TECHNICAL BULLETIN:

Application of Dam Safety

Guidelines to Mining Dams

2014

Canadian Dam Association

Association Canadienne des Barrages
www.cda.ca
 This document has been provided for Chrystian Alexander Caceres
Dominguez, Sr. of GEOHIDRAC SAC. Proper interpretation of the content
is available from the Canadian Dam Association. No part of this publication
may be reproduced, copied, distributed or transmitted in any form or by any
means without prior written permission from CDA. Because revisions and
commentary on this publication may be issued at any time, CDA does not
warrant that this edition is the most current. Revisions and commentary are
made available to CDA members at www.cda.ca.

Library and Archives Canada Cataloguing in Publication Data

Main entry under title: Application of Dam Safety Guidelines to Mining Dams
Issued also in French under title: Application des Recommandations de sécurité des
barrages aux barrages miniers.

ISBN 978-0-9936319-2-4

1. Dam safety - Canada.

2. Dams - Canada - Management.
I. Canadian Dam Association.
TECHNICAL BULLETIN
Application of CDA Dam Safety Guidelines to Mining Dams

II. Title: Application of Dam Safety Guidelines to Mining Dams.

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TABLE OF CONTENTS

Preface iii
1.0 Introduction .............................................................................................................1
2.0 Mining Dams – Description and Phases............................................................3
2.1 Definition and Functions of Mining Dams......................................................................... 3
2.2 Phases in the Life of a Mining Dam .................................................................................... 5
2.2.1 Definitions ................................................................................................................ 5
2.2.2 Site Selection and Design ....................................................................................... 6
2.2.3 Construction ............................................................................................................. 7
2.2.4 Operation .................................................................................................................. 7
2.2.5 Closure ...................................................................................................................... 7
2.2.6 Transition.................................................................................................................. 9
2.2.7 Closure – Active Care ........................................................................................... 11
2.2.8 Closure - Passive Care .......................................................................................... 12
2.3 Possible Resumption of Operations .................................................................................. 13
2.4 Landforms............................................................................................................................. 13
2.5 Environmental Considerations .......................................................................................... 14
3.0 Construction, Operation and Transition Phases ............................................15
3.1 Dam Safety Management ................................................................................................... 15
3.1.1 General .................................................................................................................... 15
3.1.2 Engineer of Record ................................................................................................ 16
3.1.3 Consequences of Failure ....................................................................................... 17
3.2 Operations, Maintenance, and Surveillance .................................................................... 20
3.3 Emergency Preparedness and Response .......................................................................... 20
3.4 Dam Safety Reviews ............................................................................................................ 21
3.5 Analysis and Assessment ................................................................................................... 22
3.5.1 Risk-Informed and Traditional Standards-Based Approaches ....................... 22
3.5.2 Hydrotechnical ...................................................................................................... 23
3.5.3 Seismic Criteria ...................................................................................................... 26
3.5.4 Geotechnical ........................................................................................................... 27
4.0 Active and Passive Care Phases .........................................................................31
4.1 Dam Safety Management ................................................................................................... 31
4.2 Operations, Maintenance, and Surveillance .................................................................... 32
4.3 Emergency Preparedness and Response .......................................................................... 32
4.4 Dam Safety Reviews ............................................................................................................ 33
4.5 Analysis and Assessment ................................................................................................... 33
5.0 Considerations for Covers ..................................................................................37
6.0 Future Ownership, Liability and Custodial Transfer ...................................38
7.0 References ..............................................................................................................40

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LIST OF FIGURES
Figure 2-1. Phases in the Life of a Mining Dam ....................................................................................... 6
Figure 3-1. Typical Appurtenances Required for EDF Storage and IDF Conveyance ..................... 23

LIST OF TABLES

Table 3-1. Dam Classification .................................................................................................................... 19

Table 3-2. Target Levels for Flood Hazards, Standards-Based Assessments, for Construction,
Operation, and Transition Phases .......................................................................................... 25
Table 3-3. Target Levels for Earthquake Hazards, Standards-Based Assessments, for
Construction, Operation, and Transition Phases ................................................................. 27
Table 3-4. Target Factors of Safety for Slope Stability in Construction, Operation, and Transition
Phases - Static Assessment ...................................................................................................... 29
Table 3-5. Target Factors of Safety for Slope Stability in Construction, Operation, and Transition
Phases - Seismic Assessment .................................................................................................. 29
Table 4-1. Target Levels for Flood Hazards, Standards-Based Assessments, Closure – Passive
Care Phase ................................................................................................................................. 34
Table 4-2. Target Levels for Earthquake Hazards, Standards-Based Assessments for Closure –
Passive Care Phase ................................................................................................................... 35

APPENDIX
Appendix A. Comparison to MAC and ICOLD Guidelines

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Preface
The Canadian Dam Association publication Dam Safety Guidelines (CDA, 2013) outlines principles
that are applicable to dams of all types. These include “mining dams” which are retaining
structures at mine sites or metallurgical plant sites that retain solids or liquids that may or may
not be contaminated.

This Bulletin was prepared by the CDA Mining Dams Committee, which has members
representing a broad range of the mining community in Canada. The focus has been on the
Canadian context, but the principles are generally applicable to dams in any jurisdiction.
Regulatory requirements vary considerably and must be met in all cases. Other expectations and
requirements may also apply, including corporate policies and guidelines, industry standards,
and legislation at provincial and federal levels.

This Bulletin is not intended to duplicate or replace the extensive guidance that has been
prepared by other organizations. For example:

• The Mining Association of Canada (MAC) has published a number of guides for the
mining industry, particularly in relation to management of mining facilities.

• The International Commission on Large Dams (ICOLD) has issued guidance on overall
tailings systems, sustainable design and closure principles, and long term monitoring.

In making dam safety assessments and decisions, the responsible engineer or decision-maker
must assess and interpret guidance and information from all available sources and determine the
appropriate requirements for a specific situation.

While every reasonable effort has been made to ensure the validity and accuracy of the
information in this Bulletin, the Canadian Dam Association and its membership disclaim any
legal responsibility for use of Dam Safety Guidelines and this Technical Bulletin.

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1.0 Introduction
This Technical Bulletin (“Bulletin”) is intended to complement the Dam Safety Guidelines published
by the Canadian Dam Association (CDA, 2013) by providing additional explanation of how the
concepts described in the Dam Safety Guidelines (CDA, 2013) apply to mining dams. The Bulletin
identifies some specific issues that should be considered during the design and safety evaluation
of mining dams.

Regulation of dam safety in Canada is primarily a provincial or territorial responsibility. This

Bulletin has been prepared in the context of the Canadian regulatory framework where the
regulator is involved at key milestones in the development of mining dams and the closure of
these dams. It is recognized that elements of this Bulletin may be relevant in other jurisdictions
when applied in conjunction with the local dam safety guidelines and regulators.

A number of documents provide guidance on the design of mining dams (in particular tailings
dams) and the reader is referred to the list of References included in this Bulletin for information.
A key reference document is the ICOLD Bulletin 139, “Improving Tailings Dam Safety: Critical
Aspects of Management, Design, Operation, and Closure,” issued in 2011. ICOLD Bulletin 139
provides information on the overall tailings system, including tailings deposition, design, water
management, environmental management, operation, closure, risk management, emergency
preparedness, and the role of the regulators. In 2013, ICOLD issued Bulletin 153, “Sustainable
Design and Post Closure Performance of Tailings Dams,” which builds on the previous bulletin
with a focus on sustainable design and closure principles and long term monitoring.

This Bulletin is intended for a technical audience familiar with mining operations and issues
related to managing mine waste, including: contact water, process water, leach solutions,
treatment solids, tailings, acid rock drainage/metal leaching (ARD/ML), leachates, etc. The focus
is on the dam safety aspects for dams typically associated with mining of metals (e.g. nickel, iron,
copper, lead, zinc, gold), non-metals (e.g. phosphate, potash, gypsum), structural materials
(aggregate and limestone) and fuels (uranium, coal, oil sands).

This Bulletin is organized as follows:

• Section 2 describes mining dams in general and the associated objectives of mining dams.
It focuses on earth embankment dams and does not address concrete dams explicitly, but
many of the concepts can be applied to concrete dams as well. Section 2 also describes the
life phases of mining dams, an important concept used throughout this Bulletin.
• Section 3 describes how the Dam Safety Guidelines (CDA, 2013) can be applied to mining
dams during operation and preparation for closure.
• Section 4 addresses closure, which is a significant issue for mining dams. It addresses
criteria and minimum practices for dam safety during closure.
• Section 5 provides guidance on items that should be considered when designing for wet
covers.
• Section 6 presents long term issues such as ownership, liability, and custodial transfer of
mining dams back to the Crown.

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TECHNICAL BULLETIN
Application of CDA Dam Safety Guidelines to Mining Dams

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Application of CDA Dam Safety Guidelines to Mining Dams

2.0 Mining Dams – Description and Phases

2.1 Definition and Functions of Mining Dams

In this Bulletin, the term “mining dams” refers to retaining structures that exist at mine sites or
metallurgical plant sites that are designed to retain solids (that may or may not be contaminated 1)
and/or contaminated liquids. Examples of mining dams include:

• Tailings dams (including perimeter dams for thickened tailings disposal)

• Contaminated runoff collection and diversion dams
• Dams that contain reservoirs as part of a collection and treatment system
• Polishing pond dams
• Seepage collection dams
• Sludge storage dams

Mining dams are built during the development and operation of mines. Many mining dams can
remain as part of the landscape, becoming permanent features that have to perform as designed
for many years after closure of the mine.

Tailings dams are the most significant type of mining dams as they usually contain large
quantities of fluids and solids that are generated from the processing of ore. These fluids and
solids can cause environmental damage if released and, in the majority of cases, this applies for
hundreds of years after the cessation of operations, and possibly in perpetuity.

Tailings dams are usually earthen dams that are constructed of:

• Naturally occurring materials including blasted or crushed rockfill, and/or borrow fill
material
• Tailings either without additional processing or after cycloning
• Geosynthetic materials

A tailings dam may or may not have a water pond impounded directly against the dam.

In some cases, the tailings contained by a mining dam are not contaminated and do not present a
risk to the environment in terms of surface and groundwater chemistry, but the solids must be
contained.

In this Bulletin, the terms “pond” and “impoundment” are used interchangeably, referring to the
ponded water or deposited tailings upstream of the dam (or upstream of the structural portion of
an upstream constructed tailings dam).

1“Contaminated” means that the solids or fluids have concentrations of chemicals of concern that
have the potential to adversely affect the environment or human health.

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Application of CDA Dam Safety Guidelines to Mining Dams

In the Dam Safety Guidelines (CDA, 2013), a dam is defined as a barrier constructed for the
retention of water, water containing any other substance, fluid waste, or tailings. Although there
is guidance provided with respect to the minimum size of a structure that could be considered a dam
(minimum of 2.5 m in height), the definition of a dam includes dams less than 2.5 m high if the
consequence of failure is likely to be unacceptable to the public, such as dams retaining
contaminated substances. Hence, in the context of mining dams, there is no minimum size if they
contain contaminated substances (fluids and/or solids) where the consequences of failure could
be unacceptable to the public.

Mining dams are designed, constructed, and operated to meet a number of objectives of their
owners that include:

• Ensuring safe storage of tailings or other mine wastes that are produced during operation
and closure, both fluids and solids, in many cases for the long term.
• Protecting the environment from degradation due to the release of water from the
containment ponds during their operation and after closure.
• Supporting the water management requirements of the site including recycle water,
diversion of fresh water, and managing mine effluent to meet discharge requirements.

Many mining dams are built in stages over the life of the mine, rather than built in a single stage
prior to commissioning.

In some cases, a mine site may not have a concentrator 2 that produces tailings but still generates
contaminated water that requires containment and management on site.

In some cases, the term “dam” has been used by mine operators to refer to an entire tailings
storage facility. For the purpose of this Bulletin, the dam is considered to be the perimeter
containment structure(s) around the tailings facility. Within a tailings facility, there can also be
internal structures that should be treated as dams if they provide containment of solids and/or
fluids. The terms “dyke” or “dike” are used by some mining operators. In this Bulletin, these are
all treated as dams.

Mining dams can be located within mined out pits to isolate a portion of the pit for the storage of
the contaminated water and solids. In this instance, a failure of the in-pit dam may not have
significant environmental consequences, but there could be substantial operational issues and
threats to life (mine operators). In some cases, such as when depositing tailings in an open pit, the
natural ground areas (overburden and bedrock) on the sides of the pit are used for containment.
Or, when an open pit is excavated, a separating natural berm can be left in place to isolate the pit
from a nearby lake or pond. These cases need to be assessed to determine if the structure should
be treated as a dam and if so, then the guidance provided in this Bulletin and the Dam Safety
Guidelines would apply.

2In this Bulletin, the term “concentrator” is used to represent the facility that produces the
tailings but could also be referred to as a processing facility, mill, or upgrader.

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In many cases after mine operations cease, there is no pond or there is limited pond on the
surface of the facility such that the facility appears as a tailings “stack.” If a breach of the
perimeter containment, regardless of the triggering mechanism, can trigger liquefaction or flow
of the contents of the stack that can extend beyond the perimeter containment, then the perimeter
containment must be considered as a dam, even though there is no visible water on the surface of
the stack (i.e. no pond). In some cases, there can be water temporarily ponded on the surface from
precipitation. This is consistent with the definition of a dam as described above.

If the contents are not liquefiable and cannot flow, then the perimeter containment does not need
to be considered as a dam but rather an embankment slope, and the facility can be treated as a
waste disposal area similar to an overburden disposal area. The consequences of failure would
need to be evaluated for such a slope and appropriate slope design practice would apply. Often,
design guidance exists for dumps and overburden disposal areas and would be applicable in this
instance.

In this Bulletin, the term “conventional dam” is used to describe dams that control or manage
fresh water, such as for (i) the generation of hydroelectric power, (ii) flood control, and (iii) fresh
water storage. Fresh water containment and diversion dams can exist on a mine site and they are
still considered to be conventional dams. Often, these dams are intentionally breached shortly
after the mining operation ends. However, in some cases these dams are required to divert water
to support a wet cover over tailings (with or without free visible water at the surface), to maintain
separation of water that has been affected by mining from non-contact water, or for fish habitat
compensation or preservation during the closure phase. If such dams are required for the long
term, consideration of design criteria for mining dams in the closure phase may be appropriate
(see Section 4).

2.2 Phases in the Life of a Mining Dam

2.2.1 Definitions

This section defines and describes the phases in the life of a mining dam as shown in
Figure 2-1, discussed in the following sub-sections, and listed as follows:
• Site Selection and Design
• Construction
• Operation
• Transition
• Closure – Active Care
• Closure - Passive Care

The term “life cycle” is often used to describe the life of a facility, but that term is most
suitable for structures that are constructed and then removed. For many mining dams
that cannot be removed, the term “cycle” is not applicable. For this reason, the term
“phase” has been adopted for this Bulletin.

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Application of CDA Dam Safety Guidelines to Mining Dams

On a single mine site, there may be several mining dams, each at a different phase of the
life as described in the following sub-sections. Each dam is to be considered
independently.

Appendix A provides a comparison of the life phases described in this Bulletin with
guidance from the Mining Association of Canada (MAC) and the International
Commission on Large Dams (ICOLD). The concept of Transition Phase, as described
below, is not explicitly addressed in the MAC and ICOLD documents.

Figure 2-1. Phases in the Life of a Mining Dam

2.2.2 Site Selection and Design

The Site Selection and Design phase includes all of the preparatory work that is
undertaken prior to constructing the mining dam. Improper siting of a mining dam has
resulted in dam safety problems as the mine development proceeds and the siting needs
careful consideration. During this phase, design criteria will be established that recognize
the planned operational life of the dam and also the anticipated closure requirements.
The closure requirements for a mine site can have a significant bearing on the site
selection and design of a mining dam.

Other items that merit consideration in siting a mining dam are as follows:

• Foundation conditions with respect to geotechnical characteristics and seepage

containment
• Potential for future expansion of the mining operation and possible
modifications that may be required to the mining dam

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• Water management requirements and size of water management facilities (i.e.

ponds)
• Proximity to environmental receivers.

2.2.3 Construction

Some mining dams may be completely constructed before a mine or mill commences
operations. More often, a mining dam is initiated with a starter dam at the start of the
operation and then periodically modified or raised during the Operation Phase.

A mining dam can also be modified after operation as part of mine closure (typically
within the Transition Phase described below).

2.2.4 Operation

During the Operation Phase, the dam may continue to be modified. Changes in tailings
composition or regulatory requirements may necessitate amendments of the original
design criteria. The dam may also be raised or a new dam added to provide for
additional storage capacity.

The Operation Phase can last for decades. It should be noted that the duration of the
Operation Phase is often different than the life that may have been contemplated during
site selection and initial design, since mine life can be affected by the availability of
resources and economic, technical, social and environmental factors that may evolve over
time. Regardless of the mine life, the dam should be designed to anticipate the potential
for temporary production suspension and the potential for that temporary condition to
become permanent. During a temporary or indefinite suspension of mining activities, the
dam owner should monitor the dam and maintain it, but no modifications are made to
the structure. In this condition, measures are not implemented to prepare the dam for
closure. The dam would be operated and maintained in anticipation of restarting
production.

In cases where the mining dam is constructed over the life of the mine, the design,
construction, and operation phases are closely integrated and can be difficult to separate.

Measures can be undertaken by the mine owner during operation to progressively

reclaim and decommission the site and prepare for closure.

2.2.5 Closure

As described above, many mining dams will need to remain in service well after the
mining operation has ended. ICOLD (2011) defines closure as follows:

“The shutting down and decommissioning of a mine and tailings dam when
production has ceased including the transition of the mining area and dam into
long-term stable structures. Normally, closure includes decommissioning,

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remediation (reclamation or rehabilitation) and after care at the site and the
tailings dam.”

ICOLD (2013) defines closure as follows:

“The planned cessation of tailings disposal into the tailings dam and the
modification/ engineering of the tailings dam with the objective of achieving long
term physical, chemical, ecological, and social stability and a sustainable,
environmentally appropriate after use.“

Of interest, the ICOLD definitions infer that modifications to the dam are taken as
mandatory for closure. Often, the dam can be “designed for closure” such that
modifications at closure are not required. For tailings dams, closure of the tailings facility
begins when the tailings storage ends. The same can be said for dams that store water
treatment sludges.

For other mining dams on a site, such as water treatment dams and diversion dams, the
closure might not begin until the mine operation has ended and the rest of the mine is
being decommissioned. Hence, for this Bulletin, there are two aspects with respect to
closure. There is closure of the mine or processing facility after they are no longer
required. This involves decommissioning structures and reducing the work force on site.
However, for a tailings or sludge storage dam, closure can begin when the tailings or
sludge storage facility has reached capacity. This can happen while the mine or
processing facilities are still operating at the site, well before the mine or processing
facility “closes.” For many mining dams, they have to provide their intended function for
a very long time including closure. Hence, this Bulletin provides the following
definition for closure of a mining dam:

Closure is the process of establishing a configuration for the dam with the
objective of achieving long term physical, chemical, ecological, and social
stability and a sustainable, environmentally appropriate after use. This
configuration can be achieved during or after mine operations.

As noted above, on a mine site there may be several dams at different phases of their life,
with some dams considered to be in closure while the mine is still operating. This would
be considered part of progressive reclamation, but from the perspective of regulators,
closure of a mining dam might not officially begin until the mine or processing facility is
shut down (i.e. the site is closing).

It is important to note that the closure of a mining dam has to be done in the context of
the closure of the impoundment contents contained by the dam. The two are
interdependent as the closure of the impoundment contents can have a direct bearing on
the closure requirements of the dam.

In this bulletin, the terms “reclamation” and “rehabilitation” both refer to upgrades or
modifications of the mining dams to meet the design objectives for closure.

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The term “decommissioning” is often used when referring to closure of mining dams. In
this Bulletin, the term “decommissioning” is used when referring to removal or breach of
a dam so that it no longer retains tailings or water that may pose safety or environmental
concerns. Partial breaching of a dam is considered rehabilitation not decommissioning.
The portion of the dam that remains in place holding tailings back will still need to
function as a tailings retaining dam (if the tailings can flow). In general, water retaining
dams can be decommissioned by breaching. Decommissioning of a tailings retaining
dams will typically require complete removal of the dam and relocation of tailings it
retains. However, the consequences of failure would be significantly reduced through
the partial breaching.

In addition, the closure designs have to consider aboriginal and social issues associated
with the future land use of the areas affected by the mining dams.

As noted in Figure 2-1, there are three main phases in closure of a mining dam:
Transition, Closure - Active Care, and Closure – Passive Care.

2.2.6 Transition

The first phase of closure is Transition. This phase typically commences when the mining
dam has reached its capacity and ceases to be operated or when the mine or processing
operation is terminated permanently. Activities are undertaken during this period to
prepare the mining dam for the Closure – Active Care or the Closure - Passive Care Phases.

During the Transition Phase, the mining dam may be decommissioned through
breaching or removal. From an environmental perspective, dams that contain non-
contaminated solids are easier to breach than dams that contain contaminated solids.
When there is no practical option to decommission the dam, the dam must be designed
and maintained as a long term and possibly permanent structure.

Where there are multiple storage facilities, it is not uncommon that tailings or sludge
storage dams are progressively rehabilitated once they are filled and deposition
commences in a newly developed area. In this case, such dams that are progressively
rehabilitated would be in the Transition Phase during that rehabilitation period.

The Transition Phase can be undertaken at the same time as other decommissioning
activities at the mine site (e.g. demolition, sealing of mine openings, etc.)

The Transition Phase can typically involve one or a combination of the following
activities related to a mining dam:

• Breaching the mining dam, as noted above. Portions of the mining dam may remain,
but the consequences of failure of these portions would be substantially reduced or
eliminated.
• Modifying the dam, spillway, and discharge structures to accommodate a water
cover and water treatment system. In some cases, the water cover is established

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within an upper layer of soil or gravel such that the water is not visible, but the
closure concept for the impoundment requires an elevated water table to prevent
acid generating and metal leaching. This is effectively the same concept as
establishing a water cover, also referred to as a wet cover. The dam could be
modified by re-grading or contouring to improve stability, the surface drainage
systems could be modified to manage flood events while recognizing other long term
factors (vegetation and beavers), the upstream and downstream slopes could be
protected by placing erosion protection materials, site access could be controlled, and
other measures may be undertaken to reduce the need for long term maintenance
and surveillance. As noted above, the dam can initially be designed for closure such
that these modifications would be minor. Note that Section 5 provides a discussion
on considerations when designing for covers.
• Modifying the dams, spillways, and discharge structures to remove a pond and not
allow a pond to remain on surface while also safely passing floods. This may also be
done in conjunction with the installation of a reclamation cover on the facility, such
as vegetating the tailings beaches. The items noted in the previous bullet related to
regrading the dam, placing erosion protection materials, etc., would be applicable to
this activity as well.

If it can be demonstrated that the material contained by the mining dam (i.e. in the
impoundment) is not liquefiable and will not flow if the containment structure is
breached, then the containment structure is no longer considered a dam. (See Section 2.1
for the discussion related to a stack.) Measures may be implemented during the
Transition Phase to achieve this condition (i.e. to reduce liquefaction potential of the
tailings). Factors that need to be considered in this assessment are discussed in Section
3.5.

The end of the Transition Phase occurs when the activities noted above are completed for
entering the Closure – Active Care Phase. The mining dam may or may not have
achieved a steady state condition with respect to pore water pressures, deformations,
erosion, etc. While the physical modifications can be completed in a relatively short time
frame (e.g., several years), the confirmation of performance can take longer and this
would extend into the Closure – Active Care Phase.

Typically, a closure plan for a mine will detail the measures that are to be implemented
for closure including the required modifications to the dams. At the end of the Transition
Phase, these measures will have typically been completed and the dams are considered
“closed.” The Transition Phase can last from one year to decades. On some mine sites, a
tailings facility and dam may end operation well before the end of the mine life and will
be considered to either be in the Operation Phase or the Transition Phase until closure
measures are implemented at the site that address this particular facility.

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2.2.7 Closure – Active Care

This phase involves active care of a mining dam, including monitoring, inspection, water
management, operation of a water treatment system, etc. after the Transition Phase is
completed.

For the case where the mining dam has been designed to accommodate a water treatment
system, this phase would involve ongoing operation, maintenance and surveillance, and
possibly management of the water levels. This phase is often referred to as “care and
maintenance.”

In many cases, these activities could last for decades or centuries. In some cases, a
treatment system may be established to address a short term concern with respect to
water quality and the treatment system may be needed for less than a decade. The
treatment system can be decommissioned and the dams could move into the Closure –
Passive Care Phase at that time.

For the case where the pond has been removed from upstream of the dam and the mining
dam still has to be treated as a dam because the contents upstream of the dam can flow
upon failure of the dam, the following activities would typically be involved in this phase:

• Surveillance and maintenance of the mining dam (i.e. inspections, maintenance of

erosion protection, vegetation management, inspection of the cover system, etc.)
• Monitoring to verify the performance that was expected during the design.

In some cases, these activities may last for less than a decade and then the dams can
move into the Closure – Passive Care Phase. The mine owner will typically have staff
monitoring the site on a regular basis during the Closure - Active Care Phase.

During the Closure – Active Care Phase, the performance of the dams should achieve a
steady state condition. This could include the following:

• Pore pressures have reduced and stabilized as a result of removing a pond.

• Pore pressure adjustments after modifying a dam have stabilized.
• Erosion gullies are not forming that do not self-heal; the dam erosion measures are
effective.
• Deformations are either non-existent or are at a steady state and do not present a
concern with respect to the stability of the dam.

When this steady state condition has been achieved, the dam could be considered for
Closure – Passive Care. Due to the time needed to reach a steady state condition, it is
unlikely that a mining dam will be able to move directly from the Transition Phase to the
Closure – Passive Care Phase. However, the length of the Closure – Active Phase could
be quite short in some cases (i.e. a few years). In other cases, the Closure – Active Care
Phase could last decades or longer.

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A key requirement of the Closure – Active Care Phase is that the mining company
normally has resources on site that are able to respond to problems and possible
emergencies that may develop. This is an important consideration when addressing the
design criteria as noted in Section 4. Where there is no active effluent treatment or water
management requirement, the mining dam could be monitored and maintained during
the Closure – Active Care Phase using off site personnel who inspect the dam on a
regular basis. As noted in Section 4, the surveillance program during the Closure - Active
Care Phase should be clearly described in the Operation, Maintenance and Surveillance
(OMS) Manual, including emergency response.

ICOLD (2013) defined Active Care as the period when intervention and monitoring is
required to achieve a final sustainable form. In this Bulletin, this period has been divided
into the Transition and Closure - Active Care Phases where the majority of the
intervention, if required, is in the Transition Phase and the Closure – Active Care Phase is
operating, maintaining, and monitoring.

2.2.8 Closure - Passive Care

In this phase, there is no active operation of the mining dam and no changes to the
mining dam are expected to occur. The dam is considered to be in a steady state
condition and sufficient experience has been gained with the structure and sufficient
monitoring has taken place to demonstrate that no further intervention is required by the
owner. There is no requirement for water treatment or intervention by operating
personnel to manage water levels in the pond upstream of the dam. The system is in a
passive state that does not require operating personnel on site or regular surveillance. A
spillway has been established to passively release water from the system to the
environment. Potentially erodible exterior slopes have been covered or otherwise treated
(i.e. vegetation or rock fill).

This phase is an important goal for a mining company - to have the structure in a stable
form with low maintenance. Inspections by dam safety engineers and dam safety reviews
will continue with maintenance undertaken as required. Remote monitoring systems
might be employed. Special inspections may be required after extreme events.

The monitoring plan discussed in Section 4 would describe the Owner’s plans for
monitoring the dam during this phase and the plans would be subject to the regulator’s
review and approval before implementing. This phase can last for hundreds of years or
longer and is the longest phase in the life of a mining dam that is not decommissioned.

It is important to note that Closure – Passive Care Phase is not the same as
“abandonment” or “walk away.” Many dams are abandoned without the appropriate
measures implemented to prepare the dam for Closure – Passive Care Phase. Such dams
often pose an unacceptable risk because they were not prepared for closure properly. As
discussed in Section 4, a dam in Closure – Passive Care Phase still requires some level of
inspection, dam safety reviews, and emergency response. This should be spelled out in
an OMS Manual for this phase.

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If a dam is modified beyond routine maintenance (e.g. a toe berm is constructed as

compared to repairing erosion gullies), then the dam would be considered to return to
the Transition Phase and no longer be in the Closure - Passive Care Phase. A period of
time would have to pass again (Closure – Active Care Phase) to demonstrate that the
dam could return to the Closure - Passive Care Phase.

When a mining dam is on a lease from the provincial or federal government and is in the
Closure – Passive Care Phase, then it may be eligible for transfer back to the Crown –
referred to as Custodial Transfer. This is discussed further in Section 5.

2.3 Possible Resumption of Operations

In some cases, even though a mining dam and associated facility are in either the Closure –
Active Care or Closure – Passive Care Phase, the owner may wish to reactivate a dam. I f this
occurs, then the mining dam would revert back to the Construction or Operation phases and the
life phases would start over.

2.4 Landforms

ICOLD (2013) has identified the condition whereby a structure may not be considered a dam if
“in the opinion of the authorities, [the dam] is considered to be physically, chemically,
ecologically, and socially stable and no longer poses a risk to life or the environment.” One
approach to achieving this is to create the dam as a permanently stable landform where the risk
of release of solids and contaminated water is negligible. This is consistent with the discussion
above, where the facility contained by the mining dam can be modified such that it no longer
meets the definition of a mining dam in Section 2.1 and is consistent with the objective of moving
towards Closure – Passive Care.

In Canada, an initiative is underway in the oil sands industry, where tailings dams could be
designed and constructed to become landforms and no longer be considered dams. This
condition is achieved through shallow side slopes, wide spillways, changing the contents of the
pond, etc. Such structures might not require regulatory oversight. This approach could also be
considered for dams beyond the oil sands industry. General guidance for mining dams for what
would constitute a “landform” as opposed to a dam is not available at the time of this Bulletin.
The risk informed approach to support the creation of a landform would be consistent with
Section 6 of the CDA (2013). This approach could take a dam to a “walk away” condition.

The interaction between the dam owner and regulator to achieve this condition is specific to the
different jurisdictions in Canada. In Alberta, the oil sands initiative noted above is being
developed with input from the regulators, to provide guidance.

Most mining dams are not expected to be classified as landforms; hence, that “phase” of the
mining dam life was not included in Figure 2-1.

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2.5 Environmental Considerations

This Bulletin focuses on structural failure modes (sliding, overtopping, internal erosion, etc.) as
these are the items of focus in Dam Safety Guidelines (CDA 2013). Environmental factors can affect
the structural stability of a dam, for example when precipitate formation clogs drains or damages
filters.

There are other failure modes associated with mining dams that are non-structural in nature and
are related to environmental protection. These include:

• Unplanned release of contaminated water via an emergency overflow spillway.

• Release of excessive contaminated seepage down gradient of the dam.
• Contamination of groundwater.
• Excessive seepage causing the loss of water cover required over a tailings deposit to
inhibit sulphide oxidation 3.
• Excessive erosion by wind resulting in dust releases (in the case of mining dams
constructed of tailings).

The first item above is addressed through the concept of the Environmental Design Flood
discussed in Section 3.5. The second, third, and fourth bullets relate to seepage through the dam
and foundation. Seepage control as it relates to protecting a dam from internal erosion is an
important structural consideration and is discussed below. But, the situation where the seepage
presents an environmental risk is not addressed in this Bulletin. The last bullet is an important
design consideration, but it does not affect the structural safety of the dam.

ICOLD (1996) and Szymanski (1999) further discuss the distinction between structural and non-
structural failure modes. The “Environmental Code of Practice for Metal Mines”(Environment
Canada 2009) provides a series of recommended environmental practices pertinent to mining
dams throughout the life of a mining dam. The focus of that code of practice is on metal mines,
including uranium. The document can be used to assist with the development of objectives and
criteria for the design of mining dams with respect to environmental protection requirements.

3Loss of water cover can also be due to high evaporation, but that is not related to the design of
the dam.

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3.0 Construction, Operation and Transition Phases

3.1 Dam Safety Management

3.1.1 General
As previously noted, mining dams can exist for a very long time. Conventional dams are
often decommissioned (removed), modified to become free overflow weirs, or
rehabilitated to extend their service lives, but typically these dams may be designed for a
service life of 50 to 100 years. The service life of a closed mining dam, however, can be
over 1,000 years. Hence, to assist with considering the risk exposure for a mining dam
and developing criteria for the design of a mining dam, the concepts of design life and
design interval are discussed herein.

Design life is the period for which a component is expected to function at its designated
capacity without major repairs. In the context of a mining dam, design life is the expected
service life of a structure, at the end of which either the structure is removed or it
undergoes significant rehabilitation to upgrade and bring the dam to current design
guidelines. If a mining dam is breached or removed from service, then that would end
the design life of the dam. However, most mining dams are not expected to be breached
and are required for the long term.

Because the design life can be indefinite, the concept of the design interval is considered
in this Bulletin. This concept is described in detail by Szymanski (1999) where the design
interval is defined as “the period under which the conditions can be considered known
or predicted and the design can be based.”

For example, the Operation Phase of a mining dam typically lasts 20 to 50 years. The
conditions during the Operation Phase can be reasonably predicted, there are staff on site
conducting surveillance, and emergency response is possible. Hence, the design interval
for the Operation Phase would typically be 20 to 50 years. The Dam Safety Guidelines
(CDA, 2013) work well for this length of design interval.

In some cases, the Construction Phase for mining dams can be similar to conventional
dams, although for many mining dams the Construction Phase and Operation Phase
occur at the same time, with the tailings dams raised over the life of the mining
operation. Thus, Dam Safety Guidelines (CDA, 2013) apply to the Construction Phase of
mining dams.

As noted above, the Transition Phase can last from one year to decades. Like the
Operation Phase, the conditions can be reasonably predicted, surveillance is conducted,
and emergency response is possible. Hence, the Dam Safety Guidelines (CDA, 2013) apply
to the Transition Phase as well.

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The remainder of this section discusses how the Dam Safety Guidelines (CDA, 2013) can be
applied for the Construction, Operation, and Transition phases. Section 4 discusses how
the guidelines can be applied for the Closure - Active and Closure - Passive Care Phases.

The guidance in this section would also apply to those dams that are in a state of
inactivity or temporary suspension, where the mining operation has been suspended and
the potential remains to resume operation at some point in the future. This assumes that
the mining company is conducting surveillance and emergency response is possible. If
this is not the case, then other measures need to be considered.

Section 2 of Dam Safety Guidelines (CDA, 2013) describes the overall process for managing
dam safety, including the elements of a management system, supporting processes and
dam classification. The section is applicable to mining dams with appropriate recognition
and consideration of the different phases in the life of the dam. Some of the aspects that
are often a challenge with mining dams because of their long life are as follows:

• CDA 2013 defines the owner of a dam as the person or legal entity, including a
company, organization, government department, public utility, or corporation that is
responsible for the safety of the dam. For mining dams, the ownership can
sometimes be confounded because the person or legal entity that owns the dam is not
well defined and there may not be a government license to operate the dam. The
owner of the mining dam must be clearly identified.
• Records management becomes a challenge with the extended life of the dam. Pertinent records
and documents must be available and protected well into the future.

3.1.2 Engineer of Record

Section 2.3 of the Dam Safety Guidelines (CDA, 2013) states that “the owner’s policy
should clearly demonstrate the organization’s commitment to safety management
throughout the dam’s life cycle.” This includes “delegation and authority for all dam
safety activities. Further, “the owner’s staff and any consultants and contractors who
carry out dam safety activities on behalf of the owner should be made aware of the
decision making process and who is accountable for that.” In support of these requirements,
this Bulletin considers the Engineer of Record (EOR) as an important aspect of risk
management for mining dams. The EOR should be a qualified and competent engineer
who is responsible for the design and performance of a mining dam. For a single mining
dam, there can often be several engineers and engineering firms involved in the design,
construction, and performance assessment of the dam over its life and it may not be clear
who the EOR is for the dam. This can present a challenge for the owner when managing
the risks associated with the dam.

The EOR should be clearly identified by the owner with the concurrence of the EOR.
Typically, the EOR would be involved in the construction of the dam as well. Where the
construction is directed by the owner and continuous construction inspection is not
provided, the EOR is not responsible for the quality during construction, but is
responsible for ascertaining that changes made to the design during construction

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continue to meet the applicable design standards, criteria, and guidelines. The EOR may
be declared after the construction is completed and, in this circumstance, the EOR and
owner need to work together to make sure that the EOR is equipped with the appropriate
information to be able to take on this responsibility.

During the Construction, Operation and Transition Phases, the EOR could change over
time and it is important that the EOR, with associated responsibilities, be clearly
identified. If there is to be a handover of the dam as a result of a transfer of ownership,
then the EOR must remain clearly defined. Also, the EOR can change due to changes in
employment status (such as a transfer or retirement) and the owner should ensure that a
replacement EOR is clearly named.

Records management related to the dams should be an integral part of a transfer to a new
EOR, or transfer of ownership.

The concept of an engineering consulting firm as the EOR needs further consideration
and is beyond the scope of this document at this time.

3.1.3 Consequences of Failure

The consequences of failure of a mining dam that contains liquefiable solids can be
greater than the consequences for the same dam containing only water. Although tailings
and liquefiable solids may travel a shorter distance than water, the material can act as a
viscous fluid with a high specific gravity that can cause more damage than water alone.
The damage can be both physical and environmental. Removal of released solids and
clean-up could be impractical in many cases, for example in densely forested areas or
water bodies.

Dam break and inundation studies are necessary to support assessment of the
consequences of potential failure of mining dams, as for conventional dams. However,
there are a number of challenges associated with dam breaks for tailings dams because
the science of predicting tailings dam breaches and flows is relatively new. The current
techniques for predicting tailings flow slide inundation are limited and the lethality of
tailings dam failures can be quite different than for conventional dam breach flooding.
The limitations in accurately modeling the effects of a tailings flow slide need to be
considered when assessing the consequences of failure.

Section 2.5.2 of Dam Safety Guidelines (CDA, 2013) calls for conducting dam break studies
for a “sunny day” and a “flood-induced” failure. The “sunny day” failure is one that
occurs during normal operations. Because of the contaminated fluids and solids that are
contained by the mining dams, the incremental environmental consequences are often
worse for a sunny day failure than a flood induced failure.

Since many mining dams are remote from population centres, the potential for loss of life
is often not as prevalent as it is for conventional dams. There could be occasions where
there are people in the area downstream of the dam temporarily due to seasonal cottages,

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roads and highways, rail corridors, and recreational activities. Mining dams can also
have the special case where the failure could threaten employees of the mine working
downstream of the mining dam, such as in an open pit mine. In this instance the training
of the mine staff can be considered with respect to evacuation procedures and the
potential for reducing the potential for loss of life.

Environmental losses are often the most significant aspect of a mining dam failure.
Specific studies may be required to predict the degree of environmental loss. This could
include damage to the downstream environment, but in some cases, mining dams have
supported ponds and wetlands that have become suitable fish and terrestrial habitat and
this habitat can be lost through a failure.

The economic losses to a mining company can be substantial and may be much larger
than the direct financial burden associated with a failure. Failures of mining dams can
result in lost production, have a negative impact on the market capitalization of a
company, and limit the ability of the company to engage in other mining projects.

Mining dam failures can result in loss of site infrastructure such as roads, pump stations,
power lines, and pipelines.

All of the potential consequences of failure need to be considered and the severity of
these consequences predicted to aid in developing a risk profile for the dam.

Table 2-1 in the Dam Safety Guidelines (CDA, 2013) presents a classification scheme that
can be used to provide guidance on the standard of care expected of dam owners and
designers. It considers a segment of the consequences discussed above: population at
risk, loss of life, environmental and cultural values, and infrastructure and economics.
For ease of reference, Table 2-1 is reproduced here (labeled Table 3-1 in this document).

The population at risk and potential loss of life are determined using standard
approaches. However, little guidance is provided in CDA (2013) for assessment of
“Environmental and cultural values.” Since the environmental and cultural conditions
associated with each mining dam can vary, specialist knowledge must be applied in the
fields of ecosystems, land, water quality, fisheries, and cultural values. The classification
criteria and terminology such as “significant loss” and “critical habitat” should be
defined and agreed upon early in the design or safety review process, with input from
specialists and the regulatory authorities. Because of the difficulty in predicting the
environmental and ecosystem effects from accidental releases, it is often necessary to be
on the conservative side when applying dam classifications.

The Dam Safety Guidelines (CDA, 2013) consider only the economic losses to third parties
beyond the limits of the mining lease on which the mining dam is situated. In many
cases, the failure of a mining dam can have no effect on a third party, if the failure and
runout is wholly contained on the mine property. As noted above, the financial
consequences to a mine owner can be much larger than the financial effects on third
parties.

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Hence, it is important to note that the classification scheme in Table 3-1 is one
consideration for the owner in terms of establishing the risk profile for the mining dam.
The owner must also consider the other consequences, as described above that the dam
presents to their operation when establishing the risk profile and although this may not
change the classification, the risk profile could have a bearing on the surveillance
activities and design criteria.

Table 3-1. Dam Classification

Source: Table 2-1 of CDA 2013
Incremental losses
Population
at risk Loss of life Environmental and cultural Infrastructure and
Dam class [note 1] [note 2] values economics
Low None 0 Minimal short-term loss Low economic losses; area
No long-term loss contains limited
infrastructure or services
Significant Temporary Unspecified No significant loss or Losses to recreational
only deterioration of fish or wildlife facilities, seasonal
habitat workplaces, and
Loss of marginal habitat only infrequently used
Restoration or compensation in transportation routes
kind highly possible
High Permanent 10 or fewer Significant loss or deterioration High economic losses
of important fish or wildlife affecting infrastructure,
habitat public transportation, and
Restoration or compensation in commercial facilities
kind highly possible
Very high Permanent 100 or fewer Significant loss or deterioration Very high economic
of critical fish or wildlife habitat losses affecting important
Restoration or compensation in infrastructure or services
kind possible but impractical (e.g., highway, industrial
facility, storage facilities
for dangerous substances)
Extreme Permanent More than Major loss of critical fish or Extreme losses affecting
100 wildlife habitat critical infrastructure or
Restoration or compensation in services (e.g., hospital,
kind impossible major industrial complex,
major storage facilities for
dangerous substances)
Note 1. Definitions for population at risk:
None—There is no identifiable population at risk, so there is no possibility of loss of life other than through
unforeseeable misadventure.
Temporary—People are only temporarily in the dam-breach inundation zone (e.g., seasonal cottage use, passing
through on transportation routes, participating in recreational activities).
Permanent—The population at risk is ordinarily located in the dam-breach inundation zone (e.g., as permanent
residents); three consequence classes (high, very high, extreme) are proposed to allow for more detailed estimates

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of potential loss of life (to assist in decision-making if the appropriate analysis is carried out).
Note 2. Implications for loss of life:
Unspecified—The appropriate level of safety required at a dam where people are temporarily at risk depends on
the number of people, the exposure time, the nature of their activity, and other conditions. A higher class could be
appropriate, depending on the requirements. However, the design flood requirement, for example, might not be
higher if the temporary population is not likely to be present during the flood season.

The consequences of dam failure (and associated risks) and the classification can change
if the dam is being raised, if there are substantial changes to the downstream
environment including development, or if there are other regulatory drivers.

Internal dams (dams that are contained within a larger facility and are not on the
perimeter of the facility) can also be classified. If the consequences of failure of an
internal dam can trigger the failure of a perimeter dam or vice versa (cascading failure
scenario), the cascading failure scenario needs to be considered when setting the
classification.

3.2 Operations, Maintenance, and Surveillance

Section 3 of Dam Safety Guidelines (CDA, 2013) provides guidance on the key elements related to
operations, maintenance, and surveillance (OMS) including the development of an OMS Manual.
The Mining Association of Canada has developed recommendations for developing OMS
Manuals (MAC 2004).

Operation and maintenance procedures and the appropriate levels of monitoring that are
necessary, can change during different phases of the dam or as the dam evolves during a
particular phase. Because of these changes, the OMS Manual must be considered a “living”
document and it should be revised or updated as required. In some cases, a review of the OMS
manual should be done as part of the dam safety inspections and as part of the Dam Safety
Reviews.

Section 3.6.2 of Dam Safety Guidelines (CDA, 2013) includes suggested frequencies for visual
inspections that include routine inspections done by the owner (weekly or monthly frequency),
engineering inspections done by a qualified professional engineer (annual or semi-annual), and
special inspections after unusual or extreme events. For dams in the Low consequence category,
the inspection frequency can be extended to once every two years, depending on the overall risk
that the dam poses. For dams in the Significant classification, the frequency could be from
annually to every other two years, depending on the risk. For dams in the High to Extreme
consequence category, the inspections should be semi-annually to annually depending on the
risk.

3.3 Emergency Preparedness and Response

Section 4 of Dam Safety Guidelines (CDA, 2013) outlines key elements of emergency preparedness
and response plans, which also apply to mining dams. More extensive guidance on Crisis Management
and Business Recovery has been published by the Mining Association of Canada (MAC 2013).

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Release of water that has been affected by mining operations can cause more damage than release
of a similar amount of fresh water. In some cases, the water supply downstream can be adversely
affected. These factors have to be considered in the emergency planning and development of
measures to minimize the impacts resulting from a dam failure. A risk assessment of various
scenarios is useful to guide the development of appropriate response and mitigative measures.

The following planning considerations are provided as examples that apply specifically to
mining dams:

• In addition to general access to the site (e.g. primary and secondary routes) to repair or
contain damage, it may be necessary to access a specific area or segment of the dam. If
access is not readily available for a potential failure scenario, then a decision should be
made by the owner as to whether such access should be developed ahead of time or a
plan developed to ensure that such access could be established in a timely manner.
• Regulatory approvals (requirements and procedures) may be required before
implementing certain mitigative measures such as construction of a berm in natural
water courses to contain tailings or other solids.
• There may be a need to provide an alternate water supply for the potentially impacted
downstream population.

3.4 Dam Safety Reviews

Dam Safety Reviews should be undertaken for mining dams in the Operation and Transition
Phases, consistent with Section 5 of the Dam Safety Guidelines (CDA 2013). It is noted that the
CDA is currently developing additional guidance on Dam Safety Reviews.

The suggested frequency of Reviews ranges from 5 to 10 years, depending on the consequences
of failure and changes in the dam or surroundings; any regulatory requirements would always
need to be met as a minimum, but more frequent Reviews may be warranted for some mining
dams depending on their risks. Low consequence dams may not need Dam Safety Reviews, but
the consequences of failure should be reviewed periodically for confirmation. Dam Safety
Reviews should also be undertaken when there is a substantive change in the operation of a
mining dam, if significant changes occur downstream, or if applicable regulations change.

On many mine sites, there may be several dams with different dam classifications that could have
varying frequencies for Dam Safety Reviews. Because of the dynamic nature of mining
developments, the Review could be undertaken for all of the structures on the site in accordance
with the most stringent frequency derived from the dam classifications.

Dam Safety Guidelines (CDA, 2013) state that it is the “owner’s responsibility to ensure that the
findings of the review engineer will not be influenced by his or her prior participation in the
design, construction, operation, maintenance or inspection of the dam under review,” and also
that “it is advisable that the same review engineer not carry out two consecutive safety reviews of
the same dam.”

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While recognizing this principle of independent reviews, there may be cases when there is an
advantage to having the EOR significantly involved in a Dam Safety Review. Mining dams can
often evolve over time with a long and complex design, construction and operational history.
There can be frequent changes among the mining company personnel who are responsible for the
safety of the dams and the EOR provides continuity between personnel. In addition, ownership
changes can result in changes to staff responsible for dam safety.

Typically, a dam safety specialist who has not been involved in the previous designs will be
engaged as the “review engineer” but the EOR should be consulted and input obtained during
the Dam Safety Review.

In special cases, the EOR may lead the Dam Safety Review and be considered the “review
engineer,” with additional external reviewers who participate in an advisory capacity. This
approach can satisfy the need for the review findings to be independent of conflict of interest.
However, this approach should be limited in application. An example of an appropriate case
might be where an owner has never done a Dam Safety Review of a dam and the EOR is the
person most familiar with the location and content of key information. In this instance, it may be
most effective for the EOR to lead the Review and present the findings to external reviewers.
Thus, in the initial Dam Safety Review, the documentation would be gathered and compiled in a
form such that subsequent Reviews can be done effectively by a third party.

3.5 Analysis and Assessment

3.5.1 Risk-Informed and Traditional Standards-Based Approaches

Section 6 of Dam Safety Guidelines (CDA, 2013) outlines approaches to dam safety analysis
and assessment to support decision-making related to dam safety. A risk-informed
approach is encouraged because it includes traditional deterministic standards-based
analysis among many considerations. Also, as noted above, the consequence
classification does not address all of the potential risks presented by a dam. The risk-
informed approach is continuing to develop and a standards-based approach may be
appropriate for certain elements of dam design and assessment.

CDA 2013 presents a number of considerations for hydrotechnical, seismic, geotechnical,

structural (for concrete dams), and mechanical and electrical analysis and assessment.
The discussion below addresses hydrotechnical, seismic and geotechnical aspects that
apply to mining dams in the Construction, Operation and Transition Phases.

The design of a mining dam must meet the requirements of the project as it is defined at
the time of the design. Often, a mine will expand and result in an increase in the mining
dam size. The design should take into consideration the possibility of such an increase in
size. Also, the design must consider the possibility that there could be a premature
suspension of mining activities, due to economic or environmental reasons, where there
may not be an opportunity for operator intervention and the usual controls (such as
operating water management structures) may not occur.

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As noted above, it is important that the design of dams consider the ultimate end point
that is expected to be achieved for the dam (including plans for maintenance and
inspection and the configuration of the ultimate facility). An assessment should then be
done as to whether the dam should be constructed for the Closure – Active and/or
Closure - Passive Care Phases prior to cessation of the operation, or if it is more
advantageous to modify the dam during the Transition Phase in preparation for the
Closure - Active Care and/or Closure - Passive Care Phases.

For tailings facilities, the risk assessment approach should be used when assessing the
tailings technologies and closure strategies that are considered for the facility.

3.5.2 Hydrotechnical

Management of water contained by mining dams has a number of major functions:

(a) Temporary storage of seasonal flows and sufficient water to allow settling of fines
(b) Temporary storage of the Environmental Design Flood (EDF, discussed below)
(c) Storage and/or safe passage of the Inflow Design Flood (IDF) runoff to ensure the
integrity of the containment dams.

Figure 3-1 shows a section through a generic mining dam and how the storage and
conveyance of runoff is often managed (i.e., a pump system or flow decant to control the
water level and an emergency spillway to prevent overtopping of the dam).

Figure 3-1. Typical Appurtenances Required for

EDF Storage and IDF Conveyance

IDF

EDF

NOWL

LOWL Extreme floods are safely

passed by an emergency
spillway to protect the dam

LOWL: Low Operating Water Level

NOWL: Normal Operating Water Level

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The IDF is either stored or conveyed from the pond via a spillway or equivalent overflow
structure. Water may be released from the pond via a low flow structure or reclaim
pumping system. Even for those dams where the IDF can be temporarily stored, the
installation of an emergency spillway should be considered as a precautionary measure.

Runoff that is impounded is typically recycled or treated and released over time
following a storm event to draw down the reservoir from a level at or below the
Environmental Design Flood High Water Level (EDF level) to the Normal Operating
Water Level (NOWL). In many cases, discharge from a pond can be subject to seasonal
and environmental constraints, resulting in periods when water is meant to accumulate
in the impoundment and these inflows must be managed between the LOWL and
NOWL. The design of the dam must be based on an appropriately detailed water
balance, which will change over the life cycle (see Section 2.2).

Factors That Can Affect Water Levels During Operations

Many factors can affect operational pond levels in addition to the factors of EDF and IDF
(discussed below). These include: the minimum pond volume required to clarify
supernatant that is reclaimed for milling; the need for a reserve volume to guard against
a mill water supply interruption during the winter or dry periods; the minimum pond
depth required to operate reclaim facilities; the minimum pond size to effectively control
beach length when tailings dam fill is hydraulically placed; and the pond size necessary
to control beach length to control dusting.

The central element of a good water management plan is a water balance. This is an
important tool in the design of a mining dam. Some of the items that a water balance
needs to consider with respect to dam safety are the following:

• The quality of input data particularly related to pre-mining conditions. In many

mining areas, there is not good quality climate or hydrologic data.
• In addition to the use of “average” conditions, it is necessary to account for
extreme wet/drought periods of extended duration.
• The dam raising schedule.
• Consequences of inadequate water treatment capacity possibly due to
mechanical problems or scaling in pipelines.
• Extent of submergence of beaches for upstream constructed tailings dams and
the consequent seepage.
• Effect of blockage of spillways or discharge facilities.
• If an impermeable liner is used in the pond, then there may be a lower limit for
the water level to prevent ice damage to the liner and/or dessication of the liner
(such as a clay liner or geosynthetic clay liner).

Environmental Design Flood (EDF)

The Environmental Design Flood (EDF) is the most severe flood that is to be managed
without release of untreated water to the environment. An EDF is necessary in situations

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where contaminated water must be retained either with no discharge to the environment
or with controlled discharge through a treatment system prior to discharge to the
environment. Retention of water during the EDF requires storage capacity above the
NOWL.

The selection of return period and duration of the EDF must take into account factors
such as the water quality that is being stored and could be released, regulatory
requirements, frequency of overflow events, the rate and duration of overflows, the
environmental sensitivity of the receiving environment, downstream flow in the receiver,
downstream mixing characteristics, and public perception on the matter. The selection of
an appropriate EDF is therefore site specific and should be derived through:
1) Consultation with regulatory agencies.
2) Consideration of environmental effects associated with the frequency, magnitude
and duration of an infrequent release.
3) Consideration of dilution that may be available from flood flows in the receiving water.
4) Consideration of the time needed to draw down the EDF volume from the storage area.
5) Consideration of the costs associated with varying degrees of environmental control.

Typical EDF return periods range from 1 in 50 years to 1 in 200 years, but more stringent
criteria may be required depending on the site conditions. The appropriate EDF duration
is site specific and typically ranges from weeks to months depending on the assimilative
capacity of the receiving stream and the capacity of the water treatment system to
process the stored volume.

Inflow Design Flood (IDF)

As noted in Dam Safety Guidelines (CDA 2013), the IDF is the most severe inflow flood
(peak, volume, shape, duration, timing) for which a dam and its associated facilities are
designed. Table 3-2 below presents suggestions on target levels for the inflow design
flood as excerpted from CDA (2013). These are considered applicable for the
Construction, Operation, and Transition Phases.

As noted in Section 3.1, the dam classification and the associated target levels shown in
Table 3-2 should be considered when developing the design criteria. In addition, the
mining dam owner will want to factor in other risks and may choose to adopt more
stringent design criteria than suggested by the classification alone.

Table 3-2. Target Levels for Flood Hazards, Standards-Based Assessments,

for Construction, Operation, and Transition Phases

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(For Initial Consideration and Consultation Between Owner and Regulator)

Dam Classification Annual Exceedance Probability –

Floods (note 1)
Low 1/100
Significant Between 1/100 and 1/1,000 (note 2)
High 1/3 Between 1/1,000 and PMF (note 3)
Very High 2/3 Between 1/1,000 and PMF (note 3)
Extreme PMF (note 3)
Notes:
Acronyms: PMF, Probable Maximum Flood; AEP, annual exceedance probability
1. Simple extrapolation of flood statistics beyond 10-3 AEP is not acceptable.
2. Selected on basis of incremental flood analysis, exposure, and consequences of failure.
3. PMF has no associated AEP.

Freeboard

Freeboard guidelines as outlined in the Dam Safety Guidelines (CDA, 2013) apply to most
mining dams. However, the following should be considered for mining dams:

• The suggested minimum freeboards in the Dam Safety Guidelines (CDA, 2013)
were developed to account for the typical nature of a pond on a river system
where the high water level generated during a flood event may not occur at the
same time as a high wind event that occurred during the storm that resulted in
the flood. For mining dams that contain ponds, there can be a condition where
the high water level does occur at a similar time as the storm event and high
wind event and this condition should be examined when developing the return
period for the design wind for the minimum freeboard calculation.
• The fetch of the pond contained by a mining dam can often be less than a
conventional dam and the water depth can be shallow as a result of tailings or
sludge deposition.
• As discussed below in Section 3.5.3, the freeboard guidelines can be superseded
by minimum beach length guidelines for upstream and centerline tailings dams,
if these other guidelines are more conservative.

3.5.3 Seismic Criteria

Table 6-1 of the Dam Safety Guidelines (CDA, 2013) provides suggestions on the target
levels for earthquakes. As discussed above with respect to the IDF, these target levels
may generally be applied for the Construction, Operation, and Transition Phases of a
mining dam. Table 3-3 below shows these target levels.

Similar to the discussion for the IDF and the owner’s risks, the owner may adopt criteria
more stringent than these target levels suggested by the classification alone or those
required by the regulator.

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The current state of practice with respect to seismic effects on dams comes largely from
the conventional dam industry where deformations of the crest could result in potential
for overtopping. For many mining dams, the crest deformations could be much larger
and not result in a release of contents. Hence, criteria should be established for suitable
deformations of a mining dam and the appropriate analyses undertaken to demonstrate
the effect of an earthquake on the dam and determine if the deformation criteria is met.

Table 3-3. Target Levels for Earthquake Hazards, Standards-Based

Assessments, for Construction, Operation, and Transition Phases
(For Initial Consideration and Consultation Between Owner and Regulator)

Dam Classification Annual Exceedance Probability –

Earthquakes (note 1)
Low 1/100 AEP
Significant Between 1/100 and 1/1,000
High 1/2,475 (note 2)
Very High 1/2 Between 1/2,475 (note 2) and
1/10,000 or MCE (note 3)
Extreme 1/10,000 or MCE (note 3)
Notes:
Acronyms: MCE, Maximum Credible Earthquake; AEP, annual exceedance probability
1. Mean values of the estimated range in AEP levels for earthquakes should be used. The
earthquake(s) with the AEP as defined above is(are) then input as the contributory
earthquake(s) to develop the Earthquake Design Ground Motion (EDGM) parameters as
described in Section 6.5 of the Dam Safety Guidelines (CDA 2013).
2. This level has been selected for consistency with seismic design levels given in the
National Building Code of Canada.
3. MCE has no associated AEP.

With respect to tailings stacks that do not have water ponded at the crest, but contain
potentially liquefiable sediment, the liquefaction potential should be reviewed as part of
each Dam Safety Review to determine if there have been changes in the seismic criteria or
the conditions of the dam that may affect the liquefaction potential (i.e. lowering of the
phreatic surface).

3.5.4 Geotechnical

3.5.4.1 Criteria

Tables 3-4 and 3-5 show the target levels related to slope stability. These are based on the
values provided in Tables 6-2 and 6-3 of Dam Safety Guidelines (CDA 2013). However, the
Dam Safety Guidelines call for a factor of safety of 1.3 for the condition: “End of
Construction Before Reservoir Filling.” For tailings dams that are constructed over time
and the reservoir is filled and operated as the dams are constructed, this factor of safety
may not apply. On the other hand, a factor of safety of 1.5 was intended for the loading

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condition where the seepage was at steady state and the reservoir was at the NOWL.
Steady state seepage may not be achieved in a tailings dam until near the completion of
the dam raises and, if the pond geometry is adjusted after the dam reaches its final
elevation, the seepage pattern may change again.

Hence, the designer needs to consider the loading conditions and establish factors of
safety that are appropriate for the mining dam in question. A factor of safety of 1.3 may
be acceptable during construction of a dam where the consequences could be minor and
measures are taken during construction to manage the risk such as detailed inspection,
instrumentation, etc. But, the factor of safety of 1.3 should not simply be adopted because
it is “End of construction.” A factor of safety of 1.5 has typically been adopted for tailings
dams because of the potential consequences of failure.

Therefore, when setting the design criteria for the dam, these target levels can be
considered, but the risks associated with instability of the dam also need to be
considered.

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Table 3-4. Target Factors of Safety for Slope Stability in

Construction, Operation, and Transition Phases - Static Assessment
Loading Condition Minimum Factor of Safety Slope
During or at end of > 1.3 depending on risk Typically downstream
construction assessment during
construction
Long term (steady state 1.5 Downstream
seepage, normal
reservoir level)
Full or partial rapid 1.2 to 1.3 Upstream slope where
drawdown applicable

Table 3-5. Target Factors of Safety for Slope Stability in

Construction, Operation, and Transition Phases - Seismic Assessment
Loading Condition Minimum Factor of Safety
Pseudo-static 1.0
Post-earthquake 1.2

Upstream Constructed Tailings Dams

Tailings dams that are raised in the upstream direction typically rely on a tailings beach
upstream of the dam crest to control the phreatic surface within the dam. This can also be
applicable to centerline and modified centerline dams that require upstream beaches for
stability. The minimum beach width is established by considering: the margin of dam
stability (including under seismic conditions), angle of the beach slope, gradation of the
tailings and expected infiltration response, performance of drains that may be
incorporated within the dam, and the resulting rise in the phreatic surface within the
dam due to pond level fluctuations.

A key design issue is the rate of raising of the dam fill (perimeter and internally) as this
can result in static liquefaction of the tailings and failure of the perimeter dam. The
maximum allowable rate is dependent on a number of factors (permeability, gradation,
density, location of the phreatic surface, etc.) and is unique for each structure.

It is recommended that upstream constructed tailings dams not be built in high seismic
areas.

Potential For Flow of Solids From an Impoundment

As noted in Section 2.1 and 2.2.5, the potential for flow of the impoundment contents
beyond the perimeter containment is a determining factor on whether the containment

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needs to be considered as a dam. An evaluation of the flow potential should consider the
following:
• Degree of saturation
• Contractive vs. dilatant behaviour of tailings
• Compaction and other densification methods
• Removal of ponded surface water, drawdown, and desaturation
• Comparison of flow slides between active and inactive tailings dam failures
• Saturation-induced collapse behaviour of dry-stack materials.

Methods may be undertaken to stabilize the impoundment contents and reduce the flow
potential.

Other Considerations

Some other unique aspects of mining dams with respect to geotechnical design are listed
below.

• The design, construction, and operation of tailings dams often use the
observational method due to the long construction period and opportunities to
review actual conditions.
• Loading on a dam shell from an upstream tailings beach needs to be accounted
for in stability assessments.
• Liquefaction of tailings upstream of the dam needs to be considered in stability
assessments.
• Mine waste is often used in the structural portion of a mining dam and this
requires special care with respect to the design of filters and transition zones to
protect the seepage control elements of the dam.
• Geochemical processes (often acid rock drainage or metal leaching) can clog
filters and drains through precipitate accumulation. While this can also occur
with conventional dams, it is more prevalent in mining dams that contain
materials with acid rock drainage generation potential. The rate of clogging and
the time that the drains are required to operate may greatly exceed those typical
of conventional water storage dams. Cementing of soil into a “hard pan” can
affect the seepage conditions in a dam.
• Decant structures and/or pipes embedded in embankments in general are
potential pathways for seepage. The deterioration of pipes through dams is a
well known cause of several mining dam failures. Development of preferential
seepage paths and arching zone(s) are also notable safety hazards. For decant
pipes with intermittent discharge, frost action can also create seepage pathways
around the pipes. Hence, these structures need to either be avoided or designed
and constructed with a high level of care, including redundant protective
measures.
• Mining dams are often located near other infrastructure such as open pits and
underground workings. The consequences of failure of such mining dams
require careful consideration. Also, the potential interaction of the mining

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operations (i.e. blasting or large waste rock dumps) on the mining dams must be
assessed.
• Subsidence of ground beneath a mining dam can occur due to underground
workings that may not have been detected prior to the design and construction
of the dam.
• Piping can occur into underground workings with caving occurring upward into
the tailings.
• Design for thickened tailings discharge facilities.
• Geosynthetics are often considered for mining dams because of limited
construction materials, but these must be used judiciously when considering
structures that will have to last a long time.
• Design should be flexible to accommodate variability and availability of
construction materials throughout the life of a tailings dam.
• Instrumentation monitoring, recording between raises, damage to
instrumentation during construction or mine operations.
• The use of impervious membranes for lined ponds that also require measures to
prevent wildlife from getting trapped in the ponds and causing damage to the
liners.
• Vandalism, particularly recreational vehicles that can cause damage to closed site
dams.

4.0 Active and Passive Care Phases

4.1 Dam Safety Management

For those mining dams that cannot be decommissioned and have to be maintained as functional
dams for a very long time, Dam Safety Guidelines (CDA, 2013) does not provide specific guidance.
This section provides such guidance for the Closure – Active and Closure – Passive Care Phases.

The dam classification scheme described above in Section 3.1 applies to mining dams in the
Closure – Active and Closure – Passive Care Phases. However, the designer should consider
measures to reduce the consequences of dam failure and thus the dam classification, such as the
following:

• Remove the water level in the impoundment. (A discussion on covers is provided in

Section 5.)
• Improve the strength of liquefiable materials contained by the dam to reduce potential
for and extent of a flow failure, and ultimately change the structure from a dam to,
effectively, a waste dump.
• Lower the height of the area contained by the mining dam by reshaping the surface and
the perimeter dam slopes to reduce the consequences of failure. Settlement of the
contents would need to be considered in this design.
• Consider effects of changes to the quality of water contained by the dam and the
chemical and physical properties of the solids.

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On the other hand, changes or potential changes in the downstream environment (i.e.
development, ecosystem establishment) could cause an increase in the consequences of failure.
The designer should consider the potential for these changes in the long term.

Section 3.1 provided information on the Engineer of Record (EOR) and records management.
Because of the extended time frame of closure, these items are very important and systems need
to be put in place to ensure that these items are adequately addressed.

4.2 Operations, Maintenance, and Surveillance

Prior to entering the Closure – Active Care Phase, the OMS Manual should be updated to reflect
the conditions in this phase. The OMS Manual should include the maintenance and surveillance
requirements. These would reflect the consequence classification of the dam and the associated
risks.

To support modifications to the inspection frequency, a risk assessment should be undertaken

that would consider the performance of the dams during the Operation and Transition Phases. It
is likely that the guidance provided in Section 3.2 can be reduced.

Prior to entering the Closure – Passive Care Phase, the OMS Manual should be updated as well.
The following items would be considered:
• Routine inspections may not normally be done as the site will typically not be staffed. If
an owner wishes to utilize routine inspections to help manage the risks and reduce costs
associated with capital improvements, then that could be an acceptable approach.
• Instrumentation monitoring may not be conducted due to site access or resource
limitations. Remote observation systems could be considered.
• Engineering inspections may not have to be the same as for the Transition Phase and
Closure - Active Care Phase.

Special inspections may be required after extreme events and the OMS Manual should prescribe
the conditions under which this inspection should be done.

A key objective of the design and closure measures that are implemented for the Closure –
Passive Care Phase is to reduce the effort associated with the operations, maintenance, and
surveillance activities to as low as reasonably practical.

4.3 Emergency Preparedness and Response

For sites that require on-going water management and water treatment, site personnel are
typically present during the Closure – Active Care Phase. Other sites may only have intermittent
surveillance during this phase. The ability to respond to emergencies effectively during this
phase needs to be evaluated as part of the closure planning process.

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For sites in the Closure – Passive Care Phase, there are typically no staff on site and there is no
ability to respond in a short time frame to problems with the dams or emergencies. The
Emergency Preparedness and Response Manual for the Closure – Passive Care Phase still should
develop an approach for dealing with possible emergencies related to dam stability issues.

4.4 Dam Safety Reviews

The Dam Safety Review process is an important means of managing risk associated with dams in
the Closure – Active and Closure - Passive Care Phases. By undertaking a Dam Safety Review at
regular intervals, the owner ensures that changes to the dam and surrounding environment are
considered, their effects on the safety of the dam defined, and the potential consequences of
failure re-evaluated.

The surveillance and inspection frequency should be re-assessed and the OMS Manual reviewed
with consideration to these evolving changes. This is also an effective means of managing risks
associated with climate change as it is not possible to make accurate predictions of climate change
in the long term. The Dam Safety Review should identify the need for updates to the OMS
Manual to reflect the changing environment, if appropriate.

The dam classification and risk profile of the dam (including the additional risks that are not
captured in the dam classification scheme) should be revisited as part of the Dam Safety Review
process to reflect changes in the downstream environment and land use. The design criteria
should be reviewed in the context of the classification as well as the state of practice at the time of
the Dam Safety Review. As part of the Dam Safety review the design life and design interval for
the structure should be considered.

If modifications to the design are required as a result of the Dam Safety Review, the dam would
return to the Transition Phase and then move through to the Closure – Active Care and possibly
the Closure - Passive Care Phase.

The frequency of future Dam Safety Reviews should be developed as part of the OMS Manual
that is prepared prior to entering the Closure – Active or the Closure – Passive Care Phases. This
frequency should then be reviewed during each Dam Safety Review and the dam specific
frequency established with the associated conditions. Risk assessment methods can be used to
assist with the Dam Safety Reviews and prescribing frequency of future dam safety inspections
(DSIs) and Dam Safety Reviews.

4.5 Analysis and Assessment

Section 3.0 presented the concept of the design interval. For the Closure – Active Care Phase, the
design interval could last for decades or hundreds of years, but as noted above, if the dams are
being monitored on a regular basis, there are ongoing DSIs, and there is an ability to effectively
respond to warning signs and emergencies, then the target levels and approaches described in
Section 3.5 would apply. For Closure - Passive Care Phase, the design interval could extend for
hundreds of years and there may not be regular monitoring or an opportunity to effectively

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respond to warning signs and emergencies. There is an intermediate condition in the Closure –
Active Care Phase where the surveillance is intermittent and the ability to respond to
emergencies might be limited. This will have a bearing on setting the design criteria and
surveillance program and the guidance in Section 3.5 may not strictly apply.

The extended design interval needs to be considered when developing the criteria for dam safety.
A longer design interval (or exposure period) increases the likelihood of an event occurring. Since
design criteria are established to reduce the probability of failure, the design criteria for the
Closure – Passive Phase may need to be more stringent to account for the longer design interval
and the limited monitoring and opportunity to respond to warning signs and emergencies. For
failure modes that have a probability of failure associated with them, a design interval (or
exposure period) of perpetuity would result in a probability of unity.

Assuming that the other variables will not change over the life of a structure, then the design
criteria for flooding and seismic events can be made more stringent. The resulting suggested
target levels for the flood and earthquake hazards are shown in Tables 4-1 and 4-2. It is noted that
the ranges shown for the Significant and High consequence dams illustrate that the criteria
should be commensurate with the range of potential consequences for the particular dam. A risk
assessment may be necessary to justify the selection of criteria.

Table 4-1. Target Levels for Flood Hazards, Standards-Based Assessments,

Closure – Passive Care Phase
(Initial Consideration and Consultation Between Owner and Regulator)
Dam Classification Annual Exceedance Probability –
Floods (note 1)
Low 1/1,000
Significant 1/3 Between 1/1,000 and PMF (note 2)
High 2/3 Between 1/1,000 and PMF (note 2)
Very High PMF (note 2)
Extreme PMF (note 2)
Notes:
Acronyms: PMF, Probable Maximum Flood; AEP, annual exceedance probability
1. Simple extrapolation of flood statistics beyond 10-3 AEP is not acceptable.
2. PMF has no associated AEP.

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Table 4-2. Target Levels for Earthquake Hazards, Standards-Based

Assessments for Closure – Passive Care Phase
(Initial Consideration and Consultation Between Owner and Regulator)
Dam Classification Annual Exceedance Probability –
Earthquakes (note 1)
Low 1/1,000
Significant 1/2,475 (note 2)
High 1/2 Between 1/2,475 (note 2)and
1/10,000 AEP or MCE (note 3)
Very High 1/10,000 AEP or MCE (note 3)
Extreme 1/10,000 AEP or MCE (note 3)
Acronyms: MCE, Maximum Credible Earthquake; AEP, annual exceedance probability
Notes:
1. Mean values of the estimated range in AEP levels for earthquakes should be used.
The earthquake(s) with the AEP as defined above is (are) then input as the
contributory earthquake(s) to develop Earthquake Design Ground Motion (EDGM)
parameters as described in Section 6.5 of Dam Safety Guidelines (CDA 2013).
2. This level has been selected for consistency with seismic design levels given in the
National Building Code of Canada.
3. MCE has no associated AEP.

It is important to note that the designer (EOR) and owner can increase beyond these target levels
when setting the criteria if they wish to further reduce the risk. The designer can also go lower if
they have done a comprehensive risk assessment to support such a decision and the regulator
concurs with the assessment.

Tables 4-1 and 4-2 could also be applicable for dams that are expected to remain in the Closure –
Active Care Phase for an extended period (many decades or centuries) if the owner is conducting
infrequent surveillance or would not have sufficient resources to respond to warning signs or
emergencies.

Risk assessment methods can be used to provide informed guidance on criteria development.
Items such as erosion of the downstream and upstream slopes; spillway sizing not only to pass
the IDF but to handle blockage due to fallen trees, ice, and beaver activity; access, etc. need to be
considered with respect to the Closure – Passive Care Phase when personnel are not on site on a
regular basis and there is reduced surveillance and inspection.

With respect to hydrotechnical matters, the guidance provided in Section 3.5 is considered
acceptable for Closure – Passive Care Phase as well, again assuming that other variables will not
change over the life of the structure. An item that warrants attention is diversion ditches that are
used to divert fresh water away from an impoundment to limit treatment requirements. For
closure, it is typical to assume that these diversion ditches are not functioning during the IDF.

With respect to factor of safety, the guidance provided in Section 3.5 is considered acceptable for
Closure – Passive Care Phase as well, again assuming that other variables will not change over
the life of the structure.

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Erosion protection on side slopes of the dams is an important consideration for closure, especially
for the Closure – Passive Care Phase, where significant erosion gullies could form without being
detected. A design flood event must be established to support the design of the erosion
protection system on the slopes (from vegetation to rockfill). The design flood event for this can
range from the 1 in 1,000 year event to the PMF depending on the consequences of the erosion
feature. Also, the effect of animal burrows should be considered.

Geosynthetics are often considered as design elements for the dams at closure and the use of
these materials needs to be carefully evaluated for dams that are being prepared for the Closure –
Passive Care Phase.

In addition to the extended design interval, additional factors should be considered when
developing design criteria for the Closure – Passive Care Phase, such as the following:

• The inherent limitations associated with estimating changes over extended time periods
based on 20 to 50 years of data.
• The effect of climate change on extreme events.
• The effect of changes in the condition of the facility (i.e. vandalism, reduced maintenance,
natural hazards such as fire and drought).
• The effect of potential changes in ownership of the facility or personnel and the degree of
vigilance/inspection of the structure.
• The effect of changes in water table and water chemistry of the impounded fluid or
materials that could alter the seepage conditions within the dam and foundation.
• The potential for future settlement and land developments in the area.
• Changes to filters over time that could reduce their effectiveness in the long term. In
some jurisdictions, the designs have to demonstrate that the dam is stable assuming that
filter is fully clogged, regardless of the mechanism that could result in such clogging.

The design criteria for the Closure – Passive Care Phase may, in fact, be the primary criteria that
are adopted for design during the Operation, Transition, or the Closure – Active Care Phases.
Studies can be done to determine which phase is the optimal phase for implementing the designs
required to meet the Closure – Passive Care Phase.

This sub-section focused on design criteria which are intended to address the probability part of
the risk equation. Section 4.1 discussed means of reducing the classification (the consequence part
of the risk equation). Tradeoff studies can be undertaken when designing for closure to
determine the optimal combination.

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Application of CDA Dam Safety Guidelines to Mining Dams

5.0 Considerations for Covers

For closure, the impoundment contents are typically covered either with a dry cover or a wet
cover. A dry cover can range from a simple soil cover that supports vegetation to a complex dry
cover with multiple layers that are designed to impede infiltration of surface water and/or
oxygen. The containment dams around the impoundment are still expected to provide
containment in perpetuity, unless it can be demonstrated that the contents will not flow if the
dam breaches and the perimeter containment no longer needs to be considered as a dam.

When dealing with acid rock drainage (ARD) and metal leaching (ML), many mines have opted
to construct “wet covers” that create a pond over the ARD/ML material (typically tailings, but
also other process residues, etc.) that is contained by low permeability dams. In some cases, the
dam and facility is constructed to support an elevated water table (EWT) that can maintain acid
generating materials in a saturated state while not resulting in a free water pond. Such
structures are often also expected to exist in perpetuity, providing a wet cover over ARD/ML
tailings forever. These strategies have proven to be effective in controlling ARD/ML.

When comparing dry covers to wet covers, it is important to conduct a careful evaluation of both
options as they have direct ramifications on the design of the containment dams. The following
lists some of items that should be considered in this evaluation:

• The consequences of failure of a wet cover system can be more severe than for a dam
containing a dry cover system. Not only will a dam break include the water forming the
wet cover, but the tailings that are contained will be more mobile because they are
saturated.
• The OMS requirements will be greater for a dam supporting a wet cover than a dry
cover.
• A wet cover is more susceptible to variations in climate change.
• It is less likely that the dam could reach the Closure – Passive Care Phase and the dam
may be in the Closure – Active Care Phase for perpetuity.
• The potential for creating a landform that is effectively a “walk away” closure solution is
very difficult with a wet cover, moreso than a dry cover.
• The regional ground water system could be affected as a result of long term seepage from
the wet cover and through the tailings.
• Long term geochemical reactions and their effect on the elements within the dam will be
more prevalent for a wet cover system than a dry cover system, particularly filters.

The challenges associated with water covers are described in a State of the Art Report on Water
Cover Closure Design for Tailings Dams Bjelkevik (2005).

A tradeoff study should be undertaken to fully compare all that is required to maintain a wet
cover and the associated dam safety obligations (as outlined in this Bulletin and other guidance)
against other options that do not call for a wet cover. The study should look at other options as
well such as storage in mine workings.

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6.0 Future Ownership, Liability and Custodial

Transfer
It is recognized that for mining dams in the Closure – Active Care Phase or Closure – Passive
Care Phase, the ownership and liability associated with the dams may not be clear as time passes.

For a mining dam on a property owned by a mining company, the ownership and liability will
transfer with the property ownership, but it is recognized that provincial or territorial
governments may ultimately become liable for these dams as some mining corporations cease to
exist. This is addressed in part by financial assurance packages that a mining company must put
in place either prior to or during their operation. This is an important issue that is beyond the
scope of this Bulletin but needs to be recognized in the design of the mining dam and in
establishing criteria that are suitable to stakeholders including future owners, landowners, and
the provincial/territorial governments.

When a mining dam is located on land owned by the provincial or federal government (the
Crown), under a mining lease (or through surface rights or patents), then ultimately, when the
lease expires, the Crown will become the owner of the mining dam through the process of
Custodial Transfer in accordance with the lease terms. Financial assurance packages are still
required and the design also has to consider this end point.

In Alberta, there is a formal process for transferring disturbed lands back to the Crown (Richens
and Purdy, 2011). The Institutional Control Program (ICP) in Saskatchewan, is outlined as
follows (Saskatchewan 2009):

“The ICP consists of those actions, mechanisms and arrangements implemented in order
to maintain control or knowledge of a remediated site after project closure and custodial
transfer to some form of responsible authority. This control may be active (e.g. by means
of monitoring, surveillance, remedial work, fences, etc.) or passive (e.g. land use
restrictions, markers, records, etc.). Activities undertaken by the post-transfer custodian
(i.e. the province is the responsible authority) could range from the simple act of
permanently recording the location of a remediated site all the way to conducting regular
inspections that may or may not include active measurements and the collection of
samples for analysis and potentially the eventual maintenance of certain aspects of the
property.“

The Native Orphaned and Abandoned Mines Initiatives (NOAMI) produced the “Policy
Framework in Canada for Mine Closure and Management of Long Term Liabilities” (Cowan
Minerals Ltd., 2010). In assessing the role of perpetual care, long-term monitoring and
maintenance, the report stated the following with respect to mining dams:

“We know that there are elements of sites closed out under acceptable technical
standards and guidelines that now require long-term monitoring and maintenance in
order to ensure the safeguards remain intact and are performing as intended in the

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closure process. These safeguards can range significantly depending on the complexity of
the original mining operations.”

That document provides further guidance on issues to consider for custodial transfer, including
the following Policy Guidance:

• “Ensure all closed out site features that may present a future hazard and cost are
identified in all the closure plan process.
• Develop a site land return process that focuses on these features/hazards to provide a
degree of certainty of impacts, potential for occurrence, level of risk acceptance and
method of costing. This should include worst case scenarios to assist in emergency
response planning and costing.
• Establish or identify a jurisdictional body that coordinates agency/stakeholder inputs and
has authority to negotiate final assurance requirements and develop appropriate
inspection programs.
• Establish a recognized authority for receipt of assurance and tracking and consistent
application of funds for monitoring, maintenance and emergency requirements. This
should include funds dedicated to site specific features as well as funds established for
unforeseen incidents.
• Ensure funds are held in dedicated accounts with appropriate investment growth
potential.
• Establish a secure archiving/filing system to store mine site data for ready access.
• Ensure all land use restrictions are applied, recorded, enforced and appropriately
identified in all land use planning systems such as GIS."

Morgenstern (2012) stated that these approaches are “untested on the complex issues associated
with reclamation of lands disturbed by oil sands mining.” This would also be true for non-oil
sands mining. Morgenstern further states that “Strategies based on perpetual care are attractive…
and should be assessed.” The guidance provided in this Bulletin with respect to Closure – Active
Care and Closure – Passive Care fits with this approach.

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7.0 References

Bjelkevik, Annika. 2005. Water Cover Closure Design for Tailings Dams, State of the Art Report.
Lulea University of Technology, Department of Civil and Environmental Engineering. ISSN:
1402-1528. http://epubl.ltu.se/1402-1528/2005/19/LTU-FR-0519-SE.pdf

Cowan Minerals Ltd. 2010. Policy framework in Canada for mine closure and management of
long term liabilities, for NAOMI.

Environment Canada. 2009. Environmental Code of Practice for Metal Mines. Issued by the
Mining Section, Environmental Stewardship Branch, document 1/MM/17.

ICOLD Bulletin 103. 1996. Tailings Dams and Environment – Review and Recommendations.
Commission Internationale des Grands Barrages. Paris.

ICOLD Bulletin 139. 2011. Improving Tailings Dam Safety: Critical Aspects of Management,
Design, Operation, and Closure. International Commission on Large Dams.

ICOLD Bulletin 153. 2013. Sustainable Design and Post-Closure Performance of Tailings Dams.
International Commission on Large Dams.

Mining Association of Canada, 1998. Guide to the Management of Tailings Facilities.

Mining Association of Canada, 2004. Guide Developing an Operation, Maintenance, and

Surveillance Manual for Tailings and Water Management Facilities.

Morgenstern, N.R. 2012. Oil Sands Mine Closure – The End Game: An Update. University of Alberta,
Edmonton, Alberta

Saskatchewan. 2009. Institutional Control Program, Post Closure Management of

Decommissioned Mine/Mill Properties located on Crown Land in Saskatchewan.
Saskatchewan Ministry of Energy and Resources.

Szymanski, M.B. 1999. Evaluation of Safety of Tailings Dams. BiTech Publishers. Vancouver.

Richens, T.C. and Purdy, B.G., 2011. Regulatory requirements for reclamation and closure
planning at Alberta’s oil sands mines. Proceedings 6th Int. Conference on Mine Closure,
2011, Vol. 2, p. 47-55, Australian Centre for Geomechanics.

This document has been provided for use by McGill University Libraries. No part of this
publication may be reproduced, copied, distributed or transmitted in any form or by any means
without prior written permission from CDA. Because revisions and commentary on this
publication may be issued at any time, CDA does not warrant that this edition is the most
current. Revisions and commentary are made available to CDA members at www.cda.ca.

This document has been provided for Chrystian Alexander Caceres Dominguez, Sr. of GEOHIDRAC
SAC. All rights reserved.
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TECHNICAL BULLETIN
Application of CDA Dam Safety Guidelines to Mining Dams

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TECHNICAL BULLETIN
Application of CDA Dam Safety Guidelines to Mining Dams

APPENDIX A.
COMPARISON TO MAC AND ICOLD GUIDELINES
MAC and ICOLD provide guidance with respect to the phases of a mining dam. This sub-section
compares the framework discussed in this Bulletin with the guidance from MAC and ICOLD
with a focus on closure.

Figure A.1 shows the “stages in the life cycle of a tailings facility” from MAC (1998). The stages
are site selection and design, construction, operation, and decommissioning and closure. As
noted above, we have adopted the term “phases of life” instead of “life cycle”. MAC does not
provide detailed guidance on “decommissioning and closure” and this Bulletin addresses this.

Figure A.1. Stages in the Life Cycle of Tailings Facility (from MAC 1998)

Figure A.2 shows the “phases of tailings management” from ICOLD (2011) which begins with
planning and ends with long term care.

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Figure A.2 Phases of Tailings Management (from ICOLD 2011)

ICOLD (2011) provides the following definitions associated with the terms provided in Figure
A.2:

Closure is the shutting down and decommissioning of a mine and tailings dams when
production has ceased including the transition of the mining area and dam into long-
term stable structures. Normally, closure includes decommissioning, remediation
(reclamation or rehabilitation) and after care at the site and the tailings dam.

Decommissioning is the closing down of operations and removal of unwanted

structures.

Remediation refers to measures required to secure the long-term stability and to ensure
environmental safety of structures such as tailings dams and disturbed ground. It often
includes measures to encapsulate tailings in order to restrict the potential for toxic
materials entering the wider environment.

After Care is the last phase of closure that is required to verify that the measures taken
are performing according to the design and expectations. When verified, the Long Term
Monitoring phase starts.

Long term monitoring is the period of time for which closure is designed and
commences after completion of the after care phase.

When developing the framework described in Section 2.2 in this Bulletin, we considered these
definitions and addressed them as follows:

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• The term “Closure” as defined by ICOLD was modified as per the definition in Section
2.2.4 as the ICOLD definition was focused on tailings dams and this Bulletin extends to
other mining dams.
• The term “Decommissioning” was extended to include the removal of a dam (breach,
partial removal, or full removal).
• “Remediation” is part of the Operation and Transition Phases described in Section 2.2.
• “After Care” is part of the Active Care Phase described in Section 2.2.
• “Long Term Monitoring” is part of the Passive Care Phase described in Section 2.2.

ICOLD (2013) provided further clarification to the terminology to be used for closure. In that
Bulletin, Closure is defined as the planned cessation of tailings disposal into the tailings dam and
the modification/engineering of the tailings dam with the objective of achieving long term
physical, chemical, ecological, and social stability and a sustainable, environmentally appropriate
after use.

ICOLD (2013) also states that Post closure is the period following cessation of operation of the
tailings into its final form. The post closure period is generally divided into active and passive
care periods. Active care is the period when intervention and monitoring is required to achieve a
final sustainable form concurrently with stabilization of the structures and environmental
elements. Passive care is the period following active care during which the performance of the
tailings dam is monitored to ensure its compliance with the closure objectives. This period has no
time limit, but can be defined as being necessary until the tailings dam, in the opinion of the
regulatory authorities, is considered to be physically , chemically, ecologically, and socially stable
and no longer poses a risk to life or the environment. This is an important point that is described
below in the sub-section entitled Landforms.

When developing the phases described in this Bulletin, we considered the ICOLD (2013)
definitions and addressed them as follows:

• The term “Closure” was focused on tailings dams and we modified it to include other
mining dams, but retained the sustainability concept put forward by ICOLD (2013).
• The term “Post Closure” was not used as we adopted the term “Closure” to address the
“Active and Passive Care”. The term “Post Closure” may be best used for the time when
the dam could be considered a landform.
• The concept of “Active Care” was retained, but we established a Transition Phase
between “Operations” and Active Care Phase.
• The concept of “Passive Care” was retained.

It is interesting to note that ICOLD (2013) allows for the possibility of a dam becoming a
landform through their statement “no longer poses a risk to life or the environment.” This would
be similar to the landform concept discussed in Section 2.4.

Figure A.3 provides a comparison between the guidance provided in this Bulletin, MAC and
ICOLD (2011, 2013).

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Application of CDA Dam Safety Guidelines to Mining Dams

Figure A.3 Comparison of Life Phases – CDA, MAC, ICOLD

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