubt on the neoliberal model.
By contrast, evidence is accumulating in support of an explanation based on cultural variations in the
radius of trust accompanying simultaneously held group identities. Fukuyama (1995) linked the
concept of the radius of trust to social capital in the sense of adherence to group norms for mutual
cooperation and support. He said, All groups embodying social capital have a certain radius of trust,
that is, the circle of people among whom cooperative norms are operative (Fukuyama, 1999). One
way of measuring the congruence between national identity and citizens radii of trust is to use
surveys to estimate the percentage of citizens who agree with the statement, Most people can be
trusted (Delhey et al, 2011) and additional questions about what is understood by most people.
Realo et al (2008) distinguished between collectivism with a radius of trust extending to the whole
society versus collectivism with a radius extending no further than the family of kinship group.
Banfield (1958) described narrow familialism as the foundation of crime organizations in southern
Italy. Basabe and Ros (2005) found cultures higher in collectivism and hierarchy to be more corrupt.
In a comparison of 60 countries, Pena Lpez and Snchez Santos (2013) found a direct link between
a smaller radius of trust and greater corruption.
These findings add generality to Ekehs (1975) venerable theory of corruption in Africa that
postulates the existence of two publics, one primordial and one civic. The morality of the primordial
public (e.g., loyalty to tribe and kinship group) is the same as private morality (e.g., loyalty to family,
friends, community). The civic public, by contrast, is associated with residual colonial structures (e.g.,
military, civic service, police). Ekeh proposed that behaviour in the civic public is amoral and lacks
the moral imperatives that control behaviour in the primordial public and in private life. Therefore,
in public life, people will act to benefit their primordial group without receiving any reciprocal
monetary benefit but will act to extract monetary benefit from the civic public without any reciprocal
loyalty to it. This, Ekeh contends, lays the groundwork for things like nepotism, rent seeking, inter-
tribal rivalries, and corruption in the civic public.
The case study reviewed here is relevant to reducing the resource curse because it features strategies
to thwart local corruption and rent seeking that can be applied at the level of the mine site, wherever
it may be located. It is also relevant to Ekehs sociological theory of corruption because the
3
community in question has both a primordial administrative element and a civic administrative
element operating together.
CASE EXAMPLE OF CORRUPTION AND RENT SEEKING AT A GOLD MINE
Context
Boutilier (2017) described a case of local level corruption and rent seeking around a gold mine. The
findings validated the corruption and rent seeking interpretations of the resource curse derived from
macroeconomic and political regression studies but also cast doubt upon the efficacy of neoliberal
approaches to institution strengthening to prevent and reduce the curse. In this paper, the case is
reinterpreted from a more sociological view of corruption relying heavily on Ekehs theory of
corruption and Fukuyamas radius of trust.
The mine in this case was operated by Placer Dome Inc It was on Misima Island in the Louisiade
Archipelago of the Province of Milne Bay, in Papua New Guinea (PNG). The authority structure on
Misima, as in most of PNG, consisted of both traditional clans who control land used and
democratically elected national and sub-national administrations set up during the colonial period.
The former corresponded to a primordial public in Ekehs theory while the latter corresponded to a
civic public. When the mine was built in the late 1980s, Misima Island had had nearly a century of
experience with foreign missionaries and miners. The economy was mostly subsistence. It consisted
of gardening, raising pigs, and trading with outlying islanders for seafood. Until the mine came, the
little money circulating on the island came from seasonal sailboat tourism, occasional sales of bulk
cobra, and a handful of meagre salaries paid to regional government administrators and outreach
officers. The clans on the north side of the island were more prosperous, numerous, and politically
dominant because their lands were less mountainous and better for gardening. The gold was under
the lands of the southern clans. These were the clans legally entitled to receive royalties.
Three rent flows, three rent seeking strategies
Three sources of easy money rolled through the local economy during the 15-year life of the mine
(1989-2004). First, compensation for land use was spread widely during the construction phase. For
the southern clans, these continued until the closure of the mine. Second, as mine production reached
its peak, the flow of royalties also peaked. These were set aside in a Future Generations Trust Fund
(FGTF) for the clans whose lands were used for the pit and the mill. Third, as closure approached,
the company was obliged to complete a lengthening list of infrastructure projects to win political
approval of its official closure permit. A small group of rent seekers responded to each of these three
sources of benefits with a distinct rent seeking strategy.
To capture most of the compensation and early royalty flows, the three men who led the rent seeking
efforts committed fraud. They claimed to be the leaders of the clans whose land was being used for
the mine. Moreover, with support from northern clans, they set up a separate organization to receive
4
the payments on behalf of all the clans, both northern and southern. Then they misappropriated that
compensation money to set up a retail operation. Although it was the only retail outlet on an island
that suddenly had approximately 700 workers receiving paycheques, it went bankrupt in 18 months.
The three rent seeking leaders had used the retail store, and the clans money, to give credit to
customers, thereby making large numbers of islanders indebted to them personally. The mining
company discovered the fraud and helped the southern clans get a court order shutting down the
fraudulent clan organization. The mining company began paying compensation directly to a long list
of rightful land owners. This institutional change at least prevented further misappropriation of
funds. The court took control of the FGTF until the southern clans could set up a new organization
to administer it.
The mining company helped the southern clans prepare to meet court mandated requirement to have
the administration of the fund handed over to their new, separate, clan organization. The clan leaders
received training in accounting, trust fund administration, and corruption prevention. However, just
as the companys community relations department had been reduced in preparation for closure, the
three rent seeking leaders quite suddenly formed a new clan organization and petitioned a visiting
circuit judge to give them a percentage of the FGTF money on the grounds that they were entitled
land owners. Although a previous court case had shown this claim to be fraud, the judge granted the
request. Rumors circulated that the judge had been bribed. The companys attempts to strengthen
the southern clan institutions to take on new administrative responsibilities came to naught.
During the last two years before closure the national governments mine closure committee became
the focus of intense lobbying. The committee had representation from the province and the local
council. It also had the power to set criteria for the granting of the official closure permit. The period
coincided with a local government election. The three rent seeking leaders actively supported a
candidate for local council president who demanded more infrastructure projects that would deliver
benefits mostly to the northern clans. With heavy support from the northern clans, he won. Among
the demands was a white elephant in the form of a paved road through the main town. Although
company engineers had warned that only a gravel road would be maintainable, the politics were
such that the company was obliged to meet all the demands. Five years after the departure of the
company, the paved road was in ruins and could not be repaired, as predicted, owing to the
unavailability of local bitumen and the specialized equipment needed to apply it. White elephants
and clientelistic public investments are frequent symptoms of the resource curse (Robinson and
Torvik, 2005; Sala-i-Martin and Subramanian, 2003). The companys efforts to apply financial and
technical criteria to the project selection process were brushed aside in politics of the closure.
DISCUSSION
The widely acknowledged motors of the curse of natural resources are corruption and rent seeking
(Frankel, 2010; Mehlum et al, 2006; Robinson et al, 2006; Ross, 2015). Neoliberal interpretations of
corruption have focused on remedies like improving transparency and institutional quality in order
5
to raise the costs of offering and taking bribes and rents. However, they have had little advice to offer
local level mine managers. Meanwhile, sociological views of corruption, that emphasize the social
network embeddedness of rent seekers and bribe transactors, have emphasized the greater
importance of loyalty to a narrowly defined ingroup.
The reinterpretation of the Misima case presented here shows that local strategies based on the
neoliberal view of corruption and rent seeking seldom yield long-term solutions. In Ekehs
terminology, the clans were the primordial groups. In the more recent sociological language of social
capital, they coincided with the boundaries of the radius of trust. The company and democratically
elected governments, by contrast, corresponded to Ekehs civic public. They were beyond the radius
of trust and therefore fair game for rent seeking, fraud, and bribery.
In the early years of mine operation, the radius of trust that contained the northern clans was
sufficiently strong to perpetrate outright fraud on the company. It was at the expense of the southern
clans, but then as Ekeh explains, rivalries among primordial groups justify that. In the middle years
of mine operation, the FGTF became the most noteworthy potential source of rents. Its integrity
depended completely on legal rulings, which are civic. Bribes were allegedly used to obtain favorable
ruling for the former leaders of one primordial group at the expense of another. At the end of the
mines life, the flow of infrastructure benefits became the focus. The determination of which projects
would be required was completely controlled by civic institutions. According to Ekehs theory, that
made the capture of the decision-making process an amoral matter. In that moral vacuum, normative
behavior defaulted to the rivalry between alliances of clans within separate radii of trust.
Ekehs theoretical constructs appear to apply quite well. However, the findings from the case should
be generalized with caution. Papua New Guinea has a unique combination of Melanesian culture
and strong vertical patronage linkages (de Renzio, 2000; Okole, 2005; Sillitoe, 2000). This combination
may have encouraged local rent seekers to seek favourable decisions from national level institutions
(e.g., the judge who granted access to the FGTF, the Misima Mine Closure Committee). The
combination may even have made such rent-seeking efforts more successful than they would be
elsewhere. Therefore, the lessons one draws from the case should not be too literal. Ekehs theory and
the radius of trust concept accommodate a great spectrum of variations across cultures but they are
not intended as substitutes for ethnology.
The findings corroborate Ekehs view but also suggest two modifications. First, because the stakes
were raised by the arrival of the mine (i.e., from low value plots of land to high value flows of cash),
the boundaries of the primordial groups changed. Alliances of clans were formed on the north versus
south axis. Anthropologists have noted similar changes in primordial group boundaries at other
resource projects (Gilberthorpe, 2014). The possibility of great wealth politicizes boundary
definitions. To take account of this, the concept of the radius of trust could provide a more flexible
and dynamic way to conceptualize boundaries than the primordial/civic distinction. Second, the
three prime rent seekers violated the trust of the northern clans in misappropriating the
compensation payments, which is something that Ekeh would not predict. Perhaps they were
attempting to re-shape the radius of trust in the primordial institutions by condensing it around
6
themselves personally. In other words, it may have been a bid to supplant the leadership of clan
elders. Ekehs theory does not address internal group dynamics but the finding suggests that
corruption prevention strategies should take them into account.
Ekehs theory has a rival, or at least a fraternal twin. Persson et al (2013) depict corruption as a
collective action problem. The explanatory dynamic is not group loyalty, but rather short-term
individual incentives working against long-term collective incentives in a decision theory
framework. In this view, corruption is a type of collective action problem, like the tragedy of the
commons (Hardin, 1968). However, Ekehs theory and the collective action interpretation may not be
as different as they first appear. Persson et als shared resource can easily be construed as the public
resources and services available from Ekehs civic public. Just as all primordial groups can take as
many fish as possible from a shared fishing ground, so too can they extract as much wealth as possible
from the civic public. Others have already reconstrued the actor in the collective action problem as
more of an embedded actor, of bounded rationality, subject to influences from social capital in
networks (Bodin and Prell, 2012; Goritz et al, 2016). If the radius of trust idea is taken as a common
token for both primordial group boundaries and the extent of social network control over behavior,
then a broader radius of trust changes the decision payoff matrix by changing the boundaries of the
primordial group (i.e., us).
In terms of practical guidance for mine managers, the best solutions developed, so far, for these types
of problems involve multi-stakeholder initiatives that broaden the radius of trust, or in other words,
that build social capital on a broader scale (Ostrom et al, 2003). Therefore, a promising direction to
look for advice for mine managers would be in the fields where social capital is used as a framework
for resolving collective action problems (Ramaswami et al, 2007). Collective action problems include
environmental protection (Ostrom, 1990), conflict reduction (Ganson and Wennmann, 2016),
microfinance (Akram and Routray, 2013), and community resilience (Magis, 2010). Accordingly,
managers should try initiatives that might expand the radius of trust to groups at least inclusive
enough to monitor, detect, and resist any rent seeking or corruption by group members. This advice
might take a long time to implement, but it has worked on other collective action problems. Further
research is needed to determine the relationship between the shift from short- to long-term incentives
and the redefinition of us in a way the submerges intergroup rivalries.
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10
SRMINING
Social Responsibility
in Mining
CHAPTER 5
Social Development,
Community
Investment and
Economic Impact
Assessment and Control of Dust Emissions at
Opencast Coal Mine in South Africa
Francis Amponsah-Dacosta
Department of Mining and Environmental Geology, University of Venda, South Africa
ABSTRACT
South Africa is endowed with coal reserves sufficient to cater for both domestic and export demand
for 200 years. Surface coal mining, predominantly opencast mining, account for roughly half of South
African coal mining operations. Due to the activities involved in this kind of mining, opencast mining
operations release significant quantities of dust into the atmosphere and this can be a cause of
nuisance and annoyance to local residents. Dust dramatically limits visibility, raises the cost of
operating equipment, increases their downtime and escalates repair cost. These concerns may be
proactively addressed by identifying dust emission sources at the mine, collecting site-specific data,
using emission factors and predictive equations to quantify each sources contribution to dust output
of the mine, and determining most practicable dust control strategies for the major dust emission
sources.
Based on the data collected a comprehensive dust emission inventory was compiled for an opencast
coal mine. Results indicate that haul road dust emissions represent about 76% of all particulate
emissions from the mine. Because haul roads are such a major source, this source category was the
primary focus of dust control cost-effectiveness investigation. This involved development of a cost
model and using this model to evaluate selected haul road dust control strategies. Control measures
that were evaluated include conventional watering of haul roads and application of three selected
chemical dust suppressants namely calcium chloride, ligno-sulphonate and polymerized bitumen.
Economic analysis indicates that the most cost-effective dust control is provided by calcium chloride.
Caution is given that factors other than cost-effectiveness, such as slipperiness of the treated surfaces,
may influence final product selection. The information provided by this study can be used to select
appropriate dust control measures, formulate guidance policies, and determine the cost of dust
reduction from opencast mines.
1
INTRODUCTION
Coal is the primary source of South Africas foreign exchange, energy, and manufacturing industry.
Coal supplies over 70% of the countrys energy needs, over 90% of its electricity requirements, and
over 95% of its metallurgical carbon (coke) requirements (Jeffrey et al., 2014). Open pit and open cast
mining account for roughly half of South African coal mining operations. Opencast coal mining is a
large material handling operation. It involves topsoil and overburden removal, drilling and blasting,
loading of coal by shovel, transport of coal by dump trucks to the crushing plant, coal preparation
and its transfer either to the power station or to the stockpiles. All these operations are on the surface
and are inherently dusty. Coal dust can become airborne in particle sizes smaller than 500 microns,
with the fraction smaller than 10 microns (PM10) being particularly important, as particles in this size
range can be inhaled into the respiratory alveoli (Hathway et al., 1991). Airborne emissions such as
soil and coal dust are not confined only to the mine lease area and can travel several kilometers to
the surroundings.
Problems of excessive levels of dust generated at a mine site may be categorized in terms of its
operational, health and environmental effects. Fugitive dust can cause serious visibility problems
which may result in decrease in production owing to reduced haulage speed (Amponsah-Dacosta
and Annegarn, 1998). It can cause expensive damage to equipment when abrasive materials enter
engines, bearings and other moving parts. Excessive dust escalates maintenance cost due to more
frequent oil changes and filter replacement. Furthermore, heavy haul trucks tend to fracture road
surface aggregates thereby causing significant fines to be generated and increase in road
maintenance. The effect on the local community of persistent dust arising and dispersing from
opencast mining is its potential to cause annoyance and nuisance. Excessive levels and overexposure
to coal mine dust and crystalline silica dust cause various pulmonary diseases (NIOSH, 2011) such
as coal workers pneumoconiosis and chronic obstructive pulmonary disease that can lead to
impairment, disability and even premature death.
The best strategy for addressing excessive levels of dust from opencast coal mines and minimizing
potential liabilities of the mine is to develop a rational dust control plan. This requires compilation
of dust emission inventory that provides a comprehensive, accurate and current determination of
dust emissions and associated data from sources within the specific area over a specific time interval
(USEPA, 1981). With such an inventory as a starting point, sound dust control strategies may then be
devised for individual facilities in the context of their fractional contribution to the overall
atmospheric burden. The identification and implementation of dust control measures are a means to
significantly reduce dust emission levels at a mine. However, one of the major difficulties has been
the inability to rapidly quantify the total financial benefit of available and new dust control strategies.
The focus of this paper is to present systematic approach that was used for compilation of airborne
dust emissions inventory of the opencast coal mine and developing an economic model to take into
account the costs and effectiveness of selected dust control strategies over a range of applications.
The model was then used to evaluate selected dust control strategies in order to establish their
potential cost savings.
2
METHODOLOGY
This study was undertaken at a large opencast mine contracted to supply 15 million tons of coal per
annum to one of Eskoms power stations in South Africa. This colliery operates in close proximity to
residential areas. The colliery was selected for dust emission assessment because of its operations and
location which poses considerable concern in terms of potential environmental pollution, particularly
dust and noise. The research methodology comprised compilation of the dust emission inventory,
development of cost models, identification of dust control measures, and cost-effective evaluation of
these dust control strategies.
Compilation of dust emission inventory

The preparation of dust emission inventory involved identification of all fugitive dust source
categories of the mine, collection of site-specific data, making use of single-value and predictive
emission factor equations and other physical parameters from the mine to calculate total suspended
particulate (TSP) and particulate matter with aerodynamic diameter equal to or less than 10 m (PM-
10). Relevant data and other information, such as actual traffic count on paved areas and unpaved
haul roads, necessary for calculation of emission rates and grab samples from paved/unpaved roads
and coal stockpiles were then collected from the mine. Laboratory analysis of the samples was
conducted to determine more important site-specific parameters such as silt and moisture content.
Sources of fugitive (open) dust emissions at the mine can be conveniently discussed in the same
sequence that mining occurs. This involves stripping of topsoil using bucket-wheel-excavators,
drilling and blasting of overburden and coal, overburden and coal removal using dragline and
electric/hydraulic shovels respectively, hauling of coal by dump trucks along unpaved haul roads to
the primary tip, stacking and reclaiming. Other open dust sources include emissions from paved
roads due to vehicular movement and wind erosion from material stockpiles and exposed areas. Most
of the process sources that generate dust emissions take place within an enclosure of some sort to
prevent windblown emissions and to allow dust to be routed to air cleaning devices. Process sources
include coal dumping, crushing and screening. Other sources are emissions from coal conveyors and
transfer points.
Dust emission rates from opencast mining activity were determined using emission factors that relate
dust emission rates to soil characteristics, meteorological conditions and surface activities. These
emission factors may be presented as a single-value arithmetic mean or in the form of a predictive
equation. The predictive emission factor equation mathematically relates emissions to parameters
which characterize source conditions. It enables more reliable estimates of source emissions on a site-
specific basis by allowing for correction of the emission factor to specific source conditions (USEPA,
1987).
Due to the absence of locally generated emission factors, use was made of the comprehensive set of
emission factors published by USEPA in its AP-42 document known as Compilation of Air Pollutant
Emission Factors (USEPA, 1995). The key to selecting the best factor to predict emissions from a
particular mining activity is to choose one that best represents prevailing operational conditions
(USEPA, 1991). Table 1 and Table 2 present a number of predictive equations and single-value
emission factors which were used to prepare the dust emission inventory of the mine. The reliability
and accuracy of the emission factors are indicated by rating which ranges from A through E, with A
being the best.
3
Table 1 Predictive equations used for TSP emission rate calculation
Source Uncontrolled TSP emission factor equations Units Rating

Paved roads 0.65 1.5 g/VKT A
= ( ) .( )
2 3
Unpaved roads 0.7 0.5 (365 ) kg/VKT A
= 0.61 ( ) . ( ) . ( ) . ( ) [ ]
12 48 2.7 4 365
1.3
Material handling kg/Mg A
( )
= (0.0016). [ 2.2 1.4 ]

( )
2
Wind erosion (365 ) kg/d/ha -
= 1.9 ( ) . [ ].( )
(active piles) 1.5 235 15
Table 2 Single-value emission factors and predictive equations for inventory compilation
TSP Emission PM-10 Emission

Activity Factor Factor Units Rating Comments
Topsoil E = 0.22 = 0.5() kg/ton D by scraper loading
removal = 0.5()
E = 0.02 kg/ton C by scraper unloading
and dumping
E = 0.0060 = 0.5() kg/ton C overburden replacement
Overburden E = 0.018 = 0.5() kg/ton C truck & shovel loading
removal = 0.0046()1.1()0.3 = 0.0022()0.7()0.3 kg/m3 B dragline, d = drop height
(m),
M = moisture content (%)
Coal removal = 0.58()1.2 = 0.0034().09 kg/ton B truck & shovel loading of
coal
M = moisture content (%)
E = 0.59 = 0.5() kg/hole B overburden
Drilling E = 0.10 = 0.5() kg/hole E coal
Blasting = 0.00022()1.5 = 0.52() kg/blast C coal and overburden
A = horizontal area,with
blasting depth 21.3 m
Wind erosion E = 0.85 = 0.5() tons/ha/yr C stripped overburden,
(exposed graded overburden
areas)
Bulldozing = 2.6()1.2()1.3 = 0.34()1.5()1.4 kg/hr B Overburden, s = silt content
& M = moisture content (%)
Grading = 0.0034()2.5 = 0.0034()2.0 kg/VKT B S = mean vehicle speed
(km/hr)
Coal dumping E = 0.004 = 0.5() kg/ton - coal, end dump truck
E = 0.01 = 0.5() kg/ton - primary coal crushing
Crushing E = 0.03 = 0.5() kg/ton - secondary coal crushing
E = 0.01 = 0.5() kg/ton - primary coal screening
Screening E = 0.02 = 0.5() kg/ton - secondary coal screening
= 0.5() s = silt content, %; U =
Transfer points = 2.9(10)5. ()2 kg/ton - wind speed, km/h; h =
drop height, m ; M =
moisture content, %
In order to collect the necessary data required for compilation of the source inventory, several
methods were employed including the use of a questionnaire, site-visits, correspondence and
telephonic interviews. In certain instances, data were collected by personal involvement in work done
by certain departments of the colliery and personal communication with experts at the mine. The
major advantage of physically being at the mine for data collection was that it provided more
4
thorough and accurate information about the study area than would a questionnaire alone. Some of
the data collected to facilitate dust emission calculations include meteorological data such as wind
speed, wind direction, percentage of times wind speed was greater than 3.0 m/s and rainfall data
during the period of investigation and mine activities data. Mining activities data were collected for
individual operations using the expected extent of the operations such as coal production figures,
volumes of overburden handled, the length of haul roads, stockpile size or the area of disturbed
surfaces together with emission factors for unit operations.
Dust from paved and unpaved roads was sampled by sweeping 0.5 to 1.0 kg of the material into
airtight ziplock bags for laboratory analysis. Sampling areas were identified from emission site
surveys. For each general area that was identified, multiple samples were taken and mixed to obtain
a representative composition. Sweeping was performed slowly so that fine surface material was not
injected into the air. In all, fourteen samples were collected from the main haul road and the ramps.
Samples were also taken from each of the coal stockpiles at the stockyard. To reduce the total number
of individual samples for such large storage piles, a transect sampling plan was developed and a
minimum of ten samples were collected and mixed to form an integrated representative of the
material as a whole.
Samples from coal stockpiles were weighed and dried in an oven at 38 oC for 24 hours. The dried
samples were reweighed and the moisture content calculated as the weight loss divided by the
original weight of the sample.
The general mathematical equation used to calculate the dust emission rate from any given source as
provided by USEPA (1988) is as follows:
R = ME(1 c) (1)
where R is the estimated mass emission rate, M is the source extent (measure of source size or level
of activity), E is the uncontrolled emission factor (i.e., mass of uncontrolled emissions per unit of
source extent) and c is the fractional efficiency of control. The source extent is the appropriate
measure of source size or level of activity which is used to scale the uncontrolled emission factor to a
particular source. Controlled emission estimates were obtained by using uncontrolled emission
factors with industry supplied control efficiencies that best reflects the effectiveness of the controls.
Development of economic model for evaluation of dust control strategies

The key requisite of any evaluation based on cost-effectiveness analysis is a model that provides a
rapid means of making a consistent comparison of the real costs and effectiveness of different control
measures. The development of the model consists of identification of the key components that affect
the overall cost of dust control, estimation of the various cost elements and the actual development
of a spreadsheet-based economic model that acknowledges the interrelationship of key components
and their effect on the total cost.
Major cost elements for haul road dust control include capital equipment, operation and maintenance
costs. The capital costs of a dust control system include purchase expenses for control equipment,
and also labor and utility costs associated with the installation of the control system (USEPA, 1987).
In this study capital cost of equipment was considered as a once-off expense incurred at the start-up
of a project because equipment, such as watering trucks and graders, for dust control implementation
are available at the mine and have already been paid-off, consideration was only given to the
influence of maintenance and operating costs on total dust abatement costs. Operating costs are
5
considered as labor and those costs of consumables required to operate equipment, such as materials
and utilities, whilst maintenance costs are expenses associated with equipment maintenance such as
routine servicing and overhauls. The overall cost of dust control is directly influenced by material
cost such as cost of the chemical product, transportation and storage costs and activity-related costs
such as surface preparation, dust control application, grading and watering.
The estimation of total annual cost of haul road dust control involved determination of the intervals
between applications and application intensity, calculation of the number of applications required in
order to determine the cost of product for maintaining the road or rejuvenation as the case may be.
Application parameters were based on the chemical vendors specifications and recommendations to
achieve a specified level of control.
In view of the constant spillage and dust that is generated due to abrasion of the treated surface by
traffic, it is necessary to water down the haul road and therefore frequency of watering and
application intensity need to be determined to enable watering cost to be estimated. Grading is also
required and this is aimed at levelling out potholes and removing corrugations, ruts and windrows.
The type and frequency of grading, which are based on the condition of the haul road, are determined
in order to estimate grading cost. Finally, the total annual cost is calculated based on the sum of all
the activity-related costs, the cost of the product used for initial application, and subsequent re-
applications.
To ensure broader acceptance, the model was structured in a spreadsheet environment. It is a
multiple sheet file which consists of the cost database, spreadsheets associated with dust control
activity-cost centers, the main calculation module, and summary of annual dust control cost for
alternative strategies at specified dust reduction levels. The purpose of the main module is to
recalculate costs due to changes in key parameters. The cost centers were identified by considering
the primary activities of dust control of the haul road which involves surface preparation, application
and re-application of chemical dust suppressant, watering and grading of road surface.
Selection of dust control options for evaluation

In selecting dust control options for economic evaluation, several factors such as characteristics of
each technique, its technical feasibility and environmental consequences, were taken into
consideration. To determine whether or not a proposed dust control measure is economically justified
or to find out which of the alternatives will prove the most economically desirable, the method of
existing dust control at the mine, which is watering, was used as the base case to which all other
selected control options were compared. Although many haul road dust control options are
available, techniques such as speed reduction, gravelling and paving were excluded from the
investigation because they are not technically feasible. Instead, dust palliatives which lower dust
generating potential, reduce road surface material loss and deterioration rates or generally enhance
the performance of the haul road were selected. In this regard, the economic evaluation was limited
to water and selected brand leaders of product categories having significantly different modes of
action and chemical composition, namely calcium chloride, ligno-sulphonate and a bituminous
product. Product data, application data and cost are available locally for all three options.
Furthermore, these chemical dust suppressants are readily available and already in use on local
mines.
6
Formulation of dust control programs
In formulating the watering program time between applications was determined using a calculated
value of application intensity of 0.5 l/m2 per water tanker pass. Parameter values assigned to average
hourly daytime traffic and evaporation rates were 88 vehicles/h (site-specific traffic count) and 0.21
mm/h (obtained from climatic record of the study area) respectively.
Calcium chloride is applied either directly as a surface spray, or mixed into the material in a rip and
re-compact operation. The mix-in operation is usually carried out during regravelling operations
where the calcium chloride solution is used as a substitute for water during compaction (Jones, 1996).
Spray-on treatments are particularly suitable for already prepared road surfaces since this prevents
disturbance of natural compaction. The application of the product involves light spraying of water
onto the road to assist penetration of the product, followed by a spray-on application of a 38 %
solution at an intensity of 2.0 l/m2 in a minimum of three applications.
The initial application of ligno-sulphonate on haul roads consists of two stages involving two
products - a ligno-sulphonate powder mixed into the material and a modified ligno-sulphonate
solution sprayed onto the surface. During the first phase, the road surface is ripped to a depth of 50
mm and ligno-sulphonate powder is applied as recommended by manufacturers. The road is then
shaped and compacted. It must be pointed out that additional water may be required to obtain
optimum moisture content and to enable adequate compaction. During the second phase, modified
ligno-sulphonate (50 per cent solution) is sprayed onto the compacted surface. Subsequent
maintenance applications of the modified ligno-sulphonate are applied as deemed fit.
The polymerized bituminous product performs very well when applied by scarifying the surface of
the haul road to a depth of about 100 - 150 mm and thoroughly mixing the in situ material and
aggregate with the product. With regard to its application, manufacturers recommend that the
compound should be mixed with water then applied to the compacted road surface at an initial
application intensity of 3 l/m2. The road is maintained every two weeks by spray-on application of a
more diluted solution and grading is done about 6 times per year or when deemed necessary.
Cost-effectiveness analysis
In the cost-effective investigation the first step was to establish the evaluation criteria. This involved
selection of either the fixed cost or the fixed effectiveness approach. In the fixed cost approach, the
basis for selection is the amount of effectiveness obtained at a given cost. The selection criterion in
the fixed effectiveness approach is the cost incurred to obtain a given level of effectiveness. As in the
case of this study, when dust control alternatives which achieve the same level of dust reduction are
to be compared on the basis of cost, the fixed effectiveness approach is employed. In this instance,
chemicals and water were compared for specific control efficiencies ranging from 50 to 90 % dust
suppression.
Dust emission inventory of opencast coal mine

Emission rates have been calculated for uncontrolled and controlled scenarios, especially where
industry supplied control devices with their corresponding control efficiencies were available.
7
Fugitive dust emissions have been categorized into open dust and process sources. The total
inventory results as summarized in Table 3 indicate that haul road emissions are the predominant
source. The controlled and uncontrolled TSP from haul road was estimated to be 76% and 91%
respectively of the total dust output of the mine. In a similar study conducted by Ghose (2006), it was
reported that vehicular traffic on haul roads is the most prolific source of fugitive dust and
contributes as much as 80% of total dust of the mine. Other sources that made a significant
contribution were topsoil, overburden and coal removal and dumping activities. Contributions made
by all the process sources put together were less than 5 % and therefore the individual sources were
deemed to be insignificant. The dust emission inventory will serve as a baseline for a control program
in that as the inventory is updated from year to year it is possible to chart the progress of the program.
The magnitude of emissions reported in the emission inventory should not be equated directly with
the contribution of sources to ambient air quality, as the impact on ambient air quality is not directly
proportional to emissions. The impact of dust emissions on the environment depends on factors such
as particle size distribution, release height, spatial distribution and temporal distribution. The
information from the inventory will be a valuable input for dispersion modelling to enable prediction
of ambient pollutant levels to be made. These will serve as a guide in the selection of parameters for
monitoring programs.
Table 3 Airborne dust emission inventory of an opencast coal mine
Results of economic evaluation of dust control measures

The results of the economic evaluation are presented using cost curves as shown in Figure 1 for a
kilometer length of haul road measuring 20 m in width. Cost curves relate the total cost of a control
8
strategy to the reduction in dust emission levels. Each point on the curve represents a single
mitigation strategy that achieves the specific dust reduction. The curves depict a trend of increasing
annual cost with increasing emission reduction, showing increasing marginal costs that typify control
cost-curves. Among the available strategies the cost-optimal strategy is the one that has the lowest
cost for a given reduction in dust levels.
Figure 1 Cost-effectiveness analysis of selected haul road dust suppressants
Results show that both calcium chloride and ligno-sulphonate are more cost-effective approaches
than watering for dust reduction within the specified range from 50 - 90 %. The cost curve for water
shows sharply increasing cost at higher levels of dust reduction. Although watering is the most
commonly used method of dust control on haul roads, its effectiveness depends on the frequency of
application and on the climate at the mine.
The cost implications for the introduction of alternative dust control strategies using water spraying
as a base case was investigated. The difference between the cost of watering and the cost of any other
control option below the cost curve for water as shown in Figure 1 manifests as cost savings. Based
on the current 70 % dust control efficiency of the existing watering program on the mine haul road12,
calcium chloride is the most cost-effective strategy, followed by ligno-sulphonates, water spraying
and lastly the polymerized bitumen product. It also emerged that selection of calcium chloride or
ligno-sulphonate as an alternative method of dust control will result in cost savings of 44 % and 16
% respectively relative to water spraying. Caution is given that factors other than cost-effectiveness,
such as slipperiness of treated surfaces, may influence final product selection.
The use of an activity based cost analysis allows the impact of alternatives on the costs of dust control
to be evaluated, and identifies areas where maximum savings can be achieved by changes in
application method and parameters. The economic model has been tested and found to be effective
in evaluating the cost-effectiveness of existing and alternative dust control strategies. However, cost
9
estimates of major activity centers and the confidence level of the accuracy of such estimates will be
greatly enhanced if detailed capital, operating and maintenance cost data and reliable information
on application methods, application intensity, dilution ratio and frequency of application are
provided for the dust suppressants available. The model provides a quick and relatively accurate
method of initial assessment of dust control scenarios. It is not designed to replace detailed feasibility
studies that are an essential part of scenario evaluation. It does, however, provide quick financial
comparisons of alternative scenarios so that choices can be made for further detailed evaluation.
CONCLUSION
A comprehensive dust emission inventory has been compiled for a South African opencast coal mine
using USEPA inventory techniques. It has been established that dust emissions from unpaved haul
roads is the predominant source from the mine.
The list of fugitive dust sources was made as complete as possible to establish the impact of all source
categories on the total inventory. This was done in order to ensure reliability of the inventory. The
inventory has been provided on a spreadsheet to enable quick update and to simplify future
inventory effort.
Data sources, methods used, and results of the inventory have been well documented to ensure a
technically defensible database. This inventory will be useful for several years and will allow a
prompt and efficient annual update. Furthermore, it will serve as a baseline for a control program in
that as the inventory is updated annually it is possible to chart the progress of the program.
Additionally, it will serve as a guide in the selection of parameters for monitoring programs. In short
the inventory provides part of the basic information upon which an air quality management program
must be based.
An economic model has been developed which allows input parameters to be changed to enable
comparison to be made of costs of alternative dust control methods and their associated emission
reduction levels. The model has been tested and found to be effective in evaluating the cost-
effectiveness of existing and alternative dust control strategies. The model is designed to provide a
quick and relatively accurate method of initial assessment of dust control scenarios.
On the basis of the economic analysis conducted in this study, calcium chloride emerged as the most
cost-effective dust control strategy for control efficiencies ranging from 50 to 90 %. For higher control
efficiencies (above 80 %), watering is the least cost-effective method of dust control. It has been shown
that selection of calcium chloride or ligno-sulphonate as an alternative method of dust control will
result in cost savings of 44 % and 16 % respectively relative to water spraying.
Cost curves, used to depict the results of the economic analysis, show the most efficient strategy at
various dust control levels. This information can be used to select appropriate mitigation approaches,
formulate guidance policies, and determine the cost of dust reduction from opencast coal mines.
10
NOMENCLATURE
Emission factor
Surface silt loading, g/m2
Surface silt content, %
Total road surface dust loading, g/m2
VKT Vehicle kilometer travelled
Mean vehicle speed, km/h
Mean vehicle weight, Mg or ton
Mean number of wheels
Number of days with at least 0.25mm of precipitation per year
Particle size multiplier
Mean wind speed, m/s
Material moisture content, %
Percentage of time the wind speed exceeds 5.4 m/s at the mean pile height
REFERENCES
Amponsah-Dacosta, F. and Annegarn, H. J. (1998) Assessment of Fugitive Dust from an Opencast
Coal Mine, Journal of Mine Ventilation Society of South Africa, Vol. 51, No. 1, pp. 5 11.
Ghose, M. K. (2007) Generation and quantification of hazardous dusts from coal mining in the Indian
context, Environmental Monitoring and Assessment, 130(1-3), pp. 3545
Hathaway, G. J., Proctor, N. H., and Hughes, J. P. (1991) Proctor and Hughes chemical hazards of the
workplace, 3rd Edition. New York, NY: Van Nostrand Reinhold
Jeffrey, R., Falcon, R. and Kinghorn, A. (2014) The benefits and challenges associated with coal in
South Africa, Conerstone: Journal of World Coal Industry, Vol. 2, Issue 3, pp. 66 70.
Jones, D. (1996) The impacts and control of dust generated from unsealed roads, Proceedings of the
South African Institute of Civil Engineers, Second National Conference on Environmental Management
Technology and Development, Johannesburg.
11
NIOSH (2011) Coal mine dust exposures and associated health outcomes: A review of information published
since 1995, Current Intelligence Bulletin 64, Department of Health and Human Services, Centers for
Disease Control and Prevention, National Institute for Occupational Safety and Health, DHHS
(NIOSH) Publication No. 2011172.
USEPA (1981) Procedures for Emission Inventory Preparation, Volume III: Area Sources, EPA-450/4-81-
026c, U.S. Environmental Protection Agency, Research Triangle Park, NC, September 1981.
USEPA (1987) Users Guide: Emission Control Strategies and Emission Factors for Unpaved Road Fugitive
emissions, United States EPA, EPA/625/5-87/022, Research Triangle Park, North Carolina, Sept. 1987.
USEPA (1988) Control of open fugitive dust sources, Midwest Research Institute, Document EPA-450/3-
88-008, Office of Air Quality Planning and Standards, U.S. Environmental Protection Agency,
Research triangle Park, North Carolina, Kansas City, Missouri.
USEPA (1991) Review of Surface Coal Mining Emission Factors, U.S. Environmental Protection Agency,
EPA-454/R-95-007, Office of Air Quality Planning and Standards, Research Triangle Park, North
Carolina
USEPA (1995) Compilation of Air Pollutant Emission Factors, 5th ed., AP-42, U.S. Environmental
Protection Agency, Research Triangle Park, North Carolina.
12
Economic Development and Public-Private Strategic
Alliances. Project Torex Gold "El Limn-Guajes
(ELG)"
Edel Ojeda
Media Luna Mine, Torex Gold Resources, Mexico
ABSTRACT
Torex Gold Resources (TGRX) operates the ELG project in Mexico based on sustainable development
that respects the environment, and strives for harmony with the communities that surround its
operations. To meet its goals, TGRX maintains strategic alliances with the government, I&D
institutions and local communities.
The ELG project has influence in five communities characterized with very high marginalization. The
social and economic environment of these communities suffered impacts in two ways with the arrival
of TGRX: the positive ones are local labor generation and formation of local microenterprises to
supply services and products. The sense of competition for natural resources from local people is an
undesirable aspect. In particular, the fishermen, who depend on a shared reservoir, have the
perception of possible contamination and loss of fishery resources. TGRX interacts with different
interest groups, especially the fishermen, who are offered permanent specialized advice. Now, eleven
fishing cooperatives were supported integrating over 100 fishermen providing new technologies and
best management practices.
Torex considers sustainability as part of the future project closure. Therefore, the relationships
between company-government-university-communities can work and help if they are integrated.
A strategic triple-helix evolutionary model of innovation was integrated by TGRX with university-
industry-government interactions; the government institutions that serve the primary and
industrialization sector; the business incubator from a local technological institute, the local
universities involved in rural development, and communities in the vicinity. Several high social
impact projects have been implemented.
This presentation will focus on the different types of businesses that have been created through these
strategic alliances.
Institutionalization of a Model of Intervention in
Early Childhood Development in Moquegua, Peru
Francisco Raunelli1, Sergio Gonzlez1, Anabel Arias1, Norman Gridley1 and Katherine
Anco2
1. Quellaveco Project, Anglo American, Peru
2. Ser y Crecer, Peru
ABSTRACT
Over a five year period, Anglo American Quellaveco (AAQ) implemented and funded a collaborative
project with the Ministry of Education, and regional and local governments, the Ludotecas
Quellaveco Project (educational play centers), aimed at bridging the gaps in early childhood care, of
children from 0-3 years of age, developing skills in a comprehensive way and strengthening parental
upbringing. This intervention started as a pilot project with five Ludotecas and has increased
progressively to 20. In order to address more remote rural areas, an itinerant or mobile modality was
incorporated. The intervention allowed 86% of the children who participated to significantly improve
their skills in the areas addressed, with the attendance of more than 2,000 children and their parents.
As a sustainability strategy, the process to transfer the 20 Ludotecas to government entities and public
agencies that were interested in undertaking their operation and continuing with the service, was
completed in 2016. The local educational management unit, jointly with Anglo American, follows
and monitors the operation of these centers. At present, 80% of the Ludotecas which have been
transferred now meet these conditions. Anglo American has plans to continue supporting the
Ludotecas and expanding their scope.
Based on opinion surveys conducted by AAQ, some 30 % of respondents familiar with Anglo
American consider that the main contribution to development is in education and of those that are
aware of its intervention, 86% identify this project. Support and contribution to development
through education is one of the variables of greater growth in the perception of the population, being
a project recognized at various levels.
1
INTRODUCTION
Anglo American Quellaveco (AAQ) is a copper and molybdenum mining project, situated at
elevations between 3,100 and 4,300 meters, 34 km from the city of Moquegua. It is designed as an
open pit mine and its construction will take four years, with an operating life of 32 years.
The company wishes to maintain the social viability of the project through sustainable development,
achieving significant progress in sponsored development programs, and strengthening its
engagement with and building trust of the Moquegua region. Although it is still waiting to begin
construction, the company is executing its social investment and is delivering on commitments made
to Moquegua.
Within this context, Anglo American Quellaveco implements social investment projects to contribute
to sustainable development, as well as development opportunities intended to reduce the socio-
economic gaps within the Moquegua population, while seeking to achieve the institutional
participation of the State and of society as a whole.
Since mid-2011, AAQ implemented and funded the Project named Ludotecas Quellaveco, building
alliances with the education and health sectors and with the local governments, in order to create
awareness and improved care during early childhood (0-3 years of age).
Ludotecas Quellaveco aimed to reduce gaps in early childhood care, by developing comprehensive
cognitive, psycho-motor and socio-emotional skills, and strengthening the parenting culture with a
vision of sustainability in time.
As part of the sustainability strategy, in September 2016 the Ludotecas, were transferred to State
entities at the local and regional level.
STATEMENT OF PROBLEM
In Peru 600,000 children are born each year; however, adequate health and education services are not
universally available. . In fact, one of every two children from 0 to 3 years old, suffers from anemia
and only 2.5% of children in the 0 to 3 age group are included in an educational program, whether or
not they are enrolled in school. The poverty of many households has an impact on the educational
level of the parents and, therefore, in parenting.
In the Moquegua region, progress in primary and secondary education has been significant; however,
educational services for children from 0 to 3 years of age are scarce within the urban area and are
virtually non-existent in the rural area. Thus, it is reported that within the 0-3 age group (10,591
children) only 7% benefit from regular and non-regular Early Education programs of the Ministry of
Education. These early stimulation centers are insufficient and are not necessarily sustainable. . They
are run by volunteers and mostly operate in inadequate places and with scarce resources, serving
primarily so that parents can leave their children while they work.
During the past five years, the Ludotecas Quellaveco project attended to some 2,100 children and their
parents. Since the project started, the percentage of early childhood care increased by 20%, decreasing
the percentage of neglect and showing a qualitatively significant improvement.
2
The initial evaluation identified that 88% of these children were in alert and medium-low (poor)
levels and only 12% were in the medium-high (good) and high level (excellent) with regard to
development of skills (pag.6), while 75% of parents were unaware of the importance of their
children's early education and evidenced inadequate practices in the culture of parenting.
METHODOLOGY
Concept
Ludotecas are educational facilities implemented so that parents may take their children under 3 years
of age and together with them carry out activities to develop in the following areas: fine motor skills
(fitting, painting, cutting), gross motor skills (walking, marching, dancing), hearing and language
skills (comprehensive, gestural and expressive ability) and social personal skills (affective
experiences and socialization of the child), based on a methodology focused on improving the
development of physical, psycho-motor, socio-emotional and cognitive skills during early childhood
and to strengthen parenting skills.
The methodology used was the Suzuki method, the philosophy of which is to stimulate the child
through music, play and affection. Through the following activities:
a) Free recreational activities, with the participation of parents and children, oriented to provide
space to be together and learn mutually.
b) Directed activities, with the participation of parents and children, conducted by the instructor.
c) Home visits by the instructors to follow-up and assess the improvement of the parenting culture.
d) Presentations for parents given by specialists in psychology, health and nutrition.
Participation of strategic partners

The Ludotecas Project called for the commitment and active participation of different development
agents: teachers, parents, specialists in early childhood education, social communicators, private
companies and institutions that were interested in and aware of the need to invest in early childhood.
The sustainability of this project was based on the generation of strategic alliances, wherein a private
company, civil society and the State combine efforts. Education and health sectors were identified
3
critical partners. In order to make this project viable, it was required to have adequate infrastructure
in place and a strong institutional commitment of each partner in each zone.
The steps taken to generate alliances were the following:

a.- Identify partner institutions with common objectives and willingness to take on this role.
b.- Arrange the contributions of each partner to properly implement a Ludoteca.
c.- Take steps for the signing of an agreement with each of these partners to formalize their
participation and clarify responsibilities.
The individual contributions of partners were established as defined in the table below:
STRATEGIC
ANGLO AMERICAN EDUCATION BENEFICIARY:
HEALTH SECTOR PARTNER IN
QUELLAVECO SECTOR PARENTS
EACH AREA
Funds spe cialize d Participate s in Provide s support Provide s a space Provide s
consulting that monitoring and follow- with he alth for e xclusive use , cle aning
imple me nts, monitors up of the Proje ct to profe ssionals such with the ne ce ssary mate rials for the
and asse sse s the e nsure its te chnical as: nutritionists, and re le vant Ludoteca and
Ludotecas Program re le vance assistants, doctors, conditions for the take s ste ps to
for training of ope ration of the improve the
pare nts Ludoteca. pre mise s if
ne ce ssary.
Funds bonuse s for Re giste rs the Asse sse s the he alth Assume s ope rating Participate s
the staff: promote rs, be nificiary childre n in condition of the costs of the toge the r with his
training for staff the syste m for childre n, vaccine s, pre mise s such as child, active ly
re gistration and growth curve . basic utilite s: wate r, and re gularly in
support of e le ctricity, se ssions.
Institutional municipal taxe s.
Manage me nt
Funds mate rials, Asse sse s the Ge ne rate s work Participate s in the Be come s
e quipme nt, furniture , pe rformance of the syne rgie s with the ongoing monitoring organize d and
transportation, promote rs that run Ludotecas Project to of the Program take s ste ps to
monitoring logistics, the Ludotecas and achie ve common introduce
ope rating e xpe nse s ge ne rate s syne rgie s obje ctive s improve me nts
to adapt to achie ve common in the Ludoteca.
e nvironme nts. obje ctive s.
The partners identified were: The regional government, through the regional office of education, the
local education management unit (UGEL) which is part of the Ministry of Education, two provincial
municipalities, five district municipalities and four village municipalities.
Location and Modality of the Ludotecas
The sites of the Ludotecas were selected according to the following criteria:
4
a.- Fairness, areas where there are no educational programs for children 0 to 3 years of age.
b.- Inclusion, remote areas with vulnerable population.
c.- Positive discrimination, those areas where there is greatest need and demand for educational
services.
In addition, according to the composition of the population, area and population density, the
following modality was established:
Community Ludotecas, were located permanently, assigned by the strategic partner and properly
implemented. Care was provided daily at times established by ages.
Itinerant Ludotecas. This modality was used to serve remote and rural areas where there are no
conditions to establish a site and where the population density is low. This modality considers a
travel suitcase, which contains all the basic equipment for operation (floor mat, games, equipment,
etc.). The person in charge made arrangements in advance with the population in order to hold
sessions twice a week. Six Ludotecas operated in this modality, located in high Andean areas.
Group organization
Children were placed in groups according to their age, and work two times per week, with different
activities for each group. The proposal envisages the compulsory participation of parents,
implementing a plan that will develop skills to improve parenting and also education at home.
Technical Team
The project was led by three expert consultants in child education and in the Suzuki method, eight
teachers in initial education, and 21 educational promoters, who were directly responsible for
running each Ludoteca. Health support was provided by 10 professionals including nurses, doctors
and psychologists.
Project Components
In order to develop the skills of children, the Project design was based on four components:
i) Institutional Awareness.
ii) Capacity Building
iii) Equipping, implementation and customization of environments.
iv) Monitoring and assessment.
Project Stages
The project was initially designed as a Pilot project, in which five community and two itinerant
Ludotecas were implemented. During this stage, strategies, procedures, alliances and project design
were validated and these results were used to improve the proposal as well as the ability to replicate
and expand its scope, launching a second improved "Extension" stage, increasing its scope to 20
community and six itinerant Ludotecas. Later, after four years of work, a third "Sustainability and
transfer" stage was launched which focused on ensuring the continuity of this program, transferring
responsibility to State institutions formally requesting this transfer.
5
MONITORING AND FOLLOW-UP
Diagnosis and Assessment

An initial diagnosis and final assessment of the Project was made to evaluate the skill development
level reached by the children and the parenting culture of the parents who joined the project.
The childrens assessment was conducted using the Nelson Ortiz Scale of Psychosocial Development
(1), (EDPS), which allows making a diagnosis of child development. This scale is based on four areas
of evaluation:
a. Gross Motor Skills: Global mobility, walking, running, jumping, etc.
b. Fine Motor Skills: Coordination of specific movements, calculus of distance, visual tracking,
etc.
c. Hearing and Language: Speech-related sensory capacity.
d. Personal Social: Child's ability in initiation and response during social interaction.
And the regulatory parameters correspond to four levels:
DEVELOPMENT LEVELS
ALERT MEDIUM-LOW MEDIUM-HIGH HIGH
Graded as Graded as Graded as Graded as
DEFICIENT REGULAR GOOD EXCELLENT
Participatory Monitoring with partners

Each partner visited the Ludotecas on an unannounced and bimonthly basis accompanied by any
authority of the UGEL or of the social development management of the Regional Government.
Specialists from the education sector were involved in at least three monthly visits to different areas.
The results of these visits were reported to the education authority and shared with the partners.
SUSTAINABILITY
The sustainability of the project was designed from the outset to ensure continuity. The objective was
to transfer 100% of the Ludotecas and formally engage State institutions, to continue providing the
educational service. This work included three stages:
Identification and confirmation of partners: This was done according to the areas of intervention,
seeking that they are mainly linked to the educational and/or health sector.
1
Ortiz, Nelson; adaptation of Frida Shean of Len. Abbreviated Scale of Psychosocial Development.
UNICEF-PROANDES, Ministry of Education, Culture and Sports- Deputy Minister of Education. Bolivia,
1997.
6
Capacity building: Aimed at strengthening the skills of the staff and/or officials responsible for
the social investment project management in local governments and partner public institutions.
Institutional commitment: The strategy was to internalize the ownership of the program in every
partner and, for this purpose, participatory monitoring, joint visits and progress verification were
carried out; co-design procedures were established, and institutional agreements were
implemented that encourage the interest in hosting Ludotecas with all their components and
commitments, in such a way so as to guarantee their continuity.
One of the aspects that positively influenced the decision of the partners to accept the Ludotecas, was
the broad acceptance of the program by the parents and their request to institutions to take steps to
continue with the service in their area, since it was an intervention valued as positive.
RESULTS
The program had positive results in various areas, as discussed below:
Empowerment
Participating parents began to build an empowerment process through their committed participation
at sessions, and started to value the space and time that was positively shared in the education of the
children. These results could then be replicated at home. The parents also came to realize that they
must be self-managers of development and that of their children, assuming a shared responsibility
with the educational institutions. Thus, an activity they assumed was their own organization,
defining days in which parents went to the Ludoteca to help in cleaning it up in order to look after the
health of their children. Later, they got organized to manage cross-sectoral support for festive
activities that benefit their children and, in an organized manner, generated several recreational
spaces outside the Ludotecas that strengthened this organization.
Social participation
Each venue obtained social recognition in its own areas, participating in the civic calendar, and in the
social life of its areas, in an institutional manner (parades, etc.). Currently, parents are taking steps
with the partners towards the continuity and improvement of the educational service; they have
organized themselves, and communicate through social networks to make their participation more
effective; they analyze and propose alternatives; and look for solutions.
Stakeholder Engagement
The implementation of the project has allowed the community to recognize the Quellaveco Ludotecas
Program as an Anglo American Quellaveco initiative, with positive comments such as classifying this
investment as a successful project due to its contribution to early childhood education and the ability
to work jointly as private enterprise, society and the State.
The project introduced itself into the families through home visits, during which counseling by
professionals allowed 2,100 families to gain awareness of the importance of early childhood
education. Also, through the project they became more familiar with Anglo American Quellaveco,
and recognized the companys clear interest in contributing to regional development.
7
The regional educational authority and the Ministry of Education, have become strategic partners of
AAQ, who have validated this intervention, recognizing it and disseminating it in various academic
and professional forums.
These aspects have contributed to the survey results which show that the population, in general,
considers that the main contribution of Anglo American to development is in education (30%,) and
of those that are aware of AAQs social intervention, 86% are familiar with this project. The
perception of support and contribution to development through education has grown in recent years.
Pedagogical
The program showed pedagogical results, including:
- All the promoters who participated in the program, responsible for the education of children,
improved their performance.
- With regard to levels of development:
a.- The percentage of children in the "Alert Level" decreased by 15% (from 23% to 8%)
b.- The percentage of children in the "Medium Low Level" was the segment that dropped the
most, down by 32% (from 55% to 23%)
c.- The percentage of children in the "High Level" increased their participation by 22% (2% to
24%).
d.- The percentage of children in the "Medium-High Level" was the segment that increased the
most, by 32% (20% to 45%) showing that the Ludotecas project, had a positive effect in the
development of skills in children. This level is equivalent to a "good" performance.
The assessment in 2016 shows that of 100% of children who are in the Medium-High and High level,
86% belong to urban areas in all areas of development and the balance of 14% belong to the rural
sector. This clearly shows a negative effect related to the rural area, which is mainly linked to poverty,
nutrition, health, dedication to education on the part of the parents, and cultural aspects.
The level of ignorance about good parenting practices declined from 70% to 25% based on post-
program assessment results.
Transfer
When AAQ funding was completed, 100% of the Ludotecas were formally transferred to the municipal
governments, the regional government and partner institutions, generating administrative and
8
budgetary processes in all of them thanks to a permanent awareness process, visits and participatory
monitoring at different locations of the Project. One of the most important aspects is that the project
institutionalized an intervention model to address early childhood, making it sustainable in the
Moquegua region.
The objective was achieved: as of September 21th, 2016, 100% of the Ludotecas were formally
transferred and continued operating.
CHALLENGES
The main challenges facing the project are to:
- Maintain the concept and objective of the Ludotecas and prevent them from being used for
other purposes, such as day care centers, among others.
- Continue engaging the Local Educational Management Unit (UGEL), with a supervisory role
jointly with Anglo American, to track and monitor the transferred Ludotecas and thus
guarantee their sustainability.
- Maintain the institutional commitments, despite the changes in educational policies and
change of officials that may occur after regional elections.
LESSONS LEARNED
When observing significant differences in results among the urban Ludotecas as compared to those of
rural areas, it is important to note that the interventions in rural areas should be more comprehensive,
taking into account aspects of health, nutrition and education in adults, in order to maximize results.
The differentiation of the type of intervention, taking into account the population density
(community and itinerant), has been a success that could be strengthened with the participation of
other supplementary social initiatives to generate synergies, so that the efforts of parents and children
may be enriched even more.
The formation and formalization of strategic alliances have contributed much in the design,
implementation and transfer of the Ludotecas, which aspect would have been more difficult had it not
been done from the outset. However, more direct communication should be encouraged between the
partners and the beneficiaries of the program, especially anticipating the transfer in such a way that
it can be more efficient.
It has been very important to have a monitoring and follow-up stage subsequent to the transfer, since
that has allowed identifying deviations and contributing to the resolution of inter-institutional
obstacles.
9
NEXT STEPS
Evaluate the fulfillment of the Transfer Agreement on a permanent basis and in a participatory
manner with all parties involved.
Encourage the resumption of activities in 20% of the Ludotecas that were transferred, and already
have a budget, but for administrative aspects cannot be fully operational yet.
Terminate the agreements in those cases of Ludotecas, which despite the advice provided are unable
to restart their activities, so that they will be transferred to other partners.
CONCLUSIONS
The project has demonstrated educational effectiveness, social impact, and the institutionalization of
the early intervention model, generating further social recognition for AAQ, contributing
significantly and positively to the companys reputation in Moquegua.
When parents become involved in the project they have been observed to improve their parenting
culture, as well as assuming organizational support roles, managing changes in search for better
conditions for their children, and reaching out to the educational and political authorities..
After almost one year of having transferred the Ludotecas, 80% remain in full operation. With the
remainder, efforts will be made to improve their operations, by continuing with counseling,
relocating those with difficulties and increasing the scope by implementing more Ludotecas in areas
where service was not previously available.
NOMENCLATURE
EDPS, Nelson Ortiz Abbreviated Scale Psychosocial Development.

MED, Ministry of Education of Peru.
AAQ, Anglo American Quellaveco.
PARTNER INSTITUTIONS, State organizations that contributed to the implementation of the
Ludotecas project and requested to be transferred one or more locations in order to be
comprehensively managed by them.
UGEL, Local Educational Management Unit
REFERENCES
Shinichi Suzuki (translated by Waltraud Suzuki): Nurtured by love: a new approach to education.
Smithtown (New York): Exposition Press, 1969. ISBN 0-682-47518-1. 19th edition: 1981.
Enciclopedia Universal Ilustrada Europeo Americana. Suplemento 1997-1998. Espasa Calpe,

Madrid, 1998. ISBN 84-239-4368-2.
10
SERRANO OSANZ, ANA ISABEL, Shinichi suzuki: un puente musical entre Japn y occidente,
Ecos de Asia magazine, April 2014,ISSN 2341-0817.
Suzuki,S. "Educated with love" Ed. Share, 2015
Abbreviated Scale of Development (Ministry of Health - Nelson Ortiz - November 1999)
11
Social Investment Fund of Participative Management:
Moquegua Development Fund, Peru
Francisco Raunelli, Alfredo Mogrovejo, Sergio Gonzlez, Mara Millones, Norman
Gridley and Eduardo Serpa
Quellaveco Project, Anglo American, Peru
ABSTRACT
Anglo American has proposed a major open pit mining project in the Moquegua region. An 18 month
long dialogue table process, undertaken with stakeholders of the region, resulted in an agreement for
some 26 commitments in the areas of social, environmental and water resources. The completion of
the dialogue table has been credited with supporting the social license to operate. One of the most
significant financial commitments is the establishment of the Moquegua Development Fund (MDF).
Over the life of the Quellaveco mine, the resources assigned to MDF have a value of approximately
1 billion soles ($300 million USD). The management of the MDF is via an independent legal identity
formed by Anglo American representatives, local and regional governments and members of other
sectors of the society. The administration will be through a Trust Fund.
The MDF was established in 2014 and has been focused on the implementation of an irrigation project
as its first major capital investment. The public awareness of the MDF is generally good, and Anglo
American believes that it has helped to support the social license to operate. The activities of the
MDF are transparent and are regularly reported in the local and regional media. Over the life of the
Anglo American Quellaveco project, the MDF will administer resources contributed by the company
and part of this will be distributed to projects in the three provinces within the region that arise from
proposals generated by local stakeholders. All projects will be required to meet the criteria of the
MDF. In the long run the MDF is designed to be sustainable well beyond the life of the Quellaveco
project.
1
INTRODUCTION
Anglo American Quellaveco is a copper and molybdenum mining project, located at an elevation
between 3,100 and 4,300 meters, 34 km from the city of Moquegua. It is designed as an open pit mine
and its construction will take four years, with an operating life of 32 years. The Moquegua region is
located to the southwest of the country, and has three provinces: Mariscal Nieto, Ilo and General
Snchez Cerro.
In order to obtain the social license for the Quellaveco Project, a working group called "Dialogue
Table to a Analyze Mining Issues of the Moquegua Department was installed in March 2011 in order
to take advantage of the opportunities that would generated by the project, recognizing that
expenditures of Anglo American Quellaveco (AAQ) could boost the development of the region. As a
result, the three objectives related to topics of interest to regional development were established:
water resources, the environment and social responsibility, and work teams were created for each
one.
As part of the dialogue process that was carried out, AAQ made 26 commitments related to the topics
evaluated by the three work teams. Some 38 institutions representing the interests of the various
sectors of the Moquegua Region participated in this process, including: national, regional and local
authorities, as well as various grassroots organizations.
The Social Responsibility Committee proposed the implementation of a fund as a contribution of
AAQ to social responsibility, for the implementation of sustainable projects and delivery on
commitments, under the administration of a board of directors that would be formed by regional and
local authorities, civil society, and AAQ, which was to be called Moquegua Development Fund
(hereinafter MDF). The Committees proposal was accepted by the Dialogue Table and includes a
major financial contribution by AAQ during construction and operation of the Project.
Although today AAQ is waiting for approval from its board to begin construction of the project, it is
carrying out interventions that contribute to sustainable development, delivering on its
commitments, and is making progress in many areas.
METHODOLOGY
Design
The Social Responsibility Committee was in charge of designing the management model for the MDF,
including defining the guidelines for the establishment of the Fund, including structure,
stakeholders, amounts to transfer, infrastructure projects, and local capacity-building.
After ten meetings, some of them supported by input from external consultants specializing in social
responsibility and management of development funds, the Committee decided that the Fund should
be managed by an independent legal entity, and should be set up as a non-profit civil association
2
with resources administered through a trust fund. This structure would allow ensuring transparency
in the operation and in the management of funds.
The Moquegua Development Fund is established as a mechanism to deliver on the commitments of
the Dialogue Table. The MDF also periodically informs the Monitoring Committee on the progress
made to comply with Commitments.
The Monitoring Committee is the body responsible for verification of compliance with the
agreements, commitments and recommendations made through the Dialogue Table and to inform
the Moquegua population of the progress made. The Monitoring Committee is composed of the
Regional Government, Provincial Local Governments, Community of the direct area of influence,
Civil Society and AAQ.
Objectives of MDF
Promote the social welfare and sustainable development of the Moquegua Region.
Improve the quality of life and well-being of the population.
Execute in a transparent way the commitments of the agreements reached at the dialogue
table that require financing.
Prioritize and fund different types of projects according to the needs of the areas.
Transparently guide the process of convening and selecting contractors, supervise the
execution of the works and carry out a process of evaluation, monitoring and continuous
improvement.
The MDF has become a strategic element in contributing to building trust within the
community.
Governance
The Moquegua Development Fund is a non-profit association incorporated on March 18, 2014, which
aims to promote the sustainable development of the Department of Moquegua through the
implementation of projects aimed at achieving social wellbeing.
The MDF is composed of three governing bodies: the General Assembly of Partners, the Board of
Directors and the Executive Management.
The partners in the MDF who formed part of the dialogue process that was carried out represent the
diverse interests of the population.
Partners:
Moquegua Regional Government: Highest-ranking government at the Regional level.
Members are renewed through regional elections every five years.
3
Provincial Municipalities of Mariscal Nieto, Ilo and Snchez Cerro: Local governments at
the provincial level. Members are renewed through municipal elections every five years.
Representatives of the Chamber of Commerce and Industry of Ilo and Moquegua:
Associations of the commercial sector whose members are renewed in internal elections
every two years. They represent civil society.
Anglo American Quellaveco: Has two representatives, which are directly involved in the
social management of the project.
8 partners
General Quarterly meetings
Assembly
Chairman
Board of Vice Chairman
Directors Secretary
4 Members
Monthly meetings
Outsourced service
Executive
Management (this service is tendered
and selected by the
partners)
Figure 1. Governance structure of the Moquegua Development Fund
Resources
The expenditure for social responsibility of Anglo American Quellaveco agreed through the Dialogue
Table will be approximately 300 million dollars (1 billion soles) disbursed over time follows:
Table 1. Distribution of AAQ contributions to the Moquegua Development Fund
Mine stages Amounts (million S/.)

Cons
truct
year
ion
(4
(1) Moquegua Development Fund 250

s)
(1) Includes water system for agricultural purposes, water storage systems and
implementation of social projects in 3 provinces.
(2) Includes social responsibility commitments directly implemented by AAQ.
(3) Includes: Various studies and implementation of social projects in the three provinces.
4
(2) S-Dialogue Table 100
Operation
(30 years) (3) Moquegua Development Fund 650
TOTAL 1,000
Commitments Associated to the MDF
Of the 26 commitments made through the Dialogue Table, some will be managed through the MDF
and others are directly administered by Anglo American, informing the Monitoring Committee.
Their implementation is planned according to the construction and operation stages of the mine.
Table 2. Commitments established in the scope of the Moquegua Development Fund
Construction Commitment 8: Microbiological and biological study in Millune River, a tributary of

the Asana River, to improve its quality after detecting elements such as aluminum that
350 million is above permissible limits and its PH is acid.
soles Commitment 11: Construction of a water storage system in Asana with a capacity of
2.5 million cubic meters, that will contribute to the water balance in the Moquegua
region.
Commitment 12: Queua and Guanaco protection program, which species are in danger
of extinction.
Commitment 13: Wetlands protection program in the area of influence (Wetlands:

vegetable formation in Andean highlands with permanent humidity)
Commitment 23: Chilota Chincune Project. System of dams, pumping and water for
expansion of the agricultural frontier in the region.
Commitment 23: Implementation of sustainable projects in the three provinces.
Commitment 24: Implementation of Local Vendor Programs.
Commitment 25: Implementation of Training Program for Employment.
5
Operation Commitment 8: Definition of the water treatment process to improve its quality in
accordance to the microbiological and biological study in the Millune River.
650 million
soles Commitment 16: Feasibility study for the construction of a dam in the Titire area, for
the purpose of water use.
Commitment 17: Include the Moquegua - Osmore river basin in the Environmental
and Social Management Plan as direct area of influence of the Quellaveco Project.
Commitment 18: Feasibility study of a dam in the Pacchani river to replace the bad
quality ecological water flow with clean water from the dam.
Commitment 22: Study of an additional dam in the Moquegua River basin for the
purpose of expanding the agricultural frontier.
Commitment 23: Implementation of projects in the three provinces.
6
Early Funding of the Chilota-Chincune Project
Anglo American was committed to start its financial contributions to the MDF once the Board of
Anglo American approves the Quellaveco Project. However, taking into account that this is one of
the commitments with more expectation by the population and important to the Moquegua region,
at the request of and in coordination with the authorities, Anglo American Quellaveco decided to
advance a social investment contribution of up to S/. 100 million for the implementation of the
"Chilota - Chincune Phase I Drive Line and Storage System" project. This project will allow expanding
the agricultural frontier in the Region by 1,750 hectares through the supply of 650 l/s of water. The
project progress is over 60% as of July 2017, and is projected to be completed by late 2017.
Implementation of Development Projects in the Three Provinces

This is one of the commitments most eagerly awaited by the provinces in the region, and will be
implemented during the construction stage of the Quellaveco Project, with a contribution of S /. 50
million to be allocated to of projects in the three provinces. Following the completion of construction,
AAQ will make a contribution of approximately S /. 650 million, corresponding to a top-up of 20%
of the annual mining royalty as paid per the Mining Royalty Law1. The contribution will be
distributed equally among the three provinces of the Department of Moquegua.
The projects supported by this future funding must satisfy requirements of sustainability, social
inclusion, empowerment, environmental stewardship, and sustainable livelihoods, consistent with
AAQ social responsibility policies.
In order to ensure the continuity of the MDF, funding for projects will be distributed in the following
manner:
50% Non-refundable
MDF management
Capacity building
Health and Education
50% Refundable
Contribute to the self-sustainability of the MDF, so that it will prevail over time, during
and after the mining operation.
Productive projects
Supplemented by financial resources from other sources. The opportunity exists to
leverage resources, manage activities and execute projects together with other
institutions.
7 1
The mining royalty is an economic consideration established by law, whereby the owners (and assignees) of mining
concessions are required to make monthly payments to the State for the exploitation of metallic and non-metallic mineral
resources.
The social investment projects implemented by the MDF are complementary and not supplementary
to the Invierte Peru System (DL 1252)2. MDF money should not be spent on political, religious or other
activities that are not directly related to social investment.
The projects will be proposed by the Regional or Local Governments and the MDF will be in charge
or approving or rejecting them. Anglo American Quellaveco has the right to veto any project that
does not comply with the guidelines established in the MDF or that may contravene Anglo American
policies.
Figure 2. Project approval process
MDF Control Mechanisms

Trust Fund, the tool to manage the financial resources, to ensure that the MDF uses the
money strictly for activities related to the purposes set out in the bylaws.
Social investment agreement. Contributions to be made by AAQ to the MDF will not be a
donation, but an investment that is part of the social responsibility expenditure that AAQ is
making.
Structure of Powers, powers of contractual representation and banking representation, are
necessarily exercised with two signatures, one of which must be a representative of AAQ.
Management tools. Approved by the MDF:
- Strategic Diagnosis
- Organization and Functions Manual and Regulations, Job Descriptions
- Contracting and Procurement Regulations, Process Manual
2
8 Legislative Decree that creates the National System of Multi-Annual Programming and Management of Investment
(Invierte Peru) and repeals Law N 27293, Law on the National System of Public Investment. (December 1, 2016).
- Standard terms of selection processes defined in the Contracting and Procurement
Regulations
2
9 Legislative Decree that creates the National System of Multi-Annual Programming and Management of Investment
(Invierte Peru) and repeals Law N 27293, Law on the National System of Public Investment. (December 1, 2016).
- Conceptual Design of the Monitoring, Assessment and Knowledge Management
System.
Outsourcing of the MDF management, which is in charge of the Executive Management,

whose role is to ensure the correct performance of the projects (management, processes,
procedures, outsourcing or other mechanisms). Has legal, administrative and technical
functions. This is a service provided by a third party, which is tendered and whose selection
is decided by the partners.
Audits. The MDF must undergo Internal and External Audits. They are submitted to the
General Assembly for approval.
Veto right. Anglo American Quellaveco has the right to veto any project that does not
comply with the guidelines established in the MDF or contravenes Anglo American policies.
Decision-making, at the General Assembly of Partners and the Board of Directors, decisions
are adopted by majority vote, except in specific cases, such as admission of new partners that
requires the favorable vote of all partners.
Building Trust with the Community
Reputation and trust are critical non-tangible assets for a company. Trust is built with stakeholders,
and to do so it must be borne in mind that trust is the belief by people, with regard to the company,
that it will act properly in certain situations, and this trust will build over time, and is reinforced by
its actions. Thus, the actions implemented by the company are aimed at providing and building trust,
and to this end it not only delivers on its commitments, but also places special emphasis on the way
it does this. The creation of the MDF is essential for this purpose, in order to transparently manage
the funds allocated, and conduct follow-up and monitoring through the Committee on verification
of compliance with commitments. In this way, AAQ is accountable for the progress of its
commitments to the institutions, the Government and civil society in general.
Challenges to Date Regarding the Operation of the MDF
Many representatives on the MDF are changed according to tenure of their political representation.
For example, in 2018 practically all government representatives will be replaced.
Some representatives see the MDF as an agenda for political discussion and others as a limelight
platform, to gain political notoriety.
Media pressure has arisen regarding demands for more funds, in the face of the smaller budget they
receive from regional and local governments, as a result of the mining tax (Canon), among others, as
well as management aspects which result in lower local government expenditures.
10
Lessons Learned During the Operation of the MDF
Having public institutions of the region as partners of the MDF has allowed their involvement in
decision-making. In the future, there is the opportunity to form synergies to develop projects in the
three provinces and at the regional level, increasing the beneficial impacts of investment.
With the changes in representatives of government institutions, it will be necessary to have a
communication and induction plan in place, to accelerate their involvement in the operation of the
MDF.
The outsourcing of the management service has allowed minimizing administrative operations:
payments, labor, contractual and logistical matters; and giving more emphasis to technical aspects of
the projects, as well as reducing tension and discussion among the members.

Actions that have been implemented in conjunction with the members of the MDF through active
participation have diminished potential conflicts through involvement in decision making,
monitoring of investments, and joint operations.
In the case of the individual execution of a major project by the company, potential conflicts are
generated by the construction and investment process. The organization of the MDF has eliminated
this focus of attention while maintaining confidence in and the reputation of the company.
CONCLUSION
Positive signals provided by the company are fundamental to building trust. Thus, after the
implementation of commitments started, among which the MDF is included as one of the
most important, confidence in the company has increased.
The MDF has provided an opportunity to improve the perception of AAQ projects and
delivery on its commitments.
The possibility of monitoring compliance with commitments improves the perception of the
company.
Although the Chilota - Chincune project is still under construction and is the first project
under MDF management, it is already showing benefits in the region, with the hiring of local
labor and services, and also of members of rural communities located near the project site.
The expected impact is major, once construction has been completed, as it will irrigate 1,700
hectares of desert with a view to export crops, an aspect that will generate employment,
services and income, (Moquegua currently has 5,000 hectares of crops).
11
The design for investment in development projects is aimed at generating more impact with
the leverage of third-party funds that include public money, an aspect that will be of benefit
to the company, the government and society in general, which also allows generating a
collaborative stream between the different levels of regional and local governments that
participate.
The projects to be developed by the MDF should be aligned with the Regional Socioeconomic
Development Plan, which will cover the development needs identified in the region, and
ensures linkage and alignment with aspects prioritized by the authorities and the population.
It is not the intention of the MDF to supplement or duplicate the efforts established within
the State.
REFERENCES
Final Report of the Dialogue Table - July 2012
Final Document of the Social Responsibility Committee / Dialogue Table - July 2012.
AC Pblica, Organizational Design of the Moquegua Development Fund; Strategic Diagnosis / Public
Community Assembly - September 2014
Moquegua Development Fund Bylaws - March 2104.
12
CHAPTER 6
Social Investment,
Community
Development, Social
Enterprise and
Collective Impact
Stakeholders and the Environment: The Value of a
Good Neighbor Agreement
Jon Mendieta and Carla Salinas
Andes Costa, Chile
ABSTRACT
Since the introduction of stakeholder theory in the lexicon of business management in the early
eighties, a great deal of literature has emerged. Most authors stress the importance of stakeholder
identification, its classification, analysis and management. Mining corporations engaged in
businesses with a high environmental risks and a low level of acceptance by certain stakeholders are
permanently exposed to operational losses, to lost share market value, reputational damage and
issues of legitimacy. Stakeholder theory has become an important instrument in the implementation
of Good Neighbor Agreements (GNAs). GNAs are a way of distributing the benefits of mining
operations between the mining company and impacted communities, as well as addressing other
local community interests and concerns. This paper provides an overview of community and mine
corporation engagement in GNAs trough a literature review. We analyze the value of GNAs in
mitigating the mining companies' risk of operational losses, stock market downturns and damages
on reputation and their legitimacy. We conclude that GNAs help in the optimal economic
performance of mining projects, validate the social license to operate, and create trusting bonds
between the mining company, community and external stakeholders.
1
INTRODUCTION
Within the minerals industry, a key driver for companies to improve their community engagement
practices has been the desire to reduce the community risks associated with current and planned
operations and smooth the path for obtaining access to new resources (Humphrey 2000, 2001;
Brereton 2002). Hence, a social license to operate is increasingly important in the mining industry
(Jackson and Barber 2015). Since Freeman (1984) introduced stakeholder theory in the lexicon of
business management, a great deal of literature has emerged. Stakeholder theory addresses the link
between the companies and stakeholder groups, taking into account interests and interactions
(Viveros 2017). Stakeholders are any group or individual who can affect or is affected by the
achievement of the organizations objectives (Freeman 1984). In this regard stakeholders include local
communities in addition to non-government organizations, governments, shareholders and
employees. In the mining industry the term community is generally applied to the inhabitants of
immediate and surrounding areas who are affected in some way by a companys activities; these
effects may be economic and social as well as environmental in nature (Harvey and Brereton 2005).
As any other stakeholder, the community can affect the performance of mining activities both in its
current operations and in its expansion plans.
In many locations throughout the globe, conflicts between mining companies and communities are
common. In some cases, stakeholder concerns have led to legal actions against mining projects.
Conflict with communities clearly has the potential to lead to serious costs to the companies
involvedas well as to the communities themselves, governments and broader society. Some of the
most significant costs to companies relate to disruptions to production, lost opportunities, and the
amount of staff time spent managing existing or escalating conflict (Davis and Frank 2011). These
conflicts are generally rooted in the competition between the mining industry and the community
over natural resources, such as water or land, and in the adverse impacts caused by the mining
operations on the environment and on the public health. In countries like Chile, numerous laws,
regulations and permits are intended to provide protection for local communities. However, these
protections are frequently viewed by communities in many cases as not fully adequate with a lack of
local sensitivities. In that context mining corporations engaged in businesses with a high
environmental risks and a low level of acceptance by certain stakeholders are permanently exposed
to operational and share market value losses, reputational damage and issues of legitimacy.
Communities, mining corporations, and local governments often see a need to address these conflicts
through the use of agreements negotiated directly with the companies, such as the Good Neighbor
Agreement (GNA). This paper provides an overview of community and mine corporation
engagement in Good Neighbor Agreements (GNAs) through a literature review.
For the purposes of this paper, a GNA is a legally binding written document that contains terms
agreed upon by two or more parties defining how to resolve problems that may arise. As a
mechanism, the GNA establish environmental standards and a new type of dialogue, based on
understanding of mining impacts and trust between the mining company and the community,
promoting environmental protection and public health (Masaitis and Miller 2013), and specifying the
2
terms under which the mining project should proceed. In exchange, community members agree to
be bound by certain conditions, such as giving up the right to litigate particular issues. As with any
contract, once the terms are mutually agreed upon, they become enforceable through the courts.
It is necessary to emphasize that a GNA, regardless of the nomenclature given to it, is not only an
economic agreement between the company and the community for the construction of infrastructure
or service goods. The GNA goes beyond and is linked to the concept of stakeholder theory in terms
of the community participation in the environmental and social management of mine operations.
GNAs are unique in that they are corporate-community agreements designed to cooperatively
address the negative impacts of industrial pollution or other nuisances (Kenney et al 2004). The first
GNA was negotiated in Worchester, Massachusetts in 1978 as a community strategy to remediate
issues of environmental pollution due to the Electric Steel Foundry Companys (ESCO) emissions
(Gonzales and Saarman 2014).
In this context, the objective of our paper is to review the value of GNAs in mitigating the mining
companies' risk of operational losses, stock market downturns and the damages on reputation and
their legitimacy. First we start our reasoning exploring case studies of some mining corporations
stock market downturns due to environmental and social conflicts. Next we analyze published GNAs
case studies to conclude with a discussion and concluding remarks.
METHODOLOGY
GNA case studies analyses
The research approach used in this study to know if GNAs have mitigated the risk of losses to mining
corporations is based on the review and analysis of published case studies in the internet and in
specialized journals. Locating GNA case studies is a difficult task because not all GNAs are published
and in some cases the terminology is not adequately used.
Companies stock market losses
With the purpose of partially visualizing the impact of conflicts on mining operations, an Internet
search was conducted to look for news related to social or environmental conflicts involving mining
companies. With the dates of these news a search of the stock values of these companies was carried
out, before and after the date of the news. This search was performed using the Yahoo Finance
platform.
The implementation record of GNAs in the case studies analyzed is more similar than different, and
is generally positive, both for the communities and for the mining companies. Even when mining
3
corporates met with all legal requirements, permits and environmental impact assessment processes,
they usually did not take completely into account the communities sensitivity about environmental
concerns, ancestral values of the territory or the way of life of a community.
In most of the case studies when the companies needed a new legal permit or requirement for its
expansion or when the company violates an existing permit or has an environmental accident, such
as a spill or a tailings lockdown, they provided an opportunity for community opposition (Table 1).
Furthermore, the companies provided an opportunity for external stakeholders to threaten a lawsuit,
public campaigns against the corporation in the media or other forms of activism. When all that
happened the companies accepted to negotiate, resulting in a GNA to address community concerns
and to stop losses in share values, operational losses and reputation damage.
In general, the objectives of the GNAs are to:
- Minimize adverse impacts of mining operations on the local community and environment
- Facilitate open communication among all GNA parties
- Citizen access to information regarding environmental compliance and performance, including
the right to inspect environmental independent audit results and mine operations
- Provide opportunities for community and external stakeholder participation in decision making
- Legally bind current and future mine owners to the GNA, for the life of the mine
- Incorporate conflict resolution methods, such as arbitration, to minimize lawsuits or avoid future
legal challenges, whenever possible.
4
Table 1 List of GNAs reviewed in this study.
Company
Date of and Risk reduction to the
Country Conflict Benefit for the community Ref.
GNA resource company
mined
Bowie The adoption of the GNA

Increasing truck and rail traffic and The GNA provided the Kenney
Resources. allowed the company to
2000 USA noise associated with increased community with a mechanism for et al.
move forward quickly
Coal production at a coal mine. addressing the traffic issues. 2004
with expansion.
Stillwater Community groups used pending The GNA addresses concerns

Mining permits and threatened lawsuits The GNA allowed mine relating to environmental Kenney
2000 Company. USA together with a negative publicity operations/expansion to protection and the community et al.
campaign to stop mine operations proceed. impacts of new workers being 2004
Palladium and an expansion plan. brought in to increase production.
Constancia The adoption of the GNA The GNA addresses concerns

Mine, Conflicts over natural resources such allowed the company to relating to environmental
2012 Hudbay Peru as water. Community demands an start operations after 9 protection and an investment plan Internet
Minerals. investment plan for the council. months of negotiations. for the community.
Cooper
Minera Los Considers progress on issues

Pelambres, The community rejects the
related to works on water and
Antofagasta construction of El Mauro tailings Reduction of the
2016 Chile safety and the implementation of Internet
Minerals. dam, putting at risk the expansion of opposition to the project.
community and family
the project.
Cooper development funds
Argyle Aboriginal opposition to The agreement provided a range of

The area of the project was of
Mine, CRA a diamond mine was benefits to flow to Aboriginal
particular significance to local Doohan
1980 Ltd. Australia withdrawn, giving the people: annual payments to local
Aboriginal people, What caused the 2004
company secure tenure indigenous communities for access
Diamonds opposition to the project.
over the resource to the mining lease area
5
Company
Date of and Risk reduction to the
Country Conflict Benefit for the community Ref.
GNA resource company
mined
The agreement recognizes

The agreement was voluntary and
Aboriginal people Traditional Owners as the
Argyle established a partnership
recognized Argyle's right landlords of the Argyle mining
Mine, Rio arrangement between Argyle and
to continue its current lease, providing a formal and
2005 Tinto. Australia the Traditional Owners, upon which Internet
mining operations and to binding acknowledgement of
community and economic
Diamonds establish an underground Traditional Owners' rights and
development extending beyond 2020
mining operation. interests, including native title
could take place.
rights, in the mining lease area.
6
Companies stock market losses
The Table 2 shows a compendium of environmental conflicts and fall of share values of the involved
companies during the dates of the incidents.
It is important to note that the data indicated in the Table 2 represent specific situations and that there
could have been other factors that contributed to the fall in share value. In that sense, to be able to
discriminate all the factors affecting the fall of the values, further research should be made.
Table 2 Compendium of environmental incidents and conflicts indicating fall of share values.
Date Company Country Conflict Fall in share value
Milestones in the judicial The values fall by

9, 10, claim for the tailings dam 5.34%; 6.24% and
Antofagasta PLC Chile
12/03/2015 El Mauro and protests of 5.18% respectively
the community. during those days.
Mexico Group,
Sulfuric acid spill to the
21/08/2014 Complejo Minero Mexico 5,64%
Sonora river
Buena Vista
Imperial Metals
07/08/2014 Canada Tailings dam lockdown 50%
Corp.
Barrick Gold, Delays in project

2013 Chile Environmental conflict
Pascua Lama construction
Fall of 36.4% on
Newmont Minning Mercury spill, 46 people
2000 Per return 103 days after
Corp. intoxicated
the accident
Mina de
25/04/1998 Aznalcollar, Spain Tailings dam lockdown 96 %
Boliden Group
CONCLUSION
While formerly the fulfilment of the law and royalty payments were enough for the development
and operation of mining projects, nowadays mining corporations need negotiated contracts with
other stakeholders to gain trust and their endorsement. The GNAs are a powerful tool that
supplements and exceeds legal requirements. They help in the optimal economic performance of
mining projects, validate the social license to operate, and create trusting bonds between the mining
company, community and external stakeholders.
7
ACKNOWLEDGEMENTS
We are grateful for the anonymous reviewers for their constructive comments, which helped us to
substantially improve the manuscript. Thanks also go to Ximena Santo for her patience and help in
the language translation and edition.
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minerals industry. In International Conference on Engaging Communities, Brisbane (Vol. 1).
Jackson, S., & Barber, M. (2015). Recognizing indigenous water cultures and rights in mine water
management: the role of negotiated agreements. Aquatic Procedia, 5, 81-89.
Kenney, D. S., Stohs, M., Chavez, J., Fitzgerald, A., and Erickson, T. (2004). Evaluating the Use of
Good Neighbor Agreements for Environmental and Community Protection: Final Report.
Los Pelambres, Antofagasta Minerals (2016) Comunidad de Caimanes y Minera Los Pelambres
avanzan en implementacin de Acuerdo. URL. (https://web.pelambres.cl/comunicados/191216-
implementacion-de-acuerdo.html) Accesed 05/28/2017
Masaitis, A. and Miller, G. C. (2014). Reduction of Conflicts in Mining Development Using Good
Neighbor Agreements. In New Trends in Earth-Science Outreach and Engagement (pp. 73-81).
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Masaitis, A. and Miller, G. C. (2016). Development of the Stakeholder Engagement Plan as a

Mining Social Responsibility Practice. In Communicating Climate-Change and Natural Hazard Risk
and Cultivating Resilience (pp. 173-187). Springer International Publishing.
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Mendieta, J. / Andes Costa Ltda. (2015) Asesora de apoyo para el catastro de riesgos ambientales y
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que impulsar Desarrollo Sontenible. URL. (http://onds.pcm.gob.pe/oficina-nacional-de-dialogo-y-
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in the mining sector. Resources Policy, 51, 1-12.
9
Shared Practices of Social Responsibility through
Stakeholders Engagement
Percy Arrosquipa Quispe
Universidad Nacional de San Agustn and Compaa Minera Poderosa, Peru
ABSTRACT
The shared practices of corporate social responsibility with local stakeholders is one of the few
relevant experiences that are undertaken to contribute to sustainable development in a context where
local entrepreneurs consider themselves alien to the environment in which they carry out their
mining activities. In this case, the characteristics of relationships with local stakeholders have been
studied in order to carry out shared practices of Corporate Social Responsibility in the district of
Pataz, La Libertad Region, in the north of Peru, through two case studies and data collection that
included 23 stakeholders working with the Poderosa Mining Company. The results indicate that 80%
of local entrepreneurs would be willing to carry out shared social responsibility practices with
Poderosa, in education, environment, health, water and sanitation respectively. The paper describes
the contribution of informal, or artisanal mining companies and local suppliers in shared practices of
social responsibility, with the locations where they carry out their business activities, an experience
that seeks to promote in the local stakeholder a shared culture of corporate social responsibility with
the aim of attending to the social demands from the perspective of the local community and
environmental risks from the perspective of the mining company. At least in the case of the extractive
sector, the two sometimes conflicting perspectives coexist and complement one another for corporate
sustainability after overcoming certain paradigms such as believing that they are alien to the
environment where they interact or saying that they do not impact, to assume the commitment to
contribute to the sustainable development of the surrounding communities and to be protagonists of
their own progress.
1
2
Changing the Paradigm in the Relationship with our
Neighbor Communities: Antucoyas Experience in
Mara Elena
Florencia Marinkovic, Anbal Chamorro, Rosa Salas and Marcelo Glavic
Antofagasta Minerals, Chile
ABSTRACT
In recent years the management of community relations in the mining industry have significantly
evolved, incorporating new knowledge, intervention techniques and strategic analysis tools.
Although these elements have made it possible to effectively integrate community issues into the
business management logic, it has sometimes given rise to a self-referential work approach far from
the community expectations within impacted territories.
Aware of this challenge, the Antofagasta Minerals Group developed a relationship process that aims
to generate mutually beneficial relationships based on the principles of dialogue, partnership,
transparency and sustainability. This paper presents the foundations of the process, through the
experience of Minera Antucoya last months in the locality of Mara Elena.
Starting from a direct and symmetrical dialogue with the various stakeholders, such as social and
territorial organizations, and other private and public organisms, the company not only reinforced
its social license to operate and growth in the territory, but also contributed to the strengthening of
the social capital of the communities through the development of projects originated from their own
socio-cultural bases and specific interests, like identifying as pampinos and by living in of the most
arid deserts of the world. The results of this experience are presented from company and community
perspectives, emphasizing the value of the process, as a source of trust, collaboration and by
becoming a possibility to build a common vision of development that allows reaching agreements
that integrate the interests of the community and the operation with a long-term vision.
----------------------------------------------------
1
Sustainability of Social Programs in the Framework
of the Plans of Social Management of Mining
Projects
Pavel Pinco and Manuela De La Pea
ABSTRACT
In recent years, Peru's economy has grown steadily, driven largely by the development of mining
projects, which account for around 6% of the gross domestic product (GDP). The extractives sector
has also stimulated other economic sectors such as services, trade, employment and construction.
This economic growth has generated expectations among such as employment, economic support,
between communities and local authorities located within areas of social influence of mining projects.
In this context, mining companies have implemented social management plans, which seek to meet
the expectations and demands of local stakeholders through various strategies and social programs,
with the purpose of generating a favorable social scenario prioritizing communication, dialogue and
respect.
However, growth of social investment in the mining sector has not generated a significant impact on
the quality of life of its intended beneficiaries. In addition, many social programs are not sustainable,
because they were designed without taking into account the social, economic and cultural
development of the populations involved.
The authors analyze and propose some strategies to promote the sustainability of social investment
in mining projects, and systematize some of the more successful experiences of social management
in the Peruvian context.
To ensure the sustainability of social investment through mining requires the consideration of
elements such as the active participation of beneficiaries in the social programs, the strengthening of
leadership capacities of authorities and the support of local governments and representatives of civil
society, to promote a concerted vision of development for the benefit of the stakeholders of mining
projects.
1
INTRODUCTION
The social management plan (SMP) is an instrument that is designed based on the social, economic,
educational and cultural characteristics of the population, aimed to implement some social impacts
strategies, programs, projects and management measures that must be taken in order to prevent,
mitigate, control, compensate or avoid negative social impacts and optimize positive social impacts
of the mining project in its respective areas of social influence.
According to the peruvian legislation (Decree No. 040-2014-EM), SMP has some principles or
guidelines such as; sustainable development approach, environmental and social excellence,
agreements compliance, responsible relationship, local employment, economic development,
continuous dialog, interculturality and citizen participation, which shall promote local economic
development and programs and social projects sustainability.
SMP is important in this regard because, in the peruvian context, the relationship between mining
companies and local communities has been marked by tense and conflict situations, which often have
paralyzed large investment projects, which resulted in losses not only for local governments, through
the mining tax and other taxes, but also for local populations, such as employment, economic support
through frameworks agreements, social programs, among others. For this reason, it is important to
understand the social context of the extractive activity.
Social context of the mining activity in Peru
In the last few decades, Peru's economy has grown steadily due to economic policies which
dynamized foreign investment in national territory.
Thereof, in 1995 was promulgated Law No. 26505 on private investment in the development of
economic activities in national territory and of the peasant and native communities, which had as
objective to promote private investment in the national territory.
On the basis of these actions in favor of private promotion and investment, legal regulations and
social, political and environmental emerging controls became flexible, to consolidate a structural
reform in the peruvian economy.
These reforms reshaped the economic relations, after a lost decade due the economic collapse and
social violence (1980-1990), it was also necessary to create an image of Peru as a place to do business
(Damonte, 2006). It is in this context that the economy of the country is integrated into the
international market, favored in addition of the constant rise in the price of minerals.
This sustained growth is often showed through macroeconomic indicators such as GDP, per capita
income, among others, according to which in the period from 1998 to 2008, the rate of economic
growth (GDP) was around 64.0% with an average annual rate of 5.1%, being 2008 where GDP grew
9.9%, thus associating the development with economic indicators such as GDP, per capita income,
among others. The development, appears as a problem of growth of the market economy, expansion
2
of material wealth expressed in a sole or oversize macroeconomic indicator: the gross domestic
product (Valcrcel, 2006)
Under this logic, investments in the mining sector were increasing progressively from 2000, with an
annual investment of $1.087 million and in 2013, it became 9.723 million dollars a year.
However, as the economic indicators scale, social conflicts in the extractive activities have also
increased. According to Ombudsman's Office, the most visible are those derived from extractive
activities. As a result, the conflict describes a relationship in which each actor perceives the goals,
values, interests, and behavior of the other as the antithesis of their own (Burton, 1989).
According to the report of social conflicts of the Ombudsman's Office in May 2017, there were 179
conflicts of which 70.92% are socio-environmental conflicts derived by extractive activities, which
meant for the country, processes of political instability and social mobilizations.
In this sense, the social conflicts arise as a response of the population that was not benefited by the
economic growth and which were organized to deal with this problem.
As a result, social conflicts are employed as a mechanism to demand bigger employment
opportunities, direct economic income, compensations regarding mining easement, based on and
organizing around the damage caused to the environment, resorting to environmental NGO,
government decision makers and the media so that their rights are not violated.
The conflict through the environmentalist speech is employed by populations closest to the mining
units, to negotiate better economic compensations. In the absence of institutions that operate
effectively, the local population, especially the peasant communities closest to the mines, use the
conflict to negotiate bigger financial compensations and employment opportunities with companies
(Arellano, 2011).
As social demands are legitimate, by taking arguments of the environmentalist discourse as basis for
achieving their claims, they mobilize entire populations, with claims purposes regarding the
territory, the environment and culture.
By making the social demands legitimate, which are based on environmentalists arguments and
speeches, in order to take advantage of the mining activity, they mobilize entire populations, with
claims purposes regarding the territory, the environment and culture.
The conflict can emerge as a bargaining tool to insist that the mining company shall offer bigger
employment opportunities to neighboring populations, it may happen when there are frustrations
on the prices paid and mechanisms used by companies when they buy land and can emerge when a
service company loses its contract with the mining company and as a response, it attemps to organize
its employers and customers in protest actions in an effort pressure the company to renew its contract
(Bebbington, 2009).
Taking into account these premises, the aim of this article is to propose some strategies to promote
the sustainability of social programs in the framework of the social investment in mining contexts.
3
METHODOLOGY
The concern to develop this theme arises from the knowledge of the different social contexts in which
develops the mining activity in Peru. Knowledge that is derived from the extensive experience of
SRK Peru, in the preparation of Environmental Impact Studies, made for small, medium and large
mining companies in the country.
In this context, the methodology used for this article is the case study, which was the product of
several social studies carried out, as part of the environmental studies that were elaborated for the
mining companies since 2006 approximately until December 2016. At each opportunity, the most
representative social actors, such as the population in general, local authorities, representatives of
communal enterprises and State officials, were surveyed and interviewed. In this sense, not only
quantitative variables were considered; such as demography, local economy, employment, access to
services, education and health, but also qualitative variables, such as opinions regarding mining
activity, local development, among others. These allowed to understand not only the local scenario,
but also to propose some social projects, based on the characteristics and potential of the population.
The research team consisted of social scientists in the field of anthropology
In this way, it has been possible to know, on one side, the expectations of the mining environment
population, and on the other side, the approach and the treatment that various mining companies
have on the social management programs, especially those that are sustainable in time and allow the
autonomous development of the inhabitants with respect to the mining company.
The case study refers to a medium mining company located in the district of Tinyahuarco, province
and department of Pasco, at an average altitude of 4.250 meters above sea level, where mining and
livestock are the main activities of the area inhabitants. The company works with different peasant
communities in its area of social influence. For this article shall be taken into account only the peasant
community of Huaracaca, where the mining company boosted the Huaraucaca communal enterprise
organization and to this date, continues to support it.
Among the social actors in the present investigation, we have:
The Rural Community of Huaraucaca, where 46.7% of the local population is engaged in
mining activities, either directly in the mining company- a community company or another
contractor. The general opinion of this population group is favorable regarding the mining
activity, since it generates employment opportunities, stimulates economic activity, and
supports communal enterprises.
The mining company has been working for more than 50 years in the area. The company's
approach to social responsibility management is participatory, whose objective is "to
promote the improvement of the quality of life of the inhabitants of the communities
through the application of strategies and execution of programs that harmonize the
company-community-environment relations "; includes the joint identification of needs of
the population, always aligned with their local development plans, within this framework
investments are made in the following lines of action: (Strengthening of management
capacities for the generation of business units (communal enterprises), generation of local
4
employment (in contractors and in the main company), recreational programs for
participation and integration with stakeholders, education and Health Programs and social
development programs (improvement and maintenance of roads, paths, grasslands and
natural pastures).
Civil society organizations, such as governor, justice of the peace, women's committee,
Vaso de Leche (Feeding Program), among others.
Representatives of local, provincial and regional government
Communal enterprise, ECOSEM, the creation of the communal enterprise in the Rural
Community of Huaraucaca occurred more than 10 years ago and was in its infancy, closely
linked to the mining company as far as business management is concerned. Over time, the
community members themselves assumed this responsibility until today it becomes a
strong company that provides services not only to the mining company that created it, but
to various companies established in the area.
In this context, the mining company designs, plans and promotes the formation of a communal
enterprise, which provides various services to the mining company, is directed by the community
members and involves the community as a whole.
Based on this premise, we analyzed some variables, which had an impact on the sustainability of
social programs:
Political and administrative organization of the people involved in the project
At the district field, there are some peasant communities, which in Peru are organized under a
specific regime regarding the ownership and possession of the earth, and to the internal governance
of the community. The peasant community is a political-administrative organization that controls the
territory (communal property) and whose members are identified as a collective, maintaining social,
economic and cultural bonds between them. It is also represented by the communal directive, which
convenes community meetings to discuss specific topics of community interest.
In its origins, this community was composed of independent inhabitants who were part of the various
hamlets in the area. It is on 1963 that part of these inhabitants, who have already worked in SMEB,
decided to organize themselves as a peasant community, with the purpose of using jointly the
mineral waste, called by them lama, left by old mining operations in the area. So that, in 1964, the
peasant community of Huaraucaca, composed of 50 members, reaching their official recognition,
awarded itself 1686 hectares of land property of natural pastures, stone quarries, sand and lama
(waste coal). Lands are of communal property and use, so each co-proprietor can exploit it freely,
both of natural pastures, as well as, the quarries of non-metallic material. At that time, the owners
extracted and marketed lama or coal, fine or first sand, second or coarse sand and concrete. They
used a dump truck that was donated by the district mayor for their extraction and of raw material
sale work, and to provide services to third parties.
5
Currently, the community has 260 to 300 working members, which is not a very high percentage of
them, they work in a stable way in SMEB and the vast majority participates actively in the communal
enterprise of general services of the community of Huaraucaca, which provides services by contracts,
principally to SMEB, and to date also do this with other companies of the area. Over time, the
communal enterprise began to grow and it has been adapting to the country's labor legislation that
regulates the services rendering in mining activities. It is thus that the company currently has an area
called, General Services Company Huaraucaca S.A. (Empresa de Servicios Generales Huaraucaca
S.A.), responsible for providing SMEB and mining companies in the area, the rental of heavy
machinery and/or qualified staff or not; and with other area called, Communal Enterprise of Multiple
Services (Empresa Comunal de Servicios Mltiples, ECOSEM), responsible for providing services to
mining companies: hotels, masonry, among others.
They have a business organization that allows them to establish contacts and offer their services to
other companies based in the area. Each year, a balance of income and expenses is made which are
accountable to the community. Normally the annual management culminates with the distribution
of profits, among the approximately 300 co-proprietors.
Area inhabitants occupation
In a recent survey made in the area it was observed that a large part of the population surveyed had
as main occupation, mining.
Educational level achieved
According to the employment field, the education levels corresponds to three-year-old or older
family members, since the insertion of children into the educational system is made from this age,
either they enter to an Initial Educational Institution or to any Not-School Preschool Center (Non-
Standard Initial Education Program [Programa No Estandarizado De Educacion Inicial, PRONOEI]);
although, education in the country is mandatory only from the age of five.
In this way, it has been recorded that, of the total of 735 members of the families participating in the
study, 644 have more than 3 years, being considered this group for the analysis of the educational
level.
The best educational achievement of the majority of the population is the complete secondary
education, represented by 28.7%, while the population with incomplete primary education represents
the 14.4% and the population with university education represents the 14.9%.
To do this, some variables that had an impact on the sustainability of the social programs shall be
analyzed:
The mining tradition of the rural communities plays an important role because the
population has already experience in the administration and management of social
conflicts.
6
The communal population should be given greater impetus, so that they develop their
capacities, and strengthen their technical and professional training, as this is part of the
services offered to their potential clients in the area.
Community members should be directly and indirectly involved in the management of the
Communal Enterprise. Also make them participants in the management of the company
and the benefits derived from a proper management. (Share of profits generated each year.)
The negotiation of framework agreements for land use should be directed towards the
development of medium-term projects and not only aimed at solving immediate needs.
Implementation of social programs and social support for the less favored communities,
from the perspective of the mining company with the participation of the Communal
Enterprise, as a sign of commitment to the development of its zone.
Social investment is the decision of the company through the area of Social Responsibility and / or
Community Relations, where the different social programs designed to promote community
development are designed, promoted and implemented. It is a process that is carried out in
coordination with the community. The case of the Rural Community of Huaraucaca shows that the
programs developed as part of the company's Social Management must respond to the real needs of
the inhabitants, the strengths they have, their real capacity to develop and get involved in a given
project, which provides them with the possibility of changing their current living conditions by others
that are qualitatively different in quality of life for them, their children and the community in general.
As can be seen in figure 1, the sustainability of the social programs in the framework of the social
management plan, you should consider some important aspects such as:
Knowledge of social actors, through the social baseline, you can characterize the local
population in the area of direct influence, considering some variables such as
demographics, educational level, economic activities, health, work, employment, in
addition to considering the opinion on local development and mining activity.
Active participation of social actors.
Articulation with state institutions.
Local authorities Leadership Ability.
7
Active
Knowledge of participation of
social actors social actors
Local authorities Articulation with

Social programs
leadership ability state institutions
sustainability
Implementation of programs:
- Educational
- Social capacities strengthening
- Employment
- Social Support
Figure 1 Social management model
Results
As a first important result it is worth mentioning that the mining tradition of peasant communities,
play an important role, both in the acceptance of a mining project in its area, such as in the relatively
harmonious coexistence with it. This makes it possible for the social actors to visualize and manage
programs and projects of social management, with a wider perspective and appropriate to their
specific situation, such as:
To give further boost to the community members, to develop their abilities, and to
strengthen their technical and professional training because this is part of the services they
offer to their potential clients in the area.
Involve the community members directly and indirectly with the management of the
Communal Company. At the same time, engage them in the management of the company
and of the benefits to be derived from the product of an adequate management.
(Participation in the profits generated every year.)
Negotiation of framework agreements for use of land oriented to the development of
medium-term projects and not only aimed at resolving immediate needs.
Implementation of social programs and social support for the less favored communities,
from the perspective of the mining company with the participation of the Communal
Enterprise, as a sign of commitment to the development of their area.
Settlement of disputes or social conflicts with the mining company
8
A second result has to do with the educational level of the area inhabitants. In the peasant community
studied, the educational level of the population is higher than the average for the province of Pasco.
This was possible because the mining activity through the mining tax and other taxes, has allowed
the construction of quality educational institutions.
In addition, the mining company as part of its social responsibility policy has contracted teachers to
improve the quality of education. On the other hand, the educational gap between men and women
is minimal.
This favors the development of programs of social management, sustainable and the interests of the
population involved. Also encourages the active participation of social actors in decision-making
through the communal enterprise, the peasant communities and other social organizations.
Stimulates the leadership capacity of local authorities and encourages them to promote local
economic development, through agreements signed with the mining company and in the future with
the communal enterprise, aimed at improving education, health, strengthening of local capacities,
employment and economic support for social programs, among others.
However, this capacity for leadership, not only relates to the mining company, but are also involved
in other governmental institutions, such as local government, provincial and regional, to join forces
and work together.
CONCLUSION
The policy developed by the mining company is innovative because it designed a social
program that considered the development needs of the inhabitants of the area, their real
capacity to independently manage the communal enterprise, the educational potential of
Settlers of the rural community, and the economic importance of the entire region due to
the strong presence of mining activities from time immemorial. Social management in this
case was not aimed at alleviating the immediate needs of the population through specific
activities in education, health, productive development, but rather had a longer-term and
sustainable vision over time.
Incorporate the population and local authorities into the design of social programs, not
only as beneficiaries but as agents of change, with direct responsibility for the
implementation of the programs. This in order to promote active citizenship in decision-
making, for local development.
Efforts should be made in social management, not only the social actors and representatives
of the mining company, but also state officials, health, education and housing sectors. In
addition to local and regional government authorities and representatives of civil society,
each of these with responsibilities to promote local economic development, with
articulation of sectors and consensus.
Leadership capacity of local authorities is important, as long as they have a long-term
vision of social programs. This will make it possible to implement social programs of a
9
sustainable nature, for this it is important to implement spaces of dialogue and consensus
to reach agreements that benefit both parties.
The sustainable development approach should be incorporated into the design of social
programs. These include articulation of state institutions, civil society, active participation
of social actors. In addition to periodically monitor and evaluate the achievement of results,
to reaffirm the activities of the programs or otherwise rethink strategies for achieving
objectives.
REFERENCES
Arellano Yanguas, J. (2011). Minera sin fronteras? Conflictos y desarrollo en regiones mineras del
Per. Lima: IEP, PUCP, UARM.
Bebbington, A. y. (2009). Actores y ambientalismo: Continuidades & Cambios en los conflictos socio
ambientales en el Per. Lima.
Burton, J. (1989). La Resolucin de conflictos como sistema poltico. George Mason University.
Damonte, G. y. (2010). Una mirada antropolgica a las industrias extractivas en los andes.
ANTROPOLGICA, 5-19.
Valcrcel, M. (2006). Gnesis y Evolucin del concepto y enfoques sobre el desarrollo. Lima:
Departamento de Ciencias Sociales Pontificia Universidad Catlica del Per
10
Whabouchi Project: Designed to Account for
Environmental, Social and Economic Concerns
Simon Thibault
Nemaska Lithium, Canada
ABSTRACT
Nemaska Lithiums Whabouchi Project will involve the development of a spodumene deposit located
30 km east of the Cree community of Nemaska, in Northern Quebec, Canada. Start of mining
operations is scheduled for mid-2018. The spodumene will then be sent to a processing plant in
Shawinigan, Southern Quebec, Canada, in order to produce lithium compounds, where production
is to begin in 2019.
During development of the project, initiated in 2009, Nemaska Lithium has addressed concerns
expressed by the Cree Nation of Nemaska, thus enabling optimization of the project. Indeed, in light
of the comments and concerns that emerged from the consultations, the project was subsequently re-
assessed with a view to optimizing it from a technical, economic, as well as an environmental and
social standpoint. The alternatives examined included among others the waste rock and tailings
management plan, and the location of the sedimentation basins and related final effluents, i.e., the
project components of greatest concern for Cree stakeholders.
In this new assessment, Nemaska Lithium considered it paramount to consider the concerns of the
Cree land users and thus to reduce the amount of mine infrastructure to be built; concentrate
infrastructure near the ore deposit; and minimize the ecological footprint of the project.
To address these concerns, it was decided to completely review the siting of all stockpiles, basins and
effluents. Other changes were made to reduce wetland losses; maximize reuse of process waters;
reduce visual impacts for land users and neighboring Cree camps; and avoid the construction of
dams by producing filter-pressed tailings and co-disposing them with coarser waste rocks.
In all cases, not only have these changes increased the social and environmental acceptability of the
project, but they also improved its technical and economic feasibility, while reducing risks from a
mine operator perspective.
1
INTRODUCTION
Nemaska Lithium is now in the construction phase of the Whabouchi mine project, located 30 km
from the Cree Nation of Nemaska, in Eeyou Istchee James Bay region, Northern Quebec, Canada. As
proposed, the project includes the operation of an open-pit mine, underground infrastructures, a
waste rock and tailings pile, an ore concentrator, and administrative and maintenance buildings, with
mine operations projected to start in mid-2018. The mine will produce on average about 3,000 tonnes
per day of ore over a mine life of 26 years.
Project Overview
Nemaska Lithium intends to become a lithium hydroxide supplier and lithium carbonate supplier to
the emerging lithium battery market that is largely driven by electric vehicles. The Company is
located in the mining-friendly jurisdiction of Quebec, Canada. Nemaska Lithium has received a
notice of allowance of a main patent application on its proprietary process to produce lithium
hydroxide and lithium carbonate. The Company is pursuing patent protection on this process in
multiple global jurisdictions.
In tandem, the Company is developing one of the richest spodumene hard rock lithium deposits in
the world, both in volume and grade. Spodumene concentrate produced at Nemaska's future lithium
mine (Whabouchi) and from other global sources will be shipped to the Company's lithium
hydroxide/carbonate processing plant to be located in Shawinigan, Quebec. This plant will transform
spodumene concentrate into high purity lithium hydroxide and lithium carbonate for the growing
lithium battery market which is driven by the increasing demand for electric vehicles and large-scale
lithium battery storage.
Regulatory Context
The Whabouchi mine project is located on Eeyou Istchee James Bay territory and is therefore subject
to a specific authorization process under the James Bay and Northern Qubec Agreement (JBNQA).
The JBNQA includes an environmental and social protection system (Chapter 22), which provides
for mechanisms to assess the environmental and social impacts of development projects. The project
was also subject to the federal environmental assessment process under the Canadian Environmental
Assessment Act (CEAA (2012).
A first version of the Environmental and Social Impact Assessment (ESIA) document was submitted
to both federal (Canadian Environmental Assessment Agency) and provincial (Review Committee of
the James Bay and Northern Quebec Agreement, or COMEX) authorities for review in April 2013.
Questions and comments on that first version were sent by those authorities to Nemaska Lithium
late in 2013. Nemaska Lithium completed its responses to all questions in early May 2014. The
COMEX held public hearings in March-April 2015; as well, other forms of consultation were
organized by Nemaska Lithium and/or the Cree Nation of Nemaska since 2009, enabling the
Committee to consider the concerns of the people in the territory and ensure they were accounted for
2
in the Whabouchi Mine Project and reflected in the General Certificate of Authorization (CA). On
September 4th, 2015, following a positive recommendation by the COMEX, the Provincial
Administrator of the James Bay and Northern Quebec Agreement granted authorization for the
project and Nemaska Lithium announced that it has received the General CA for the Whabouchi
Project from the MDDELCC. On July 29th, 2015, following a comprehensive assessment of the
Whabouchi mine project, the Canadian Minister of Environment decided that the project is not likely
to cause any significant adverse environmental effects, and set out in her positive Decision Statement
the conditions relative to the mitigation measures and monitoring program to be respected by
Nemaska Lithium. The Agency issued on that same date its final Environmental Assessment (EA)
report.
Nemaska Lithium has already begun to fulfil the provisions included in the provincial General CA
and federal Decision Statement for the Whabouchi project and the authorization application and
permitting process for construction is expected to take about one full year, starting in mid-2016. A
number of federal, provincial and municipal authorizations are also required. Applications are being
filed in a timely manner with the construction works and therefore do not impact on the construction
schedule.
METHODOLOGY
Collaboration and Consultation with the Cree First Nation
The involvement of the First Nation of Nemaska throughout the life of the project has always been a
priority for Nemaska Lithium.
In August 2009, the financial arm of the Cree community, Nemaska Development Corporation,
agreed to purchase shares in Nemaska Lithium for a total sum of $600,000, thereby obtaining
3,600,000 shares in the company.
In the fall 2009, discussions where held with Chief Josie Jimiken on negotiating and signing a
Memorandum of Understanding between the community and Nemaska Lithium that recognized the
respective rights and expectations of the parties, and particularly the need for the company to respect
Cree culture and traditions in its activities on the territory. This Memorandum of Understanding was
signed in August 2010.
The Crees have been actively involved in various aspects of the project, specifically the acquisition of
reference data that were used to define existing environmental conditions. In addition, in 2011, a
Community Advisory Panel (CAP) was set up to provide a platform for exchanges between the
proponent and the various stakeholders in the Nemaska community.
On November 7, 2014, Nemaska Lithium Inc., the Grand Council of the Crees (Eeyou Istchee), the
Cree Nation Government and the Cree Nation of Nemaska signed the Chinuchi Agreement, on the
impacts and benefits related to the development and operation of the Whabouchi project. The
3
Chinuchi Agreement is a binding agreement that will govern the long-term working relationship
between Nemaska Lithium and the Cree parties throughout the Whabouchi project. It provides for
training, employment and business opportunities for the Crees during project construction, operation
and closure, and sets out the principles of social, cultural and environmental respect under which the
project will be managed. The Chinuchi Agreement also includes a mechanism by which the Cree
parties will benefit financially from the success of the project on a long-term basis, consistent with
the Mining Industry's best practices for First Nations engagement and the Cree Nation Mining Policy.
Since 2014, the committees entitled in the Agreement, i.e. the Implementation and Environnement
committees, have been in operation with an equal number of representatives from the Cree parties
and Nemaska Lithium.
Information and Consultation of Cree Land Users
Early in the preliminary phases of development of the Whabouchi mine project, Nemaska Lithium
devoted significant time and resources to ensure the concrete and constructive involvement of the
various stakeholders, including the local land users of the Cree Nation of Nemaska. Even before
launching the environmental and social impact assessment (ESIA) process, the local authorities of the
Nemaska Cree community took part in information and consultation activities, as well as the local
tallyman, i.e. a Cree person recognized by the community as responsible for the supervision of the
activities related to the exercising of the right to harvest on a Cree trapline, a piece of land on the Cree
Nation territory that has been traditionally awarded to a family.
Since 2009, various activities were undertaken to inform these stakeholders about the project and
gather their concerns relative to the project and its potential environmental and social impacts.
During these information and consultation activities, various topics were discussed including open-
pit mining procedures, the main infrastructure planned for the project and the life cycle of the mine.
In November 2011, Nemaska Lithium implemented its communication and consultation plan, which
included various activities as follows:
Meetings with the Nemaska Band council;
Interviews with members of the Nemaska community and local organizations;
Meetings with tallymen and other users of Cree territory;
Discussion groups;
Meetings with members of the Community Advisory Panel (CAP; since 2012);
Field visits;
Hiring of a community liaison officer (since 2012).
The comments, concerns, demands and suggestions expressed by stakeholders during the
information and consultation activities were documented and compiled by topic. Severe concerns
were expressed by some of the land users, leading to a growing negative feeling toward the proposed
4
mining project. The main comments from the Nemaska Cree community prior to the filing of the
ESIA focused on the following topics:
Water quality: potential contamination of water bodies through runoff and measures to
prevent contamination;
Mining infrastructure and project design: particularly the location of the waste rock and
tailings pile near Mountain Lake; the height of the waste rock pile and its visibility from
the Bible Cam; the ore extraction process; planned infrastructure; blasting; mine effluent
management; mine closure; and site reclamation;
Hunting, fishing, trapping and recreational activities: disturbance of hunting and fishing
activities and attendance at Bible Camp; disturbance to animals and their habitat (from
dust and noise created by mining operations);
Employment, training and economic spinoffs: specifically, opportunities for youth through
skills development and training; the type, number and percentage of jobs available for the
Crees (especially Nemaska Crees); economic benefits for the community overall; life cycle
of the project; and use of waste rock as aggregates;
Community well-being: appropriate awareness of the project and its social acceptance
within the entire community; fair distribution of social benefits within the community;
easier access to alcohol and illegal substances in the camp and exacerbation of social
problems and related criminal behaviours; and discrimination toward Cree employees at
the mine;
Safety issues associated with mining activities: physical health and safety of workers on
the mine site; creation of safety zone around the project; impact of noise, dust and air
pollution on health; increase in damage and accidents on the local roads (increased traffic,
increased breakdowns road defects and dust emission);
ESIA procedures: consultation sessions; contents of ESIA; importance of contribution from
territory users and tallymen; impacts on social and cultural plans; taking comments from
community members into consideration in the ESIA findings, or for defining and applying
appropriate mitigation measures and project start-up.
Following the filing of the ESIA in April 2013, Nemaska Lithium and its consultants were actively
involved in the public information and consultation sessions held in Nemaska by the Cree Nation
Governments Environment and Remedial Works Department, the Canadian Environmental
Assessment Agency (CEAA), and the COMEX.
The comments and concerns that emerged from these diverse consulting activities led Nemaska
Lithium to re-assess the Whabouchi project and its components within the framework of the 2014
feasibility study (FS). Most of the peoples apprehensions were covered in the Chinuchi Agreement
on the impacts and benefits related to the development and operation of the Whabouchi project, but
with regards to those relating to the technical description of the project, it was decided to optimized
it and thus many project components that initially posed problems were significantly revised from a
technical, economic, environmental and social standpoint. This significantly helped gaining back
support and positivism toward the proposed mining project.
5
DISCUSSION OF RESULTS
The Revised Whabouchi Project: An Example of Co-Design with the Crees
The alternatives for the Whabouchi project were analyzed in two phases. In the preliminary economic
assessment (PEA) released in February 2013, a range of variants were considered by Nemaska
Lithium, which were described in the ESIA filed in April 2013.
In light of the comments and concerns that emerged from the consultations held after the ESIA was
filed, the project was subsequently re-assessed within the framework of the 2014 feasibility study (FS)
with a view to optimizing it from a technical, economic, as well as an environmental and social
standpoint. The alternatives examined in the feasibility study included the waste rock and tailings
pile, and the location of the sedimentation ponds and related final effluents, i.e., the project
components of greatest concern for Cree stakeholders.
In this new assessment, Nemaska Lithium considered it paramount to:
Reduce the number of mine infrastructure to be built;
Concentrate infrastructure near the ore deposit;
Minimize the ecological footprint of the project.
In addition, the analysis of the options for the location of mine infrastructure was guided by a series
of factors and criteria as noted below:
Many of the planned infrastructures depend on the actual location of the ore deposit (which
cannot be moved);
The presence of many natural and physical constraints, such as lakes, roads, and the 735-
kV power line;
Many other constraints such as, the topography, surface deposits, hydrography, wetlands,
wildlife habitats, use of the territory, water supply, resources and archeological potential
areas, and certain health- and safety-related elements, etc.;
Technical considerations such as the need for safe slopes in the pit design, and minimum
safe distances from blasting areas.
To address these concerns, it was therefore decided to completely review the siting of all stockpiles,
ponds and effluents to ensure they were located far from Mountain Lake, the most-valued aquatic
habitats for the Cree land users. At the same time, other changes were made to the project so as to:
Eliminate any encroachment on fish habitats;
Prevent the loss of wetlands previously associated with the overburden pile;
Have only one final mine water effluent as defined by Quebec and Canada standards;
Reduce the visual impact associated with the waste rock and tailings pile from neighboring
Cree camps;
Avoid any deviation of local roads and hence maintain their current alignment;
Reduce overall footprint of the project.
6
Description of the Main Modifications Adopted with the Crees
The PEA and ESIA initially referred to an operating life for the mine of 19 years (excluding periods
required for construction and site reclamation). With the update of the project carried out in the 2014
feasibility study, the mine plan henceforth includes operations over 26 years with open pit mining in
the first 20 years then underground mining from year 21 to 26. The optimization efforts made by
Nemaska Lithium and its consultants resulted in a reduced footprint for the project. The open pit
area of 31.19 ha described in the ESIA was reduced to 27.75 ha (Figure 1). This 11% reduction in pit
footprint is essentially based on the fact that underground operations were recommended as of
Year 21, and the infrastructure required for underground operations will be located entirely within
the boundaries of the open pit.
Figure 1 Comparison between Previous and Projected Footprints
7
Blasting to extract ore from the mine will be carried out with bulk emulsion even though the bulk
emulsion approach is potentially 10% more costly. Compared with other types of explosives
commonly used in the mining industry (i.e., ANFO), there are clear benefits to use bulk emulsion in
relation to water management because it produces significantly less residual ammonia. In addition,
unlike ANFO, bulk emulsion is essentially not water soluble, which makes it easier to recover
unexploded explosives.
In the feasibility study, for technical reasons it was decided that blasting will be done once weekly
with a planned shutdown in the mine during the traditional Cree goose hunting season, namely
Goose Break. Since Nemaska Lithium has some flexibility in this regard, the weekly blasting schedule
will be discussed with the Nemaska Cree community and the Environment Committee set up under
the Chinuchi Agreement and adapted to specific situations. To do so, a temporary ore stockpile
production will be set up near the concentrator. Crushed ore will subsequently be stored in a silo
located halfway between the crushers and the concentrator. The temporary ore pile and crushed ore
silo will provide the equivalent of seven days of processing, i.e., a sufficient amount of material to
operate the concentrator during the first week of the Goose Break. Annual preventive maintenance
will be scheduled for the concentrator in the second week of the shutdown.
The overburden stockpile covers an area of 7.94 ha (Figure 1). By comparison, the area planned for
this same stockpile in the PEA and hence the one specified in the ESIA filed in April 2013 was
10.81 ha. This 27% reduction in the footprint of the overburden pile was made possible by relocating
it to an area with better geotechnical conditions. The pile will also have a maximum height of 25.0 m.
The waste rock and tailings storage areas will consist of two cells corresponding to different phases
in project development (Figure 1). The phase 1 cell will cover 58.11 ha and the phase 2 cell 25.75 ha.
By comparison, the project area for this pile indicated in the PEA, and hence the area specified in the
ESIA filed in April 2013, was 88.44 ha, which amounts to a reduction of some 5% in the pile footprint.
The height of these piles will be 60.0 m for phase 1 and 40.0 m for phase 2.
The initial water management plan devised in the PEA and presented in the ESIA (April 2013) was
as well significantly revised and optimized in the 2014 feasibility study. This new version of the plan
was developed with a view to preventing and minimizing potential impacts on surface and ground
water quality and quantity in the project study area.
Among other changes, there is now only one final effluent as per Quebec and Canada standards, at
the outlet of the mine water basin located west of the waste rocks and tailings pile. The water in this
basin will be discharged into Nemiscau River via a gravity and subsurface pipeline. The location of
the final discharge point was determined following a ca. 2-year consultation process (2015-2016) with
local land users and tallymen.
Seven sedimentation ponds will be set up in the main low points around the two waste rocks and
tailings cells (one per phase), as well as around the garage area, the plant, the temporary ore stockpile
and the overburden pile. Runoff from these areas will be collected in ditches built around the
8
periphery of the facilities. This runoff will ultimately be directed toward a final retention basin
located southwest of the waste rock and tailings pile.
The mine water basin located southwest of the open pit will collect water generated as part of pit
dewatering activities, that is, groundwater that infiltrates the pit as well as waters running off the pit
area. From there, all waters will be transported to the final water basin, located east of the waste rocks
and tailings pile.
All in all, such water management plan means that all water getting in contact with the mine site
through runoff (rainfall, snow melting, pit dewatering) will be collected, treated and analysed to
ensure compliance with applicable water quality criteria before being discharged.
Also, modelling of the effluent plume was carried out at the discharge site to confirm the precise its
position and potential effluent dilution.
Process water will be entirely recycled or recirculated and therefore will not be released into the
environment, primarily because of the recommended tailings management method which calls for
the production of filtered dewatered tailings (less than 15% moisture content). A back-up source of
water (fresh water supply well) will be required for the operation of the concentrator (mixing
reagents and pump imperviousness).
Runoff water from outside the mine site will be diverted to avoid any contact with mine installations.
Runoff elsewhere on the mine site (roads) will be collected and discharged into sedimentation ponds
for treatment of suspended matter before being released into the environment. The release of runoff
will be carried out in compliance with the applicable regulations, that is, it will be released into a
local area of vegetation at least 20 m away from the nearest lake or river (at high water mark).
Design criteria set out in Quebec guidelines for the drainage network associated with accumulation
areas that have no dykes will be met in all cases. This means runoff collection networks (ditches and
ponds) are designed for 100-year to 1,000-year flood events, depending on the type of infrastructures.
At maximum operational level, a minimum 1-m freeboard will also be maintained for all ponds.
CONCLUSION
As part of the development of its Whabouchi mine project, Nemaska Lithium submitted the
Environmental and Social Impact Assessment (ESIA), along with the related sectoral reports, to the
Review Committee (COMEX), the Quebec-Cree bipartite agency charged with evaluating projects
south of the 55th parallel, and the Canadian Environmental Assessment Agency (CEAA) in April 2013.
Since these documents were filed, the development of the Whabouchi project has continued. In
response to comments made and concerns raised during the consultations held after the ESIA was
filed, and following the completion of a feasibility study in 2014, Nemaska Lithium revised and
improved its project. The goal of such review was to optimize the project from a technical and
economic as well as from an environmental and social standpoint.
9
The feasibility study resulted in major changes to the technical characteristics of the Whabouchi
project, which in turn influenced the extent of environmental and social impacts as well as the
previous assessment of the significance of those impacts.
In all cases, not only have these changes increased the social and environmental acceptability of the
project, but they also improved its technical and economic feasibility, while reducing risks from a
mine operator perspective. The demand for lithium compounds that Nemaska Lithium intends to
produce being dependent on the energy storage and electric car industries, the Whabouchi Project
has to be respectful of the environment and communities so that we could one day produce electric
cars in Quebec that are green from our mines to our roads.
ACKNOWLEDGEMENTS
Nemaska Lithium would like to sincerely thank the Cree Nation of Nemaska, the Chief and Council,
former Chiefs and councilors, its community members, and the tallyman, Mr. James Wapachee Sr.,
and his family for having been, and still be, exemplary partners and have shared with us not only to
their uniquely rich culture, but also their uniquely rich personalities.
REFERENCES
To access most of the public documentation that was issued as part of the aforementioned process,
please consult: http://www.nemaskalithium.com/en/responsible-development/document-and-links/
James Bay and Northern Quebec Agreement - http://www.gcc.ca/pdf/LEG000000006.pdf
Cree Nation Mining Policy - http://www.gcc.ca/pdf/ENV000000014.pdf
10
Participative Modeling of Social Investment in Rural
Communities: Pilot Project in Moquegua, Peru
Francisco Raunelli1, Sergio Gonzlez1, Norman Gridley, Katie Fergusson2 and Humberto
Valverde3
1. Quellaveco Project, Anglo American, Peru
2. Group Government and Social Affairs, Anglo American plc
3. The Social Advantage, Peru
ABSTRACT
Mining interventions face great social challenges, frequently related to demonstration of positive
impacts and recognition of social investment. One challenge lies in having reliable and adequate
information to propose and implement relevant and efficient interventions. A second challenge arises
from the manner of participation of rural people involved in surveys and the optimum organization
of resulting survey information. Anglo American Quellaveco has evaluated the socioeconomic
baseline in two distinct zones within the area of social influence of a project in southern Peru. These
zones have no official information and have distinct socioeconomic characteristics. In order to
identify dimensions to be measured and indicators to be used, survey work focused on three groups:
government (regional and local) businesses; and communities. Surveys focused on the expectations
and main concerns regarding the companys proposed open pit mining project.
The study sought to incorporate the multi-dimensional poverty methodology (MPM) as a tool to
focus intervention. This may be the first international experience of the MPM performed at a
community level taking into account changes in specific basic needs and sustainable livelihoods. The
goal of this work is to recognize the assets of the communities, as measured through the five capitals.
Using this method of measure, the results can be used as a strategy of interaction and systemic
empowerment between assets to overcome measurable and demonstrable poverty gaps and lead
towards the enhancement of sustainable livelihoods.
1
INTRODUCTION
Due to the fact that mining in general is an extractive industry of a territorial nature, it faces major
challenges to demonstrate the positive impact of its social investments, as well as the direct and
indirect changes that occur in the populations surrounding its operations, especially those with large
poverty gaps, unmet needs, and scarce presence of the State. As a result, many times expectations are
addressed to the company, positioning it as a main development stakeholder in these localities. Also,
the actions of the company itself give signals that cause it to be perceived as such.
This situation can result in the undesirable outcome that social interventions of companies are
considered unsatisfactory and are not recognized by the population. It is also important to note that
in those places where expectations regarding the company are very high, or where there are large
poverty gaps, there will always be unsatisfied segments of the population.
The Quellaveco project is not alien to these circumstances and, although it is true that the project is
still waiting for the respective approval of its board to begin construction, various social investment
interventions are currently being carried out in order to deliver on commitments to nearby
communities, as well as on regional commitments linked to the social license of the project. Social
intervention and the fulfillment of commitments will be carried out at different stages of the mine
operation (greater than 30 years), which gives the opportunity to establish a socio-economic baseline
that considers a participatory approach for modeling a more efficient and effective social intervention
in the long term.
METHODOLOGY
Design
In 2013, AAQ started a process of gathering information to understand the socio-economic impact of
the Project and monitoring over time. An extensive qualitative survey captured the needs and
expectations of the population with regard to their own well-being and the role of the Quellaveco
Project in the long term. For this purpose, focus groups were held with residents, local and regional
government officials, as well as members of the company, so as to establish a comprehensive vision.
As a result of this process, the need emerged for having a number of quantitative tools to evaluate
the current status of the population (baseline) and its evolution in time (monitoring).
The goal was to build an indicator that captures the multidimensionality of poverty in the area and
at the same time would allow making an analysis by dimension which could be measured over time.
This would thereby allow the estimation of the impact of the Project on the livelihoods of the people.
Thus, the application of two methodologies was determined: 1) Multi-Dimensional Poverty Index
(MPI) and 2) Sustainable Livelihoods Approach, taking into account the synergy that could exist
2
between them, since the former is mainly used for focusing on interventions for the reduction of
poverty, and the latter is based on recognizing the potentials and from there maximizing them.
Multi-Dimensional Poverty Index (MPI): The Alkire and Foster methodology was chosen and
dimensions and indicators were selected taking into account the participatory process with primary
development stakeholders. In Latin America, this methodology is used as an official indicator of
poverty in Mexico, Colombia, Chile, Costa Rica and Honduras. This methodology adds information
of different dimensions in a single indicator. It shows what the people lack, focuses on the poorest,
and is technically solid, easy to replicate and flexible. This is the first time that this methodology has
been used in small (relatively) specific populations that are influenced by mining activities. The
application of this methodology was supported by the Oxford Poverty Human Initiative (OPHI).
Sustainable Livelihoods Approach or Stock of Capital: This is a way of conceptualizing the
objectives and scope of the development of populations, which proposes poverty reduction when the
external support of social interventions is consistently in line with livelihood strategies in their areas,
their social environment and adaptability. It is mainly designed for rural and vulnerable populations.
This methodology focuses its efforts on the strengths and, above all, on the obstacles that prevent
them from developing their potentials. All populations require a large number of assets or capital to
achieve positive results in their livelihoods and no asset alone is sufficient to achieve the multiple
objectives desired. The capitals considered by this methodology are five: human, physical, social,
natural and financial capital.
Social Dimensions and Indicators
These were determined in participatory workshops held with stakeholders and took into account the
expectations and most important concerns regarding AAQ operations, thus establishing the social
dimensions and indicators. Of all dimensions identified, priority was given to seven (table 1; red):
employment, housing, income, health, education, public safety and social networks. The
environmental dimension was also prioritized but was not considered for gathering information in
the field since there is already a Participatory Environmental Monitoring program in place that
publicizes its results to the population.
3
Table 1: Prioritized social dimensions
Initially there were 37 indicators; however, they were reduced to 18 after the results were obtained,
considering only those that had greater consistency and gave significance to the model. Later, two
dimensions - employment and income - were combined due to the fact that they are closely related.
Table 02: Dimensions and indicators by type of analysis model
Basic analysis
EMPLOYMENT PUBLIC SOCIAL
HEALTH EDUCATION HOUSING
AND INCOME SECURITY NEWORKS
Water Crime Relevance

Nutrition Monetary
Schooling Quality against
poverty people
Social
Electricity Capital
Disease
Fuel Long-term Crime Empowerment
Attendance Communicatio unemploy against
Insurance n property Trust
Assets ment
Extended analysis
Modality of Dimensions
The model allowed making two types of analysis - basic and extended. The basic analysis considered
traditional dimensions that are used to measure poverty; such as the case of: employment and
income, housing, health and education. The extended model considers additions from the focus
groups, which refer to public security (a concern which was identified at the beginning of Quellaveco
operations) and social networks.
Table 3: MPI indicators:
4
Dimension Indicators
Health Children with malnutrition, diseases, health insurance coverage.
Education Levels lower than secondary school and non-attendance to school.
Housing Inadequate housing, no access to potable water, no electric power, no access to means of
communication and cooking means other than gas and electricity.
Employment Capitalization of assets: Small (stoves, refrigerator, TV, etc.) Large: (motorbikes, cars, etc.);
and income Monetary poverty (related to income and family expenses).
Public Security Victims of crime against people and property.
Social Membership in social groups, receiving help from people, possibility of having a say in their
Networks localities and trust among people of the same village.
MPI indicators, also served to build the stock of capital model, and were used for human, social and
financial capital; however, to complete the model indicators that consider physical and natural capital
were included.
Table 4: Complementary indicators of capital
Capital Indicators
Natural Farming and livestock production and productivity, size of land, access to water, soil quality.
Capital
Physical Territorial connectivity (roads), media, infrastructure (health, education, etc.)

Capital
Construction of Indicators:
Cut-off line: The indicators use a cut-off line as a reference to define the group of families who
are in a state of deprivation or not; this cut-off line takes into account national standards set by
National Institute of Statistics (INEI). For example, in the case of monetary poverty, the average
expense per capita is used as reference, and the families that are below it are considered to be in
deprivation.
Poverty Cut-off: The methodology allows defining the poverty cut-off line; i.e. defines the number
of deprived dimensions that render a family poor. This study defined that those who have more than
two deprivations (for the basic model), are in multi-dimensional poverty (poverty incidence).
Weighting: Weighting is the weight assigned to each dimension. This study defined an equal
weighting, with the same level of importance for each dimension
5
Reading of Indicators: MPI results are defined as deprivation percentages below the cut-off line,
and indicators of stock of capital are related to values that are above the cut-off line, since they express
potential.
SCOPE OF THE STUDY AND GATHERING OF INFORMATION
Two specific zones within the social area of influence of the Quellaveco project - which have
agreements and social commitments in place that are currently being fulfilled - were defined as the
immediate scope of the study. In these zones, the commitments are linked to the various stages of the
mine (construction, operation and closure) and many of them are long-term investments, which
makes it possible to monitor impacts over time. Likewise, they are strategic areas with respect to the
location of the project facilities.
Zone 1: Andean high zone, with altitudes between 4,000 and 4,500 meters above sea level,
with land with little agricultural capacity and limited access to water and scattered
populations.
Zone 2: Zone located between 1,500 to 3,500 meters above sea level, with farming and
livestock activity.
Sources of Information
The sources of information used were primary and secondary; the latter served mainly to confirm
information. A census survey was conducted to obtain primary information. The coverage of the
survey was 607 families (zone 1 = 61.2%, zone 2 = 38.8%) representing a population of 1,550 people,
with a coverage of 95.9% of the families in the zones. The census unit was the family, and questions
were made to the head of household. In this case, the survey also identified that 33.61% of the heads
of household were women.
PARTICIPATORY PROCESS
The participatory process used in this study considered the involvement of the populations from the
time the model was designed, taking into account their expectations and concerns, through which
information the dimensions could be defined. The information gathered was reported to and
approved by the authorities and villagers, to whom the objectives of the study were explained.
Finally, the results obtained were reported and documents containing such results were given to the
authorities and the population in general, in order to be also used in the budgetary processes of the
local governments in which they participate.
6
The average number of persons in a home in these zones is three members; the proportion of women
is 49.74%; the economically active population (EAP) is 52%; 66.39% of heads of household are men.
Deprivation by zones
The methodology allows analyzing and comparing the dimensions by zones. Thus, in graph 1, we
can see that there are great differences between the two zones in the housing, electricity,
telecommunications, and accumulation of assets, social capital, and empowerment dimensions. In all
these cases, deprivations presented in zone 1 are greater. (The results of the graph are read as follows:
The x axis is adjusted upwards from left to right in hundredths until it reaches unit 1 that
represents 100%, representing the percentage of deprivation of the population of the areas under
study, with respect to the dimensions measured in the y axis.)
% of people living in poor households
Nutrition
Disease
Insurance
Schooling
Baseline
Assistance
Housing
Water
Electricity
Telecommunications
Fuel
Expenditure
Assets
Crimes-person
Crimes- property
Relevance
Social Capital
Empowerment
ZONE
ZONE 1
1 ZONE2 2
ZONE
Graph 1: Deprivation by zones
7
The model allows intervening in a differential and strategic way in places where apparently poverty
issues are very similar. Also, in places where there are many deprivations and high poverty levels, it
allows prioritizing those that may be more closely related to the impact than others.
Poverty
Measurement of poverty has been determined in those homes that are deprived in more than two
dimensions. Thus, 46% are in multi-dimensional poverty. This corresponds to 55.58% of the
population. This model allows focusing the social intervention on these people who are in poverty,
and monitor the results over time. In the x axis we can see the number of dimensions for the
determination of poverty (4 dimensions in the basic model), and in the y axis the percentage of
deprived population with respect to the number of dimensions.
36
46% of homes are
deprived of 50% or
more of their
dimensions.
10
Graph 2: Distribution of deprivation to determine poverty
Results of Dimensions by gender
The model allows making an analysis broken down by zones, age, intensity and dimension, as well
as by gender, as in this case. Certain dimensions of a territorial nature that should be dismissed for
gender analysis, such as telecommunications, electricity and water.
There are some differences found when the head of household is a woman. The dimension with
highest percentage of deprivation in the entire population is trust (distrust), being higher in women.
It can also be seen that the levels of deprivation in schooling and monetary poverty (expenditure) are
higher in women; however, deprivation in housing, health and economic assets are lower for them,
8
which suggests that although women in these zones have many limitations, they have better
investment quality and greater savings capacity.
High levels of distrust in inter-personal relationships among members of the community, are aspects
that can strongly affect shared development goals.
Favorable skills found in families who are led by women, could be encouraged and replicated, so as
to benefit the development of the zones.
HEAD OF HOUSEHOLD - MAN HEAD OF HOUSEHOLD - WOMAN
Nutrition
Trust Disease
Empowerment Insurance
Social_Capital Schooling
Relevance Assistance
Crimes_Property Housing
Crimes_Person Water
Assets Electricity
Expenditure Telecommunications
Fuel
Graph 3: Percentage of deprived homes by dimension and gender
Sustainable Livelihoods by Zones
In the results related to stock of capital by zone, we can identify that zone 2 has better capital
conditions. This zone has significant differences in human capital and social capital, impacting
positively on financial capital. However, in both zones one of the most depressed capitals is natural
capital, with opportunities to enhance.
9
Human Capital
Social_Capital Natural Capital
Financial
Physical Capital
Capital
Water zone
Zone 01 Mine zone
Zone 02
Graph 4: Result of capitals by zone
CONCLUSIONS AND RECOMMENDATIONS

Higher levels of poverty and lower stock of capital are registered in zone 1. The most important
differences of the zones are in access to electricity, telecommunications connectivity (zones); housing,
schooling, level of expenditure and acquisition of assets (family results), as well as strong differences
in the way to engage and empower themselves as part of their social dynamics.
Among the common aspects of both zones are little access to potable water and high levels of distrust
in their inter-personal relationships.
With regard to the stock of capital of both, natural capital is depressed and this directly influences
financial and human capital, which is characteristic in rural areas where farming and livestock
production is predominant and has low productivity, which means that there is a potential that has
not yet been exploited or requires major changes to strengthen it.
Physical capital is the one that shows the least differences between zones, although its result is low,
identifying great opportunities to intervene and improve in potable water, sanitation,
telecommunications and roads.
The results of the Multi-Dimensional Poverty Index (MPI) are fairly similar to the results of monetary
poverty, which implies that income and expenditure are strongly influencing the results of poverty
and the family situation.
10
MODELING OF SOCIAL INVESTMENT
With the information obtained, AAQ has incorporated knowledge in order to model and plan
strategic social investment for these zones. To this end, the following recommendations have been
developed:
Promote investments aimed at enhancing natural capital and human capital that positively
impact on the financial capital of families. In this case, there is an alternative Basic Education
Center for adults so they can finish high school and build up their training in production.
There are also farming and livestock projects in both zones, and in all these projects
intervention in water for production is prioritized, with the aim of improving economic
revenues.
Priority has been given to the inclusion of two aspects in all projects that will be developed:
1) Building trust, through partnerships and formation of business networks, aimed at
achieving common goals, 2) All productive projects will have initiatives that improve access
to and availability of water for production.
Promote partnerships to leverage more financial resources from public-private mechanisms,
such as projects for taxes or others, to address investment projects in infrastructure (water,
electricity, telecommunications, etc.), with the aim of improving mainly physical capital.
Strengthen the social capital of the zones through the promotion and development of
grassroots organizations, enhancing their capabilities with the aim of improving relations of
trust and self-management.
Implement gender interventions which promote bonds of trust, savings and micro-credit, as
well as productive activities.
LESSONS LEARNED
It is possible to obtain very similar results by only carrying out an intervention through sampling,
which will be taken into account in the measurement of monitoring results.
The initial measurement had an extended number of indicators, which were reduced during the
process. This can be done with more review of secondary information.
NEXT STEPS
Three years after the socio-economic baseline has been completed, monitoring of results will take
place in 2018.
As part of the participatory process, these results and the plans prepared will be disclosed to the new
authorities, at the regional and local levels.
11
All projects to be implemented in the study areas should have actions to build trust and
collaboration among participants.
The results of the socio-economic evaluation and monitoring with respect to the baseline will also be
shared with the villagers so that they are aware of the progress and challenges that exist.
Priority will be given to the fulfillment of commitments in those dimensions where there is greater
deprivation and in those where compliance allows to better express the potential of the resources of
the zone, honoring the stages for which the commitments were made.
The implementation and development of social commitments will have different intensity of
intervention in the zones, taking into account their specific needs by dimension.
The participatory monitoring of the projects to be implemented will be strengthened, with the
authorities and participants of the projects, so that, in addition to contributing to building trust, there
is also a sense of co-management, establishing tools and mechanisms for communicating
achievements in the zones.
The different social investment that will be required that are complementary to the social
commitments already acquired will be identified so that the sustainable livelihoods of both zones
may express their best potential as well as the partners needed to achieve them.
REFERENCES
Consultancy for the design and development of perceptional studies and the conduct of a baseline
study of the socioeconomic impact and employability of the Quellaveco project in its areas of
influence, IPDC July 2014.
Longitudinal measurement of the socioeconomic impact of the Quellaveco project; Macroconsult,
December 2013.
12
CHAPTER 7
Free Prior and

Informed Consent
( FPIC) and Negotiated
Agreements
Creating Shared Value through the Implementation
of Social Management Systems
Peter Martell and Tania Barron
1. Teck Resources, Canada
2. The Terron Group, USA
ABSTRACT
Environment, health and safety (EHS) management systems are commonly implemented at mining
operations. More recently, such operations have started to apply the same management system
principles to the area of social performance. At Teck Highland Valley Copper (HVC) a social
management system (SMS) has been implemented since 2013 that is consistent with ISO standards
(14001: environmental management and 26000: social responsibility) and drives improvements in
social performance.
The initial implementation of the SMS at HVC mirrored an EHS management system in its approach
to the identification of social impacts, the management of social risks, compliance with obligations,
and the management of community incidents. The early benefits of the SMS implementation
included improved social risk management and quality of community development programs, and
a more efficient use of resources through systematic planning and prioritization.
Effectiveness of the SMS is continually assessed using a monitoring framework, including key
performance indicators (KPIs) for the various components. The monitoring framework has facilitated
a business improvement approach to managing social performance which, over a three-year
implementation period, has shown value created for the operation and for local communities. A
specific example of the value of the SMS is a three-fold increase in local Indigenous contracting and
employment, only a year after the implementation of the monitoring program.
This paper will present the framework of HVCs SMS, the value generated through its
implementation and recommendations for those embarking on a similar path towards driving
improvements in social performance.
1
INTRODUCTION
Best practices in the management of social and environmental issues in the construction, operations
and closure of mining projects points to the need for systems to continually identify, manage,
evaluate and improve the ways in which mining projects address the impact of their activities, both
positive and negative, and on a continual basis. While environment, health and safety (EHS)
management systems have been commonly implemented at mining operations, applying the same
systems thinking and rigor to social management is a relatively newer endeavour. Increasing scrutiny
and complexity around the management of social risks, impacts and stakeholder relationships
warrants the mining sector to apply similar systems thinking and rigor to social management.
Teck Highland Valley Copper (HVC) - an open pit copper mine in British Columbia, Canada that has
been in operation for approximately fifty years - attributes a significant reduction in environmental
impact and improvement in the management of environmental risks to the implementation of an ISO
14001 certified Environmental Management System in 2010. This led HVC to believe that a similar
approach to managing social impacts and risks would create value for the organization. In 2013,
HVC developed and started the implementation of a Social Management System (SMS), consistent
with ISO Standards, and that helped to drive improvements across the organization in the area of
social performance. HVC has a complex social context being located amidst a number of
communities and within the Traditional Territory of the Nlakapamux Indigenous people. HVC has
a large number of formal (agreements) and informal obligations and is the primary employer in the
region. HVCs community support is largely dependent on HVCs ability to create meaningful
benefits, manage social impacts and risks, and these have been the drivers behind the development
of its social management system.
METHODOLOGY
HVC has a Social Management System (SMS) to guide the management of its commitments relating
to social responsibility. The SMS is a structured process to social management that integrates various
corporate guidance and other resources to support HVC to achieve conformance to the Teck Health,
Safety, Environment and Community (HSEC) management standards, industry standards and key
stakeholder expectations. HVCs SMS uses a cyclic planning, monitoring and implementation process
to drive improvements in managing social risks and opportunities, focusing on HVCs area of
influence (AOI). HVC uses the term social management to encompass three broad work areas:
Engagement; Social Impact Management; and Sustainable Benefits (including community investment
and local hire and procurement).
The SMS brings together a framework to address the three social areas noted above and links all the
policies, protocols, action plans, tools and processes that support implementation in these areas, and
that allow HVC to:
Comply with contracts, legal requirements, agreements and commitments;
2
Engage with all Communities of Interest;
Manage grievances and complaints;
Address direct and indirect impacts of HVCs presence on the economy and society;
Direct strategic community investment;
Factor social issues in emergency preparedness and response;
Be inclusive of vulnerable and other disadvantages groups; and
Monitor, evaluate, report and drive a continuous improvement process.
Social Management System (SMS) Design and Framework
The overall SMS framework and design is driven by a cyclic planning Plan-Do-Check-Act process,
which drives improvements in managing social risks and opportunities. Examples of the different
activities that take place at each stage of the planning cycle are described below and depicted in
Figure 1.
Figure 1 HVC Management System Framework
3
Plan Phase Understanding the Social Context
The management of social issues at HVC is grounded on an in-depth understanding of social impacts,
risks, stakeholder expectations and concerns surrounding HVCs mining activity. Therefore, the basis
of the entire planning process for the SMS depends on a strong understanding of key stakeholders
and their perceptions, social issues, risks and opportunities. It is also an important step in identifying
specific objectives and targets for HVCs social management that meet regulatory and non-regulatory
requirements and commitments. The specific activities conducted in the Plan phase of the SMS
include:
Social Risk Assessment identifies the social risks and opportunities linked with HVC
mining operations at a specific point in time
Identification/redefinition of HVCs area of influence
Identification and mapping of key stakeholders for HVC
Development and update of HVCs socio-economic baseline
Do Phase Design and Implement Plans and Procedures
The information developed in the previous phase provides the necessary background for the Do
Phase focused on the development and implementation of management plans, procedures, tools and
processes to address the three core areas of the HVCs SMS: Engagement, Impact Management and
Sustainable Benefits. HVCs social management plans include measurable targets and key
performance indicators (KPIs) that are used to monitor the implementation of each plan and its
effectiveness against established objectives and targets at the SMS level. Example of management
plans within HVCs SMS includes:
Communities of Interest (COI) Engagement Strategy
Community of Interest (COI) Engagement Plan
Participation Agreements with First Nations communities
Social Impacts and Mitigation Management Matrix
Strategic Community Investment Plan
Local Hire and Procurement Plan
Check Phase Monitor, Evaluate and Report
The Check phase focuses on the tracking, monitoring and evaluation of the effectiveness of HVCs
social plans via HVCs Social Monitoring and Evaluation Procedure. This procedure includes site-
specific KPIs developed for each social management area including:
COI Engagement;
Social Impact Management;
Sustainable Benefits;
Training, Awareness, and Capacity Building; and
4
Impact Benefit Agreements.
The KPIs are designed to provide information for internal monitoring and evaluation and for external
disclosure to local COIs. Input, output, and outcome KPIs are used to measure performance. KPIs are
developed in alignment with corporate guidance and are informed via COI feedback obtained during
regular COI engagement activities. Methods for collecting, measuring, and analysing social
performance include direct survey of COIs, session evaluations following events such as workshops,
and data from feedback tracking; collection of local hire and procurement, training, CI and social
impact management data. Data collection takes place on a monthly or annual basis, depending on
requirements for each KPI, as outlined in HVCs Social Monitoring and Evaluation Procedure.
Methods for assessing performance include: a review of KPIs quarterly by the Communities Team,
quarterly review of plan actions, and semi-annual review of all KPIs and feedback by the Senior
Management Team. There is also a social audit program at HVC, consisting of a number of periodic
internal inspections, audits, and evaluations of compliance status, as well as audits of select
contractors whose activities could have a significant effect on COIs and the environment.
Act Phase Improve and Update
HVC conducts a midyear and year-end social management review meeting to discuss overall
performance and the effectiveness of the SMS. The review consists of HVC senior management
including the General Manager, department managers, and select superintendents.
Specific SMS review objectives include:
1) Evaluation of the overall performance of the SMS through inspection of data and reports;
2) Evaluation of the adequacy of policies, procedures, and objectives for social management; and
3) Evaluation of informal and formal commitments to COIs.
Specific inputs to the SMS review may include:

Continued suitability of social management-related policy statements, plans, and/or
procedures (i.e. SMS Manual, COI Engagement Plan, Feedback process, etc.);
Attainment of social management-related goals, including improvement objectives and
targets/KPIs;
Social management-related performance, including incidents recorded in SiteLine (HVCs
site-wide compliance tracking system);
Suitability of resources and systems in light of past performance and changing
circumstances;
Status of follow-up actions from previous reviews;
Results of inspections and audits;
Recommendations for improvement; and
Feedback from COIs gathered through TrackLine (HVCs stakeholder engagement tracking
software), COI workshops, email, written feedback forms, or other collection method.
5
Engagement across the Entire SMS Cycle
Engagement with Indigenous and non-Indigenous key stakeholders is an integrated component that
takes place at each stage of the Plan-Do-Check-Act cycle of the SMS. In the planning stage
stakeholders are engaged in the updating of socioeconomic baselines and the validation of social
plans. Stakeholders are engaged in the implementation of plans in the Do phase. Perception surveys
as well as other informal modes of feedback gathering are used to systematically gather perceptions
from stakeholders on the effectiveness of HVCs social programs. Finally, stakeholders are engaged
via advisory committees and working groups in order to update and improve social plans.
Early Benefits of the SMS for HVC
The initial implementation of the SMS at HVC mirrored an EHS management system in its approach
to the identification of social impacts, the management of social risks, compliance with obligations,
and the management of community incidents.
Some of the early benefits realized from the implementation of the SMS include:
Clearly defined roles and responsibilities around the management of social issues;
Established priorities and clear priorities of social programs;
Accountability for implementation and results through monitored and escalated tasks;
Structured process for identifying and investigating social incidents.
Measured Improvement in Social Performance Metrics
Effectiveness of the SMS is continually assessed using a monitoring framework, including key
performance indicators (KPIs) for the various components. The monitoring framework has facilitated
a business improvement approach to managing social performance which, over a three-year
implementation period, has shown value created for the operation and local communities. Specific
examples are presented below.
Local Indigenous Contracting and Employment

Figure 2 is a snapshot of the HVC performance dashboard for local Indigenous Contracting. This is
one of many dashboards that have been developed for quarterly senior management review. In 2016
84% of all service contracts were awarded to local Indigenous businesses, compared to a baseline of
10% in 2016. Local hiring and employment KPIs have also been implemented at HVC, one example
6
is the % entry level jobs filled by Indigenous applicants. In 2016 this KPI increased to 57% from 10%
in 2015.
Indigenous Business Development
Eight new Indigenous businesses opportunities were identified in 2016 and three were
implemented. All Environmental monitoring work, Cultural Heritage and road crush contract
work is performed by new local Indigenous businesses at HVC. The creation of these businesses
through partnership with HVC has also created opportunities outside of the mine in the form of
sustainable jobs, contracts, and revenue. A new construction business was formed by a local
Indigenous community to undertake a large multi-year crushing and earthworks contract at HVC.
Since the creation of this business a number of contracts for work outside of HVC have also been
awarded.
Figure 2 HVC Performance Dashboard Indigenous Contracting
Enhanced Community Perceptions

Community Perceptions have been enhanced through proactive engagement and strategic
community development initiatives that were implemented as a result of the SMS planning process.
This was demonstrated by a community perception survey that was conducted in 2015 which showed
that across all COIs, HVC generally was viewed positively. On a scale of -2 (strongly oppose) to +2
(strongly support) the aggregate of responses to the community perception survey scored at +1.25.
Maintaining community support is important for HVC to ensure that permits are obtained for future
extensions.
7
Areas of Growth and Opportunity for the HVCs SMS
As HVC has gotten more sophisticated in defining concrete social performance KPIs and targets the
need for better data management systems has increased. HVC is now gathering key social
performance data monthly, for multiple years, across a variety of social performance areas. The need
to easily gather, track, monitoring, report and assess effectiveness with ease in a real-time fashion has
increased and become more complex. Other areas of opportunity for HVCs SMS include the
implementation of performance dashboards for the purposes of community engagement, to promote
more transparency around HVCs social performance programs and their implementation.
CONCLUSION
HVCs Social Management System has provided clarity, focus and a systematic process for managing
social performance at HVC. After three years of implementation of HVCs SMS there are clear
benefits that have been generated for both the operations and for communities, including: a
significant increase in Indigenous contracting opportunities; an increase in Indigenous business
development opportunities; and marked improvements in stakeholder relationships and overall
level of support for HVCs mining operations. Mining projects and operations that want to
implement a systems approach to managing social performance will want to consider the following
recommendations in the design and implementation of such systems:
Build on existing systems at the site or project, rather than creating a new stand-alone system;
Effective social management requires leadership and cross-functional support - build support for
the system by engaging others within and outside of the community relations department to
generate greater buy-in from key internal stakeholders;
Integrate stakeholder feedback in the design and implementation of the system;
Have clear goals, KPIs and targets to measure the effectiveness of the system and develop a clear
and simple plan on how often and how tracking, monitoring and evaluation will take place;
Ensure that the system outlines specific activities that will be conducted at each of the Plan-Do-
Check-Act phases in order to ensure that the system follows a continuous improvement cycle.
ACKNOWLEDGEMENTS
Marlena Anderson, Community Supervisor, Teck Resources, Canada
REFERENCES
International Finance Corporation, World Bank Group (2012), IFC Performance Standards on
Environmental and Social Sustainability, Washington, D.C
International Organization for Standardization (2015) ISO 14001, ISO/FDIS 14001, Switzerland.
8
Retrofitting the Concept of FPIC in a Late-Phase
Mining Operation: Barrick, the Diaguita and the
MoU
Nigel Wight
CSRM, Sustainable Minerals Institute, Australia
ABSTRACT
Free, prior and informed consent (FPIC) has emerged in the last decade to become an important
component of mining industry policy when companies engage with impacted indigenous
communities. FPIC was conceived within a global framework that sought to safeguard indigenous
rights, in particular the right to self-determination. While prior consent suggests that the consent of
indigenous peoples be obtained in the early stages of a mine life cycle, in several recent cases, mining
companies have sought to apply processes informed by FPIC in later stages, such as during
construction and operations.
Barrick Golds Pascua Lama project, in the Huasco Valley, received its environmental permit to
proceed in 2001. Chilean government recognition in 2006 saw the Diaguita formally identified as
indigenous peoples. Subsequent mobilization of rights mechanisms such as the International Labor
Organization Convention 169 and the United Nations Declaration on the Rights of Indigenous
Peoples, as well as a raft of private sector voluntary standards within the expanding discipline of
'sustainable mining' have seen incremental modifications to strategies of engagement between
Barrick Gold and indigenous communities beyond the mandate of state-controlled prior consultation
regulatory processes.
The author, through historical document analysis and semi-structured interviews with Diaguita
indigenous leaders, examines how actors in the Huasco Valley have invoked the concept of FPIC,
identifying the limitations of doing so in the latter stages of a complex project.
1
INTRODUCTION
Free, prior and informed consent as a formalized concept is recent, emerging principally in the last
decade. Substantiated within the contemporary rights framework of the United Nations, FPIC
formed part of a global indigenous political project, as numerous indigenous movements around the
world found space in the various fora of the UN to demand the right to self-determination. In the
earliest developments of FPIC, indigenous aspirations for autonomy over ancestral lands formed the
moral and political foundations of the concept. In this sense, FPIC has come to be understood by
some as a safeguard of existing indigenous rights, rather than a new right in itself (Anaya, 2012).
Multinational companies have generally endeavored to fill the ethical void generated by a
neoliberal business model (Dolan & Rajak, 2011) with a noted willingness by mining companies to
integrate corporate social responsibility (CSR) policies within a broader theme of sustainability in
the extractives industries (Dashwood, 2012). For large mining companies, voluntary FPIC standards
has been further underwritten by the industrys broader commitment to assuming greater human
rights responsibilities, as part of the UN Guiding Principles for Business and Human Rights and its
Protect, Respect, Remedy framework with which the mining sector has aligned .
The development of FPIC within the mining industry has established the free, prior and informed
consent of indigenous communities as a requirement by International Council for Mining and Metals
(ICMM)-affiliated mining companies wishing to operate on or near indigenous territories. The ICMM
in its 2013 Position Statement established that FPIC was both an outcome and a process, an
approach that prioritized constructive relationships between mining and metals companies and
indigenous peoples (ICMM, 2013). FPIC policy is further elaborated through the Performance
Standards of the International Finance Corporation (IFC), which has established an FPIC requirement
by mining companies borrowing through that institution. How new concepts such as FPIC are
created, understood and applied in practice in the mining industry is important.
Yet there has been little in-depth analysis of how FPIC is applied in practice in the context of resource
extraction. How do mining companies make space within their organizations to accommodate FPIC?
How do they allocate resources, such as staffing, to be able to meet the demands of an evolving
conception of FPIC even as a project has been approved for commencement? Despite the emergence
of CSR frameworks and standards, for mining companies, FPIC beyond narrow regulatory and
compliance considerations is an unknown (Owen & Kemp, 2014). FPIC has been conceptualized as
negotiated justice (Szablowski, 2010), implying a requirement for relationship-building between
mining companies and indigenous communities, rather than adherence to statutory obligations.
Nevertheless, this paper asserts that to operationalize a rights-based concept such as FPIC requires
that mining companies clearly identify their rights responsibilities, rather than adherence to a
traditional CSR-centric approach to community relations.
This paper presents the preliminary findings from the fieldwork stage of the authors PhD research
project, examining the operationalization of FPIC mid-project. The case study is Barrick Golds
Pascua Lama project, and the evolving indigenous rights framework in the Huasco Valley.
2
BACKGROUND CONTEXT
Chile has a nascent indigenous rights framework, with the 1993 ley indigena (Indigenous Law) 19.253,
2006 recognition of the Diaguita ethnicity, 2009 ratification of ILO C169, and the development of the
national consulta indigena (indigenous consultation) framework, finalized in early 2014. While the
consulta indigena framework; the Chilean state obligations to consult impacted indigenous
communities (as required by ILO169) has dominated mining industry policy informing engagement
practices with indigenous peoples. Nevertheless, the concept of FPIC has history in the case of Pascua
Lama.
Barrick Golds Pascua Lama mine has been a presence in the Huasco Valley, in Northern Chile for
two decades. A gold, silver and copper mine with a life of 25 years, Pascua Lama was approved by
the Chilean government in 2001, and again in 2005. Originally scheduled to commence production in
2009, the mine remains suspended, due to environmental infractions identified by regulators in 2013.
That same year, indigenous groups reconfirmed the suspension through the Chilean legal system, by
demanding a recurso de proteccion, an application for protection towards the state against the mine,
for environmental impacts; a revocation of consent.
Much earlier, in 2007, the Huascoaltinos, the agricultural community adjacent to the mine site, lodged
a claim with the Inter-American Commission for Human Rights against the Chilean state, claiming
FPIC was never sought or obtained for the project. In 2011, the IFC conducted its due diligence
processes informed by the Performance Standards. Performance Standard 7, in 2011, required that
mining companies seek the free, prior informed consultation of impacted indigenous peoples (IFC
modified its definition of FPIC as consent in 2012). Most recently, the company engaged with
segments of the local indigenous population through a Memorandum of Understanding, a document
which aim was to establish a good faith dialogue providing agreed finance to communities for
participatory due diligence in order to seek their free and informed consent (Barrick, 2014). The
Diaguita participants involved with the MoU process were those involved in the 2013 court case
against the company. This paper critically examines the MoU as a means of retrofitting FPIC. Two
themes in particular are highlighted in results the MoU as a means of operationalizing FPIC to
strengthen the companys relationship with indigenous communities, and the companys underlying
human rights knowledge base.
While there are a range of social, environmental and regulatory issues relating to Pascua Lama, the
scope of this paper is limited to the companys indigenous engagement processes as they relate to a
developing FPIC framework globally.
METHODS
The authors conclusions are based on data from three research methods, between January and
August of 2017.
Semi-structured interviews. 42 semi-structured interviews were conducted with 30 key
informants, including Diaguita community leaders, non-affiliated Diaguita, current and
former Barrick employees, local and national political representatives, lawyers and
members of the tribunal ambiental, conducted in Santiago and in the Huasco Valley.
Non-participant observations. During the two fieldwork periods, a number of key
political and cultural events were attended both in the valley and elsewhere in Chile.
Document Analysis. A number of documents produced by Barrick, indigenous groups,
environmental groups and Chilean government departments were analysed.
3
While the scope of the PhD research problem included a broad set of actors, this paper focuses on the
requirements placed on Barrick Gold by its mobilization of the concept of FPIC through the MoU.
PRELIMINARY FINDINGS
While the results published in this paper represent a preliminary analysis of collected data, two key
themes emerged relating to Barricks engagement with indigenous communities and invocation of
FPIC:
Relationship-building. The MoU, despite much-publicized criticism through national

media, was an effective instrument for informing potentially impacted indigenous
communities of the projects progress, and its ongoing environmental issues. Indigenous
communities, for the first time, were able to assert autonomy over information relating
to the monitoring of environmental indicators relating to water management and mine
construction.
Nevertheless, an FPIC-informed approach to indigenous engagement favoring
constructive relationships, can often be mitigated by other priorities for a mining
company. Ongoing regulatory uncertainties and related financial considerations by the
mine saw the MoU process finalized in 2015. Given that financing of the MoU was
subject to the actual construction, start-up and operation of the project (Barrick 2014) a
business case justified the suspension of the process.
As a long-term mechanism for recognizing indigenous rights, and as a means to
establish working, good faith relationships with key stakeholders, it can be argued that
the finalization of the MoU process undermined indigenous autonomy over access to
key information.
Organizational capacity-building. A number of former Barrick employees involved with

the 2011 IFC processes cited that they were largely unprepared for the FPIC
requirements demanded by Performance Standard 7. While local community relations
programs were in place and documented, clearly documented processes of indigenous
participation and consultation (the ICMM FPIC standards of 2011 required consultation
processes, rather than working towards consent) were lacking.
There was evidence of limited capacity-building for Chile-based Barrick staff in
understanding the emerging FPIC concept, despite an acute need in the context of
Pascua Lama. Ex-employees spoke of a need for uniformity of standards and best-
practice examples in an environment of social complexity. Moreover, much of the social
knowledge acquired by the company through local strategies of engagement remained
as informal knowledge, rather than as information to inform better relations with key
indigenous stakeholders. Participants in the research project identified this as a
contributing factor to the court case of 2013 by indigenous communities against the
company. In numerous interviews with indigenous leaders in the Huasco Valley, the
4
language of indigenous rights was articulated coherently and forcefully. Indigenous
communities are aware that their consent is required for mining projects in their
territories. Barrick, despite its commitment at a global level, has been slow to fully grasp
this new reality in Chile.
CONCLUSION
Pascua Lama received its regulatory approvals in a context free of any requirement for indigenous
consultation processes or FPIC. Official Chilean recognition of the Diaguita peoples and an emerging
national indigenous rights framework modified the social landscape in the Huasco Valley. It can be
argued that early application of Barricks FPIC obligations as an ICMM-member (since 2008) would
have mitigated some of its difficulties with indigenous communities. Such groups are now keenly
aware of the requirement for mining companies to work to obtain local indigenous consent, even in
cases where projects have been approved by regulators. For mining companies there is a clear need
for better organizational learning methods to effectively operationalize international standards into
local contexts. As the framework for early engagement between indigenous communities and mining
companies is developed in Chile, there are now clearer opportunities to operationalize FPIC. For
mining companies, it is important that the concept is fully understood, and that resources are
allocated to its effective implementation. The new reality of indigenous rights in Chile has begun to
demand this.
REFERENCES
Anaya, S. J. (2012). Compilation of the conclusions and recommendations of the Special Rapporteur on the
rights of indigenous peoples, James Anaya, on extractive industries affecting indigenous peoples and
other issues related to business and human rights Retrieved from Geneva:
Dashwood, H. S. (2012). CSR norms and organizational learning in the mining sector. Corporate
Governance: The international journal of business in society, 12(1), 118-138.
doi:10.1108/14720701211191373
Dolan, C., & Rajak, D. (2011). Introduction: Ethnographies of corporate ethicizing. Focaal, 2011(60), 3-
8. doi:10.3167/fcl.2011.600101
ICMM. (2013). Indigenous Peoples and Mining 2013 Position Statement. Retrieved from
http://hub.icmm.com/document/5433
Owen, J. R., & Kemp, D. (2014). Free prior and informed consent, social complexity and the mining
industry: Establishing a knowledge base. Resources Policy, 41, 91-100.
doi:10.1016/j.resourpol.2014.03.006
Szablowski, D. (2010). Operationalizing Free, Prior, and Informed Consent in the Extractive Industry
Sector? Examining the Challenges of a Negotiated Model of Justice. Canadian Journal of
5
Development Studies/Revue canadienne d'tudes du dveloppement, 30(1), 111-130.
doi:10.1080/02255189.2010.9669284
6
CHAPTER 8
Conflict Analysis,
Prevention and
Resolution
Environmental Management during Mining
Exploration: The Importance of the First Steps
Mauricio Quiroz
Barrick Gold Corporation, Chile
ABSTRACT
Exploration is the first phase of the long life-cycle of a mining operation. As every first step, it sets a
precedent on how future steps will be carried out. By definition, exploration is a temporary activity
that has a low probability of success: only one out of hundreds of prospects go on to become a mine.
As part of Barricks vision of sustainability, and given the temporary character, it is important that
exploration can coexist with other uses of the territory such as livestock, agriculture, tourism and
conservation, without affecting the continuity of these uses when the exploration ends, but also
laying the foundations for the future mining development.
In this context, environmental and community management plays a relevant role in the exploration
activity and can make a positive difference in the future evolution towards a mining project. In fact,
active management of the relationship and the delivery of timely and transparent information as well
as compliance with high national and international standards serve to generate trust and credibility
in stakeholders related to the area of geological interest, which will help to obtain the license to
operate in that zone. On the contrary, a poor performance will not only affect the continuity of the
exploration activity but also the future evolution of the mining project, affecting at the same time the
reputation of the mining industry as a whole and of the particular company and/or project. In an area
with poor environmental precedents, access to land is usually restricted for future exploration
activities, whether executed by the same or by other owners.
This article describes how Barrick incorporates environmental management into its exploration
activities in South America, based on internal policies, compliance with environmental obligations
and keeping a transparent relation with stakeholders, building and preserving the license to operate.
1
INTRODUCTION
Exploration is the first phase of the long life-cycle of a mining operation. By virtue of being the first
"on the ground", explorers are corporate ambassadors and have a great responsibility in hands: there
is only one chance to make a good first impression, and this first step will set a precedent for how
future steps will be carried out.
By definition, exploration is a temporary activity that has a low probability of success: only one out
of hundreds of prospects will become a mine. For these both reasons, it is important that exploration
can coexist with other uses of the territory such as livestock, agriculture, tourism or preservation,
without affecting the continuity of these uses when the exploration ends up, but also laying the
foundations for future mining development.
In this context, environmental and community management plays a relevant role in the exploration
activity and can make a positive difference in the future evolution towards a mining project.
BARRICK EXPLORATION PROCESS

As part of its vision of sustainability, Barrick Gold Corporation is committed to wise environmental
stewardship based on careful work planning, diligent implementation, thoughtful assessment of
performance, and a desire to improve over time (Barrick Gold Corporation, 2017). Incorporation of
high standards of environmental performance is mandatory in all stages of the mine life cycle through
Barrick sites, including exploration activities.
On the other hand, Barrick policy states that we must communicate openly and transparently with
internal and external interested parties to develop a mutual understanding of environmental issues,
community needs and, therefore, set expectations (Barrick Gold Corporation, 2017). Usually the
communities around any exploration area have expectations of the activities that the new miner
neighbor will carry out, expectations that must be handled properly.
The exploration process at Barrick is divided into four different stages: Generative / Grass Roots,
Target Delineation, Drill Testing, Advanced Exploration / Resource Definition. Each successive stage
represents an increase in the volume of work, investment necessary and impact in the environment
as well as a decrease in the size of the area of interest.
In Generative and Grass Roots stages, exploration team assesses the geological, geochemical and
geophysical data of prospective belts or districts that may contain mineral deposits at a regional scale.
Once an area is selected, a detailed evaluation will be done on the Target Delineation stage including
geological mapping, rock and soil sampling, geophysics and surveying, to identify a target area to be
drill tested.
At the Drill Testing stage, there is a clearly defined geochemical, geophysical or geological target (or
all of the prior) that can be tested with staged drilling programs, allowing sampling rocks from
beneath the surface. Geologists examine the rock samples that come out of the ground to determine
the type of rock and whether they contain gold. Of the prospects that get to this stage of the
exploration cycle, few advance to become a mine.
2
If results of the Drill Testing indicate that a mineral deposit likely exists, additional drilling will occur
at Advance Exploration / Resource Definition to better define the properties and scale of the mineral
deposit. Preliminary metallurgical testing and engineering studies will also occur at this stage. These
studies will determine whether the mineral has the potential to be economically viable at which time
it will be handed over to a Project Development team to advance through subsequent study phase
(Barrick Gold Corporation, 2012).
Each stage of the Barrick Exploration process has activities in which the incorporation of the
environmental and community aspects are crucial to ensure and preserve the license to operate,
which take into account the criteria or focuses described in Table 1 below. According to this, for early
exploration stages (Generative and Grass Root) it is key to identify constraints and sensitivities for
the execution of future exploration activities or for the future development of a mine in a defined
area. At this stage it should be possible to discard those projects that will not be feasible to execute
for strong environmental or community constrains. On the other hand, those projects that are in
delineation stage, should focus their environmental management in obtaining the necessary permits
to drill, taking into account the deadlines involved in this management.
Finally, during Drill Testing and consecutive stages, environmental control in the field should be
maintained to ensure compliance with all applicable obligations and commitments and lead the
implementation of control measures for all identified environmental risks.
3
Table 1 Environmental focuses for each stage of exploration pipeline
Pipeline Stage Environmental Management Focuses or Criteria
Generative Identify environmental or regulatory restrictions to execute exploration activities.
Identify permits required for current and future exploration stages.
Grass Root Confirm the environmental and regulatory restrictions identified in the
Generation phase and adjust these to the areas of interest.
Identify sensitive environmental issues within the area of interest.
Adjust the permit plan to the project area of interest.
Target Delineation Conduct environmental studies that help characterize sensitive environmental
issues of the area to be delineated.
Manage the permits required for future drilling stages.
Delineate environmental management plan
Drilling Testing / Procurement of environmental and sectoral permits.

Advanced Exploration /
Resource Definition Management of environmental commitments and obligations.
Define and implement environmental management plan and risk controls
In summary, environmental management during Barricks exploration activities considers four major
actions which are described in detail in the following section: Identify restrictions and sensitive areas,
generate environmental information relevant for permits and risk evaluation, manage required
permits and implement environmental controls during field operations and drilling.
KEY ENVIRONMENTAL ACTIONS
Identifying Sensitive Areas
Pursuant to Barricks Biodiversity Standard, as a first step to identify sensitive issues that must be
addressed, each early exploration project should complete a biodiversity analysis that identify
protected areas and key biodiversity features (KBF).
All protected areas existing inside and around any area of interest must be identified and
documented, considering the following categories (Barrick Gold Corporation, 2016):
4
UNESCO World Heritage Sites.
National protected areas (national parks, provincial parks, national reserves, etc.)
indicating their IUCN category.
Areas of recognized international conservation priority (RAMSAR sites, UN biosphere
reserves, etc.)
Areas of nationwide conservation priority (conservation priority sites, protected national
assets, private protected areas, etc.)
All exploration activities will avoid working on areas declared as UNESCO World Heritage sites, in
line with the commitments undertaken by the ICMM on the matter (ICMM, 2003). Activities
conducted in the proximity of World Heritage sites will be allowed to be conducted only if they are
not incompatible with the Outstanding Universal Value for which these sites have been classified.
In case interaction is identified between the areas of exploratory interest and any protected area
(except for World Heritage sites), the management plan of such area will be analysed with the
purpose of studying the legal requirements and restrictions associated to that protected area and
ensure whether compatibility exists with both the execution of exploration activities (sampling, roads
opening, setting up of platforms, hole drilling) and with future development of a potential mining
project. Final objective of Barricks exploration efforts is to find a mineable ore body, i.e., if any
restriction exists that not allows to develop mining activities, it should be identified as early as
possible.
Identifying potential KBFs provides insight into whether biodiversity could influence the future
development of a mine at a site (e.g., trigger regulatory requirements or constraints, generate
potential conflict with stakeholders, entail major mitigation effort etc.), and will help inform the
design (scope) of future baseline studies at the site if they are required. It is particularly important
early on to identify potential KBFs that may become high risks at a site, whether this risk is related
to the viability of the KBF (intrinsic risk), or whether the KBF potentially creates reputational or
regulatory risk to the site (Barrick Gold Corporation, 2016). The KBF that need to be described are as
follow:
Species of conservation priority: Species identified as threatened on national lists of
threatened species, the IUCN Red List, or where globally significant concentrations of
migratory and/or congregatory species utilize the site.
Habitats of conservation priority: Ecosystems that are protected by law, are identified as a
conservation priority by internationally or nationally recognized institutions, provide
habitat for species of conservation priority and/or generate ecosystem services of
conservation priority.
Ecosystem services of conservation priority: Ecosystem services which substantially
contribute to beneficiaries livelihoods, health, safety or culture. The process for identifying
ecosystem services of conservation priority may rely on community consultations
conducted by Community Relations, or other methods as deemed appropriate by site.
5
Generating knowledge
The field studies intended to characterize the status of environmentally relevant components existing
in the area of influence of each exploration project, must be conducted before drilling. The
development of such environmental baseline studies, will help to generate information required by
the reports to be used in the environmental permit procurement process and to identify sensitive
environmental issues, that call for the design of specific environmental management plans and that
should be considered at the time exploration activities are planned.
The environmental components to be characterized will depend on the conditions exhibited by each
site, however the following will be considered as a minimum:
Archaeology: identify sites and elements pertaining to the cultural heritage and areas of
cultural and religious importance existing in the area of influence.
Terrestrial flora and fauna: characterize the plant formations and habitats, identifying
currently existing species and indicating their conservation status.
Water resources: identify the presence of nearby surface water and groundwater bodies
and characterize their quality and quantity (flow, depth).
Use of land: describe current use of land around the area of geological interest, taking in
mind that at closure objective will be rehabilitate the area to previous condition.
The completion of studies on other components, such as meteorology, soils, iceforms, geological
risks, limnology, infrastructure, among others will depend on the characteristics each site presents.
Studies should include a survey of the environmental liabilities existing in the Project area of
influence (i.e., historic mining area, previous disturbance, etc.) and thus ensure a characterization is
available prior to the execution of any mining activity.
As a main result from these environmental baseline studies all the sensitive environmental issues
existing in the area of influence of a mining project should be identified, with reports characterizing
such sensitive issues and cartographic coverage that delimits the areas where these sensitive issues
lie. This information will allow planning the exploration activities while keeping such sensitive issues
unaffected.
Getting the Permits
Three types or permits and authorizations can be identified that are applicable to prospection and
exploration stages, namely, environmental permits, sectorial permits and community engagement
and commitments.
As to environmental permits, their applicability to preliminary works varies from one country to
another, due to the very low environmental impact and short-lived duration these field activities
represent. Considering that in most countries where Barrick pursues exploration activities,
environmental permits are required prior to developing drilling programs, the documentation
6
needed to process such permits (Environmental Impact Statement or Report) will have to be planned
and prepared during previous exploration stages, such as Target Delineation.
The same variability between countries is reflected on sectorial permits, even if some permits offer
general applicability such as the permit or notification to Start Activities or the specific permits
required by ancillary facilities or by some specific activities, such as:
permits for sanitary facilities (potable water, sewage water),
permits for water use and/or withdrawal,
permits for fuel storage,
permits for hazardous material transport,
permits for special work shifts,
permits for waste management facilities,
permits for food handling and/or consumption (canteen, casino),
permits for rock / soil sample transport.
Given the variability ruling the procurement of environmental and sectoral permits, a Permit Master
Plan should be prepared as early as possible. This master plan should contain all the environmental
and sectorial permits required to complete all the exploration and prospecting activities, indicating
how long could take to get them issued and also the right moment when each of these permits must
be applied for in order to ensure that the elaboration and processing of the relevant permits can be
adequately planned during the prospective and exploration stages.
With respect to social license to operate, the management strategy to be applied with those permits
and authorizations must be jointly agreed and executed with the Community Relations team of each
country, bearing in mind the proximity of population to the area of exploratory interest, the presence
of indigenous population, past relationship experiences between those communities and previous
mining or other kind of projects developed in the area, the presence of NGOs, etc. Same as for
sectorial permits, a plan must be created to identify the community permits and to establish courses
of action leading to their procurement. This plan should be based on an early community
involvement criteria, in line with the recommendations under the IFC, ICMM , and PDAC , and be
reviewed at corporate level.
Managing risks
Given the fact that exploration activities has the potential to disturb the environment -such as road
construction, trenching, drilling platforms, waste generation, etc.-, an Environmental Management
Plan will be required to define the control measures that are to be implemented with the purpose of
keeping the environmental risks mitigated (PDAC, 2009). This Management Plan must consider the
following aspects, as a minimum:
Environmental Risks Assessment
7
Identify risks associated with explorations activities, such as unplanned disturbance of sensitive
areas, hydrocarbon spills, and impact on water course associated with road openings, etc. Those risks
must be identified in a Formal Risk Analysis workshop.
Update the environmental risk register, detailing the identified potential risks, proposing mitigation
strategies, identifying the controls and their effectiveness and defining the residual risk profile.
Environmental Obligation Register
Update the environmental obligations matrix by incorporating the required environmental and
sectorial permits, as stated in the permit plan and the obligations associated to them (identify
commitments contained in the permits granted). Follow-up permanently the compliance status of
such obligations and periodically update the status reported.
Ensure documents are adequately managed so that a database can be organized with the digital back-
ups of actions and documents capable of reflecting compliance of the obligations contained in the
matrix.
Environmental Control Plan
The actions, control measures, and procedures to be applied on field activities conducted by the
exploration team or contractor companies must be described with the object of ensuring compliance
of environmental obligations. Some of these are:
- Contractual specifications to be followed by contractor companies, including penalties
in case breaches occur.
- Training and awareness.
- Area release procedures before any intervention takes place.
- Waste management procedures.
- Hazardous material management procedures (fuels, additives)
- Response plans to environmental incidents.
These documents should be prepared and implemented before any earth works is started.
Closure Plan
Closure activities to be executed at the end of each field season must be described. Likewise, all the
actions to be taken in the event the project fails to make progress in the pipeline and, consequently,
remediation is considered should also be described.
Remediation of drill platforms and access roads will be considered, taking as a final objective to
restore original land use. A procedure will be put in place that involves a final inspection of work
areas certifying that the conditions in which the work site is left do not represent a risk for peoples
health or the environment, and site conditions are as close as possible to original. The preparation
and execution of the above closure plans must consider the regulatory requirements applicable and
specific of the country where the Project operates.
8
CONCLUSION
Key actions that Barrick uses to manage environmental aspects associated with its exploration
activities have been described in this paper. This methodological proposal is applied to all
exploration projects in South America, allowing not only the early incorporation of the environmental
variable into decision making, but also the implementation of high environmental performance
standards in the field activities, complying with this environmental obligations and legal
requirements.
An important aspect to be taken into account is the early planning of environmental activities and
those related to permits, as this will avoid delays in the implementation plan of each exploration
project caused by permit issues.
Active management of the relationship and the delivery of timely and transparent information as
well as compliance with high standards will generate trust and credibility in stakeholders related to
the area of geological interest, which will help to obtain the license to operate in that zone.
REFERENCES
Barrick Gold Corporation (2012) Exploration Community Relations Guide Book, Toronto, Canada.
Barrick Gold Corporation (2016) Biodiversity Standard, Toronto, Canada.
Barrick Gold Corporation (2017) Barrick Environmental Policy, Toronto, Canada.
ICMM (2003) Position Statement on Mining and Protected Areas, London, England.
PDAC (2009) Excellence in Environmental Stewardships e-toolkit (EES) Version -01 Toronto, Canada.
9
A Case Study of the Social Management of an
Environmental Incident with Local Productive
Impacts
Ursula Weber1 and Cristbal Aninat2
1. Social Performance Department, Anglo American, Chile
2. Visiona, Chile
ABSTRACT
In this case study we analyze the methodology used to address the social and productive impacts of
an ore spill in the Colina River (Metropolitan Region, Chile) on February 7, 2016. The spill was the
result of a leak in the pipeline connecting the Los Bronces mine to the Las Trtolas processing plant,
both owned by Anglo American Sur S.A.
Casa de la Paz, a Chilean NGO, led the process of managing the social dimension of the emergency
the damage to local producers generated by the lack of water for irrigation during the environmental
incident in the Colina River. Hired by Anglo American, Casa de la Paz designed a methodology to
implement a fair compensation process and to oversee the integrity of its implementation.
The methodology has three main components: (1) rigorous on-site fact-finding to identify the affected
properties and the extent of the damage; (2) a panel of experts, composed of three government
officials and two independent experts, responsible for defining transparent, fair and equitable criteria
by which to compensate for economic damages; and (3) a team of lawyers responsible for the legal
aspects of the process and to advise the affected local producers on the implications of the
compensation agreement.
The fieldwork and data analysis identified 167 affected properties, belonging to 137 different owners,
located in six localities irrigated by canals dependent on the Colina River. The panel of experts
determined transparent compensation criteria, based on explicit formulas by type of damage, which
were widely accepted by those affected. By September 2016, seven months after the incident, 100%
of the local producers affected had accepted the compensation agreement.
The successful resolution of this potentially controversial incident suggests that the methodology
analyzed in this case study may contribute to the management of future environmental incidents
with productive impacts.
1
INTRODUCTION
This case study reviews the methodology used by Anglo American to address and resolve a social
conflict generated by a concentrate ore spill in the Colina River (Metropolitan Region, Chile) on
February 7, 2016. The spill generated immediate social protests, attracted significant media attention,
and environmental activists issued public statements denouncing Anglo American`s responsibility
for putting the local populations health at risk; within 5 days of the event local residents of the
communities alongside the Colina River filed two lawsuits against the company.
The spill was the result of a leak in the pipeline connecting the Los Bronces mine to the Las Trtolas
processing plant, both owned by Anglo American Sur S.A. (Anglo American). The regular
monitoring that Anglo American conducts during its operation shifts detected the spill. The
emergency response protocol was immediately activated, including shutdown of the Los Bronces
plant halting the pulp leakage; notification of authorities and communities; closure of the irrigation
canal; provision of potable water to communities and animals and sealing the perimeter of the
agricultural reservoir located alongside pipeline leakage. An estimated 900 tons of concentrate ore
(1,900 cubic meters) were spilled as a result of this incident.
Image 1: Estimated area affected by the concentrate ore spill.
In accordance with the National Civil Protection Plan, an ad hoc Emergency Operations Committee
(EOC) was formed. The province-level EOC for this incident was directed by the Chacabuco
Provincial government and staffed by various public agencies with pertinent expertise. This
committee was responsible for coordinating and implementing emergency response actions and
decisions. A Technical Monitoring Committee (TMC) was subsequently formed, also led by the
2
Provincial Government and comprised by specialized public agencies from the ministries of Public
Works, Agriculture and Health and from the Regional Government and the Municipality of Colina.
In addition to the emergency response to address the environmental incident, and in the face of
growing public protests against Anglo American, the company had to manage a potentially
damaging social conflict. For that purpose, the company announced that it would compensate all
local producers whose properties have been negatively affected by the closure of the irrigation canals
dependent of the Colina River. To assure the transparency and integrity of the process Anglo
American hired Casa de la Paz, an independent NGO that specializes in conflict resolution between
industrial operations and local communities, to lead the management of the compensation process
in coordination with the company and the Municipality of Colina.
The main objective of Anglo American`s strategy to manage this social conflict was to generate public
trust on the companys willingness to fully compensate all affected parties by the irrigation water
shortage generated by the concentrate ore spill in the Colina River.
The specific objectives were to implement a transparent and equitable compensation process, to
maximize de acceptance rate of the compensation agreements offered by the company to the affected
parties, and to maximize the latters satisfaction with the overall compensation process.
This study reviews the methodology and tools used to quantify the productive impact of the two-
week water shortage on agriculture and livestock activities in the rural areas dependent on the Colina
River, to develop equitable compensation criteria, and to manage the compensation process.
METHODOLOGY
The methodology used to develop the compensation plan consisted of three main components that
were implemented consecutively:
Fact finding: accurate and transparent assessment of the productive impact of the incident
The first step was to mobilize a rigorous on-site fact-finding survey of the affected properties and the
extent of the damage. The process sought to obtain enough information to define compensation
criteria for which equivalencies could be drawn based on the types of impact identified in the field.
This process was completed in February and March 2016.
Information gleaned from memo no. 114 from the Municipality of Colina was reviewed. In the memo
to the Environmental Oversight Agency, the municipality reported the areas impacted by the
incident, based on information from leaders in the affected communities. This information provided
an initial estimate of the damages. A fact-finding tool was then developed to verify this information
and potentially identify other damage resulting from the loss of irrigation water.
In this sense, the fact-finding tool, based on a rights approach, enabled an evaluation process that
standardized the data in terms of impact across all affected areas, leading to the creation of a
compensation process based on the criteria of equality and non-discrimination. The tool, called a
property assessment, aimed to record the main data relevant to identifying loss of productive
impacts. It uses affected property as the unit of analysis. A reputed expert in agricultural appraisals
was hired to design the tool.
3
Area of impact
In order to identify the area of impact, the continuity of the canals dependent on the Colina River
was verified and the resulting data was validated with local community leaders. The affected area
was identified through:
Tours of the affected communities
Meetings with local leaders
Meetings with the Agriculture Office of the Municipality of Colina
The following communities were affected: Peldehue, Santa Filomena, San Miguel, Reina Norte,
Esmeralda and Reina Sur (Image 2).
Image 2: Area affected by the closure of irrigation canals.
Properties affected in each community

The second stage of this component is the application of field surveys. The area of impact of each
locality was verified using:
Cadaster contained in Municipality of Colina memo no. 114;
The Anglo American database;
Validation of the universe with local leaders by area; and
Validation with the Local Development Program (PRODESAL) and Agricultural Office of
the Municipality of Colina
4
It is important to note that surveys were taken in locations that local leaders identified as easily
accessible for the affected parties: the Peldehue Community Center, the Santa Filomena Agricultural
Society, the Reina Norte Community Center and the Reina Norte Municipal Building. These same
locations were used for workshops and meetings with the affected parties throughout the
compensation process.
Three types of productive impact were identified. The main productive impact was agricultural, but
also there was considerable losses regarding livestock. There were other impacts of lesser magnitude.
Panel of experts
A second component of the methodology was the formation of a panel of experts composed of three
public sector professionals representing the government agencies INDAP and PRODESAL and the
Municipal Agricultural Office of Colina and two independent experts, Eugenio Figueroa, director of
the Economics Department at Universidad de Chile, and Carlos Tello, a consultant for the National
Risk Commission and Institute of Agricultural Development (INDAP). The panel was responsible for
setting criteria for equitability and comparable compensation for impacted parties that had reported
economic damage. The expert panel was formed in late February 2016, less than a month after the
incident.
Definition of general compensation criteria

The expert panel objective was to create a legitimate, technical body capable of establishing criteria
to be used to determine the type and amount of the compensation, in line with the agriculture and
livestock market, based on the information provided by impacted parties. The impacted parties
referred mainly to economic damages deriving from the event. Thus, the goal of the panel was limited
to using recent data from the agricultural and livestock markets in the Metropolitan region to set
compensation rates for the economic damages declared.
The work of the expert panel was carried out in joint sessions and through analysis and drafting of
specific reports ordered by the panel based on the members expertise. The Casa de la Paz foundation
acted as the technical secretariat during the sessions, responding to the specialists requests for
information. Based on the panels methodology, criteria for allocating compensation were defined in
order to establish the value of the productive impacts in the municipality of Colina. In this context,
general criteria such as trustworthiness of the impacted parties statements and fair pay (equal and
equitable compensation for economic damages) were used for compensation. Based on these general
criteria, specific criteria were set for each type of impact (agricultural, livestock and other).
Guidelines to determine compensation amounts
Agricultural and crop impact

Agricultural or crop impact is the effect on the propertys productive operations related to growing
crops. In order to define the compensation criteria, the expert panel set general guidelines to establish
the amount of compensation for the damage caused by agricultural impact. The following variables
were considered:
5
Price per crop: The general criterion for assigning prices is the best average price for top-
quality products in the first half of the month of February 2016, the Agricultural Research
and Policies Office (ODEPA).
Yield: The historical estimated yield in the municipality for each vegetable per hectare, as
provided by the local development program (PRODESAL).
Percentage of damage: Each producers reported percentage of damage for each product
was used.
Surface area declared: For each crop, the surface area per product based on the producers
statements was used.
Costs: Data provided by the INDAP and ODEPA was used to establish cost criteria. They
were separated into planting, crop management and harvest.
The compensation formula for each crop is:
= ( ) % =
Where:
PC: Market price per unit of crop
Y: Yield per m2
S: Surface area cultivated declared in m2
%: Percentage of damage declared
CS: Cost based on the state of the crop
Livestock impact
Livestock impact was calculated based on the cost of raising large and small livestock, including
water and fodder costs, which is 10,000 Chilean Ps per head per month. In the event of animals
death, standard rates set by the Agriculture and Livestock Service (SAG) would be used.
Other Impacts
Other impacts are those that, in a strict sense, are not productive impacts but are tied to the property
or constitute secondary productive activities.
Legal Advice
The third methodological component was the formation of a team of attorneys who would identify
the legal aspects of the process and advise the affected parties on the implications of the
compensation agreement offered by Anglo American. The agreement covered only productive
damages related to the spill. In other words, this agreement referred solely to compensation for
productive impact related to the shortage of irrigation water that resulted from the spill and not to
other situations involving Anglo American.
This legal team participated in the process once the compensation criteria were set. Each communitys
questions were addressed at compensation workshops during which the team explained the scope
of the legal document that the affected parties would sign if they agreed to the proposed
compensation measures. The attorneys also held office hours at the Colina Entrepreneurship Center
6
in order to answer questions. Importantly, compensation was distributed at the same locations where
surveys had been taken.
Finally, while the compensation design plan included four consecutive stages (property assessment,
definition of compensation criteria, compensation management and process evaluation), as they
unfolded the need for an additional reevaluation and appeal stage became apparent. The new stage
lent greater transparency and coverage to the plan as it provided an opportunity for those who had
not taken the survey to do so. Similarly, those who disagreed with the compensation granted could
have their cases reassessed.
Number of affected parties

The properties impacted by the incident were used as the unit of analysis throughout the
methodological process. A total of 167 cases, corresponding to 137 producers in six affected areas
were identified. In other words, some producers had, under different ownership conditions, more
than one property. According to the statements of the affected parties, 82.3% of properties provided
for the primary source of income of their owners. The expert panel set compensation criteria and
transparent standards based on explicit formulae for each type of damage, all of which were widely
accepted by the affected parties.
Table 1. Distribution of affected properties and producers by

locality
Locality N properties N producers
Esmeralda 36 30
Peldehue 22 18
Reina Norte 20 16
Reina Sur 16 11
Santa Ester 8 7
Santa Filomena 62 55
Total 167 137
Acceptance of compensation agreements and satisfaction of affected parties

By the end of the compensation process a 100% of the 137 farmers have accepted the terms of the
compensation agreements offered by the company, and public criticism of Anglo American
regarding this environmental incident had faded. However, the process was not without
complexities. As identified by the company in its initial social conflict analysis, at the beginning of
the process there was deep skepticism regarding Anglo Americans actions and whether they would
come to fruition. Consequently, efforts were made to gain the publics trust by applying systematic,
efficient process that communicated genuine interest in developing a fair compensation method
based on criteria of equality and non-discrimination.
7
The method was widely accepted and positively evaluated by the affected parties. This acceptance is
attributable to the transparency of the process, the role played by credible third parties and the active
participation of the affected parties in the different stages of the process. Together with the fact that
calculations were based on a methodology that correctly models the key agricultural and productive
systems in the affected area, official sources were used to gather information with which to compare
the impacted parties statements, lending credibility to the criteria applied.
The importance of this transparent process featuring participation by public and private institutions
is that it can be used as a best practice for managing environmental incidents with productive
impacts. In other words, this type of methodology provides tools for successful implementation of a
process that addresses critical situations caused by environmental incidents. It creates an opportunity
to lay the foundation of a favorable context of trust and transparency between the company and local
stakeholders.
CONCLUSION
In closing, it is important to note that the result of this methodological process reflects the values and
criteria related to commitment to the environment and local communities, as set forth in Anglo
Americans Policies, Vision and Standards. On the basis of this foundation, a process was created
using a coordinated and integrated partnership between public and private entities. This facilitates
the creation of a support mechanism capable of designing legitimate, transparent compensation
criteria for the diverse stakeholders that may be affected by an environmental incident like the one
that occurred in February 2016.
The flexibility of the method used to design the productive compensation and active participation by
independent parties in its creation was positively evaluated. Both characteristics reassured the
affected parties that the calculation and fact-finding mechanisms would meet their expectations.
In parallel with the development of the methodological processes for designing compensation, all
steps necessary to resolve the environmental emergency were being taken. Once the emergency was
over, reporting continued more frequently than required and an environmental monitoring protocol
was maintained to clear up any doubts regarding the ongoing risk of water pollution.
Finally, processes like these allow for methodological learning given that risk management of an
environmental incident is an integrated system involving both public and private stakeholders.
NOMENCLATURE
BIDEMA Environmental and Cultural Heritage Crimes Unit

EOC Emergency Operations
TMC Technical Monitoring Committee
GWD General Water Directorate
INDAP Institute of Agricultural Development
ODEPA Agricultural Research and Policies
ONEMI National Emergency Office, Ministry of the Interior
PRODESAL Local Development Program
PDI Chilean investigative police
8
SAG Agriculture and Livestock Service
SEREMI Regional Secretariat
REFERENCES
Fundacin Casa de La Paz (2016) Informe Final Plan de Compensacin para incidente en Los Bronces,
Colina. Santiago, Chile.
IdeAmbiente Servicios Ambientales (2017) Anlisis de Riesgo-Incidente STP, Los Bronces, Anglo
American, Santiago, Chile.
ONEMI 2016 http://www.onemi.cl/noticia/actualizacion-incidente-en-comuna-de-colina/
9
CHAPTER 9
Innovation in Social
Management Systems
Data-Driven Approaches to Measuring a Social
License to Operate
Christopher Bartley1, Kieren Moffat2, Airong Zhang2 and Craig Styan1
1. School of Energy and Resources, University College London, Australia
2. Resources in Society Group, CSIRO Mineral Resources, Australia
ABSTRACT
Companies in the energy and resources sectors often conduct surveys to understand their acceptance
within the community. Such surveys generate rich data, yet sometimes key insights can be missed
using conventional plots of average responses for each question. Here, we investigated how
multivariate statistics might be used to analyze and communicate information from a social impact
assessment of an Australian coal seam gas (LNG) project. The drivers of community acceptance were
complex and impacts with the greatest/least average scores were not necessarily those most
correlated with acceptance. For example, while housing affordability and availability were
consistently seen as negative impacts, individuals views on employment and economic
opportunities were better correlated with acceptance -- even though these were, on average, not seen
as positive or negative impacts of development. Consistent with previous statistical (path analysis)
assessment of the same data, a perceptual map based on r-mode analyses suggested relational factors
such as trust and perceptions of good environmental regulation were the most important drivers of
acceptance of the LNG industry. Community response maps created using q-mode analyses
represented the diversity of opinions for multiple drivers, highlighting that the community is not
a uniform entity. For example, although those involved in (non-LNG) industry generally reported
greater levels of acceptance and trust than others in the community, there were still some individuals
within this group that did not trust or accept the LNG industry. While a SLO can be complex and is
likely to constantly change, our study shows multidimensional scaling may be a useful tool for
communicating social survey results to engineers and managers in a way that encapsulates some of
the important details of a SLO, yet still be intuitive enough to include in reporting dashboards.
1
INTRODUCTION
A social license to operate (SLO) is critical for companies working in the energy and resources
sectors. A SLO is distinct and in addition to a legal license, but can be enforced by stakeholders
through a range of direct and indirect measures that can range up to directly attacking a companys
brand and reputation and limiting access to resources, through to indirectly affecting its regulatory
license via legal and political pressure (Gunningham et al., 2004; Thomson & Boutilier, 2011). In turn,
such disruption can mean productivity losses, in addition to significant drains on management time
(Franks et al., 2014). However, despite an increasing awareness of the importance of an SLO and an
apparent willingness to engage with stakeholders (but see Kemp & Owen, 2013), energy and
resources companies face difficulty in translating diverse, often unfamiliar information about SLO
issues into concrete objectives and corporate strategies.
For any real response by a company, SLO issues will normally need to be brought to the attention of
senior management (Franks et al., 2014). While social surveys of stakeholders are commonly used to
try to understand and monitor the level of a SLO (Black, 2013; Boutilier, 2011), a key challenge is to
present the large amount (and meaning) of social survey data in a way that it is accessible to a
companys decision makers; who often have engineering or financial backgrounds and are less
familiar with social science research. In practice, social survey data are often collected using Likert
scale rating questions such as, On a scale of one to seven, how much do you accept this company in
your region? or Rate the impact that this project has had on local employment. Such questions are
typically analyzed in isolation and then presented as a series of bar charts and means scores that
show, for example, that the average level of community support has dropped by 3%, or that 54% of
people strongly agree that a project creates jobs. While this approach provides valuable descriptive
information, the drivers of community acceptance are complex and often interlinked and cannot be
described adequately with simple univariate analyses of each question sequentially. Essentially, the
construct of a SLO is multivariate - it depends on a diverse range of factors including the quality of
the relationship between the company and community, the impacts and benefits experienced and the
attitudes and beliefs of individual stakeholders. Many of these drivers (e.g. procedural fairness,
environmental impact) are also latent constructs and can only be measured using multiple questions
(Moffat & Zhang, 2014).
Although social issues are often complex, there are several well-established techniques for dealing
with the many and multivariate data often collected in social surveys. For example, using factor
analysis, Thomson & Boutilier (2011) developed a 15-item survey based on interviews with local
community groups that they summarized with factor analysis along four dimensions economic
legitimacy, interactional trust, socio-political legitimacy and institutionalized trust and then
averaged to produce an overall Social License score. Moffat & Zhang (2014) followed a different
multivariate approach, using path analysis to develop a conceptual model whereby the impacts on
social infrastructure, the quality and quantity of contact with the company and procedural fairness
2
affected acceptance of a companys operations, through the mediating factor of trust. While both
these examples suggest that quantitative analysis of a social license using statistical techniques is
possible, such analyses may be too complex to communicate quickly within a business operation.
Instead, a compromise approach might be one which captures some of the complexity of multivariate
data, but presents results in format intuitively accessible to a general audience.
Multidimensional scaling (MDS) is a data exploration approach which can be used to "explore and
discover the defining characteristics of unknown social and psychological structures" (Gigure, 2006).
It is an established method for analyzing and visualizing multivariate data and has been used in
fields as diverse as psychology (Jaworska & Anastasova, 2009) and biological research (Clarke &
Warwick, 2001), often as a complement to more numerical multivariate techniques such as factor and
cluster analysis (Jaworska & Anastasova, 2009). The advantage of MDS over other multivariate
methods may be summed up by the axiom that a picture is worth a thousand words. MDS is
essentially a scatterplot technique where correlations across multiple dimensional space are
compressed into two (or three) dimensions for visualization. Thus, the correlations between
variables on an MDS plot are represented as the distances between points, with the closer points are
to each other the higher their correlation (Borg, Groenen & Mair, 2012).
Figure 1 Summary of multidimensional scaling analysis (adapted from Clarke & Warwick, 2001)
The goal of this research was to investigate how multidimensional scaling (MDS) could be used to
enhance the analysis and presentation of social survey data, such as that collected to help understand
3
SLO issues in the energy and resources sectors. Specifically, we proposed that MDS could be used to
create a visual map of the drivers of a SLO that illustrated the interrelations between survey
variables and stakeholders, in a format which would be easily accessible to a non-statistical audience.
METHODOLOGY
The present study builds on research by Moffat & Zhang (2014), who used path analysis to assess
survey data collected over several years from communities affected by a coal seam gas (CSG)
development in rural Queensland, Australia. Details for the survey instrument development and
administration used in this paper are as given in Moffat and Zhang (2014), although the analyses in
this paper are based on a previously unanalyzed third survey from 2013. To initiate our study, we
first performed a factor analysis on the 2013 data, confirming the similarity with the previous years
and highlighting the same four key factors from previous path analyses i.e. statements addressed
questions of trust, procedural fairness and the quantity and quality of company-community contact.
Additionally, extra statements from the 2013 survey on the impacts and benefits experienced by
stakeholders and their environmental attitudes were then also analyzed. Thirty-one statements on
impacts experienced by the community were measured across six categories: water & environment,
community safety, social infrastructure, community wellbeing & liveability, local industry
participation & training and aboriginal engagement & participation. In each case participants were
asked to rate the level of impact they experienced over the previous 12 months on a seven-point
Likert scale (1= negative impact, 7 = positive impact). In addition, environmental attitudes were
measured by asking participants to rate how much they agreed with seven statements about the
companys operations and the local environment: gas as a cleaner source of energy than coal, the
companys environmental commitment, the appropriateness of environmental regulations, water
management strategies, the relative importance of energy and food security and the ability of CSG to
coexist with agriculture.
We first used r-mode analysis (Figure 1, upper panel) to visualize how the community formed
judgements about the CSG companys social license; each point on a r-mode MDS scatterplot
represents a survey question, with the distances between points representing their intercorrelations.
We expected that this approach would generate a perceptual map that closely resembled the Moffat
and Zhang (2014) path analysis model and our rst analysis examined the relative importance of the
relational drivers of a SLO from this model (trust, procedural fairness etc.), color coding each of the
statements on the plot by the factor they aligned with from the factor analysis. Following this, a
second analysis investigated the relative importance of different environmental attitudes and impacts
experienced by the community on levels of acceptance.
By contrast, Q-mode analysis (Figure 1, lower panel) represents each survey respondent on the MDS
plot, which becomes a form of stakeholder map. Here the goal was to visualize the survey results and
4
identify key groups of respondents based on response proles on the acceptance, trust and
procedural fairness dimensions. We also added axes to these MDS plots, using multiple regression
to locate meaningful axes (Borg, Groenen & Mair, 2012). The resultant MDS plot was then used to
compare the response patterns of different demographic groups, using examples of gender,
occupation and location of residence.
The r-mode perceptual map we created using MDS illustrated how the community formed opinions
about the CSG company in a way which was consistent with previous analyses for this community
(Moffat & Zhang, 2014). Initially, when we plotted the MDS of the full 16 statements on acceptance
and relational factors the statements about contact quantity stood out as a distinct, separate group
that were not well correlated with any of the other factors. However, because this this set of three
statements stood out as quite different from the other statements including them potentially obscured
other meaningful relationships among the other statements. Consequently, we chose to re-run the
MDS, excluding the contact quantity statements. This second MDS with the remaining 13 statements
led to a more informative plot (Figure 2), with the correlations among color-coded factors much more
obvious than in the initial analysis. Figure 2 also has a low Stress of 0.02 indicating the plot can
capture most of the information from a 13 x 13 correlation matrix into a single, two-dimensional map;
see also the Limitations section below for an explanation of Stress and its importance when
interpreting MDS plots (or see Borg, Groenen & Mair, 2012).
Figure 2 (non-metric) MDS representation of the relational drivers of acceptance. Note: Contact Quantity has
not been included in this plot in order to increase the resolution of relationships among other survey items
5
The interpretation of Figure 2 is relatively simple: each point represents a survey item color coded by
factor, with the distance between any two points approximating the correlation between them: the
closer the points are to each other, the greater their correlation. For example, Figure 2 shows that
survey responses associated with trust were those most correlated with acceptance. In contrast,
responses associated with contact quantity were largely uncorrelated with acceptance and in essence
located outside the boundaries of Figure 2. Thus, this plot reflects the three key ndings from Moffat
& Zhangs (2014) path analysis of previous data from the same stakeholder group: trust was the
strongest predictor of acceptance, contact quality was more important in building trust than contact
quantity, and procedural fairness was a strong predictor of trust - albeit although the reasonably
strong correlation is clear, the directionality of relationships tested via path analysis is not obvious in
the MDS.
Respondents were asked also asked about their environmental attitudes and the impacts experienced
from the CSG companys operations. Initially all 31 impacts were subjected to MDS, resulting in a
moderately higher Stress value of 0.16 (suggesting that the plot does not adequately capture the
multivariate relationships well in two dimensions). Four impacts contributed disproportionally to
the overall stress and were therefore excluded in a subsequent re-run of the MDS, such that Figure 3
depicts the MDS from a correlation matrix containing 27 impacts and 13 relational variables (and a
lower Stress = 0.12).
Figure 3 MDS map showing the relative importance of relational (circles) and environmental (squares) drivers
6
The dark cloud in Figure 3 has no formal statistical meaning but has been added to help highlight
which drivers were the most important in this survey set. The most important drivers lay within the
local industry participation & training and lifestyle clusters, while the least important concerned
housing and aboriginal engagement. It also illustrated that trust and procedural fairness were more
important drivers than any of the local impacts experienced. This suggests that the negative impacts
reported by the community may be symptoms of underlying relationship issues, rather than
important drivers of a SLO per se. For example, it may be easier to express concern about tangible
impacts like dust or housing affordability than it is to raise soft relational issues such as trust or
fairness. Parsons & Moffat (2014) reached the same conclusion from interviews with stakeholders,
nding that the relational narrative was at least as important as the impact narrative. Yet as
discussed by Moffat and Zhang (2014), this runs counter to the common Social License practice of
many companies, who often focus on mitigating operational impacts.
In both r-mode examples, the MDS map shows which community drivers and attitudes are
important and, by extension, possibly where to focus community engagement and public relations
strategies. Potentially, this sort of diagram can be thought of as providing summary maps of the
issues affecting (and not affecting) the companys SLO with these stakeholders, in a way that should
be intuitive to decision makers (Borg, Groenen & Mair, 2012)
Q-mode MDS was then used to analyze demographic response patterns, by superimposing relevant
demographic variables onto the plot; for each of the three cases examined here only the demographic
coding was changed and the underlying MDS scatterplot remained constant. Figure 4.A illustrates
that females formed a large proportion of those extremely opposed to the project and males a greater
proportion of those with high acceptance. Although a simple univariate analysis of
gender/acceptance would likely also indicate this, the MDS allows the different response patterns for
males and females across multiple dimensions simultaneously to be assessed, leading to greater
insight into potential mechanisms. For example, Figure 4.A suggests that females rated the company
more negatively overall, particularly along the trust and procedural fairness dimensions.
A B C
7
Figure 4 MDS plot superimposed with A) gender; B) the employment category; and c) residence location of
survey respondents
Similarly, the responses of stakeholders who worked in other major industry and LNG employee
categories suggested a dual narrative about the CSG companys regional acceptance with those
working in industrial enterprises in a regional area (Figure 4.B). Perhaps most importantly, there
appeared to be a few employees within the LNG industry with moderate to low levels of acceptance,
but who also registered lower on procedural fairness; presumably, these people are unlikely to be
advocating for their employer within the community. There was also a clear geographical difference,
with respondents in Gladstone more supportive than the average, but also forming a large proportion
of those with low procedural fairness but high acceptance (Figure 4.C). All three examples illustrate
how a MDS map can represent the complex structures of survey results in a format that can be readily
understood, while allowing the researcher to visually compare different groups across multiple
dimensions simultaneously.
Limitations
While we have illustrated that MDS can be ideally suited for data exploration and visualization of
the drivers of a SLO, results should be always interpreted critically and wherever possible considered
against the input proximity matrix and/or validated against other multivariate techniques. It is
important to remember that the relative distance between points on a two dimensional plot
necessarily depends on the construction of the proximity matrix and the ability of the MDS algorithm
to find a solution to summarize as much of the multivariate relationships as possible into two
dimensions. Consequently, the distances and relationships among points on a plot need to be
interpreted in a relative sense (e.g. A is more closely correlated with B than C) and changes to the
dataset and/or similarity measures can potentially make a large difference to the appearance and how
plots are then interpreted. MDS is also not a statistical test per se and the interpretation of MDS plots
can be quite subjective. Similarly, there are only rules of thumb about what is or is not an adequate
level of Stress and thus any decision about whether a solution is an adequate representation of the
complexity of the data involves a large element of judgement (Borg, Groenen & Mair, 2012). MDS
that include variables which do not represent a consistent system of community beliefs (including
unrelated variables) can potentially distort the relative positions of points and interpretability of the
results. So, it is always necessary to check the Stress contributions of individual points and it may be
necessary to limit the number of or omit specific variables to obtain a meaningful analysis (as we did
in both of our r-mode examples). Thus, for examining SLO issues, the methodology is best considered
as a complement to other developing modes of analysis, such as factor analysis (Boutilier, 2011) or
path analysis (Moffat & Zhang, 2014).
8
CONCLUSION
This paper highlights MDS as an additional tool for practitioners and researchers interested in
monitoring and understanding what drives a SLO. The example here was specifically for
communities affected by CSG development in Australia, but MDS could be applicable for almost any
developments where social survey data are collected, particularly where large sets of variables are
collected and need to be summarized in an intuitive way that still reflects some of the complexities
of the underlying data. This paper also adds to a small but growing body of literature demonstrating
the use of multivariate analysis in the SLO domain. Together, this work suggests that an empirical,
data-driven approach to measuring a SLO is possible, which might lead to evidence-based
improvements in company decision making processes. This work illustrates how theoretical and
conceptual models can be combined with quantitative measurement and analysis in a way which
could progress social reporting towards the same level of sophistication as environmental and
financial reporting. This in turn, could lead to better industry management of SLO issues and
potentially create better outcomes for both the company and community.
9
ACKNOWLEDGEMENTS
We would like to thank the anonymous reviewers for their constructive comments on this paper.
REFERENCES
Black, L.D. (2013) The Social Licence to Operate: Your Management Framework for Complex Times. Do
Sustainability, Oxford, UK.
Borg, I., Groenen, P., Mair, P. (2012) Applied multidimensional scaling, Springer, New York.
Boutilier, R., (2011) A Stakeholder Approach to Issues Management. Business Expert Press, LLC, New
York.
Clarke, K.R., Warwick, R.M. (2001) Change in marine communities: an approach to statistical analysis and
interpretation. PRIMER-E Limited Plymouth, UK.
Franks, D.M., Davis, R., Bebbington, A.J., Ali, S.H., Kemp, D., Scurrah, M. (2014) Conflict translates
environmental and social risk into business costs. Proceedings of the National Academy of Sciences of the
United States of America (PNAS), 111(21), 75767581.
Gigure, G. (2006) Collecting and analyzing data in multidimensional scaling experiments: A guide
for psychologists using SPSS, Tutorials in Quantitative Methods for Psychology, 2, 2637.
Gunningham, N., Kagan, R.A., Thornton, D. (2004) Social License and Environmental Protection:
Why Businesses Go beyond Compliance, Law & Social Inquiry, 29, 307341.
Hair, J., Black, W., Babin, B., Anderson, R. (2010) Multivariate Data Analysis, 7th Edition, Pearson
Prentice Hall, Essex, UK
Jaworska, N., Anastasova, A.C. (2009) A review of multidimensional scaling (MDS) and its utility in
various psychological domains. Tutorials in Quantitative Methods for Psychology, 5, 110.
Kemp, D., Owen, J.R. (2013) Community relations and mining: Core to business but not core
business Resources Policy, 38, 523531.
Moffat, K., Zhang, A. (2014) The paths to social licence to operate: An integrative model explaining
community acceptance of mining Resources Policy, 39, 6170.
Parsons, R., Moffat, K. (2014) Integrating impact and relational dimensions of social licence and
social impact assessment, Impact Assessment and Project Appraisal, 32, 273282.
Thomson, I., Boutilier, R.G. (2011) Social license to operate in: SME Mining Engineering Handbook, 3rd
Edition, Society for Mining, Metallurgy, and Exploration, 17791796.
10
Agreements with Indigenous Communities: Seeking
Consent for an Existing Mine Project
Peter Martell
Teck Resources, Canada
ABSTRACT
Indigenous communities must have meaningful participation in processes and decisions that impact
their traditional lands and resources. Working to achieve Free, Prior, and Informed Consent (FPIC)
through mutually developed agreements is seen by Teck and many others as the means by which
this occurs. For existing mining operations that are pursuing life-extensions or expansions, engaging
with Indigenous groups to obtain consent for such projects can be particularly in terms of reconciling
past impacts. This paper will share our experience with reaching agreements with Indigenous
communities and will explain how the agreements contribute to positive relationships and support
for our ongoing operations.
Teck Highland Valley Copper (HVC) is an open pit copper mine in British Columbia, Canada that
has been operating for approximately fifty years. The legal context of Indigenous Rights in Canada
has dramatically changed since the inception of the mine, and there has been an increased interest
from local Indigenous communities to participate in the project.
Nlakapamux organizations engage with HVC independent of one another, therefore HVC
negotiated with each Indigenous organization separately. The outcome of the process was the
development of relationships, and the creation of innovative and progressive relationship based
agreements that include comprehensive engagement processes, with joint decision making based on
consensus. The agreements ensure early engagement on all regulatory matters, and engagement with
all levels of the community.
Although FPIC was not contemplated in the 1960s when the mine started operation, the foundation
of relationship based agreements requiring consent with local Indigenous communities is how
business is conducted going forward at HVC - strengthening the relationships with local Indigenous
communities.
1
INTRODUCTION
Highland Valley Copper (HVC) is a large open pit copper mine in British Columbia, Canada that is
wholly owned by Teck Resources. The current operation is an amalgamation of four smaller mines
in the Highland Valley that took place in 1986. Mining has been on-going in the valley since 1958,
and until recently engagement and participation of Indigenous communities has been limited. The
mine continues to explore in the region and is pursuing a mine extension that will significantly extend
the mine life.
HVC is situated in the Traditional Territory of the Nlakapamux people. The Nlakapamux Nation
has demonstrated a high strength of claim to the land through historical and on-going occupation/
exercising of rights; however to date, a formal Title claim has not been filed against the Province of
B.C. and Canada, nor have active treaty negotiations commenced.
The recent legal and social context has evolved rapidly in Canada. Legally, the recognition of
Indigenous (Aboriginal) rights in Canadas Constitution in 1982 and subsequent court rulings in have
shown the expansive nature and scope of Aboriginal Rights and placed Aboriginal peoples in a
fundamental role in overseeing development within their traditional territories. Within broader
Canadian and Indigenous societies, the efforts of Indigenous communities and leaders have
increased broad understanding of Canadas colonial past and its harmful legacies, and sought to
advance both societies on a path of reconciliation. The subsequent refinement of the consultation
and accommodation legal frameworks has continued to evolve, with the Tsilhqotin Aboriginal Title
case ruling (William Case) in 2014 ultimately becoming the first time in Canadian history that a court
has declared Aboriginal Title to land outside of an Indian Reserve1. Across British Columbia,
Indigenous leaders have been asserting their Aboriginal Rights and the Province of British Columbia
has recognized Aboriginal Rights in a more meaningful way through the establishment of a New
Relationship approach, including negotiation of government-to-government agreements involving
more collaborative resource governance models and resource revenue sharing to reflect changes in
law and establish greater predictability for all parties. It is now generally recognized by governments
and mining proponents that consent is required for a new project where Indigenous people have
demonstrated a high strength of claim to Aboriginal Rights and Title, with a high legal test required
to justifiably infringe upon such rights and title.
In 2010 Teck formalized a sustainability strategy to address the greatest sustainability risks. This
strategy has led to a renewed commitment to more meaningful engagement with Indigenous peoples
impacted by our operations. Teck has since committed to build strong and lasting relationship with
Indigenous peoples with the objective of achieving their free, prior and informed consent for new
and substantially modified projects, guided by the United Nations Declaration for the Rights of
Indigenous People (UNDRIP), International Council on Mining and Metals (ICMM), and other social
responsibility standards. More specifically to Tecks relationships, Indigenous communities must
have meaningful participation in processes and decisions that impact their traditional lands and
resources.
2
With respect to HVCs past relationships with Indigenous communities, and the regulatory and legal
uncertainty in British Columbia, charting a path forward with Indigenous communities is a complex
challenge for a mine that has been operating for over fifty years.
Initially it was thought that one Impact Benefit Agreement would be negotiated and that all
Indigenous communities would be required to sign on to this agreement. Once negotiations began,
it became evident that this thinking would need to evolve if HVC were to be successful at partnering
with the Indigenous communities.
The collaborative dialogue that ensued between Teck and the Nlakapamux organizations
throughout the negotiations transformed thinking and led to innovative engagement models that
would be the foundation of the Relationship Agreements that ensued
METHODOLOGY
Agreement negotiations led to the identification of mutual interests and defined the negotiation
terms, principles and objectives for the agreements. Many of the agreement objectives are typical of
many other Impact Benefit Agreements, what makes these agreements progressive is that regulatory
risks are managed through ongoing engagement and collaboration with Indigenous communities to
achieve consent on all regulatory matters.
Agreement Objectives
The HVC Agreement objectives can be summarized as:

Acknowledgement of the Nlakapamux Rights and Title
Cooperative and respectful long-term relationships
Consensus based decisions
Working collaboratively to address impacts to the Environment and Aboriginal rights
Creation of sustainable benefits for Nlakapamux communities to build capacity
Collaboration on End Land Use Planning and Closure with the understanding that the
Nlakapamux people will be the users of the land after mine closure.
Engagement Principles and Structures
The goal for the negotiations teams was to develop an agreement implementation framework that
would be effective, efficient and assure compliance to the objectives. The key principles for
engagement are:
Early and ongoing engagement on all aspects of the project.
Collaborative engagement processes at all levels of the community.
Consent on all regulatory approvals and plans.
3
The engagement structures include Nlakapamux community members and HVC personnel from
multiple levels within the community and organization. Table one outlines the agreement
engagement structures, membership and key responsibilities.
Table 1 Agreement Engagement Structures
Structure Membership Key Roles & Responsibilities
Executive Council Tribal Council Leadership Oversight of implementation

and Teck Senior progress, consent on regulatory
Management approvals, dispute resolution.
Implementation Senior staff of Communities, Manage implementation, approve

Committee and HVC Annual Implementation Plans
Technical Working Group Technical representatives of Develop Annual Implementation

Communities and HVC Plans, review all applications and
reports and make recommendations.
Community Members Nlakapamux community Provide feedback and Indigenous

members knowledge to planning processes.
The Implementation Committee (IC) manages implementation of the agreements and is accountable
to the Executive Council. The Technical Working Groups (TWGs) report to the IC and typically carry
out the tasks delegated by the IC including the development of the Annual Implementation Plan.
All committees have Terms of Reference that outline collaborative engagement processes requiring
consensus for decisions. The IC usually has equal representation from the Nlakapamux
organizations and HVC.
Agreement Annual Plan
Each Agreement has an Agreement Annual Plan that consists of work plans for each area of interest,
for example: Environment, Cultural Heritage, Business Development, Employment and Training.
The Annual Work Plans include the strategic objectives from the Five Year Plan, Annual Objectives,
Targets and action items to drive continual improvement in each area. The Annual Plan
implementation is monitored by the JIC and reviewed annually by the Executive Council.
Agreement Five Year Strategic Plans
The Agreement Five Year Plan is a long term strategic plan that includes goals, objectives, and targets
for agreement implementation. It aligns with the HVC strategic planning process. The objectives
and targets from the Agreement Five Year Plan are tracked in the HVC Strategic Plan.
4
Agreement Planning Cycle
The agreement planning cycle parallels the business planning cycle to ensure that the interests and
knowledge of the Nlakapamux communities informs the business planning efficiently.
Figure 1 Annual Planning Cycle
Figure 1 illustrates how the Five Year Strategic Planning process leads into the Annual Planning
process and implementation for the following year.
Regulatory Engagement
For regulatory approvals or permit applications, the engagement process is illustrated in Figure 2.
The collaborative engagement process begins at project/application identification and continues
through to application/report submission and post-submission.
Monitoring Performance
HVC implemented a monitoring framework for social performance in 2014. In 2015, HVC conducted
a pilot project with ICMM to implement the Understanding Company-Community Relations
Toolkit. The application of the toolkit is intended to help companies understand the factors that
have an influence on community support and how to go about measuring the extent to which these
factors are present or absent at a particular operation2.
5
Figure 2 Regulatory Engagement
A reporting dashboard with some of the agreement specific KPIs are reviewed quarterly by senior
management at HVC. Variances in performance are reviewed by senior management so that
appropriate corrective actions can be implemented to assure continual improvement in agreement
implementation.

The HVC relationship agreements have been in place since 2013, and the social monitoring program
has been in place since 2014. Agreement implementation performance and key learnings from three
years of implementing HVC agreements are summarized.
Community Support
The relationships with the Nlakapamux communities have improved significantly. There is a better
understanding of each others interests and a greater awareness of HVC activities and impacts in the
communities, community feedback has been mostly positive. Figure 3 highlights some of the key
performance indicators for the agreements that are reviewed quarterly.
Although HVC has good baseline data from the 2015 ICMM pilot, the next perception survey will
not be conducted until 2018, and every three years following. In 2018 HVC will have quantitative
data that will indicate whether agreement implementation has improved broad community support.
6
Engagement and Consent
The structured Annual Planning process has enabled HVC to align the activities and interests of three
distinct Nlakapamux organizations into the HVC strategic business planning process.
Figure 3 Monitoring and Reporting Dashboard
All regulatory applications have been supported by consent prior to submission to the Province. This
has created predictability in permitting process and in some cases has decreased regulatory timelines.
Consent is required for the Annual Plans, all regulatory aspects and key decisions on a day to day
basis. Consensus has been achieved in all cases by the Implementation Committees; no agreement
disputes have been filed.
Key Learnings
The HVC relationship agreement model requires significant resources (people) to implement
effectively and takes a significant amount of time. The engagement models in the agreements are
flexible and adaptive, allowing for more frequent or less frequent meetings depending on the level
of community interest. Prior to implementation HVC expected that implementation would be more
work upfront and as progress was made on the objectives, the work load would decrease. In fact,
the work load is increasing as implementation progresses because the capacity of the communities is
increasing, and interests are evolving, this was not anticipated.
7
HVC has made significant progress on the agreement objectives, however there is still a fair amount
of work required to satisfy community expectations on employment and contracting obligations.
The engagement has created a common understanding of the challenges faced by the parties and has
led the implementation of realistic targets and goals in the Annual Plans. The plans are driving
continual improvement in implementation performance.
CONCLUSION
HVC is not able to go back fifty years to obtain FPIC, however census based engagement processes
with local Indigenous communities is how business is conducted going forward at HVC,
strengthening the relationships with Indigenous communities, enhancing community support and
promoting development in the communities.
While agreements have an evolving context, we believe that the HVC agreements align with UNDRIP
and ICMM principles, and can serve as one of a growing number of models for new mining projects
or existing projects interested in formalizing relationships with Indigenous communities and
working towards FPIC. Ultimately, the implementation of such agreements supports both business
and Indigenous requirements to reconcile interests, opportunities and challenges going forward.
REFERENCES
TILHQOTIN NATIONAL GOVERNMENT, (2014) Summary of the Tsilhqotin
Aboriginal Title Case (William Case) Decision, June 8, 2017, http://www.tsilhqotin.ca.
INTERNATIONAL COUNCIL ON MINING AND METALS, (2015) Understanding Company

Community Relations Toolkit, September 7, 2017,
https://www.icmm.com/website/publications/pdfs/9670.pdf
8
CHAPTER 10
Human Rights and

Social Due Diligence
Proactive Human Rights Due Diligence: Win-Win for
Companies and Communities in Developing Mining
Projects
Lloyd Lipsett and Isabelle Gilles
LKL International Consulting, Canada
ABSTRACT
Since the adoption of the UN Guiding Principles on Business and Human Rights in 2011, the
responsibility of companies to respect human rights has been clarified, and a number of progressive
mining companies have adopted human rights policies and undertaken various human rights
initiatives. This is a positive development that helps avoid harms to affected stakeholders and
conflicts with communities, and it also contributes to robust business risk management and strong
social performance. One of the promising opportunities for improving respect for human rights by
mining companies is the integration of human rights into environmental and social impact
assessments (ESIAs). Ideally, this allows human rights issues to be addressed proactively,
transparently and with the participation of affected stakeholders before there are allegations of actual
infringements on human rights. Based on significant experience in conducting stand-alone human
rights impact assessments (HRIAs) and integrating human rights into ESIAs, this paper explores the
merits and challenges of conducting HRIAs.
1
INTRODUCTION
In the past 20 years, the sphere of business and human rights has been evolving rapidly. The United
Nations (UN) has played an important role in that evolution by adopting the Guiding Principles on
Business and Human Rights (UNGPs) in 2011 (Ruggie, 2011), which clarify the corporate responsibility
to respect human rights. The mining industry has responded as several progressive multinational
companies have adopted internal human rights policies and have undertaken various human rights
initiatives.
Prior to the UNGPs, human rights were typically viewed as a State obligation, which meant that the
rights of workers and community members were often contingent on compliance with local law.
After three years and a process of broad-based consultation, the 2008 Protect, Respect and Remedy
framework (Ruggie, 2008) was proposed by John Ruggie, which then led in 2011 to the unanimous
adoption of the UNGPs by the UN Human Rights Council (Ruggie, 2011; Kemp and Vanclay, 2013).
Since the adoption of the UNGPs, there is an international consensus about the corporate
responsibility to respect human rights and the requirements for all business enterprises to (1) develop
a human rights policy; (2) undertake human rights due diligence to address potential adverse impacts
connected to their operations, supply chains and business relationships; and (3) to provide access to
remedies when adverse impacts occur.
This paper starts by presenting the responsibility of companies to conduct impact assessments as a
starting point for human rights due diligence. It then discusses the methodologies available for
conducting HRIAs, and explores the merits and challenges of addressing human rights during the
regulatory impact assessment process. The paper then articulates the business case for further
integration of human rights into impact assessment at early stages of project development. Finally,
examples will be cited where HRIA have been conducted by mining companies.
WHAT ARE HUMAN RIGHTS IMPACT ASSESSMENTS?

This section starts by providing an overview of human rights responsibilities of mining companies
and the typical human rights impacts they may have in workers and communities. It then explains
what human rights assessments are and their place in the field of impact assessments (IA). The last
part presents the HRIA methodologies that are found today in the IA field.
Human Rights International Law and mining companies

In order to situate our discussion about HRIAs, it is important to understand the scope of these
assessments. Natural questions about HRIAs include: What topics do they cover? What standards
do they apply? What is different than a social impact assessment?
2
As presented earlier, the UNGPs have established the global expectations for business to respect
human rights as defined in international law. As stated in Principle 12: The responsibility of business
enterprises to respect human rights refers to internationally recognized human rights understood,
at a minimum, as those expressed in the International Bill of Human Rights and the principles
concerning fundamental rights set out in the International Labor Organizations Declaration on
Fundamental Principles and Rights at Work. (Ruggie, 2011).
The International Bill of Human Rights includes the Universal Declaration of Human Rights (UDHR,
1948) and the main instruments through which it has been codified: the International Covenant on
Civil and Political Rights (ICCPR, 1966) and the International Covenant on Economic, Social and
Cultural Rights (ICESC, 1966; Ruggie, 2011). The four principles of the International Labor
Organization (ILO)s Declaration (ILO Declaration, 1988) are also a part of the minimum standard: a)
freedom of association and the effective recognition of the right to collective bargaining; b) the
elimination of all forms of forced or compulsory labor; c) the effective abolition of child labor; and d)
the elimination of discrimination in respect of employment and occupation.
The UNGPs also state that enterprises should respect the human rights of individuals belonging to
specific groups or populations that require particular attention, where they may have adverse human
rights impacts on them (Ruggie, 2011). This means that companies need to consider, where relevant,
international human rights standards for women, children, people with disabilities, migrant workers
and their families, minorities, and indigenous peoples.
Mining projects can have impacts on the full range of internationally recognized human rights:
There are impacts on the right to property when the company acquires land without adequate
compensation or through expropriation;
There are impacts on the rights to life, liberty and security of the person when excessive force is
used by private or public security forces to protect a mines personnel or assets;
There are impacts on the rights to freedom of speech and assembly when peaceful
demonstrations are suppressed by the government;
There are impacts on the right to an adequate standard of living when communities are resettled
and livelihoods are not fully restored;
There are impacts on the rights to water and a healthy environment when water sources are
polluted by chemicals used in mine processing;
There are potential impacts on the full range of labor rights, including the right to safe and
healthy working conditions, depending on how the workers are treated at a mine.
Increasingly, it is recognized that mining companies can contribute or be linked to impacts on
labour rights of the workers of its contractors and suppliers.
There are impacts on indigenous peoples rights to benefit from the exploitation of natural
resources and to free, prior and informed consent, when mines are developed without adequate
consultation processes for and agreement from indigenous communities.
There are many potential impacts on the rights of women, including in terms of discrimination
in employment, sexual harassment or gendered violence.
3
This is not an exhaustive list, but simply serves to illustrate the range of potential impacts on human
rights that a mining project can have. It is important to note that mining activities can also have
positive impacts on human rights through the creation of jobs, business opportunities, community
investments and, most importantly, by operating in a manner that respects human rights. However,
the focus of HRIAsand the core of the corporate responsibility to respect more generallyis on
preventing, mitigating and remediating adverse impacts. Potential positive impacts should be
considered and acknowledged in a balanced impact assessment process, but this cannot come at the
expense of proper attention, consultation and due diligence about adverse human rights impacts.
Review of HRIA methodologies

As noted above, the corporate responsibility to respect human rights includes the implementation of
a process of human rights due diligence (HRDD) that is appropriately scaled for a companys
operations, supply chain and business relationships. HRDD is an on-going process that includes
impact assessment; integrating and acting (on the findings of the impact assessment); tracking the
effectiveness of mitigation strategies; and communicating on progress internally and externally.
Stakeholder engagement is a key component to a rights-respecting, credible and effective HRDD
process.
Given the complexity and large-scale impacts of mining projects, the HRDD process should be
relatively sophisticated compared to some other business sectors. The natural starting point for
HRDD is the impact assessment in order to identify the potential or actual impacts that can be
connected to the companys activities, supply chain or business relationships. However, there is no
requirement for companies to undertake a dedicated HRIA, either in the UNGPs or in national laws.
This leads to the debate about whether human rights are best served by stand-alone HRIAs or
through integration into ESIAs, which is discussed further in the next section.
If the decision is taken to conduct a HRIA, there are a number of methodologies available to support
the process. These include:
Human Rights Impact Assessment Guidance and Toolbox, Danish Institute for Human Rights (HRIA
DIHR, 2016);
Getting It Right: HRIA tool for Community-Based Human Rights Impact Assessments, Oxfam (Oxfam,
2017);
Human Rights Impact Assessment: A toolkit for practitioners conducting corporate HRIAs, Nomogaia
(Nomogaia HRIA, 2012).
Business Persons Guide to Human Rights Risk Assessment, Nomogaia (Nomogaia HRRA, 2016) and
Guide to Human Rights Impact Assessment and Management, International Business Leaders Forum
and International Finance Corporation (Guide HRIAM, 2010).
Generally, these methodologies are divided into a number of steps that include: planning and
scoping; data collection and baseline development; analysing impacts; impact mitigation and
4
management; reporting and evaluation. It is important to stress that a good HRIA will adapt the
methodology to the operational and country context, and will be designed to maximize opportunities
for engagement with and participation of different stakeholdersespecially affected stakeholders (or
rights-holders). It is also important to have strong engagement and awareness raising with company
representatives, government officials (or duty-bearers) in order to maximize the opportunities for
follow-up actions and implementation of the recommendations from an HRIA.
From the authors experience, there are a few hallmarks of a good HRIA:
A strong and comprehensive focus on all human rights that considers the potential
interconnections between different human rights issues;
A flexible methodology that includes an iterative process of prioritization of issues and
refinement of mitigation strategies through successive rounds of stakeholder engagement;
A multi-disciplinary assessment team with a good mix of expertise in human rights law,
experience in on-the-ground stakeholder engagement, and understanding of business
operations. Integrating local experts or organizations into the team supports a more nuanced
understanding of the local context and facilitates more sophisticated stakeholder mapping and
engagement efforts;
A transparent process for reporting to stakeholders on the key findings, recommendations and
follow-up actions from the HRIA, either through the publication of the report and/or alternative
feedback mechanisms at the local level (e.g. community meetings and workshops);
An action plan that is agreed upon by relevant actors that supports follow-up on the HRIAs
recommendations and helps to ensure that the HRIA leads to ongoing HRDD.
Merits and challenges of integrated HRIAs
There exist different views about choosing to do an HRIA as a stand-alone exercise or to integrate
human rights in an ESIA (or EIA/SIA). The stand-alone option will typically follow one of the HRIA
methodologies noted above. The integrated version requires including human rights experts in the
assessment teams; conducting additional stakeholder mapping to include individuals and
organizations with understanding of the local and national human rights context; adding human
rights questions and indicators to the stakeholder engagement plans and assessment criteria; and
including references to international and domestic human rights laws where appropriate.
Advantages of Integrating Human Rights into ESIAs

ESIAs are almost always undertaken at the commencement of a project, prior to operations (ex ante
assessment). Integrating human rights into ESIAs therefore provides a critical opportunity to have a
proactive and preventative approach to human rights due diligence. In the past, most HRIAs were
taken retroactively (ex post assessment), often in situations with serious allegations of human rights
impacts and infringements. This can make the assessment much more complex, controversial and
5
conflict-laden, and will necessarily focus attention on remediation more than on preventionwhich
can be difficult when dealing with contested individual cases that also may be subject to litigation
and other dispute resolution processes.
The fact that mining companies systematically undertake ESIAs because of regulatory requirements,
company standards and social expectations, integrating human rights into ESIAs provides an
opportunity to bring human rights due diligence to a much broader scale. Currently, HRIAs are not
required in any national laws, and very few companies have internal HRIA policies. Therefore, HRIA
is developing as a niche field of practicewhich has important merits in certain situationsbut ESIA
has the potential to cover a much wider range of projects. Furthermore, there are often regulatory
requirements for public participation and transparency in ESIA practice. These requirements can be
leveraged to provide more information and conduct consultation about human rights and related
subjects. This can be an important dynamic around company-led assessments, which sometimes are
conducted with minimal stakeholder engagement in the process and a maximum of confidentiality
in terms of the results.
Whereas HRIA is a very recent field of practice, environmental and social impact assessments (EIA
and SIA) have a history dating to the 1950s (Harrison, 2010; De Beco, 2009). Therefore, HRIA
practitioners have a lot to learn from the practical experience and guidance developed for ESIA field.
Moreover, there are specialty areas such as health impact assessments, psycho-social impact
assessments, conflict assessments that also provide promising avenues for integrating human rights
considerations. ESIAs are common and have relatively well-recognized methodologies (Harrison,
2010), which provide opportunities for human rights to be mainstreamed into the identification,
assessment and mitigation strategies for different issues. The opportunity to have human rights
mitigation measures integrated into the key environmental and social management systems for an
operation should not be ignored.
This leads to a reflection on terminology: whereas a stand-alone HRIA will use explicit human rights
terminologywhich can be highly politicized and can be easily misinterpretedthe integration of
human rights into an ESIA may provide more flexibility about language. Human rights vocabulary
refers to legal concepts which aim at imposing responsibility on actors and compel specific actions,
whereas the language of social sciences is not as restrictive. In some cases, this can be strategic in
getting acceptance of rights-respecting mitigation measures without getting side-tracked in
philosophical and political debates related to human rights.
Challenges to Integrated HRIA

It is claimed that SIA are the weaker assessment when compared to EIA, which means that it can
be feared that HRIA will be competing for space when there is already little provided for the SIA
(Frank and Vanclay, 2013). Furthermore, ESIAs are often conducted under very tight timelines,
6
which can mean that the human rights aspect is quite rushed and deprived of the opportunities for
adequate stakeholder engagement and participation.
When integrating human rights into ESIAs, there also may be a constriction on the scope of human
rights issues that may be coveredparticularly where the scope of the ESIA is defined by national
regulations rather than international good practices. For instance, issues related to lab our rights in
the supply chain, or issues related to civil and political rights and public security, may be outside the
scope (and comfort zone) for the regulators to consider when reviewing an ESIA as part of a
permitting process.
Although there is an opportunity related to language noted above, there is also a challenge to
translate different human rights concepts and terminology into environmental and social terms that
are used by different experts, company representatives, government authorities and community
members. To achieve this, human rights experts need to make their legal and technical language
accessible to persons who may never have engaged with human rights before. It also requires being
able to connect human rights to concrete business activities in order to illustrate the potential impacts,
and to distinguish between the obligations of the State and the responsibilities of companies to
address the potential impacts.
WHY SHOULD MINING COMPANIES CONDUCT HRIAS?
The decision by a company to have recourse to a HRIA early in the process can help avoid many
problems. As notes the Danish Institute for Human Rights, there are three types of risks that a
company incurs where it fails to address human rights issues: reputational risks; legal liability (home,
host and extraterritorial jurisdictions); and operational risks (blockades, work stoppages, sabotages
and other losses of production) (DIHR not dated; World Bank, 2013).
The World Bank compiles the business case for private actors performing an HRIA: maintaining a
good company and product reputation, effective risk identification and management, improvement
of stakeholder relations, creating a legal and social license to operate, increased motivation and
productivity of workers, understanding the society in which the company works, attractive
investment climate, contribution to CSR and sustainable development (World Bank, 2013).
Increasingly, companies who have undertaken HRIAs have developed their own internal business
case for conducting future HRIAsoften earlier in the project life cycle.
Another point that is important to note is the role of financial institutions in promoting human rights
assessments. Increasingly, there is attention on the responsibility of financial institutions for
implementing the UNGPs through customer and project screening exercises. Leading Development
Finance Institutions, Export Credit Agencies and Equator Principles Banks are starting to ask
questions about human rights when discussing the potential financing of mining projects. This can
be an extremely effective motivation for companies to undertake more proactive HRDDincluding
7
integrated or stand-alone HRIAswhen the money required to develop a mine is subject to review
from a human rights perspective.
In the same vein, important mining associations have undertaken to respect the UNGPs. The
International Council on Mining and Metals created a guide to support mining companies in
adapting their practices to respect the UNGPs, a guide which introduces and explains what is meant
by human rights due diligence and the central role it plays in delivering on the corporate
responsibility to respect human rights (ICMM, 2017). Other mining associations around the world
are also starting to take note of human rights, either through awareness-raising activities related to
the UNGPs or the creation of tools and standards for their members. There also has been a lot of
industry support and activities related to the implementation of the Voluntary Principles on Security
and Human Rights (VPHRs, 2000), which helps identify and mitigate potential human rights risks
related to the conduct of private and public security forces.
Finally, it is important to underscore the potential power of a HRIA to support the social license to
operate. Conducting a stand-alone HRIA at an early stage of project development can send a strong
message to local communities, leaders and organizations that a company is serious about respecting
their rights. If opportunities to include affected stakeholders in the design and implementation of the
HRIA can be seized, this can increase their buy-in to the impact assessment processwhich in turn
can increase their buy-in to the overall mining development project.
CASE STUDIES
Several cases of applying HRIA were successful as they have helped the mining company secure a
better relationship with the local community which benefitted all the parties and allowed the
company to put in place systems to avoid problematic situations. The following are examples of such
situations: La Granja Project (Rio Tinto, Peru); Tangguh Project (BP, Indonesia); Obuasi (AngloGold
Ashanti, Ghana); Cerrejn (Joint-Venture, Colombia); Anglo American mining company, who now
includes human rights at many stages of the projects and claims it has helped to have better
communication with the local population; BHP Billiton, Newmont and Vale have also included
human rights in their systemic management systems (ICMM Guide, 2012).
An interesting example is Marlin Mine, a mine situated in Guatemala that was since the beginning
strongly opposed by the Mayan local community. The operations started in 2005. In January 2005,
the Mayan blockaded the access road. Police took action to let the convoy pass, which resulted in the
killing of one protester and several injured. There were numerous issues that opposed the Mayan
community to the operations of the mine. A group of institutional investors in Goldcorp required
that an HRIA be conducted (Kemp and Vanclay, 2013). The assessment was conducted from 2008 to
2010 by On Common Ground, a Canadian consulting firm, and was published (On Common Ground,
2010; Boele and Crispin, 2013). An interesting fact is that Goldcorp accepted to have no say about the
content, form and findings of the report (ICMM Guide, 2012). On its website, Goldcorp discloses the
HRIA, documents related to the HRIA and other information related to the opposition to the mine,
8
and claims to have engaged in "broader due diligence for human rights consistent with the Protect,
Respect, Remedy framework (Goldcorp Website, 2017).
Another reason for choosing to conduct an HRIA can be to assess the human rights impacts of the
projects in terms of security risks. Rio Tinto, in the project La Granja in Northern Peru, has chosen to
conduct an HRIA as part of its security strategy at the pre-feasibility stage, in accordance with the
VPHRs. Human rights impacts on the affected communities are deeply intertwined with the existing
social tensions and the history of conflicts in a region, which is why the company chose to have a
thorough understanding of the local social and cultural context. This process has helped the company
to identify several steps to be taken to strengthen the social and economic integration of the project
(ICMM Guide, 2012). Numerous other companies choose to have HRIA and/or trainings for their
security employees based on the VPHRs as part of their security strategy.
The joint-venture for the Cerrejn project - Anglo-American, BHP Billiton and Xstrata also
undertook steps to act in accordance with the UNGPs and the VPHRs, one of those steps being an
HRIA. These steps have allowed them to understand the customs and traditions of the Wayuu people
and train their security forces accordingly. Cerrejn is satisfied with the engagement they were able
to have with the neighbor communities, and states that its approach to corporate responsibility is
defined by human rights. They have checked thoroughly every area of risk that was identified and
created actions plans to help prevent and mitigate those risks. The action plans were afterwards
presented to external stakeholders (ICMM Guide, 2012).
CONCLUSION
The practice of HRIAs is still new, but it can be said that it has promising first steps. The examples
enumerated seem to demonstrate that mining companies have found them useful to help them
understand the reality of local communities better and therefore build a positive relationship with
them. From a human rights point of view, it appears to be a hopeful evolution for a more fruitful
dynamic between the fields of business and human rights.
REFERENCES
Abrahams and Wyss, D. and Y. (2010) Guide to Human Rights Impact Assessment and Management,
International Business Leaders Forum and International Finance Corporation, viewed 11 July 2017
https://www.unglobalcompact.org/docs/issues_doc/human_rights/GuidetoHRIAM.pdf
Boele and Crispin, R. and C. (2013) What direction for human rights impact assessments?, Impact
Assessment and Project Appraisal, 31, 2, 128-132.
De Beco, G. (2009) Human Rights Impact Assessments, Netherlands Quarterly of Human Rights, 27, 2,
139-166.
9
Equator Principles, 4 June 2013, viewed 11 July 2017 http://www.equator-
principles.com/resources/equator_principles_III.pdf
Equator Principles Association (2017) viewed 11 July 2017 http://www.equator-principles.com/
Goldcorp (2017) Human rights Marlin, viewed 11 July 2017

http://www.goldcorp.com/English/Unrivalled-Assets/Mines-and-Projects/Latin-
America/Operations/Marlin/Human-Rights-Assessment/default.aspx
Gtzmann, N. (2014) Human rights and impact assessment Conceptual and practical
considerations in the private sector context, Matters of concern, 2014, 2, 1-41.
Gtzmann, N et al. (2016) Human rights impact assessment Guidance and toolbox, The Danish Institute
for Human Rights, Copenhagen.
Harrison, J. (2010) Measuring human rights: reflections on the practice of human rights impact
assessment and lessons for the future, University of Warwick School of Law Legal Studies Research Paper,
2010, 26, 1-29.
International Labour Organization, Declaration on Fundamental Principles and Rights at Work, June
1988, Geneva, 86.
International Labour Organization, Indigenous and Tribal Peoples Convention, June 1989, Geneva, 76,
169.
International Council on Mining and Metals (2012) Integrating Human Rights Due Diligence into
Corporate Risk Management Processes, viewed 11 July 2017 https://www.icmm.com/en-
gb/publications/mining-and-communities/integrating-human-rights-due-diligence-into-corporate-
risk-management-processes
Kemp and Vanclay, D. and F. (2013) Human rights and impact assessment: clarifying the connections
in practice, Impact Assessment and Project Appraisal, 31, 2, 86-96.
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11
Leveraging Greater Impact of Mineral Sustainability
Initiatives: An Assessment of Interoperability
Kathryn Sturman, Renzo Mori and Jean-Pierre Imbrogiano
CSRM, Sustainable Minerals Institute, Australia
ABSTRACT
The paper presents findings of an applied research project looking into the interoperability of
sustainability initiatives relevant to mining and metals supply chains. As sustainability initiatives
have proliferated, stakeholders have raised concerns about duplication of efforts and voiced the
need for combined effectiveness. A conceptual framework was used to identify different aspects
of interoperability in the context of sustainability initiatives. Aspects of interoperability included
collaboration, harmonization, cross-referencing and shared process. A sample of eighteen
initiatives was analyzed according to (i) thematic scope; (ii) assurance process; and (iii) sanctions
for non-compliance. Findings identified similarities between many of the initiatives. Two case
studies were conducted to explore examples of interoperability in greater depth. The first case
study focused on a collaborative project between the Responsible Jewellery Council (RJC) and
the Alliance for Responsible Minings (ARM) standard: Fairmined. The second case study
considered how the Extractive Industries Transparency Initiative (EITI) has been adopted as a
tool for a regional initiative against illegal exploitation of natural resources in the Great Lakes
Region of Africa. The existence of common thematic scope and compatible procedures among the
initiatives analyzed demonstrates the potential to avoid duplication, reduce costs, improve
outcomes and improve credibility of sustainability initiatives in the minerals sector.
1
INTRODUCTION
Since the Global Mining Initiative launched in 1998, the agenda for environmental and social
responsibility in mining has grown rapidly in line with the movement for more sustainable
business practices worldwide. Voluntary standards have been defined in increasing levels of
detail, and some areas adopted in law and regulations. Certification schemes have grown in scope
and specificity to verify compliance with these standards. As sustainability initiatives have
proliferated, stakeholders have raised concerns about duplication of efforts and voiced the need
for combined effectiveness.
Interoperability is the degree to which diverse systems, organizations and individuals are able to
work together to achieve a common goal (Ide & Pustejovsky, 2010). This paper presents findings
of an applied research project looking into the interoperability of sustainability initiatives
relevant to mining and metals supply chains.
The objective of the study was to identify different ways in which sustainability initiatives may
be interoperable, and to examine the opportunities and challenges of enhancing interoperability
through case studies. A conceptual framework was developed to identify different aspects of
interoperability in the context of sustainability initiatives. Collaboration describes the activity of
stakeholders from different sustainability initiatives working together towards common goals.
Harmonization refers to the alignment of texts to adopt similar language across different
sustainability standards, eliminating major differences and creating common minimum
requirements. Cross-referencing is when a sustainability standard refers to and accepts
provisions of another standard as its own. Shared process is the mechanisms which
sustainability standards are able to operate jointly, for example, by joint auditing and other
assurance processes. A sample of eighteen initiatives was analyzed according to (1) thematic
scope; (2) assurance process; and (3) sanctions for non-compliance. Two case studies were then
conducted to explore examples of interoperability in greater depth.
Compatibility
Integration
Cross- Shared
Collaboration Harmonization
referencing process
Interoperability
Figure 1: Aspects of interoperability between sustainability initiatives
METHODOLOGY
This applied research used a mixed-method approach, including two consecutive stages: (1)
desktop analysis; and (2) case studies. The desktop analysis accessed publically available
information (from documents, reports and official webpages) of eighteen sustainability initiatives
relevant to the mining sector and compared the content and approach of the initiatives in relation
to each other. The following initiatives were selected:
2
Aluminium Stewardship Initiative (ASI);
Conflict-Free Gold Standard (CFGS);
Conflict-Free Smelter Program (CFSP);
Dodd-Frank Act Sections 1502, 1503 and 1504 (DFA);
European Regulation on self-certification of responsible importers of tin, tantalum and
tungsten, their ores, and gold originating in conflict-affected and high-risk areas (EUSC);
Extractive Industries Transparency Initiative (EITI);
Fairmined Standard for Gold and Associated Precious Metals (Fairmined);
Fairtrade Standard for Gold and Associated Precious Metals (Fairtrade);
Global Reporting Initiative Mining and Metals Sector Supplement (GRI-M);
Initiative for Responsible Mining Assurance (IRMA);
International Council on Mining and Metals Sustainable Development Framework
(ICMM-S);
International Cyanide Management Code (ICMC);
International Standards Organization 14001 (ISO 14001);
Mineral Certification Scheme of the International Conference on the Great Lakes Region
(ICGLR);
OECD - Due Diligence Guidance for Responsible Supply Chains of Minerals from
Conflict-Affected and High-Risk Areas (OECD-D);
Responsible Jewellery Council Code of Practices (RJC);
Social Accountability SA 8000 (SA8000);
UN Sustainable Development Goals (SDGs).
Case study one drew on twelve semi-structured interviews conducted in Colombia and London
in 2016. The interviews targeted RJC and Fairmined representatives, RJC and Fairmined
accredited auditors and RJC and Fairmined members involved in this interoperability project. In
addition, secondary sources were used to put the case study in context. For case study two,
twenty elite interviews were conducted in Lusaka, Zambia in October 2016 and Oslo in January
2017. The case study was also informed by secondary sources on the EITI and RINR, trade in
minerals from conflict-affected and high-risk areas (commonly referred to as conflict minerals)
and transparency issues relating to the Great Lakes region, and the broader political context of
the member states of the ICGLR. Both case studies took a qualitative approach to the interviews
and data analysis, using open-ended questions, snow-balling participant identification and
content analysis of interview transcripts.
FINDINGS
Environmental sustainability is addressed by more than half of the initiatives sampled, with
similar approaches taken to subthemes of waste, water, biodiversity and ecosystems, tailings, air
emissions, addressing adverse environmental impacts, mine rehabilitation, climate change and
energy. For example, eleven initiatives (61%) include waste within their scope. They have very
3
similar indicators or standards addressing waste management general practices, and seven of
them have added specific waste indicators addressing best-practices of waste management, such
as opportunities to recycle, recover, reduce, eliminate or reuse waste. A similar situation was
observed with respect to water management. However, there is no single, overarching initiative
exclusively focused on environmental themes in mining or metals supply chains. Rather, the
trend is to address environmental and social impacts of extractive industries in an integrated
manner. This is positive, but leaves room for further alignment of initiatives on the detailed and
industry-specific aspects of environmental management.
The majority of the initiatives address economic development and opportunities for mining to
make a positive impact on local communities and host countries. Five explicitly require
investment in community development; and four address poverty alleviation as a goal of the
initiative. Beyond such general aspirations, the initiatives differ in their approaches to sustainable
economic development. More concerted efforts to define targets, indicators and evaluation of
minings economic linkages and community investment are needed under the umbrella of the
UN SDGs.
All eighteen initiatives cover social and human rights impacts within their standards and
guidelines, including occupational health and safety considerations for the sector, as well as
community health. Although general coverage of social themes suggests that there are groups of
initiatives around certain topics, the devil is in the detail. Schemes with similar intentions and
target groups use varying approaches to each of the topics. Some only make general statements
where others give detailed instructions about how best to achieve targets. For others, it is
sufficient to mention an aspect in a subclause or in a footnote.
Two thirds of the initiatives address bribery and corruption in some way, and the EITI is
recognized and cross-referenced by most as the authoritative standard on transparency of
payments. Similarly with respect to conflict minerals, many initiatives address this theme, but
most also referred to the OECD-D as the overarching framework. What differed most about these
initiatives were the actors driving them, rather than their thematic scope. For example, the inter-
governmental organizations like the ICGLR and the OECD approach mineral certification and
supply chain due diligence quite differently from the industry associations.
Eight initiatives suggest quality criteria that organizations looking for assurance providers
should consider. Five have similar accreditation mechanisms in place combined with quality
reviews to verify the quality and depth of the assurance before providing a certificate, claim or
label. In these situations the initiative becomes the entity responsible to evaluate the quality of
the assurance process. The majority of the initiatives adopt a non-compliance classification
method, require corrective action, conduct re-assessments and apply disciplinary sanctions.
There is potential to further align non-compliance procedures and promote a common approach
to risks of non-compliance, which enable trust among the initiatives. Less consensus among the
initiatives was found in the types of disciplinary sanctions as well as in how information about
non-compliance shall be disclosed.
These findings demonstrate similarities in thematic scope, assurance processes and non-
compliance procedures among many of the sustainability initiatives analyzed, which shows
4
potential for greater interoperability between them. We now look more closely at case studies of
how sustainability initiatives can work together.
Case study one: Collaboration between the RJC and ARM-Fairmined
This case study investigated whether there are substantial reasons for sustainability initiatives to
invest in interoperability projects that would deliver positive outcomes, not only for the
initiatives involved but also to their main stakeholders, and ultimately for more responsible
mining practices. It focuses on a collaborative project between the Responsible Jewellery Council
(RJC) and the Alliance for Responsible Minings (ARM) standard: Fairmined. The RJC and ARM
signed a first Memorandum of Understanding (MoU) in November 2011.
Fairmined is an assurance label that certifies gold from responsible artisanal and small-scale
mining (ASM), which was created by the Alliance for Responsible Mining in 2011. ARM
originated in 2004, as a global initiative, which aims to support and enable artisanal miners to
deliver certified metals and minerals to the market through a set of standards for responsible
ASM. Under the Fairmined Certification, ARM has six certified mining organizations in Bolivia,
Colombia, Mongolia and Peru, and has 144 consumer-facing brands (licensees) working and
making claims about the use of Fairmined gold in 16 countries.
The Responsible Jewellery Council (RJC) the trading name of the Council for Responsible
Jewellery Practices Ltd. was established in 2005 and is an international not-for-profit standard-
setting and certification organization. It aims to reinforce consumer confidence in the jewellery
industry by advancing responsible business practices throughout the diamond, gold and
platinum group metals jewellery and watch supply chain. In 2014, the RJC formally recognized
the Fairmined Standard for responsible mining as an equivalent standard to the RJC Code of
Practices, enabling gold produced by Fairmined-certified ASM operations to be traded as a CoC
material.
Three main drivers for the collaboration were observed: similarity between systems and goals,
increase reach and reduce audit overlapping (audit fatigue and costs). Similarity was considered
one of the key drivers for this collaboration project. The RJC and ARM share similar goals, operate
within the same sector and have common members, and most of their stakeholders are the same.
According to some of the participants, because of the similarities, such a collaboration project was
considered a natural step towards a more efficient approach to fostering responsible practices in
the sector.
Some of the participants commented that both Fairmined and the RJC could be seen as
complementary systems, and combining efforts could help them to increase reach throughout the
supply chain. Working together, the RJC CoC standard and Fairmined standard can combine
efforts and expertise in different parts of the supply chain to better support claims for responsibly
sourced jewellery materials produced, processed and traded. In this context, ARM can use its
expertise and focus on its core business, which is ASM, while the RJC can use its expertise and
focus on the downstream industries. Recognizing each others expertise and focus permits ARM
and the RJC to be more effective. Also, such an approach combined with a set of requirements,
enables verification of the eligibility and traceability of materials from mine to retail.
5
According to some of the participants, there is general annoyance from different stakeholders
especially certified and authorized companies that audit overlapping causes audit fatigue and
results in unnecessary audit costs. The lack of harmonization of the assurance processes used by
different initiatives results in duplication of efforts and high costs of compliance, particularly
when there are different schemes with similar standards addressing the same topics in the same
part of the supply chain.
Leadership, access to market, cost reduction and internal processes and systems improvement
were considered the key benefits of this interoperability project. In a scenario where the number
of sustainability initiatives addressing responsible practices is increasing, overlap situations
among different initiatives are growing and stakeholders are pressuring for more collaboration
and interoperability; being the pioneers in addressing these topics could establish the RJC and
ARM as leadership organizations.
Some of the participants pointed out that the RJCARM-Fairmined collaboration project can
improve market access for certified gold. Such a situation is particularly beneficial for Fairmined,
which can benefit from the vast number of RJC members. The RJCs upstream members are
potential buyers of Fairmined gold, but regardless of their decision to engage at the moment with
Fairmined gold or other certified gold initiatives, these RJC members can see that within the RJC
ARM-Fairmined interoperability project, certified gold and ASM could play an important role in
their responsible sourcing strategies.
To reduce audit costs, the RJC and ARM launched the pilot combined Fairmined and RJC CoC
audit project. This project aims to reduce the audit burden without compromising the quality and
rigor of the audit process. To do so, three main activities were carried out: (1) the RJCs and
Fairmineds auditors accreditation processes were aligned in order to increase the number of
audit service providers accredited to conduct both assurance processes; (2) the RJCs and
Fairmineds audit workbooks and audit procedures were aligned to enhance usability and
streamline the assessment processes; and (3) the RJCs CoC and Fairmineds standards were
reviewed in order to identify similarities and to inform auditors about where and what these
similarities are.
It was also stated that the interoperability project between the RJC and ARM results in internal
controls and systems improvement through the learning process of exchanging information and
practices. ARM representatives mentioned improvements in its audit and accreditation
processes. The traceability mechanism was one of the cases mentioned. ARM has a traceability
system in place that automatically tracks Fairmined gold from the mining site to the final
consumer through the whole supply chain. The RJC is working with ARM at the moment to
explore opportunities to also use Fairmineds traceability system.
Having common goals was considered the first step for any type of successful collaboration. A
credible and strong certification system was considered equally important. Participants stated
that having a strong system and a robust governance structure in place, as well as a good
reputation, are crucial conditions to develop collaboration and interoperability projects with
other initiatives.). General aspects of project management and stakeholder engagement were also
considered important issues. According to participants, resources and time should be properly
allocated to the interoperability project in order to avoid capacity constraints, and members and
6
other key stakeholders should understand and see the benefits of the interoperability project to
guarantee legitimacy and participation. Also, competition among initiatives was considered a
barrier for collaboration and interoperability. Another challenging factor mentioned by
participants was the premium price. The premium price has been criticized by some industry
representatives because it has a direct impact on their costs and margins. However, without an
economic incentive it is hard to convince artisanal miners to invest in certification and improve
their practices.
In conclusion, it is necessary to recognize and value the importance of this RJCARM-Fairmined
interoperability project. This project demonstrates that it is possible to have upstream companies
and ASM working together towards a more responsible mining approach.
Case study two: The EITI as a tool of the ICGLR in the Great Lakes region of Africa
The Great Lakes region of Africa has been at the epicenter of global initiatives to break the
association of natural resource extraction with conflict and corruption, and their attendant effects
on human insecurity, poverty and inequality. The co-ordination, harmonization and
collaboration between the conflict-free minerals initiatives working in the Great Lakes region of
Africa has been highlighted clearly in the literature and policy circles focused on this topic (te
Roller, 2013). There has been comparatively little attention paid to the notion of aligning the EITI
with the African regional initiative against illegal exploitation of minerals. This case study
investigated whether there are convincing reasons for investing more time and resources into
building the ICGLRs EITI Platform into a mutually beneficial mechanism for the two initiatives,
and ultimately for the sustainable development of the region.
The ICGLR was established in Nairobi in 2006, bringing African Heads of State and Government
together to form a new regional organization. Its aim is to address the root causes of intractable
conflicts and constraints to development in a regional and innovative approach (ICGLR website,
2017). As the lead regional organization tackling the illegal exploitation of minerals from the
Democratic Republic of Congo (DRC), the ICGLR stands beside a host of other public and private
sector initiatives to tackle resource conflict in the Great Lakes region.
The EITI has been one of the most successful resource governance initiatives of the past 15 years
to advance global norms of transparency and multi-stakeholder dialogue amongst governments,
extractive industries and civil society organizations. The EITI Standard, 2016 requires countries
and companies to disclose information on the key steps in the governance of oil, gas and mining
revenues (EITI website, 2017). It has over 50 implementing countries to date, of which half (25)
are in Africa. The DRC is considered one of the EITIs success stories for promoting multi-
stakeholder dialogue and greater transparency in the governance of its vast natural resources.
However, the DRC is one of only four EITI compliant member states of the ICGLR. This
represents a third of the ICGLRs dozen member states. Nevertheless, the ICGLR has named an
EITI Peer Learning Mechanism as one of the six tools of its Regional Initiative Against the
Illegal Exploitation of Natural Resources (RINR) (Lusaka Declaration, 2010).
The findings of this case study suggest that there would be mutual benefits gained from closer
collaboration between the ICGLRs RINR and the EITI multi-stakeholder groups of its member
states. There are significant practical and political barriers to doing so, however. Interviewees
7
from the EITI International Secretariat were aware of the RINRs EITI mechanism, and had
participated in regional meetings and peer learning exchanges with the ICGLR (Interviews, 10-
11/1/2017). A barrier to closer interaction between the EITI and the ICGLR is their differences in
approach, according to an EITI stakeholder. The ICGLR approaches resource governance from
a legislative angle, while the EITI does not need laws to be implemented effectively (Interview,
11/01/2017). At the same time, this interviewee acknowledged the ICGLR as good promoters of
the EITI as a key pillar of their strategy (interview, 11/1/2017).
Differing perceptions of the EITI amongst some political actors in the region were a barrier to
implementation, particularly when some African governments regarded the EITI as a control
instrument of Western interests (Interview, 20/10/2016). The ICGLR has an important
legitimating role in both the transparency and the conflict minerals initiatives for the region, by
ensuring the African governments of the region lead the process. Further, a potential value of the
ICGLRs EITI platform within the RINR is to provide a regional endorsement of the transparency
initiative from African neighbors and peers to countries like Uganda, which appear hesitant to
commit to the EITI.
The most significant thematic differences between the EITI and the RINR are:
Material scope: the EITI pertains broadly to the extractive industries of mining, oil and
natural gas, while the RINR focuses narrowly on gold and the 3Ts (tin, tantalum and
tungsten).
Geographic scope: the EITI operates at the national level, while the RINR is regional and
concerned with transnational issues.
Scale of extractive industries: the EITI reports have previously had a materiality
threshold requiring reporting only by companies over a certain size (or turnover), while
the RINR certification scheme for the 3TG is primarily engaged with small-scale
operators. Artisanal and small-scale mining (ASM) has been included in some EITI
countries, however, notably in Central African Republic.
Data reporting: the EITI Standard, 2016 provides for reporting a wide range of data, but
EITI implementing countries have to date focused mainly on taxes and royalties, while
the RINR mineral database is focused on mineral supply chains.
The findings of the case study indicate that there is little thematic overlap between the two
initiatives currently. However, this does not preclude the EITI implementing countries in Africa
from considering the RINR further in the future as they adapt to the expanded mandate of the
new EITI Standard, 2016. The mechanisms of each initiative can also be interoperable. The two
mechanisms of the EITI which could potentially enhance the RINR are (1) the multi-stakeholder
groups in each ICGLR member state, and (2) the reporting of data relevant to the ICGLRs
Regional Mineral Database.
Since the ICGLRs Regional Mineral Database and the expanded scope of the EITIs data reporting
in each country are both in the design phase, this would be an opportune period for the two
organizations to work on their compatibility, despite the difficulties involved. It seems logical
that the EITI could assist member states to capture and communicate the relevant data to the
ICGLR, especially as the range of data is expanded under the 2016 Standard beyond revenues to
8
include production figures, ASM and anything else the national MSG in each country agrees to
include. Both organizations could see the potential for data-sharing in theory, but foresaw
practical limitations to doing so.
Ultimately, the opportunity for dialogue on sustainable and socially responsible mining, oil and
gas was seen as the major contribution of the EITI to the region, as is summed up in this quotation:
There is value in the EITI to the [Great Lakes] region, as it has a very progressive mechanism in
creating a multi-stakeholder group in each country. It is a forum. Whether or not it improves
transparency, the EITI has value as an enhanced conversation about resource governance
(Interview, 20/10/2016).
CONCLUSION
Interoperability has become a topic of significant importance to sustainability initiatives. We

understand that there are different design characteristics impacting the interoperability among
initiatives and some of them work with different commodities, industries and goals in different
contexts. However, the existence of common thematic scope among the majority of the initiatives
analyzed in this paper demonstrates the potential to avoid duplication, reduce costs, improve
outcomes and credibility.
Sustainability initiatives are part of the global governance landscape that is always changing to
accommodate competing interests, shifting alliances and multiple points of view. Setting norms
in any sector is never a neat, systematic process as the political exercise of consensus-building
doesnt often result in the policy that technically makes the most sense. However, the UN SDGs
demonstrate that, at the highest level, there are common values and goals with which the majority
of human beings can agree. The mining industry and metals supply chains are grappling with
many universal ethical choices for responsible conduct, as well as issues that are specific to certain
commodities (like gold vs. bauxite), scales of mining (small, medium and large enterprises) and
mineral processing techniques. It is inevitable that the more attention that is paid to these issues,
the more duplication and confusion may arise. The responsibility of all actors involved in these
initiatives, however, is to put aside vested interests and commit to greater collaboration and
harmonization of their efforts.
9
ACKNOWLEDGEMENTS
The authors would like to thank the Deutsche Gesellschaft fr Internationale Zusammenarbeit
(GIZ) GmbH for their support. The GIZs support of this research is made possible through a
grant to the University of Queensland and this support does not influence the outcomes of this
research.
REFERENCES
111th Congress of the United States of America (2010) Dodd-Frank Wall Street Reform and Consumer
Protection Act. H.R. 4173.
Alliance for Responsible Mining Foundation (2014) Fairmined Standard from gold from artisanal and small-
scale mining, including associated and precious metals, Version 2.0.
Aluminium Stewardship Initiative (2017) Chain of Custody Standard, Draft 4.
Aluminium Stewardship Initiative (2017) ASI Performance Standard, Version 2 Draft 1 for consultation.
Conflict-Free Sourcing Initiative (2014) Conflict-Free Smelter Program (CFSP) supply chain transparency
smelter audit procedure for tin and tantalum.
European Commission (2014) Joint communication to the European Parliament and the Council.
Responsible sourcing of minerals originating in conflict-affected and high-risk areas: Towards an integrated
EU approach, JOIN (2014) 8 final.
Extractive Industries Transparency Initiative (2016) The EITI Standard 2016, EITI International Secretariat.
Oslo.
Fairtrade International (2013) Fairtrade Standard for gold and associated precious metals for artisanal and
small-scale mining, V. 1.2.
Global Reporting Initiative (2013) G4 Sustainability Reporting Guidelines: Reporting principles and
standard disclosures, Amsterdam.
Global Reporting Initiative (2013) G4 Sector Disclosures. Mining and metals, Amsterdam.
Ide, N., & Pustejovsky, J. (2010) What does interoperability mean, anyway? Toward an operational definition of
interoperability for language technology, Paper presented at the Proceedings of the Second International
Conference on Global Interoperability for Language Resources. Hong Kong, China.
Initiative for Responsible Mining Assurance (2016) IRMA Standard for Responsible Mining, IRMA-STD-
001, Draft v2.0.
International Conference on the Great Lakes Region (n.d.) ICGLR Regional Certification Mechanism (RCM):
Certification Manual.
International Council on Mining and Metals (2010) Applying the ICMM assurance procedure: An
interpretive guide, London.
OECD (2013) OECD Due diligence guidance for responsible supply chains of minerals from conflict-affected
and high-risk areas, Second edition, OECD Publishing.
Responsible Jewellery Council (2013) Code of Practices.
Responsible Jewellery Council (2012). Chain-of-Custody (CoC) Standard.
Social Accountability International (2014) Social Accountability 8000 International Standard, SA 8000:2014.
Te Roller, J. (2013) The Impact of Conflict Minerals Initiatives' Interaction on Conflict Minerals Governance
Performance, Unpublished MA thesis, Universiteit Utrecht.
10
United Nations General Assembly (2015) Transforming our world: The 2030 Agenda for sustainable
development, A/RES/70/1.
11
EDITOR
Doina Priscu
Registered Professional Engineer (P.Eng) in Canada, gradaute of McGill University, CAN,
with over 23 years of experience in operations, consulting and regulatory aspects of the
mining industry, in distinct countries (Canada, Chile, Argentina, Peru, Brazil, Bolivia,
Romania). She is currently Senior Consultant Environment and Mine Closure with Golder
Associates. Mrs. Priscu is also an Adjunct Professor with Pontificia Catolica de Valparaiso
(PUCV) in Chile.
Her focus is in mining sustainability related aspects in all stages of development applied
to design and expansion, environmental impact assessment (EIA), permit submission
and approval, operations and mine closures, technical and general assurance processes,
health and safety.
Mrs. Priscu has participated with Gecamin in numerous Internacional Conferences,
Technical Committes and Seminars.

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Minera El abra. 2016. Informe de Gestin Social y Ambiental. Disponible en:

Minera El abra. 2017. Noticias. Disponible en: http://www.elabra.cl/noticias/

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Mitigation Hierarchy Implementation

Assessing residual impact

Table 1. Summary of residual impact to be offset

Value Amount Justification

Orestias agassizii (high altitude Presence Endangered species restricted to water

Trichomycterus rivulatus Presence Endangered species restricted to water

Phoenicoparrus andinus (Andean Presence of Vulnerable species that uses water

Phoenicoparrus jamesi (James Presence of Vulnerable species that uses water

Phoenicopterus chilensis (Chilean Presence of Vulnerable species that uses water

Chroicocephalus serranus (Andean Presence of Vulnerable species that uses water

Presence of Vulnerable species that uses water

Presence of Vulnerable species that uses water

Pleurodema marmorata (Marbled Presence Endangered species restricted to water

Oxychle Bofedal 221 hectares Niche where relevant elements of fauna

Water mirror 2,5 hectares Niche where relevant elements of fauna

Comisin Econmica para Amrica Latina y el Caribe (CEPAL)/Organizacin para la Cooperacin y

Ladrn de Guevara, J. et al. 2015. Gua para compensaciones en biodiversidad en la Regin de

Servicio de Evaluacin Ambiental (SEA), 2014. Gua para la Compensacin de Biodiversidad en el

Figure 1 Study Area

Figure 2 High andean wetlands study sites

Table 1 Location and characteristics of the three study sites

Coordinates UTM Altitude Main dominant

Soil stability and Carbon captured

COORDENADAS UTM ODde

Este 274,319 (m) Este

Site 2: Impact area, possibly affected by the installation of mining components