Tailings Management and New Standards of

Regulation in Perú and Chile.

Edgar Quiroz*, Emmanuel Lizama2 and Gabriel Fernández3
1. General Manager Operations/Tailings and Water/MMG Las Bambas, Perú
2. Stantec, Chile
3. Knight Piesold, Chile

ABSTRACT
Currently, both in Chile and Peru, they are working on updating their regulations on Tailings, in
Chile with the update of DS247 and in Peru with the update of the Tailings Guide. Therefore, this
study aims to critically review the progress of the respective updates in comparison with the
respective current regulations and with the global tailings standards, specifically with the Global
Tailings Management standard. Specifically, the document will focus on analyzing how these new
regulations incorporate 3 main issues, Geotechnical Stability, Chemical stability and Governance.
The objectives of this research will be: to review the current regulations in force regarding
Geotechnical stability, Chemical stability and governance in both Peru and Chile. Review the
update proposal generated in the topics mentioned both in Chile and in Peru. Compare the
regulations that are being worked on in Chile and Peru between them. Analyze the main
improvements or advances proposed in the regulations of Chile and Peru and discuss how in tune
they are compared to the international regulations indicated by the Global standard. The scope to
be considered will be: The proposed work will focus on three topics, Geotechnical stability,
Chemical stability, and Governance, and will be focused on the Chilean and Peruvian tailings
regulations that are currently under discussion. It is expected to obtain the main gaps in local
standards compared to the Global Standard and recommendations for future implementations.

Keys words: Tailings, Governance

DIPLOMA IN TAILINGS ENGINEERING 2021

FACULTY OF PHYSICAL SCIENCES AND MATHEMATICS
UNIVERSITY OF CHILE

INTEGRATING PROJECT

STUDY OF THE CHILEAN AND PERUVIAN REGULATIONS ON TAILINGS DEPOSITS IN

COMPARISON WITH THE GLOBAL STANDARD IN ISSUES OF PHYSICAL STABILITY AND
GOVERNANCE

1
MEMBERS
Edgar Quiroz Villon
Emmanuel Lizama Moreno
Gabriel Fernandez Saavedra

DIPLOMA IN TAILINGS ENGINEERING 2021

FACULTY OF PHYSICAL SCIENCES AND MATHEMATICS
UNIVERSITY OF CHILE

INTEGRATING PROJECT
STUDY OF THE CHILEAN AND PERUVIAN REGULATIONS ON TAILINGS DEPOSITS IN
COMPARISON WITH THE GLOBAL STANDARD IN ISSUES OF PHYSICAL STABILITY AND
GOVERNANCE

CONTENT
1. INTRODUCTION 1
2. OBJECTIVES 1
3. SCOPE 2
4. RESULTS AND ANALYSIS 2
4.1. REGULATIONS AND LEGAL FRAMEWORK 2
4.1.1. ICMM Global Standard 2

2
4.1.2. Chilean Regulation 2
4.1.3. Peruvian Regulation 3
4.2. PHYSICAL STABILITY 5
4.2.1. Chilean Regulation 9
4.2.2. Peruvian Regulation 15
4.3. MANAGEMENT AND GOVERNANCE 21
4.3.1. Chilean Regulation 26
4.3.2. Peruvian Regulation 30
5. CONCLUSIONS 33
6. REFERENCES 35

BOARDS
Table 1 Comparative analysis in relation to Physical Stability 7
Table 2 Level of consequences of the tailings deposit project. eleven
Table 3 Classification by category of the tailings deposit according to the level of consequences and
classification of size of the tailings deposit 12

FIGURES
Figure 1 Standards and regulations for the management of tailings deposits in Peru. 5
Figure 2 Pillars that support the Tailings Facility Management governance framework 22
Figure 3 Base documents to be able to prepare rules and regulations for the Management of Mining
Tailings Deposits 33

DIPLOMA IN TAILINGS ENGINEERING 2021

FACULTY OF PHYSICAL SCIENCES AND MATHEMATICS
UNIVERSITY OF CHILE

INTEGRATING PROJECT

STUDY OF THE CHILEAN AND PERUVIAN REGULATIONS ON TAILINGS DEPOSITS IN

COMPARISON WITH THE GLOBAL STANDARD IN ISSUES OF PHYSICAL STABILITY AND
GOVERNANCE

1. INTRODUCTION

3
Currently, both in Chile and Peru, work is being done to update their regulations on Tailings, in
Chile DS 35/2021 comes into force, leaving DS 248/2006 without effect, in the case of Peru the terms
of reference to submit to public tender the development of the new unified standard. In the Chilean
case, this study aims to critically review the new regulations in comparison with DS 248/2006 and
with the global tailings standards, specifically with the Global International Tailings Management
Standard (GS); In the Peruvian case, this study intends to analyze the current regulations and the
Global standards to propose guidelines that contribute to the elaboration of the terms of reference
to be used for the public contest for the selection of the consultant in charge of the preparation of
the new norm. This paper will focus on analyzing how these new regulations incorporate 2 main
issues: physical stability and governance.
This study becomes relevant considering the increasing internationalization of engineering projects
in relation to the design, construction, operation and closure of tailings deposits, this according to
the need for harmonization and consistency of the different national and international policies.

2. OBJECTIVES
● Determine what are the most relevant aspects of each legal system and its specific objectives
when managing a tailings deposit in all its stages, with emphasis on regulatory aspects regarding
physical stability and governance.
● Critically evaluate the new decree DS35/2021 and decree DS 248/2006 in comparison to the ICMM
global tailings management standard, in regards to Physical stability and Governance.
● Critically evaluate the current Peruvian regulation in comparison with the ICMM global tailings
management standard, in regards to Physical stability and Governance.

3. SCOPE
The proposed work will be limited to a comparative analysis on two issues: physical stability and
governance, of tailings regulations, both in Chile and Peru in relation to the ICMM Global Tailings
Management Standard.
The main regulations of this study correspond in the case of Chile to DS248/2006 and DS35/2021
(Regulations for the Approval of Projects of Design, Construction, Operation and Closure of
Tailings Deposits), and in the case of Peru to RD035/1995 (Environmental Guide for mining tailings
management) and RD019-97-EM/DGAA (Environmental Guide for the stability of slopes of solid
mine waste deposits)

4. RESULTS AND ANALYSIS

4.1. REGULATIONS AND LEGAL FRAMEWORK
Next, the ICMM Global Standard is identified, which is used as a reference framework for this
study. Likewise, the existing regulations in both Chile and Peru are identified and individualized,
describing their legal framework.

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4.1.1. ICMM Global Standard
The Global Tailings Management Standard for the Mining Industry was developed through Rev.
Global Tailings Vision (GTR), an independent process convened in March 2019 by the United
Nations Environment Program (UNEP), Principles for Responsible Investment (PRI) and the
International Council of Mining and Metals (ICMM), following the tragic collapse of the tailings
facility in Brumadinho, Brazil, on January 25, 2019.
The set of guidelines, which is the product of a public consultation, comes to strengthen current
practices in the mining industry by integrating social, environmental, technical and local economic
considerations. The standard covers the entire life cycle of tailings facilities, from site selection,
design and construction, through management and monitoring, to closure and post-closure.

4.1.2. Chilean regulations

The development of a regulatory framework related to tailings deposits began to be discussed as of
1965, on the occasion of a 7.5 Richter earthquake that shook the central zone of Chile, causing the
collapse of most of the tailings deposits of the zone. This event, resulting in destruction and death,
produced an immediate reaction at the national and global level, developing a series of
international symposiums in Paris and Santiago with the aim of discussing the safety of mining
tailings and the technical improvements related to these projects. and its construction. The result of
these symposia was the issuance of Decree No. 86 of the Ministry of Mining, dated July 31, 1970,
Regulations for the construction and operation of tailings dams, which regulated the construction
of these deposits and prohibited the construction method "upstream". ” for being more affected by
the seismic nature of our country.
Later, in 2007, D.S. No. 248, Regulation for the Approval of Projects for the Design, Construction,
Operation and Closure of Tailings Deposits, of the Ministry of Mining, repealing D.S. No. 86/1970,
establishing new rules for the approval procedure for mining tailings deposit projects and the
incorporation of requirements for the design, construction, operation and closure of the deposits,
with the ultimate goal of guaranteeing the safety of the people and the environment.
Recently, on November 21, 2021, the Ministry of Mining has promulgated D.S. No. 35, which is in
the approval process by the Comptroller General of the Republic. This Decree replaces D.S. No.
248/2007, modernizing the regulations as standards in matters of stability, both physical and
chemical, hydrological and hydraulic, as well as the implementation of a Tailings Deposit
Management System. The need to modernize technical regulations in relation to tailings deposits
arises from the fact that in recent years the disposal methods of these deposits have changed
substantially, as well as the inefficiency in the processing of permits due to the multiplicity of
powers . Regarding the latter, the D.S. N°50/2015 establishes the technical conditions that must be
met in the project for the construction and operation of hydraulic works, including tailings
deposits. This Decree empowers the General Directorate of Waters with decisive power in
approving the construction of these works in duplication of the powers granted to the National
Service of Geology and Mining, through DS 248/2007. It is for this reason that the new DS 35/2021
establishes the elimination of any reference to said deposits or dams in DS 50/2015, thus eliminating
the duplication of powers, and in this way, granting certainty and legal certainty for obtaining of
the sectorial permit, thus honoring the principle of coordination, among others.

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It should be noted that this study focuses on the critical analysis of the specific sectoral regulations
applied in the approval of the construction and operation of tailings deposits, in this case DS
248/2006 and DS 35/2021, without delving into other regulations. also required in this area, such as,
for example, Law No. 19,300 of General Bases of the Environment, which are outside the scope of
this work.

4.1.3. Peruvian regulations

The base document of the Peruvian regulations is the "Guide for the Management of Mining
Tailings" from the Mining-Metallurgical Industry, has been prepared under the auspices of the
World Bank in association with the Technical Assistance Program to the Ministry of Energy and
Mines of Peru . In this context, the World Bank's Technical Assistance provided for the review,
modernization and consolidation of environmental issues related to mining activity in Peru. After
which it was determined that one of the first activities related to these objectives is the preparation
of the Guide for the Management of Mining Tailings profrom the Mining-Metallurgical Industry,
with the aim of giving a panoramic view of the planning, design, operation, maintenance and
closure of tailings deposits. Its purpose is that it can be used as a reference document and technical
support to help in the preparation of Environmental Impact Studies and Environmental Adaptation
and Management Programs (PAMA) as required by regulation for environmental protection in
mining activities. and metallurgical (DS No. 016-93-EM) and its modification (DS No. 059-93-EM).
This guide was approved by the General Directorate of Environmental Affairs through RD N 035-
95-EM/DGAA dated September 11, 1995, that is, it has been published for more than 26 years and to
date is in the process of preparing the terms of reference to be able to tender its update in the first
quarter of 2022.
Other regulations applicable to mining tailings management are:
o ENVIRONMENTAL GUIDE FOR THE STABILITY OF SLOPES OF SOLID MINE WASTE
DEPOSITS, the main purpose was to provide an overview of slope stability issues in the planning,
design, operation, maintenance, and closure of mine waste deposits . Given that the majority of
mine waste consists of tailings, and that tailings are generally the type of mine waste that causes the
most problems in Peru, this Guide is geared primarily towards tailings. It was included in the
Mining Tailings Management Guide through RD N 19-97-EM/DGAA on June 20, 1997.
o GUIDE FOR THE DESIGN OF COVERAGES FOR MINING WASTE DEPOSITS, developed out of
the folly that the design of facilities for the disposal of mining waste is capable of preventing
contamination of the waste generated by mining tailings.
o GUIDE FOR THE PREPARATION OF CLOSURE PLANS FOR MINING ENVIRONMENTAL
LIABILITIES, provides those responsible for environmental remediation and other interested
parties with a standardized approach for the preparation of Closure Plans for Mining
Environmental Liabilities, including tailings deposits and associated infrastructure, in accordance
with Law 28271, its corresponding regulations, promulgated by Supreme Decree No. 059-2005-EM
and amendments.
o ENVIRONMENTAL GUIDE FOR THE MANAGEMENT OF ACID DRAINAGE IN MINES,
constitutes a practical guide for the prediction, control and evaluation of acid rock drainage in
mines located in Peru.

6
Figure 1 Standards and regulations for the management of tailings deposits in Peru.

4.2. PHYSICAL STABILITY

To establish an international reference framework, the ICMM global tailings management standard
will be used, and the national regulations of Chile and Peru will be analyzed in relation to the
standard. The Global standard is structured based on seven main topics, each of these topics has
associated principles, in total there are fifteen principles, each principle contains a series of specific
requirements.
Physical stability is an aspect that must be considered at all stages of the tailings facility: Design,
construction, operation and closure. It should be noted that a good design depends on how solid
the previous studies are. Therefore, to analyze the national regulations of Peru and Chile in
Physical Stability, two main issues addressed in the Global standard will be addressed; Theme II,
which refers to the Integrated Knowledge Base, and Theme III, Design, construction, operation, and
monitoring of tailings facilities. The topics of the global standard to be analyzed, and their
respective associated principles, are presented below.

TOPIC II: Integrated Knowledge Base

• Principle 2: Develop and maintain an interdisciplinary knowledge base to support tailings

management throughout its life cycle, including closure.
• Principle 3: Use elements of the knowledge base – social, environmental, local economic and
technical – to inform decisions throughout the life cycle of the tailings facility, including its closure.

TOPIC III: Design, Construction, Operation and Monitoring of Tailings Facilities

• Principle 4: Develop plans and design criteria for the tailings facility to minimize risks for all
phases of the life cycle, including closure and post-closure.
• Principle 5: Develop a robust design that integrates the knowledge base and minimizes the risk of
failure that could affect people and the environment during all phases of the tailings facility life
cycle, including closure and post closure. .
• Principle 6: Plan, build, and operate the tailings facility to manage risk at all phases of its life
cycle, including closure and post-closure.
• Principle 7: Design, establish and operate monitoring systems for risk management in all phases
of the life cycle of the tailings facility, incuse its closure.

Considering the principles associated with each of the aforementioned Topics, the following
subtopics are established to be evaluated.

- Knowledge Bases (previous studies): Principle 2

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- Adaptive Management (Climate Change): Principle 3
- Criteria and Development of a Solid Design: Principle 4 and 5
- Risk Management: Principle 6
- Instrumentation and Monitoring: Principle 7

Each principle of the Global standard must meet a series of requirements. The following table
presents a summary of the requirements demanded by the Global Standard that in our opinion are
related to physical stability, as indicated above, and additionally a comparative analysis of the
Chilean and Peruvian regulations under study is carried out, verifying the compliance with each of
the requirements. Subsequently, in the following titles, a critical analysis of each subchapter or
theme is made.
Table 1 Comparative analysis in relation to Physical Stability
SUBCHAPTER REQUIREMENT DS 248/2006 DS 35/2021 PERUVIAN STANDARD
PREVIOUS STUDIES AND KNOWLEDGE BASE 2.2 Keep the detailed characterization of the site
updated   
2.3 Document and keep updated Credible dam failure analysis P  
CLIMATE CHANGE - ADAPTIVE MANAGEMENT 3.1 Improve Resilience to climate change   
3.2 Multi-criteria analysis for site and technology selection   
CRITERIA AND DEVELOPMENT OF A SOUND DESIGN 4.1 Classification By consequence of
credible failures   
4.2 Have feasible preliminary designs for Extreme conditions and according to classification   
4.4 Selection and documentation of credible failure mode design criteria   
4.5 Safety factors, consideration of deformations of structures   
4.6 Identify and Address Credible Brittle Failure Modes   
4.7 Incorporation Concept of ALARP   
4.8 IDR must prepare and update Design Basis Report   
5.1 Incorporation of Multicriteria Analysis results in the design   
5.2 Incorporation in the design of the social context, classification by consequence, water
management, etc.   
5.3 Water balance model and water management plans.   
5.4 Analysis of all potential failure modes   
5.5 Staged design development construction operation closure   
5.7 Satisfy ALARP principle   
RISK MANAGEMENT 6.1 Build, operate and monitor according to design intent   
6.2 Manage quality control and assurance   
6.3 Prepare construction log report and as built   
6.4 Implement and annually review the Operations Manual, which serves as the basis for risk
management and critical controls   

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6.5 Implement change management system   
6.6 Include new technologies and approaches and apply the changes to refine the design.   
MONITORING 7.1 Design and implementation of monitoring program   
7.2 Establish Objective indicators and performance parameters   
7.4 Analysis of monitoring data   
7.5 Report monitoring results   P
 Completely meets the requirement
P Partially meets the requirement
 Does not meet requirement

In the case of item 7.5 for the case of Peru, reports of monitoring results are not required, the
Occupational Health and Safety Regulations in Mining (D.S. 024-2016-EM), exactly in its Article
400°, stipulates that every two years, the mining owner will present to the competent authority a
study of the physical stability of the tailings deposits, prepared by a company specialized in the
matter, and that guarantees operations in a safe manner.

4.2.1. Chilean regulations

4.2.1.1. Knowledge Bases (previous studies)

Supreme Decree 248
DS 248 in article 14 in letter f establishes that the geological, geotechnical, hydrological
hydrogeological, seismic, meteorological, topographic and other background information that the
Service deems necessary must be presented, including location, conditions and characteristics of the
loan materials that will be used in the construction, operation and closure of the deposit.
Although Supreme Decree 248 is not explicit enough in terms of tailings breakage studies, in article
34 that the emergency manual for the tailings deposit must be prepared and kept up to date and
within these emergencies it considers the failure of the tailings as the which must be justified with
calculations based on failure mechanisms and tailings transport conditions as indicated in article 4
in letter r.

SD 35
DS 35 in article 19 establishes that depending on the Classification by Category of Tailings Deposits,
the minimum requirements associated with site selection, characterization of materials, geological-
geotechnical prospecting campaigns, seismic considerations, hydrological and hydrogeological
conditions must be determined. design among others.
DS 35 in article 17 establishes that a study of breakage ofl Tailings Deposit (ERD) considering
credible failure mechanisms and in article 87 instructs the licensee to carry out an updated Tailings
Deposit Breakdown Study (ERDA). Chapter 4 refers to how to carry out the tailings deposit
breakage study, in articles 82 to 87.

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4.2.1.2. Adaptive Management (Climate Change)
Supreme Decree 248
Supreme Decree 248 does not directly consider climate change within its text and, although article
14 requests some background information on the location of the deposit, it does not consider or
request a multi-criteria analysis for site selection and deposition technology selection.

SD 35
DS 35 establishes in article 21 that it is the duty of the User to demonstrate to the Service that
sustainable technologies and the best practices available at a national and international level will be
implemented, and in article 48 it establishes that a detailed description and justification of the
technology must be provided. of disposition adopted, technically substantiating its selection by
virtue of the characteristics of the selected site, mainly with regard to the efficient use of water
resources, as well as the sustainability of the proposed technology, from construction to closure of
the reservoir.
In article 47, it establishes what must be incorporated for the site justification study. Requesting to
present, among others, the site selection evaluation methodology.
In DS 35 it does not directly consider climate change within its text.

4.2.1.3. Criteria and Development of a Solid Design

Supreme Decree 248
DS 248 directly in its text does not consider a tailings classification due to credible failure, however,
it should be noted that in DS 50/2015, which must be fulfilled in parallel, there is a reservoir
classification according to its size.
The DS 248 in article 14 letter o considers for the design of tailings, the slope stability analysis must
be carried out for its operation and closure stages, it also establishes 4 phases of analysis according
to the importance and risk assessment that the tailing may present for the adjacent areas, for the
first two static and seismic phases, a safety factor greater than 1.2 must be ensured for small
deposits (walls less than 15 m) in analysis phases III and IV, dynamic analyzes must be carried out
that include the displacement calculation and include maximum requesting events respectively.
DS 248 does not directly consider in its text some requirements of the Global standard such as:
Classification by credible failure consequence, ALARP concept, analysis of all potential failure
modes of structures (Foundation, abutments, etc).
SD 35
DS 35 in article 17 in table No. 2 establishes low, medium-high and very high levels of
consequences, depending on the number of people to be evacuated, disabling damage to structures,
flooding area and the loss or deterioration of the environment and ecosystems. This table of
consequence levels is presented below.
Table 2 Level of consequences of the tailings deposit project.

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In article 18, based on the levels of consequences obtained and the size of the deposit, which
depends on the maximum height of the dam or the volume of tailings stored, it establishes the
classification by consequences of the deposits through 4 categories where category 1 is the one with
the greatest consequences. Next, the classification table is presented by categories of the tailings
deposits.

Table 3 Classification by category of the tailings deposit according to the level of consequences and
classification of the size of the tailings deposit

Article 19 establishes that the classification by tailings deposit category must be determined to
determine the minimum requirements associated with the base studies, and article 16 instructs to
carry out the rupture study (EDR) to classify the level of consequence. .
The second chapter on physical stability of DS 35 establishes the main design criteria that must be
considered. Article 68 establishes that all the design criteria adopted and the parameters or
conditions considered in the analysis must be described and supported, in addition that fragile fault
phenomena such as static and seismic liquefaction must be analyzed. Article 69 establishes the
development of an infiltration analysis that allows establishing hydraulic gradients, pore pressures,
among others, for the most unfavorable cases of operation and considered probable regime during
construction, operation and closure. Article 70 establishes that the seismic request used in operation
and closure depends on the classification by category of the deposit, thus determining when to use
the Operation Earthquake and the Maximum Credible Earthquake. Article 71 establishes 2 phases
of Physical stability analysis that depends on the category classification of the depTeddy. In
summary, Phase I requires static and pseudostatic stability analysis, Phase II establishes the use of
numerical techniques using finite elements or finite differences to evaluate the seismic stability of
the deposit.
Article 72 determines the minimum acceptability criteria for the evaluation of the stability of
tailings in operation and closure in phases I and II. For phase I the minimum safety factors in a
static case; must be FS>=1.5 (Drained parameters) and FS>=1.2 (Non-drained parameters); in
Pseudo-Static seismic case they should be FS>=1.2 (Drained Parameters) and FS>=1.0 (Non-drained
Parameters). For phase II, it must be justified that the displacements obtained are statically and
seismically tolerable and that the deformations do not compromise the local and global physical
stability. Article 73 establishes, depending on the classification by category of the tailings deposit,
which phases of analysis are necessary to carry out.
DS 35 in article 27 establishes that category 1, 2 or 3 warehouses must have a Registration Engineer
who will be responsible, among others, for registering all the background and technical reports
related to the design, operation and closure.
Article 47 establishes that a site justification study must be carried out that incorporates local,
nearby economic characteristics, among others.
The DS35 in the third chapter establishes the hydraulic considerations on the water balance that
will have the purpose of maintaining physical stability under any hydrological condition.
Although DS 35 does not address the concept of ALARP, which requires minimizing the risk to the
lowest reasonably feasible level, some guidelines are given that are on the way, as required in

11
article 21 where it must be demonstrated that they will be implemented the best technologies and
practices at a national and international level that ensure risk management.

4.2.1.4. Risk management

Supreme Decree 248
The DS 248 in article 5 in definition of Tailings project establishes among others that documents of
tailings operation procedure must be presented and in article 51 it establishes that the project must
present all the construction specifications and operation standards. In addition, although it does not
tacitly instruct to keep a record of changes, article 10 establishes that all construction and operation
modifications of an approved project must be reported to the services for approval. Article 25
requires that the construction and operation conform to the submitted and approved design, non-
compliance may cause the cessation of construction or operation by the service.

SD 35
It establishes in article 22 that a construction, operation and monitoring management system must
be established that allows, among other things, to guarantee and provide traceability to the
management of tailings and the risk of deposits in consideration of their original design.
Article 52 establishes that a construction management plan (PGC) must be submitted to ensure the
quality of the construction and compliance with the approved design (the presentation of the
category 4 deposit PGC may be exempted).
Article 53 establishes that an operation management plan (PGO) must be presented that allows
describing the activities, strategies and operating procedures that allow the User to materialize the
transport, discharge and storage of tailings. The Plan must include the control activities that allow
verifying that the tailings storage, as well as the physical and geochemical characteristics of the
stored materials, conforms to those design conditions considered in the Tailings Deposit Project
approved by the Service. (PGO category 4 deposit submission may be waived).
In article 92, it instructs to present the updated construction report (ICA) where the works actually
built must be indicated, indicating the construction methods and technologies adopted, as well as
the measures to ensure and control the quality of the construction and the respective plans. as built.
Article 29 establishes that any deviation or change during the construction or operation of the
deposit with respect to the current Tailings Deposit Management System, in any of its components,
must be notified to the Service.
Article 27 establishes that the IDR is also responsible for registering and completing all the
background and technical reports related to the design, construction, operation and monitoring of
the deposit (This does not exempt the user from responsibility)

4.2.1.5. Instrumentation and Monitoring

Supreme Decree 248
The DS 248 in article 51 establishes that control and monitoring plans must be included in the
tailings project, in addition in article 52 it instructs that the operator must monitor and control, in

12
article 14 in the letter n includes a series of variablesis to monitor how; pore pressure, water table,
displacement etc.

SD 35
Article 54 establishes that it must have a Comprehensive Monitoring Plan (PMI). Comprehensive
monitoring is understood as the process of implementing strategies for the characterization and
detection of physical and chemical changes with respect to the design in the state of the materials.
and geometry of tailings deposits. The PMI must include the variables, procedures, methodologies,
tools, technologies or other activities that the User proposes for the integral monitoring of the
deposit. Article 96 establishes that from the PMI the respective updated reports are developed with
the monitoring results, verifying the defined tolerable thresholds.

4.2.2. Peruvian regulations

4.2.2.1. Knowledge Bases (previous studies)
The mine tailings management guide, in its companion guide on slope stability of solid mine waste
deposits, indicates that the number and scope of field investigations should be appropriate for the
size and importance of the structure and for the complexity of local features. The exploration
program, as well as subsequent analyzes and designs, should be guided by site-specific
requirements and conditions and should be capable of being revised as required to meet current
site conditions as they become known.
The main objectives of detailed investigations should include determining the following:
o The geology of the site of both surface and bedrock deposits.
o The hydrogeology of the site.
o The geotechnical properties of the soil and rock strata that may affect the design of the tailings
dam structure;
o The availability of suitable construction materials for the construction of dams or levees and
impermeable linings.
The guide mentions that the values considered in the design must be confirmed during the
execution of the work, if this is the case they must be reformulated and adapted to the conditions
found in the execution of the project.
With respect to developing and documenting a tailings facility dam failure analysis applying a
methodology that considers credible failure modes, site conditions and tailings properties is not
established. Currently, the Geophysical Institute of Peru (IGP) has been conducting studies to
develop dam failure scenarios through the use of numerical models. Thus, information is being
obtained on probable breakages, safe areas and arrival times of the volume of water, results that
will serve regional governments for adequate disaster risk management aimed at minimizing the
impact of probable dam breakages.

4.2.2.2. Adaptive Management (Climate Change)

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The rules and regulations in Peru do not have information on climate change, because it is more
than 26 years old, since April 17, 2018, Peru took a fundamental step to ensure its firm commitment
to competitive and sustainable growth for present and future generations, by enacting the
Framework Law on Climate Change No. 30754. This regulation ensures that the country is better
prepared to face climatic events and generate climatic events and generate the conditions for the
growth of clean and sustainable industries. The initiative allows us to look with optimism at our
future, in addition to being a clear mandate that is compatible with the Sustainable Development
Goals (SDGs) of the United Nations and with the recommendations that need to be met in order to
achieve the country's entry into the Organization for Economic Cooperation. and Economic
Development (OECD). Mining and other activities must be carried out in compliance with this law,
this includes tailings deposits.
In this sense, the Framework Law on Climate Change will offer the possibility for the State to
increase the efficiency of public spending and will mean key savings and investment for the
country because we will avoid costs and take advantage of opportunities for all the actors in the
country: public and private sectors. private, organized civil society, academia, indigenous peoples,
among others.

4.2.2.3. Criteria and Development of a Solid Design

As a technical support and reference document, the Environmental Guide for Mine and
Concentrator Tailings Management has attempted to explain the issues, problems, and solutions of
tailings management, initially dealing with the basic principles and working the way up to the
advanced technology in current use. Because the Guide is intended for a very broad audience, with
diverse technical interests, levels of experience, and viewpoints, it is convenient to summarize the
main topics presented in order to establish their priority and significance.
Such a summary should begin withtailings practices in use in Peru. This Guide cannot address the
specific problems and solutions at existing mines, which requires detailed investigations tailored to
the unique circumstances of each case. However, existing practices provide the foundation upon
which tailings management in Peru will evolve over time to the most advanced levels of
international practice, along with adaptations to meet the special challenges of tailings management
in the country. .
Certainly, tailings management in Peru is more difficult than in any other country in the world due
to its extreme conditions in topography, climate and seismic risk, added to the prevalence of highly
sulphurized mineralized bodies and pollution problems due to acid drainage ( ARD) that they
possess.
Any systematic effort to improve current practices must consider the basic goal of achieving
physical stability of tailings facilities and minimizing chemical contamination, both during
operation and long after closure. In addition, these objectives must be achieved in a way that does
not require long-term operations for the mining industry and burden the government with
responsibilities. While environmental concerns such as the effects of contamination on groundwater
and aquatic life need to be widely known and addressed, the most pressing issues of tailings
management in Peru are directly related to human safety and health, specifically the safety risks
derived from the failure of the tailings dams and the health risks due to the direct ingestion of
metals in the tailings water or by particles suspended in the air.

14
This guide does not define criteria for a solid design, it only gives recommendations and references
from national and international experiences, the design criteria have been developed in other
guides that are complementary to this one and published later.

4.2.2.4. Risk management

The Environmental Guide for tailings management does not include a methodology for risk
management, it only mentions some recommendations and considerations to take into account
against risks of external geodynamics, effects of the country's own climates, seismic risk,
environmental risks, as well as risk of physical stability.

4.2.2.5. Instrumentation and Monitoring

The Environmental Guide for tailings management recommends that for the case of the design and
construction processes that usually take place as the dam is raised during the life of the mine.
Inspection reports that document the configuration of the dam as it is erected are a necessary part of
the construction operation. In addition, the installation and monitoring of piezometers to measure
the water table within the dam is essential. The dam should be visually inspected daily for any
signs of instability, and these inspections should be noted, as well as observations, construction,
compaction and instrumentation records, all of which should be carefully maintained by the mining
company. Periodically, and at intervals of no more than a few years, a complete review of the
design parameters and all previous reports should be performed by a geotechnical engineer who
has specialized experience with tailings dams. In such an instance, any existing or future problems
can be identified, and the design or construction of the dam modified as appropriate. Reports on
design and construction are essential for this purpose; Without them, the necessary information can
only be obtained through drilling and sampling, at considerable cost to the operation. In the case of
construction of a low permeability cover, clay or other materials using conventional construction
equipment, placing and compacting the material. The suitably sloped and leveled cover prevents
the accumulation of runoff and reduces infiltration in post-closure conditions, while simultaneously
restricting the entry of oxygen into the tailings. Said coverages have been used to control ARD in
tailings deposits, for which instrumentation must be considered. The guide does not mention the
requirement or requirements to prepare an instrumentation project or the monitoring of tailings
deposits. There is no guide or standard that regulates the instrumentation and monitoring of
tailings deposits in Peru.
In the case of the slope stability guide, it indicates that the mine operator must be responsible for
satisfying all regulations related to the structural and environmental safety of the tailings deposits.
The mine operator shall provide the regulatory agency with all reports and related data required at
each stage ofdevelopment of a repository beginning with the design and site investigation reports
required to obtain a license to build the repository, continuing with construction reports and
operating reports, and ending with closure and rehabilitation reports. AND
he mine operator should be required to immediately report to the regulatory agency any unusual
event related to increased percolation, instability, lack of free liquid edge, etc., that affects or may
affect the stability of the deposit. In the event of any change or transfer of ownership or
responsibility for operating a tailings facility, the mine operator should notify the regulatory agency
immediately of the new conditions. The obligation of mine operators of tailings deposits towards
third parties should be regulated by state law, where applicable. The responsibility of the mine

15
operator for the construction, operation and rehabilitation of a mining waste storage facility should
be exercised by engineers with public licenses, in the event that these licenses are required by law,
and in other cases by qualified engineers. and with extensive experience. The designer should
participate in safety inspections and evaluations. If this is not possible, he should be kept informed
of the findings of safety inspections and assessments in which he has not participated. Also, he
should be consulted on repair or rehabilitation work, if possible and practical, during the service
life of the dump. According to a predetermined schedule, it should be checked at least every two
years if the instruments and monitoring devices are working properly. The sequence and frequency
of reading of monitoring instruments and observation devices should follow the instructions given
by the designer. These instructions can eventually be adapted to priorities that change according to
the age of the structure. In the case of automated monitoring systems, the readings of the
monitoring instruments and observation devices should be immediately transmitted to the
processing unit.
The processing and interpretation of the processed data should be done without delay. Data and
information should be carefully identified and filed for review and reference during periodic
inspections. Any significant deviation from previous observations or the anticipated behavior of the
structure should be brought to the attention of the inspection team immediately. A complete annual
inspection should be made of all aspects of the tailings facility including the dam, sump,
reclamation system and the inspection procedures being used. Along with this annual inspection,
all performance, quality control, water quality, and monitoring data should be reviewed to ensure
that the facility is being built and operating according to the designer's intent. Of particular
importance are percolation water collected from drains, relief wells, and piezometers located
downstream of the waste storage facility.
These percolations should be analyzed for the content of chemicals, heavy metals, etc. to determine
if contaminants are escaping from the storage facility and entering surface and groundwater
downstream of the disposal site. Each inspection should be preceded by an evaluation of the
previous inspection reports, and by determining the sequence to be followed in the field. For this
purpose, it would be advisable to prepare a detailed checklist of all the items that must be inspected
and establish the tests or examinations that should be taken for each item. This list should be
carefully reviewed and updated prior to each major inspection, paying special attention to
incidents, disturbances and/or operational modifications that may have occurred since the last
inspection.
The inspection team should review whether the previous recommendations have been carried out.
If these were not performed, the reasons should be documented and recorded in the inspection
report. A description of the methods and procedures used for the inspection and the resulting
findings and recommendations should be summarized in the inspection report. Where appropriate,
the text should be supplemented by drawings, diagrams or graphs, and photographic
documentation should be used extensively. Likewise, records of incidents or accidents that may
have occurred recently should be included. the key management and governance elements needed
to prevent catastrophic failures of tailings storage facilities (TSFs).
Figure 2 shows the 6 pillars on which tailings deposit management governance should be based.

Figure 2 Pillars that support the Tailings Facility Management governance framework

16
The principles of the global standard to be analyzed in relation to Management and Governance are
presented below.

TOPIC IV: Management and Governance

● Principle 8: Establish policies, systems, and accountability to support the safety and integrity of
tailings facilities.
● Principle 9: Appoint and empower a registration engineer.
● Principle 10: Establish and implement review levels as part of a robust quality and risk
management system for all phases of the tailings facility lifecycle, including closure.
● Principle 11: Develop an organizational culture that promotes learning, communication, and early
recognition of problems.
● Principle 12: Establish a process to report and address concerns and implement protections for
whistleblowers.

Considering the principles associated with each of the aforementioned Topics, the following
subtopics are established to be evaluated.

• Policies and accountability to support safety (Principle 8)

• Engineer of Record (Principle 9)
• Risk and Quality Management (Principle 10)
• Organizational culture, learning, communication and early problems (Principle 11)
• Manage Employee and Contractor Concerns (Principle 12)

Each principle of the Global standard must meet a series of requirements. The following table
presents a summary of the requirements demanded by the Global Standard as indicated above, and
additionally a comparative analysis of the Chilean and Peruvian regulations under study is carried
out, verifying compliance with each of the requirements. Subsequently, in the following titles, a
critical analysis of each subchapter or topic is made.

Table 2 Comparative analysis between Management and Governance

SUBCHAPTER REQUIREMENT DS 248/2007 DS 35/2021 PERUVIAN STANDARD
POLICIES AND ACCOUNTABILITY TO SUPPORT SECURITY 8.1 Secure Management Policy  

8.2 Tailings governance framework   
8.3 Incentives and/or evaluations of positions of responsibility with a focus on safety and integrity 

8.4 Designate responsible executives who report directly to the CEO of the mining company   

17
8.5 Appoint a responsible engineer  P 
8.6 Identify staff competencies  P 
8.7 Designate an Independent Tailings Review Commission (CIRR) or senior independent technical
reviewer   
REGISTRY ENGINEER 9.1 Engineering contracting companies specializing in the design and
construction of tailings facilities   
9.2 Empower the Registry Engineer (IDR), of authority, functions and responsibilities.   
9.3 Implement an engineering quality management program   
9.4 The decision on the selection of the IDR will rest with the executive responsible for the deposit 

9.5 Detailed plan for the transfer of information in case of change of IDR change.  P 
RISK AND QUALITY MANAGEMENT 10.1 Risk assessments with a suitable multidisciplinary
team at least every three years. P  
10.2 Regular reviews of the tailings management system (SGR) and the components of the general
environmental and social management system (ESMS)   
10.3 Internal audits of implementation procedures, guidelines and corporate governance
requirements   
10.4 Annual review by the IDR annually or more frequently, if necessary  P 
10.5 Dam Safety Review (RSP) at least every five years (“very high” or “extreme” consequence
ratings) and at least every ten years for all other tailings facilities. P  P
10.6 Ongoing Independent Senior Review by CIRR for tailings facilities with “very high” or
“extreme” consequence ratings.  P 
10.7 Periodic review of estimated costs for planned closure and post closure   
ORGANIZATIONAL CULTURE, LEARNING, COMMUNICATION AND EARLY PROBLEM
RECOGNITION 11.1 Train staff involved   
11.2 Establish mechanisms that incorporate the knowledge acquired by workers   
11.3 Establish effective data and knowledge sharing mechanisms   
11.4 Identify and apply lessons learned internal and external accidents   
11.5 Strengthen practices for identifying problems opportunities for improvements   
MANAGE EMPLOYEE AND CONTRACTOR CONCERNS 12.1 Implement formal processes to
address possible violations of permits and/or regulations   
12.2 Protection of whistleblowers.  
 Completely meets the requirement
P Partially meets the requirement
 Does not meet requirement

In the case of requirement 10.5, the Occupational Health and Safety Regulations in Mining (D.S.
024-2016-EM), exactly in its Article 400°, stipulates that every two years the mining titleholder will

18
submit, to the competent authority, a stability study of the tailings deposits, prepared by a
company specialized in the matter, and that guarantees operations in a safe manner.
What can be seen from the analysis of the previous table is that Peruvian legislation does not have
management and governance guidelines on issues of management of mining tailings deposits.

4.3.1. Chilean regulations

4.3.1.1. Policies and accountability to support safety
DS248
DS 248 does not incorporate any of the requirements indicated in the GS in relation to the
declaration of policies and rendering of accounts to support the security of deposits in terms of
their management and governance.

DS35
DS35 does not expressly require a policy regarding the safe management of tailings deposits. The
DR governance model is only required to be integrated with the Company's other systems, policies,
practices and processes. However, the presentation and periodic updating of a Tailings Deposit
Management System is required, in which the formulation of a Governance Model is specified. It
should be noted that DS35 does not require a specific structure of the governance model, however,
it does invite the use of governance models proposed in the instructions published by the State,
national or international regulations or standards.
On the other hand, DS35 does not indicate the need to generate incentives or performance
evaluations for positions of responsibility focused on the security and integrity of deposits, nor
does it identify the competencies of the personnel who perform critical functions in DR. It only
requires the formal presentation of a summary of standardized professional experience of
professionals from the Company and companies and/or engineers in charge of developing tailings
deposit projects. Not so in the case of the Engineer of Record (IDR) for which a specific experience
proportional to the categorization of the DR is required. Notwithstanding the foregoing, the Decree
does require the identification of companies and/or engineers in charge of developing tailings
deposit projects, however, unlike the GS, it does not explicitly define their responsibilities or the
communication structure within the the company. The legal responsibilities with respect to DRs fall
expressly on the Company.
Finally, the Decree defines, in line with what is stated in the GS, the figure of an "Independent
Reviewer" as a Professional who reviews the different aspects involved in a DR and with a
frequency according to the category of the deposit and during all phases of its life cycle. From the
definition of “Independent Review Report”, it can be interpreted that this figure can also be
executed by a panel of external reviewers.

4.3.1.2. record engineer

DS248
DS 248 does not consider the figure of a Tailings Deposit Records Engineer or any similar figure.

19
DS35
Although the DS35, like the GS, requires the figure of an Engineer of Record (IDR), it is not
specified that this service must be provided by an engineering company as such, as indicated by the
GS. It is possible to interpret that DS35, unlike the GS, focuses on the figure of the registration
engineer in his condition of natural personnel with vast experience in the subject. This is not the
case with the GS, which, although it requires an individualized professional to assume this position,
focuses more on the collective experience of the company that provides the service. In any case, in
both cases the figure of the IDR is established, endowing it with equivalent powers. Unlike the GS,
the DS35 does not require the Company to empower the IDR of its responsibilities in writing
(documentary), however, as long as the IDR is identified when representing or operating a project,
and given the specifications already indicated in the body of the regulations, the responsibilities of
the IDR, strictly speaking, are already defined according to the Law.
On the other hand, the DS35 requires the presentation, and periodic updating, of a Construction
Management Plan (PGC), in which the execution of quality assurance and control activities must be
carried out and recorded in all stages of construction. construction, as well as an Updated
Construction Report (ICA) of each construction milestone reached, where the construction quality
assurance and control measures must be supported, both documents reviewed and registered by
the IDR.
On another topic, although DS35 does not specify that the decision to elect the IDR rests with the
“responsible executive” of the DR, if the responsibility of the Company is established, and therefore
of its legal representative, to confirm that the IDR has the experience, level of specialty and time
required to perform said function.
Lastly, the DS35 does not establish the requirement to develop an information exchange plan in the
event of an IDR change, as the GS specifies. However, if the need is indicated for all the information
related to the work, including the approved version of the Project, the PGC and the Updated
Construction Reports generated during the previous construction stages, they must be available at
the work and duly supported. in digital format for consultation by the Authority so that, in any
case, the information will be backed up and will be easily accessible as required. However, a correct
transfer of experience and specific knowledge acquired or developed by the outgoing IDR to the
incoming IDR is not guaranteed.

4.3.1.3. Risk and Quality Management

DS248
DS 248 requires a risk assessment in the design phase in relation to the physical stability of
deposits, it does not consider other aspects required in the GS, such as the need for a
multidisciplinary team and an update every 3 years. In the same way, Supreme Decree 248 does not
require a dam safety review that considers an evaluation of credible failure modes, however, it does
require, in the design phase, an analysis of slope stability, for which certain criteria must be
assumed. failure modes, which can be assessed periodically, as required by the GS.
On the other hand, DS 248 as such does not establish specifications on closure plans, however, it
refers to Law 20,551, which regulates the closure of mining operations and facilities. This Law
requires the formulation of closure plans considering the associated costs and the obligation of an
audit every 5 years where the implementation of the updates of said plans is verified.

20
DS35
In DS35, the risk assessment is incorporated into the studies of the Tailings Deposit Breakage Study,
which is required to be updated at least every 3 years in classification 1 deposits (Consequence
Level "Very High" or other levels of awareness depending on the volume and height of the deposit),
Likewise, it requires and specifies the minimum contents of the tailings management system, as
well as the need for its periodic updating in each of its components. However, the DS35 does not
refer to any environmental and social management system since, as sector regulations, they do not
fall within its powers. It should also be noted that the DS35 does not establish the need for internal
audits, nor does it establish a specific frequency for the presentation of reviews by the IDR,
however, it does require that it review and sign each of the Updated Construction Reports (ICA ),
according to event, and each of the Updated Operation Reports (IOA), which are updated every 1
year.
On the other hand, the DS35 requires a periodic update of the Management System Plans and
Programs, considering the Management Model and technical and operational components, with a
minimum periodicity of 3 to 4 years depending on the work qualification. However, it is not
specified that this update (and respective review) must be carried out by an independent entity, as
the GS specifies.
The latter differs from the requirement of an independent expert review of the Tailings Deposit
with a frequency according to the category of the deposit and during all phases of the life cycle of
the Deposit. Based on the spirit of the document, it can be interpreted that for facilities rated “very
high” or “extreme” by consequence, ongoing independent review would be required. However, he
is not entirely explicit on this issue.
Finally, like DS248, DS35 refers to Law 20,551, which regulates the closure of mining sites and
facilities, which requires the formulation of closure plans considering the associated costs and the
obligation of an audit every 5 years where the implementation of the updates of said plans is
verified.

4.3.1.4. Organizational culture, learning, communication and early problems

DS248
Supreme Decree 248 requires the implementation of personnel training programs for the safe
operation of the warehouse and related works, as required by the GS. In relation to the rest of the
requirements, the DS248 does not make reference.

DS35
The DS35 requires that each Updated Construction Report (ICA) include a training manual, which
must indicate the instruction of the operators and attach the background of the person in charge of
the operation, in order to verify that he is competent to perform the required tasks. On the other
hand, training of personnel in the application of the Emergency Response Manual (MRE) is also
required. )
On the other hand, DS35 does not make explicit reference to other requirements in relation to
organizational culture, consolidation of learning and early communication of problems. However,
article 21 requires the User (Owner or Company) to demonstrate that the best practices available at
a national and international level will be implemented and that they ensure the risk management of

21
the facilities. This leaves to the interpretation of the Authority the evaluation regarding the
application of management standards, particularly in the field of organizational and
communication culture.

4.3.1.5. Manage Employee And Contractor Concerns

DS248
DS 248 does not incorporate any of the requirements indicated in the GS in relation to the
management of concerns of employees and contractors involved in the design, construction and
operation of the tailings deposit.

DS35
DS35 does not make explicit reference to other requirements in relation to the management of
concerns or findings by employees or contractors. However, article 21 requires the User (Owner or
Company) to demonstrate that the best practices available at a national and international level will
be implemented and that they ensure the risk management of the facilities. This leaves to the
interpretation of the Authority the evaluation regarding the application of management standards,
particularly in this matter.

4.3.2. Peruvian regulations

4.3.2.1. Policies and accountability to support safety
The guide does not incorporate any of the requirements indicated in the Global Standard in relation
to declaration of policies and rendering of accounts to support the security of deposits in terms of
their management and governance. What the norm establishes is that a report on the status of the
evaluation of the physical stability of tailings deposits in operation must be submitted every 2
years, regardless of the classification of risk of collapse of the deposit.
What the Guide mentions is that there will be no complete introduction to the topic of tailings
management in Peru if it is not indicated that the difficulty in achieving the objectives for tailings
management requires a coordinated effort between mine management and mine personnel.
operations.
It is essential that all phases of tailings management are conducted under the direct supervision of
specialists who are not only well trained and competent in these fields, but also have practical
experience with tailings.
4.3.2.2. record engineer
The guide does not include the term Engineer of record, but mentions in the area of Construction
Monitoring, Inspection and Supervision that design and construction are processes that usually
take place as the dam rises during the life of the mine. Inspection reports that document the
configuration of the dam as it is erected are a necessary part of the construction operation.

4.3.2.3. Risk and Quality Management

The Guide does not mention what corresponds to risk management, it only gives recommendations
on some types of risks, with regard to quality it mentions that during Construction Monitoring,

22
Inspection and Supervision that the design and construction must be carried out by an engineer
geotechnician who has specialized experience in tailings dams.
The guidance does not identify relevant competency and experience requirements for all personnel
performing critical safety functions in the operation of a tailings facility, including, but not limited
to, the IRIR, IDR, and accountable executive.
The guidance does not indicate the designation of an Independent Tailings Review Commission
(IRRC) for tailings facilities with a “very high” or “extreme” consequence classification. Nor does it
mention that, for all other installations, the operator may appoint a senior independent technical
reviewer.
The guide as such does not establish specifications on closure plans, however, the Guide for the
preparation of mine closure plans requires the formulation of closure plans considering the
associated costs and the obligation to update them every 5 years. where the implementation of the
updates of said plan is verified.
4.3.2.4. Organizational culture, learning, communication and early problems
The guide says nothing about developing an organizational culture that promotes learning,
communication and early recognition of problems in tailings facility management.
The Guide mentions that achieving tailings management objectives requires a coordinated effort
between mine management and operations personnel. The fundamental message that this Guide
can give is that tailings management should be considered as important as metal recovery. It also
indicates that it is not possible to manage the relationships properly. without the contribution of
specialist technicians in the fields of mineral processing, water treatment, geochemistry, civil
construction, seismology, hydrology, agronomy, and biology, as well as engineers in geotechnics,
hydraulics, and mining engineering. It is essential that all phases of tailings management are
conducted under the direct supervision of specialists who are not only well trained and competent
in these fields, but also have practical experience with tailings.

4.3.2.5. Manage Employee And Contractor Concerns

According to the guide, there is no established process to report and address concerns and
implement protections for whistleblowers. There is a service that OEFA offers to citizens, it is the
opportunity to make complaints, in case there is knowledge of a company that is not complying
with the regulations issued by the institution, or that is carrying out an economic activity that
causes considerable damage to the environment. These complaints are made online and must
provide a description of the facts, date and place, evidence that allows the verification of the
complaint, and if possible, information that allows the identification of the alleged perpetrators and
possible affected parties. They can be anonymous, with data reservation, without data reservation
In general, in order to establish standards and regulations that cover all aspects of the
Comprehensive Management of mining tailings deposits, it is recommended to consider the
following documents, see figure 3:
1. Tailings Governance Framework.
2. Global Tailings Management Standard for the mining industry.
3. Guide to Good Practices for Tailings Management.
4. Guide for compliance with Tailings Management protocols.

23
These regulations must be applied within the legal framework of the country where it is planned to
be established and must cover the entire life cycle of tailings deposits, including closure, post-
closure and abandonment.

Figure 3 Base documents to be able to elaborate standards and regulations for the Management of
Mining Tailings Deposits

5. CONCLUSIONS
● In relation to the physical stability in the Chilean regulations, after reviewing the old DS248 in
comparison to the Global Standard, we see that the DS248 has lagged behind the new international
standards. On the other hand, the new regulation represented in the DS35, in general, is consistent
with the guidelines of the Global Standard. As main advances in terms of Physical stability in the
new DS35 with respect to its predecessor, the DS248, we can highlight the explicit request to
incorporate breakage analysis studies, the classification of deposits by category according to their
size and consequences, new requirements for information and studies based on the categorization,
and the incorporation of well-defined minimum acceptability criteria for the evaluation of stability
that depend on the category of the deposit. In addition, the DS35 establishes that a construction,
operation and monitoring management system must be carried out that allows traceability to the
management of tailings and the risk of the deposits, this through different well-defined
management plans in its text. . In terms of monitoring, the DS35 considers a Comprehensive
monitoring plan where controls must be defined and updated reports with the results must be
made, verifying the tolerable thresholds. Within the requirements or guidelines of the Global
standard not considered or not mentioned at least explicitly within the text of DS35, we have
adaptive management to climate change, and the concept of ALARP whose purpose is to minimize
risk to the lowest level. reasonably feasible.
● In relation to physical stability in Peruvian regulations, Peru has minimum legislation to
guarantee minimum compliance with design criteria, such as safety factors for slope stability,
facility management and monitoring of geotechnical instrumentation during throughout the life
cycle of the tank, considering the estimated operating properties for the materials and the expected
performance of the design elements. As part of the requirements or guidelines of the Global
standard not considered or not mentioned at least explicitly in the Guide, are the adaptive
management to climate change, the classification by consequence of the tailings deposits, the
ALARP concept, the systems risk management.
● In relation to the Management and Governance of the Tailings Deposit in the Chilean regulations,
it is worth mentioning that the new DS35/2021 constitutes an important advance in this matter
compared to the old DS248/2006 in which the subject is practically not addressed. The new
DS35/2021 highlights the incorporation of the requirement to develop a Tailings Deposit
Management System, expressly considering the formulation of a modelgovernance and updating of
the different plans contained in it. On the other hand, it also highlights the inclusion of the figure of
a Registration Engineer who must have demonstrable experience in tailings deposit engineering,
and is in charge of verifying that the deposit is designed, built and operated in accordance with the
engineering project. of each deposit. Based on these two main additions, Chilean regulations
significantly improve their standards in relation to accountability and information management,

24
quality and security. However, in relation to the issues of promoting an organizational culture,
management of concerns, communication and learning, the new DS35 has not included them,
unlike what is established in the ICMM Global standard.
● In relation to the Management and Governance of the Tailings Deposit in the Peruvian
regulations. It can be affirmed that Peruvian legislation does not have management and governance
guidelines on management of mining tailings deposits. The Guide mentions general
recommendations to achieve the objectives for tailings management, indicating that a coordinated
effort is required between mine management and operations personnel, and the participation of
qualified and experienced professionals throughout the life cycle of the mine. Deposit. However,
these guidelines are not enough to establish a Management and Governance framework as
established by the Global Standard.
● With respect to the Peruvian regulations related to the Management of Tailings Deposits, it can be
concluded that its regulations are discontinued and dispersed, have a date of more than 26 years,
do not have a single ordered text but several regulations and guides, it does not include key issues
such as Governance, Risk Management, Registration Engineer, Independent Review Committees,
Responsible for the Tailings Deposit, among others.
● In Peru there is no government policy for the Treatment and Management of mining waste, even
though it is the second largest copper producer in the world and the mining sector is responsible
for 10% of GDP, 60% of exports, 16 % of private investment and 19% of taxes paid by companies,
according to the National Mining Society (SNMPE). Therefore, it is urgent to establish a Mining
Tailings Deposit Management policy that allows reaching the final objective of zero harm to people
and the environment, and zero tolerance for human fatalities, in accordance with the provisions of
the Global standard.
● Another important aspect of this research is that due to the lack of standards and regulations in
Peru regarding the management of tailings deposits, the transnational companies that execute and
operate projects in Peru have taken the application of international standards such as CDA as
convenient. , ICOLD, ANCOLD and recently IGSTM from ICMM. This is required by international
financial organizations such as the IDB or the World Bank or to meet sustainability requirements of
stock exchanges where companies are listed.
● An idea that emerged from this research was to be able to create a registry of mining contractor
companies, specialists in Tailings Deposit Operations, which can provide services similar to
clearing, advancement or deepening of mines. In many countries such as Canada and Australia
there are contractors that process ore and charge per ton processed, in this case they would charge
per ton of tailings disposed of.
● A special and unique administrative procedure must be established, which includes among its
provisions the instances of citizen participation. In addition, you must consider the deadlines that
the authority has to resolve the conditions that must be met to obtain the permit and the claim
mechanisms.

6. REFERENCES
● DS 248/2006 (Chile), regulations for the approval of design projects, construction, operation and
closure of tailings deposits 2006.

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● DS 35/2021 (Chile), regulation for the approval of design, construction, operation and closure
projects of tailings deposits, Enacted, pending the knowledge of the Comptroller General of the
Republic and publication in the Diario Official.
● ICMM, UNEP, PRI 2020 Global Industry Standard on Tailings Management, 2020.
● RD N 035-95-EM/DGAA (Peru) Environmental Guide for the Management of Mining Tailings,
1995.
● RD N 019-97-EM/DGAA (Peru) Environmental guide for the stability of slopes of solid mine
waste deposits, Ministry of Energy and Mines General Directorate of Environmental Affairs Lima
41, Peru, 1997.
● DS 024/2016 (Peru) Occupational Health and Safety Regulations in Mining, 2016.
● LAW No. 28611 (Peru) - General Environmental Law that regulates the environmental liabilities
of mining activity, 2015.
● DS N°016/1993/EM, “Regulation for environmental protection in mining-metallurgical activity”,
1993.
● DS N°014/92/EM, Approves the Single Ordered Text of theGeneral Mining Law, 1992.
● DS N°010-2010-MINAM of the General Directorate of Environmental Affairs of the Ministry of
Energy and Mines of Peru, "Maximum Permissible Limits for the discharge of liquid effluents from
Mining - Metallurgical Activities", 2010.
● DS No. 40 of 2014 of the General Directorate of Environmental Affairs of the Ministry of Energy
and Mines of Peru, "Regulations for environmental protection and management for mining
exploitation, benefit, general work, transport and storage activities", 2014.
● Law No. 28,090 of 2003, “Law that regulates the closure of mines”, 2003.
● DS N°33-2005-EM of 2005, "Regulations for the closure of mines", 2005.
● Law No. 28,271 of 2004. “Law that regulates the environmental liabilities of mining activity”,
2004.
● Supreme Decree No. 078-2009-EM. Implements environmental remediation measures by the
mining owner who has carried out activities and/or executed projects related to mining activities
provided for in the General Mining Law, 2009.

e, as well as an analysis of its causes and consequences. Maps of detected irregularities should be
produced for future reference and comparison. If any recovery action is considered necessary, it
should be proposed through clear recommendations. This report should be prepared immediately
after completion of the inspection and issued without delay. The inspection of the construction of
the starting dam, including the installation and reading of all the instrumentation required to
control the performance, should be carried out by the engineering company responsible for the
design of the starting dam. Normally the mine operator carries out the continuous progressive
operations of the main tailings dam after establishing the construction plan. During the first few
years of operations, the mine operator should retain the designer to inspect the construction of the
tailings dam to ensure construction is proceeding according to design intent. If actual operating
conditions are found to differ from those assumed in the original design, the designer should make
appropriate modifications to the design, in consultation with the mine operator, to ensure that the
tailings dam is constructed in a safe manner. and acceptable.

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On an annual basis, ongoing tailings dam operations should be thoroughly inspected and reviewed
by the original designer or a competent engineer experienced in tailings dam construction. The
mine operator should bear the cost of such inspections. Alternatively, a full report should be
submitted to the mine operator along with copies to the regulatory agency presenting the results of
the inspection and review and any recommended changes in operations/construction procedures
deemed necessary to ensure safety. of tailings dams. Appropriate measures and procedures should
be established to exempt persons involved in the inspection from any conflict of interest or personal
liability that may arise from such participation. A monitoring program should be initiated at the
start of tailings dam operations and readings taken at appropriate intervals throughout the
operational process. Appropriate instrumentation should also be installed at the end of the tailings
deposition within the pond to monitor the performance of the tailings dam during the rehabilitation
and long-term phases.
The Occupational Health and Safety Regulations in Mining (D.S. 024-2016-EM), exactly in its Article
400°, stipulates that The waste generated and/or produced in the mining unit such as gangue,
waste, tailings, leachate, acid water, slag, among others, will be, as the case may be, stored,
encapsulated or disposed of in places designed for this purpose until its final disposal, ensuring the
physical and chemical stability of said places, in order to guarantee the occupational safety and
health of the workers. The mining activity holder shall submit to the competent authority, every
two (2) years, a physical stability study of the tailings deposits, waste dumps, leach pads and
operating slag deposits, carried out by a company specialized in the matter. , which guarantees the
safe operations of said components.
4.3. MANAGEMENT AND GOVERNANCE
One of the reasons why governance in Chilean and Peruvian regulations is going to be evaluated in
this study is because, in different international studies, it has been concluded that the main causes
of recent catastrophic failures of tailings deposits are based on organizational shortcomings and
with relevance in the analysis of risk and governance. When these events were analyzed, it was
determined that in some companies, it was possible to find dilution and practical confusion of
responsibilities (lack of ownership), non-standardized and varied organizations, inadequate
capacity (skills, experience, resources and empowerment), oriented to minimum compliance (tick
the boxes), it cannot be evidenced that the communities and authorities are involved and informed
about the situation and conditions of the tailings deposits, in addition to this the mining industry
moves towards the Tailings Governance Framework (ICMM). Another important aspect that was
found is that the deficiency does not lie in the state of knowledge, but in the effectiveness with
which that knowledge is applied. Therefore, future efforts should focus on better implementation
and verification of controls, rather than re-establishing them, and this evaluation is intended to
contribute to this purpose, from the point of view of academia.
The purpose of the Tailings Governance Framework is to enable a greater focus on

RESULTS AND CONCLUSIONS

● After reviewing the old DS248 compared to the Global Standard, we see that the DS248 has fallen
one step behind the new international standards.
● Peru has minimum legislation to be able to guarantee minimum compliance with design criteria,
such as safety factors for slope stability, management of facilities and monitoring of geotechnical

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instrumentation throughout the life cycle of the deposit, which consider the Estimated operating
properties for materials and expected performance of design elements. As part of the requirements
or guidelines of the Global standard not considered or not mentioned at least explicitly in the
Guide, are the adaptive management to climate change, the classification by consequence of the
tailings deposits, the ALARP concept, the systems risk management.
● It is worth mentioning that the new DS35/2021 constitutes an important advance in this matter
compared to the old DS248/2006 in which the subject is practically not addressed. The new
DS35/2021 highlights the incorporation of the requirement to develop a Tailings Deposit
Management System, expressly considering the formulation of a governance model and updating
the different plans contained therein.
● It can be affirmed that the Peruvian legislation does not have management and governance
guidelines in matters of management of mining tailings deposits. The Guide mentions general
recommendations to achieve the objectives for tailings management, indicating that a coordinated
effort is required between mine management and operations personnel, and the participation of
qualified and experienced professionals throughout the life cycle of the mine. Deposit
● With respect to the Peruvian regulations related to the Management of Tailings Deposits, it can be
concluded that its regulations are discontinued and dispersed, have a date of more than 26 years,
do not have a single ordered text but several regulations and guides, it does not include key issues
such as Governance, Risk Management, Registration Engineer, Independent Review Committees,
Responsible for the Tailings Deposit, among others.
● In Peru there is no government policy for the Treatment and Management of mining waste, even
though it is the second largest copper producer in the world and the mining sector is responsible
for 10% of GDP, 60% of exports, 16 % of private investment and 19% of taxes paid by companies,
according to the National Mining Society (SNMPE).
● It is shown that because of the lack of standards and regulations in Peru regarding the
management of tailings deposits, the transnational companies that execute and operate projects in
Peru, have taken for convenience the application of international standards such as CDA, ICOLD,
ANCOLD and recently ICMM's IGSTM. This is required by international financial organizations
such as the IDB or the World Bank or to meet sustainability requirements of stock exchanges where
companies are listed.
● An idea that emerged from this research was to be able to create a registry of mining contractor
companies, specialists in Tailings Deposit Operations, which can provide services like clearing,
advancement or deepening of mines. In many countries such as Canada and Australia there are
contractors that process ore and charge per ton processed, in this case they would charge per ton of
tailings disposed of.
● A special and unique administrative procedure must be established, which includes among its
provisions the instances of citizen participation. In addition, you must consider the deadlines that
the authority must resolve the conditions that must be met to obtain the permit and the claim
mechanisms.

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