Mine Water and the Environment (2021) 40:6–15

https://doi.org/10.1007/s10230-021-00750-w

TECHNICAL ARTICLE

Integrated Risk Management in Mining Waste Facilities

Gustavo Ramos Dantés dos Reis1   · José Carlos de Oliveira2 · Marcus Vinicius Abrahão Porto Silva3

Received: 17 February 2020 / Accepted: 14 January 2021 / Published online: 14 February 2021
© Springer-Verlag GmbH Germany, part of Springer Nature 2021

Abstract
The Mining Association of Canada (MAC) was the first in the world to develop an externally verified performance system
for sustainable mining. This paper proposes adopting a management model that integrates the principles described in the
MAC models for safe management of mining tailings facilities, including governance structure and decision making, to
systematically and rigorously implement the other principles described in the International Organization for Standardization
(ISO 14001) Environmental Management Systems standard and MAC Tailings Guide (MAC 2019a) in an integrated manner.

Keywords  Tailings facilities · Management systems · Risk-based approach

Introduction of their management system standards. This and other key

“Tailings dams can be considered to be one of the three
main risks to the business of any mining company. Gener-
ally, they are the second or third, after the risks inherent
to the price of ore or metal” (Bittar 2016). Over the years,
the International Organization for Standardization (ISO) has
developed a series of management system standards for top-
ics such as quality and the environment, as well as business
continuity and information security. All of these manage-
ment systems had very different structures, despite shar-
ing certain common characteristics, which can make their
implementation difficult and complex. To face this chal-
lenge, ISO sought ways to create an identical structure, in
terms of text, terminology, and common definitions, for all
changes were incorporated in the new versions of the ISO
9001 (Quality) (2015a) and 14001 (Environment) (2015b)
standards published in 2015 for greater alignment with busi-
ness strategies, management of changes in the organization,
and adoption of the risk-based approach, according to which:
• The risk involved must be considered when establishing,
implementing and maintaining each process, activity, and
the management system itself;
• The degree of formality and rigor required to have confi-
dence in the processes is a function of the risk involved—
the greater the criticality and the potential consequences
of a failure in the process, the stricter the criteria, meth-
ods used, and controls implemented must be.

The Mining Association of Canada (MAC), when pub-

* Gustavo Ramos Dantés dos Reis lishing the first edition of their Tailings Guide in 1998, did
gustavo.dantes@jmendo.com.br so in response to a series of international incidents that
José Carlos de Oliveira occurred throughout the 1990s at mining tailings dams. The
josecarlos@aliancaconsultores.com Tailings Guide has undergone revisions and developments
Marcus Vinicius Abrahão Porto Silva since then, more and more in line with the ISO 14001 (ISO
vinicius@aliancaconsultores.com 2015c) standard, in addition to introducing, in its most recent
1
edition (version 3.1, published in February 2019), new
Associate Consultant, J. Mendo Consultoria,
Rua Ministro Orozimbo Nonato 442 ‑ Sala 416,
key concepts, among them the risk-based approach. How-
Nova Lima‑MG 34006‑053, Brazil ever, compared to the ISO model, the structure proposed
2
Owner Partner, Aliança Consultoria, Rua João Camilo de
by (MAC 2019a) presents, in addition to four overarching
Camargo, EHS and Q Instructor of UNICAMP Extension principles that permeate the entire management structure,
Course, 389–Sala 6, Hortolândia/SP 13184‑290, Brazil some elements that although also found in ISO standards,
3
Owner Partner, Aliança Consultoria, Rua João Camilo de deserved more attention. These will be emphasized in this
Camargo, 389–Sala 6, Hortolândia/SP 13184‑290, Brazil article aiming to demonstrate how their integration with the

13
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Mine Water and the Environment (2021) 40:6–15 7
ISO management systems existing in organizations could
be facilitated: accountability and responsibility; critical
controls; operation, maintenance, and surveillance manu-
als; emergency preparedness; performance evaluation; and
assurance. On the other hand, considering the importance
and criticality of the theme for the safety of tailings dams,
the engineering projects theme (elaboration and construc-
tion) will be approached here with a focus different from
that normally found in ISO 9001, where it is seen from the
ISO perspective of products and services. Figure 1, adapted
from ISO 9001 (ISO 2015b), ISO 14001(ISO 2015c), and
ISO 45001 (ISO 2018), shows the framework of a manage-
ment system according to the ISO model. Figure 2, in turn,
shows the elements of a tailings management framework,
adapted from the MAC Tailings Guide 3.1 (MAC 2019a).
Differences in the MAC Guides and ISO
Standards and the Main Points of Attention
The standards of ISO management systems are restricted to
establishing what must be done by an organization to estab-
lish, implement, control, and maintain the processes neces-
sary to ensure the intended results of a management system,
be it environmental, quality or whatever. MAC guides, like
the Tailings Guide or OMS (Operation, Maintenance, and
Surveillance) Guide (MAC 2019b), provide guidance on
how to do it.
Fig. 1  ISO framework for man-
agement systems
Context of the Organization
The revision of the ISO 9001 (2015a) and 14001 (2015b)
standards in 2015 introduced some important changes, in
addition to their high-level structure. The need to discuss
the context of the organization was introduced in both stand-
ards, as an activity of observation, evaluation, and analysis,
to determine positive and negative influential factors. This
activity should consider and understand the stakeholders’
needs and expectations.
It is important to understand that this is an excellent
opportunity to bring questions about tailings disposal struc-
ture to the most strategic level of the organization. Senior
management must necessarily carry out this critical review
periodically, as set out in the standards, addressing the
themes related to tailings disposal structures. In the Tailings
Guide (MAC 2019a), such questions related to the context
of the organization were not explicitly considered, but this
is a specific requirement to should be met by any organiza-
tion that has management systems based on ISO 9001 (ISO
2015b), ISO 14001 (ISO 2015c), and, most recently, the
ISO 45001 (2018) standard.
Accountability and Responsibility
According to (Bittar 2016) “… the responsibility upon the
dam safety is the company itself. This type of risk cannot
be transferred or outsourced. Currently there are compa-
nies in the market that make various services related to
Support and Operaon
- Resources
- Competence
- Awareness
EXTERNAL - Communicaon
AND - Documented informaon
INTERNAL
ISSUES
- Operaonal planning and control
- Control of externally provided
processes, products and services Do
- Emergency preparedness and response

Plan
Leadership
Planning - Leadership and Performance Evaluaon
CONTEXT

- Acons to address risks and commitment - Monitoring, measurement,

opportunies - Policy analysis and evaluaon
- Objecves and planning to achieve - Roles, responsibilies and - Internal audit
them authories - Management review
- Planning of changes - Consultaon and
parcipaon of workers
Check
Act
Improvement
- Incidents, nonconformity and correcve acon
- Connual improvement INTENDED
OUTCOMES
NEEDS AND
EXPECTATIONS OF
INTERESTED
PARTIES Adapted from
ISO 9001 and 14001:2015,
SCOPE OF MANAGEMENT SYSTEM ISO 45001:2018

13
8 Mine Water and the Environment (2021) 40:6–15

Fig. 2  Elements of tailings
Implemenng the Tailings Do
management framework Management Framework
Plan - Operaon, Maintenance, and
Surveillance Manual (OMS)
Planning
- Emergency Preparedness
- Risk management
- Checklists
- Performance objecves
- Accountability and responsibility
• Governance level
• Accountable execuve officer
• Responsible person(s)
• Engineer-of-Record (EoR)
• Independent Reviewer(s)
- Management process Check
• Conformance management
• Managing change Performance Evaluaon
• Controls
o Crical controls Policy and Commitment Assurance
o Quality management - Audits
o Operaon, Maintenance, - Evaluaon of Effecveness
and Surveillance Manuals - Independent Review
(OMS)
• Resources
o Financial control
o Control of documented
informaon
o Training and competence
o Communicaons Adapted from MAC
Tailings Guide 3.1
Act
Management Review for Connual
Improvement

risk management and safety management for tailings dams,
including companies that provide implementation of safety
management systems services. Even in such cases, regardless
of the use of specialized consultants or engineering com-
panies, it is crucial to understand that the dam safety is an
internal affair and should be "signed" by the senior manage-
ment of mining companies.” In the same publication we find:
“The failure of a tailings deposit must be considered and
formalized as one of the main business risks of a mining com-
pany. Given the scale of the problem, it should be treated with
the highest levels of the organization and with high rigor.”
The OMS Guide (MAC 2019b), Appendix 6 recognizes
that “one of the essential elements of effective tailings man-
agement is how the various individuals involved in tail-
ings management relate to one another in their day-to-day
function”.
The ISO 14001 (ISO 2015c), ISO 9001 (ISO 2015b), and
ISO 45001 (ISO 2018) standards, used as references in this
article, are restricted to determining that the responsibili-
ties and authorities for the relevant roles in the management
system be assigned, communicated, and understood in the
organization. MAC goes further, and while recognizing that
circumstances vary and, therefore, the organizational and
governance structure must be adapted for each company and
tailings facility, establishes that responsibilities, account-
ability, and authorities be clearly defined, documented, and
communicated for at least the following functions:
• Owner’s board of directors or governance level;
• Accountable executive officer;
• Responsible person(s);
• Engineer-of-record (EoR); and.
• Independent reviewer(s).
According to the Tailings Guide (MAC 2019a), and
consistent with (Bittar 2016), the responsibility for deci-
sions related to tailings management rests with the Board
of Directors or the Governance Level of the owner of the
tailings facility, depending on the size and of the organi-
zation’s structure. The Tailings Guide clarifies the con-
tent of each of the above functions and, in the case of the
last, which is one of the four overarching principles of
the management structure it proposes, and details (MAC
2019a, Appendix 4) the characteristics and objectives
of this function. Consistent with the provisions of the
ISO standards cited above, as good practice for estab-
lishing a formal process that describes the relationships
between functions, the OMS Guide (2019b), Appendix 6
recommends the use of the responsibility assignment
matrix (R = responsible, A = accountable, C = consulted,
I = informed) or RACI. “A RACI matrix is a delegation
tool used to identify each task, milestone, or decision
point, and develop, document and communicate roles and
responsibilities for each”.

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Mine Water and the Environment (2021) 40:6–15 9
Critical Controls
The concept of critical controls is introduced in the Tailings
Guide (MAC 2019a), relative to the operational controls
provided for in the ISO standards. In the context of waste
management, critical controls are a subset of risk controls
that prevent high consequence events or mitigate the con-
sequences of those events. The absence or failure of a criti-
cal control would significantly increase the risk, despite the
existence of other controls. Critical controls can be techni-
cal, operational, or governance based.
The Tailings Guide (MAC 2019a) provides step-by-step
instructions for the management of critical controls. Accord-
ing to ISO 14001 (ISO 2015c), outsourced processes must
be carefully controlled. This is especially relevant in the case
of tailings disposal structures, in which there is a high inci-
dence of external contracting in the construction and rais-
ing of dams. As stated in ISO 9001 (ISO 2015b), under the
title of Control of Processes, Products and Services Provided
Externally, “the organization shall determine and apply
criteria for the evaluation, selection, monitoring of perfor-
mance, and re-evaluation of external providers, based on
their ability to provide processes or products and services in
accordance with requirements.” This requirement deserves
specific attention, as it is extremely relevant for managing
the safety of tailings facilities. It is also worth mentioning
that “the establishment of controls must ensure that environ-
mental requirements are treated in the design and develop-
ment process, considering each stage of the life cycle”. ISO
45001 (ISO 2018), in turn, is explicit in the approach of the
hierarchy of controls for establishing, implementing, and
maintaining a process to eliminate hazards and reduce risk.
Regarding risk controls, MAC considers it necessary to
document these controls and describes pre-established man-
agement actions to maintain or regain control over a given
situation. According to MAC, a tailings management system
provides a general structure, but a specific operation, main-
tenance, and monitoring (OMS manual) (MAC 2019b) is
required for each tailings installation, to make this structure
work well on a daily basis. MAC has published a document
that provides detailed guidance on the development and
implementation of OMS manuals (MAC 2019b). The OMS
Guide recommends justification, organization, and content
for developing a site-specific OMS Manual.
According to the Tailings Guide (MAC 2019a), the
OMS manual must include or refer to other specific plans
for various aspects of tailings management, such as: tail-
ings transportation and disposal plan; water management
plan; and closure plan. Appendix 6 (MAC 2019a) provides
guidance for preparing these plans. The Tailings Guide also
defends the need for a management system to include issues
associated with quality management, as a tool to ensure that
all specifications have been adequately met. Although ISO
9001 (ISO 2015b) applies the title quality management to
products and services, it is also perfectly applicable to the
management of tailings facilities.
Quality Management
The main objective of clause 8.3 of ISO 9001 (ISO 2015b),
Design and Development of Products and Services, is to
define a process that establishes the characteristics of prod-
ucts and services, to ensure that their supply meets the needs
and expectations of customers, whether these are implicit,
explicit, or even unknown. We propose a model for the appli-
cation of this clause, with all its sub-clauses, to ensure a
more comprehensive management of tailings disposal struc-
tures in mining activities (Table 1).
Emergency Preparedness
When publishing version 3.1 of the Tailings Guide, (MAC
2019a) stated that the most significant change was the
rewriting of Sect. 5.2—Emergency Preparedness. This sec-
tion was modified to provide more detailed guidance for the
preparation of emergency response plans (ERP) and emer-
gency preparedness plans (EPP).
An ERP, according to MAC, describes the measures that
the company and, in some cases, external stakeholders,
will take to prepare for an emergency and respond to it, if it
occurs. While some aspects of an ERP may involve external
stakeholders, it is intended to be an internal document. For
emergencies that may result in impacts downstream on the
environment, infrastructure, or security, an EPP is devel-
oped for external use, with information from communities of
interest (COI), including local authorities (e.g. first respond-
ers and municipal governments) and regulatory bodies.
In providing detailed guidance for the preparation of
these plans, (MAC 2019a) also provides supplementary
guidelines, such as those related to integration with other
emergency plans at the site level and linking to other docu-
ments (e.g. OMS Manual, crisis management plan, com-
munication plan), dealing with flood risks, assessments, and
simulations.
The ISO 14001 (ISO 2015c) and ISO 45001 (ISO 2018)
standards, in turn, deal with emergency preparedness and
response in a much less profound way. These rules, in short,
establish that companies must plan actions to prevent or
mitigate adverse impacts resulting from emergency situa-
tions, in addition to preparing to respond to such situations,
if they occur, and should periodically test planned response
actions, where feasible, critically analysing and reviewing
the planned response processes and actions, particularly
after emergency situations or tests have occurred, in addition
13

Table 1  A model for applying clause 8.3 of ISO 9001 (2015a) to the management of tailings facilities
Sub-clauses of 8.3
13
8.3.2 Design and development planning:
In determining the stages and controls for design
and development, the organization shall con-
sider:
Statement
(a) The nature, duration, and complexity of design and devel-
opment activities
(b) The required process stages, including applicable design
and development reviews
(c) The required design and development verification and
validation activities
(d) The responsibilities and authorities involved in design and Those responsible for each stage and who have decision-making authority
development process
(e) The internal and external resource needs for the design and In the planning phase, the necessary resources must be identified, consider-
development of products and services
(f) The need to control interfaces between persons involved in In the planning phase of construction of tailings disposal structures, all
the design and development process
(g) The need for involvement of customers and users in the
design and development process
(h) The requirements for subsequent provision of products and Although a tailings disposal structure is not classified as an organization’s
services
(i) The level of control expected for design and development
process by customers and other relevant interested parties
(j) The documented information needed to demonstrate that
design and development requirements have been met
10
Application to tailings facilities
In the planning phase, consider all the technical characteristics of the
tailings disposal structure, its nature, scale and impacts, as well as the
complexity of each stage of design and development, in the life cycle of
the structure
In planning design and development, consider all stages of the life cycle of
the tailings facility and the stages of critical analysis, involving all of those
responsible for each stage
In the planning phase, it is very important to define the criteria for verifying
and validating the design and development of the tailings disposal struc-
ture. This step includes verification and validation of activities that may
put the structure at or increase the risk, such as dam raising processes
must be defined. The RACI matrix tool can be used. It is very important
that people with responsibility and authority are aware of the conse-
quences of not fulfilling their roles throughout the facility life cycle;
regulatory requirements must also be considered
ing the entire facility life cycle. These resources are financial, qualified
personnel to be involved in each stage and adequate machinery, software
and equipment
existing interfaces must be identified and controlled, both internally and
externally to the organization
Consider how all stakeholders will be affected or may affect the construc-
tion of a tailings disposal structure, during the entire facility life cycle
during the planning phase
product or service, it is important that it establishes all the necessary
requirements for the intended use of the structure
Still during the design and development planning phase, it is necessary
to establish what level of control is expected to ensure the safety of the
tailings disposal structure throughout the project’s life cycle, especially
considering the need and opportunity for changes in the design, ensuring
revisiting all original or modified technical documentation
It is necessary to ensure that all discussions and decisions taken, with the
knowledge of the interested parties, have been considered in the definition
of controls
Ensure that all documented information necessary to guarantee the safety of
the tailings disposal structure has been generated and can demonstrate that
the design and development requirements are met
Mine Water and the Environment (2021) 40:6–15
 Table 1  (continued)
Sub-clauses of 8.3 Statement
8.3.3 Design and development input: (a) Functional performance requirements
The organization shall determine the requirements
essential for the specific types of products and
services to be designed and developed. The
organization shall consider:
(b) Information derived from previous similar design and
development activities
(c) Statutory and regulatory requirements
(d) Standards or code of practice that the organization has
committed to implement
(e) Potential consequences of failure due to the nature of the
products and services
Input shall be adequate for design and development purpose,
complete and unambiguous
Conflicting design and development inputs shall be resolved
The organization shall retain documented information on
design and development inputs
13
Application to tailings facilities
As input to the design and development, it is necessary to consider func-
tional performance requirements, such as the: physical, chemical, and
geological characteristics to be established; positive and negative impacts
to the stakeholders; and expected performance for the entire facility life
cycle
Collect information on the performance of similar structures, including
considering performance characteristics higher or lower than planned
Identify statutory and regulatory requirements, available in all legal spheres.
Include the need to comply with technical standards and legal require-
ments at all levels
Mine Water and the Environment (2021) 40:6–15
Include information on codes and values of the owner’s company, usually
assumed by large organizations and how they impact the design and devel-
opment of tailings dams
Conduct a detailed and complete risk analysis, identifying the potential
consequences of failures due to the nature of the facility. In addition to the
risks inherent in the process, risks such as sabotage and terrorist actions
must be considered
It is important to ensure that all input information has been identified,
reviewed, and that formal decisions have been recorded, ensuring the
absence of ambiguities and conflicts that may affect the design and devel-
opment and the expected performance of the tailings facility. All docu-
ments used in the design and development, especially those that informed
decision-making, are retained during the facility life cycle. It is important
to ensure that they are readily available
11

12

Table 1  (continued)
Sub-clauses of 8.3 Statement Application to tailings facilities

13
8.3.4 Design and development controls (a) Define the results to be achieved In the design and development control stage, ensure that the planned results
The organization shall apply controls to the design are defined, with those responsible already formally communicated for
and each stage, including commissioning/decommissioning of the tailings
development process to: facility
(b) Conduct reviews to evaluate whether the results of design Ensure that the critical analysis provided for in the design and development
and development meet the requirements planning phase are carried out, involving those responsible for each stage,
to ensure compliance with the specified requirements, including regula-
tory requirements
(c) Conduct verification activities to ensure that the design and Verification activities must ensure that the design and development outputs
development outputs meet the input requirements met the requirements defined in the input, i.e. the organization must
review the result of the design and development, formalize this output, and
compare it with what was established. This is fundamental information for
decision making on the project’s continuity and development
(d) Conduct validation activities to ensure that the resulting The validation activities must focus on the tailings disposal structure result-
products and services meet the requirement for the specified ing from the design and development, and must allow demonstrating that
application or intended use the results satisfy the requirements for the specified application or the
intended use, that is, that they satisfy the needs and expectations of the
interested parties. Validation must be completed before delivery of the
structure and the participation of interested parties is recommended
(e) Take necessary actions on problems determined during the The problems identified in the verification and validation phases must be
reviews, or verification and validation activities solved before the operation phase of the tailings disposal structure. Deci-
sions made about solving problems should be recorded and retained
(f) Retain documented information of these activities All documented information must be controlled, retained, and preferably,
readily available
Mine Water and the Environment (2021) 40:6–15
 Table 1  (continued)
Sub-clauses of 8.3
8.3.5 Design and development output:
The organization shall ensure that design and
development output:
8.3.6 Design and development changes: The
organization shall identify, review, and control
changes made during, or subsequent to design
and development of products and services, to
the extent necessary to ensure that there is no
adverse impact on conformity to requirements.
The organization shall retain documented infor-
mation on:
13
Statement
(a) Meet the input requirement
(b) Are adequate for the subsequent processes for provision of
products and services
(c) Include or reference monitoring and measuring require-
ments, as appropriate, and acceptance criteria
(d) Specify the characteristics of the products and services that It is important to consider at this stage the specifications and characteristics
are essential for their intended purpose and their safe and
proper provision
The organization shall retain documented information on
design and development output
(a) Design and development changes
(b) The results of reviews
(c) The authorization of the changes
(d) Actions taken to prevent adverse impacts
Application to tailings facilities
The design and development outputs must meet the requirements estab-
lished in the input phase, especially considering aspects such as legal and
regulatory requirements, as well as the applicable technical standards
The exit phase of design and development must provide all the necessary
information for the construction and operation of the tailings disposal
structure, as well as future decommissioning, after the end of the project’s
life cycle
Although not explicitly mentioned in previous sub-clauses, it is necessary
to guarantee all stages of monitoring and measurement, as well as the
criteria for acceptance of results, always considering the use of valid and
recognized methodology, nationally and internationally
Mine Water and the Environment (2021) 40:6–15
essential for the purpose of the tailings disposal structure. Ensure that all
security information is formally established, and data book templates can
be used, with as-built drawings, among others. Ensure that these speci-
fications and essential information are available, including in situations
characterized as emergency
All documentation necessary to ensure that the design and development
outputs have been met must be retained and controlled
Design and development changes must be dealt with according to the
rules established in the mechanism defined by the management system
itself, referring to change management. It is very important to ensure
that changes are only made if they are foreseen when entering design and
development and that they have gone through the corresponding verifica-
tion and validation steps
Ensure that the results of the reviews are formally recorded and retained,
including the participation of those responsible and the decisions taken
Ensure that those responsible for authorizing changes have been formally
defined in the planning and input phases of design and development
Ensure that the risk analysis has identified the points of greatest weakness in
the design and development and that actions have been defined to prevent /
mitigate adverse impacts
13

14
to providing relevant information and training for relevant
stakeholders.
Performance Evaluation
The essence of the difference between MAC’s Tailings
Guide approach and the ISO standards for monitoring,
measuring, analysing and evaluating management perfor-
mance is, in addition to the greater level of detail of a
guide (how to do it) in relation to a standard (what to do),
already mentioned, is the fact that performance evaluation,
according to MAC, should be supported by the use of a
site-specific OMS Manual (MAC 2019b). This determina-
tion facilitates the planning of the performance evaluation,
even though it makes it more complex, given the level of
detail that an OMS Manual requires.
Assurance
The corresponding requirement established in the ISO
standards to the Assurance item in the Tailings Guide
(MAC 2019a) would be for internal audits. The Assurance
requirement of the Tailings Guide, however, is much more
comprehensive, since it includes audits (both internal and
external), as well as evaluation of effectiveness and inde-
pendent review(s). As defined in the Tailings Guide (MAC
2019a), audits involve some degree of judgment, but are
not designed to determine the root cause of the deficien-
cies or to assess the effectiveness of the management sys-
tem. They are only a formal, systematic, and documented
examination of the tailings facility conformity in rela-
tion to explicit criteria, previously stipulated and agreed.
Audits assess and report the degree of compliance with
the stipulated criteria, based on the collection and sys-
tematic documentation of relevant evidence. The Tailings
Guide addresses audits more with a focus on their content,
while ISO standards devote more text to how to structure
an audit program.(MAC 2019a) establishes that to meet
the Assurance requirement, the different proposed mecha-
nisms should not be treated as options—all three (audits,
evaluation of effectiveness and independent review) must
be used, as they serve different purposes.
Thus, the second mechanism (evaluation of effective-
ness) goes beyond determining whether a condition has
been met, and includes an assessment of whether tailings
management is achieving the intended results. The Tail-
ings Guide (MAC 2019a) proposes a list of results and
performance trends that should be evaluated to determine
the effectiveness of tailings management.
The third Assurance mechanism established by MAC is
the independent review. As one of the four so-called over-
arching principles of the tailings management framework,
13
Mine Water and the Environment (2021) 40:6–15
independent reviews are covered in detail in Appendix 4
of the Tailings Guide (MAC 2019a).
The Global Industrial Standard on Tailings
Management and the Social Aspects
Recently, on Aug. 5, 2020, a series of principles and require-
ments integrating social, environmental, and technical con-
siderations, was published under the title (Global Industry
Standard on Tailings Management 2020). The standard
was developed through an independent process—a Global
Tailings Review—jointly organized by the United Nations
Environment Program, the Principles for Responsible Invest-
ment, and the International Council on Mining and Metals.
The standard establishes explicitly, in Requirement 6.1, the
mining company’s obligation to “Build, operate, moni-
tor and close the tailings facility according to the design
intent at all phases of the tailings facility lifecycle, using
qualified personnel and appropriate methodology, equip-
ment and procedures, data acquisition methods, the Tailings
Management System (TMS) and the overall Environmental
and Social Management System (ESMS) for the mine and
associated infrastructure”. The standard further defines
in its Glossary (Annex 1) that “The TMS, and its various
elements, must interact with other systems, such as the
environmental and social management system (ESMS), the
operation-wide management system, and the regulatory sys-
tem. This systems interaction is fundamental to the effective
implementation of the Standard”.
In some mining companies, notably the large ones, the
management of social responsibility is incorporated with
management of quality, environment, occupational safety,
and health. However, there is no ISO standard for social
responsibility management systems. In 2010, (ISO 2010)
published ISO 26001 (ISO 2010) Guidance on Social
Responsibility, which is not a management system standard,
and is not structured in the plan-do-check-act (PDCA) model
like all the management system standards published by ISO,
and is not even auditable and certifiable.
The SA8000 (2014) standard (SAI 2014), published by
SAI—Social Accountability International, is the world’s
leading social certification program. It is based on interna-
tionally recognized standards of decent work and national
laws. SA8000 (SAI 2014) applies a management-systems
approach to social performance and emphasizes continual
improvement, not checklist-style auditing. This can facili-
tate the integrated approach advocated in this article, and
fulfill the goal of the (Global Industry Standard on Tailings
Management 2020).
Mine Water and the Environment (2021) 40:6–15 15
Conclusions
Although the management framework for tailings facilities
proposed by MAC is admittedly based on the ISO 14001
(2015b) standard, (ISO 2015c) there are particularities in the
content found in Tailings Guide (MAC 2019a), including the
distribution of requirements in the PDCA cycle. This does
not prevent management under the Tailings Guide (MAC
2019a) from being integrated with systems that already oper-
ate under the ISO model in mining companies. This article
promotes a comparative analysis of the ISO and MAC mod-
els to facilitate integration, giving emphasis to the Design
and Development theme of ISO 9001 (ISO 2015b), and pro-
posing a model for applying requirement 8.3 of this standard
to tailings facilities management.
References
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