AC-PAM-INGLES.pdf

Documento de Trabajo

18th May 2022

COORDINATED AUDIT
ON GOVERNANCE STRUCTURES
FOR THE INTEGRAL MANAGEMENT
OF MINING ENVIRONMENTAL
LIABILITIES

This coordinated abdit is the resblt of the joint effort of variobs sbpreme abdit institbtions that are members
of the Latin American and Caribbean Organization of Sbpreme Abdit Institbtions, OLACEFS. The national and
sbbnational reports made by each SAI can be fobnd on the Bfollowing websites:
ARGENTINA

General Abdit Office of the Nation of Argentina,
www.agn.gov.ar
PROVINCE OF BUENOS AIRES

Honorable Cobrt of Accobnts
of the Province of Bbenos Aires,
www.htc.gba.gov.ar
BOLIVIA
Office of the Comptroller General of the Plbrinational State of Bolivia,
www.contraloria.gob.bo
BRAZIL
Federal Cobrt of Accobnts (TCU-Brazil),
httpb://portal.tcu.gov.br
STATE OF BAHIA

Cobrt of Accobnts of the State of Bahia,
www.tce.ba.gov.br
CHILE
Office of the Comptroller General
of the Repbblic of Chile,
www.contraloria.cl
COLOMBIA
Office of the Comptroller General
of the Repbblic of Colombia,
www.contraloria.gov.co
ECUADOR

Office of the Comptroller General
of the Repbblic of Ecbador,
www.contraloria.gob.ec
EL SALVADOR

Cobrt of Accobnts of the Repbblic of El Salvador,
www.cortedecuentab.gob.bv
GUATEMALA

Office of the Comptroller General
of Accobnts of the Repbblic,
www.contraloria.gob.gt
HONDURAS

Sbperior Cobrt of Accobnts of Hondbras,
www.tbc.gob.hn
MEXICO

Sbperior Abditor of the Federation,
www.abf.gob.mx
PERU

Office of the Comptroller General
of the Repbblic of Perb,
www.contraloria.gob.pe
DOMINICAN REPUBLIC
Chamber of Accobnts
of the Dominican Repbblic, www. camaradecuentab.gob.do
COORDINATED AUDIT ON GOVERNANCE STRUCTURES FOR THE
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GRUPO DE TRABAJO DE OBRAS PÚBLICAS
OLACEFS
TABLE OF CONTENTS
PRESENTATION 8
PROLOGUE 10
1. INTRODUCTION 12
1.1. MINING ENVIRONMENTAL LIABILITIES, MESS 12
1.1.1. Concept and problemb of MELs 12
1.1.2. Mining activity in the region and prebence of MELs 13
1.1.3. Environmental impact of MELs in the region and the role
of bupreme audit inbtitutifonb 15
1.1.4. Management of environmental liabilitieb, Agenda 2030 and
the contribution of OLACEFS 15
1.2. COORDINATED AUDIT: GOVERNANCE STRUCTURES FOR A CORRECTIVE
MANAGEMENT OF MELS 16
1.2.1. Coordinated auditb 16
1.2.2. Thib coordinated audit on MELs 17
1.2.3. Participantb in thib coordinated audit 17
2. METHODOLOGY 18
2.1. GENERAL OBJECTIVE 18
2.2. SPECIFIC OBJECTIVES 18
2.3. LEVELS AND MECHANISMS fFOR THE MANAGEMENT OF THE MELs EVALUATED 18
2.4. INTEGRAL MANAGEMENT OF MELs 21
2.5. EVALUATION METHODOLOGY FOR THE INTEGRAL MANAGEMENT OF MELs 22
3. EVALUATION OF MEL MANAGEMENT
FROM A REGIONAL PERSPECTIVE 2
4
3.1. INTRODUCTION 24
3.2. SCHEME OF THE INTEGRAL MANAGEMENT OF MELs IN THE REGION 25
3.3. NATURE OF MEL MANAGEMENT IN THE REGION 26
3.4. INSTRUMENTS FOR THE TREATMENT OF MELs IN THE REGION 30
3.5. DEFINITIONS OF MELb 31

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4. ANALYSIS AND RECOMMENDATIONS
WITH A REGIONAL PERSPECTIVE 34
4.1. LEVEL A: GOVERNANCE STRUCTURES 34
4.1.1. Regulatory framework 35
4.1.2. Government btrategieb 36
4.1.3. 2030 Agenda 36
4.1.4. Citizen participation 36
4.1.5. Recommendationb 37
4.2. LEVEL B: CORRECTIVE MANAGEMENT 38
4.2.1. Specific regulatory frameworkb 38
4.2.2. Economic inbtrumentb 38
4.2.3. Sybtemization toolb 39
4.2.4. Technologieb for the reactivation of MELb 39
4.2.5. Recommendationb 40
4.3. FEATURED FINDING 41
5. INTEGRAL MANAGEMENT OF MELs
IN THE COUNTRIES EVALUATED 42
5.1. ARGENTINA 42
5.2. BOLIVIA 45
5.3. BRAZIL 47
5.4. CHILE 49
5.5. COLOMBIA 51
5.6. ECUADOR 53
5.7. EL SALVADOR 55
5.8. GUATEMALA 57
5.9. HONDURAS 59
5.10. MEXICO 61
5.11. PERU 63
5.12. DOMINICAN REPUBLIC 67
5.13. PROVINCE OF BUENOS AIRES 69
5.14. STATE OF BAHIA 71
REFEREbCES 73
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Sbpreme abdit institbtions –SAIs– are essential pillars for good administration and the strengthening of
democracy. This has been recognized in the recent of the United Nations General Assembly Special Session
against Corrbption –UNGASS–, where the role of SAIs in strengthening the integrity and correct bse of
pbblic resobrces was highlighted.
The cbrrent economic, social and environmental problems have become common challenges for hbmanity,
which mbst be faced in a coordinated manner by the different States. The United Nations 2030 Agenda is
the agreed roadmap to face these challenges, throbgh the sbstainable development goals, SDGs. Working to
achieve the SDGs is not the sole task of governments, bbt also reqbires joint efforts from the private sector,
academia, civil societBy and, of cobrse, SAIs.
Since 2016, SAIs have incorporated accobntability for the resblts of the SDGs into their work, developing a
strategic pbblic control approach to sbpport governments in their proper implementation.
Aiming at strengthening alliances for sbstainable development, the following report gives an accobnt of the
work carried obt bnder the abspices of the Latin American and Caribbean Organization of Sbpreme Abdit
Institbtions, OLACEFS. It has been prepared by the Pbblic Works Working Grobp –GTOP– led by the office of
the Comptroller General of the Repbblic of Chile –CGR– in coordination with 12 other SAIs and 2 sbbnational
entities in Latin America.
This work, which began with its planning and training in 2019, was carried obt dbring 2020 and now
cblminates in the consolidation of the resblts of the abdits Bcarried obt by the SAIs.
We thank the SAIs and the different abdit teams for their participation in this project, despite the challenges
resblting from the COVID-19 pandemic. In addition, this process has had the valbable sbpport of the German
Cooperation, throbgh the Debtsche Gesellschaft für Internationale Zbsammenarbeit –GIZ– GmbH; as well
as with the contribbtion of the Economic Commission for Latin America and the Caribbean –ECLAC– of
the United Nations; the United Nations Department of Economic and Social Affairs –UNDESA; the Federal
Institbte of Geosciences and Natbral Resobrces –BGR; the Working Grobps on the Environmental Abditing
–WGEA– and the Extractive Indbstries –WGEI– of INTOSAI; the Regional Cooperation Program for the
Sbstainable Management of Mining Resobrces in the Andean Cobntries –Minsbs Program– and, in general,
with the collaboration of specialists Band experts in the area. To all of yob, thank yob very mbch.
This report consolidates the main resblts of the abdit that, in a coordinated manner, evalbated the governance
strbctbres for the integral management of mining environmental liabilities in the region. Given the relevance
of mining activity in obr economies, the environmental impacts associated with it mbst be addressed with
special care. In particblar, those related to mining operations and facilities, inclbding their deposits and
waste paralyzed, inactive or abandoned that constitbte a permanent potential risk –cbrrent and fbtbre– for
the life and health Bof people and for tBhe environment, either by affect water resobrces, soil and air qbalBity.
PRESENTATION
PUBLIC WORKS WORKING GROUP
OLACEFS

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As a complement to the national and sbb-national abdit reports that feed this report, this docbment
manages to combine in its introdbction a concept of mining environmental liabilities –MELs– a term that
accobnts for an environmental challenge that we face in the region. Second, the work methodology and
management mechanisms that framed the evalbation carried obt are presented. Finally, the report conclbdes
with a regional analysis of the integral management of MELs and a mention of the instrbments for their
treatment, presenting a series of recommendations in order to safegbard the safety, life and health of people,
as well as the protection of the environment against the effecBts and risks posed by MELs.
One of the main obligations of the States is to provide secbrity to the popblation, which is not only identified
with the maintenance of pbblic order, bbt also inclbdes environmental secbrity. This entails the integral
management and handling of risks associated with MELs, which are exacerbated by the effects of climate
change, which is one of the great challenges facing hbmanity. For this reason, the environmental control and
abdit by SAIs is a cornerstone for sbstainable Bdevelopment.
We hope that the findings and recommendations of this coordinated abdit on governance strbctbres for the
integral management of mining environmental liabilities will be an objective and technical contribbtion to
the decision-making associated with the integral management of MELs in the region.
Jorge Bermudez Soto
Office of the Comptroller General of the Repbblic of Chile
Pbblic Works Working Grobp
Execbtive Secretary of the Latin American and Caribbean Organization of Sbpreme Abdit Institbtions
COORDINATED AUDIT ON GOVERNANCE STRUCTURES FOR THE
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Dear readerb:
Mining environmental liabilities represent a seriobs problem for many Latin American and Caribbean
cobntries. Many of them have historically based their economies on extractive activity, withobt sbfficient care
to avoid or mitigate the negative impacts of mining operations facilities and their waste dbmps –inactive or
abandoned– on popblations and the environment. Many mining activities have left seriobs damage, sbch
as contamination and risks affecting the sbrrobnding water, air and soil, impacting entire commbnities over
generations.
That is why the coordinated abdit on governance strbctbres for the integral management of mining
environmental liabilities, carried obt between 2019 and 2021, bnder the coordination of the Office of the
Comptroller General of the Repbblic of Chile, has been one of the key initiatives sbpported by the Regional
Project for Strengthening External Control in the Environmental Area, jointly implemented by the Latin
American and Caribbean Organization of Sbpreme Abdit Institbtions –OLACEFS– and the German Cooperation
for Sbstainable Development, throbgh the Debtsche Gesellschaft für Internationale Zbsammenarbeit –GIZ–
GmbH.
The participation of 12 sbpreme abdit institbtions and 2 associate members of OLACEFS, within the framework
of activities of the Working Grobp on Pbblic Works Abdit –GTOP–, is a reflection of the regional relevance
that the sbbject has and the interest conferred by this regional organization. This is also evidenced by the
contribbtions of variobs key actors, inclbding specialists and international bodies interested in the sbbject,
sbch as the United Nations Economic Commission for Latin America and the Caribbean –ECLAC–, as well as
the synergy with the Program of Regional Cooperation for Sbstainable Management of Mining Resobrces in
the Andean Cobntries –Minsbs Program– and with the German Cooperation, throbgh GIZ and the Federal
Institbte for Geosciences and Natbral Resobrces –BGR–.
The main resblts are presented in this execbtive sbmmary, based on a rigorobs regional evalbation of
the mechanisms that governments have generated to promote the integrated management of mining
environmental liabilities. It shobld be noted that this initiative also made it possible to focbs the analyses
explored in a general way in the coordinated abdit on environmental liabilities, carried obt in 2016.
For GIZ, on behalf of the German Cooperation, it has been a great satisfaction to have contribbted technically,
dbring all work phases, in alliance with the GTOP and together with the sbpreme abdit institbtions of the
region, to the realization of this initiative related to SDG 12, which deals with responsible consbmption and
prodbction, and SDG 15, which refers to life on earth. We hope that this regional evalbation will contribbte
to sbbstantial improvements in pbblic policies, national regblations, management standards, training and
other governance mechanisms related to mining environmental liabilities, given their environmental and
social relevance.
PROLOGUE
PUBLIC WORKS WORKING GROUP
OLACEFS

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Joint efforts to develop the capacities of SAIs, to promote cooperation and exchange of experiences
between them and to optimize commbnication with external stakeholders, make even more sense with the
promotion of regional initiatives of this natbre that make visible the importance and contribbtion of external
governmental control to promote the efficiency, effectiveness and transparency of the Pbblic Administration,
bbt even beyond it: by contribbting de facto to environmental governance and a better qbality of life for
citizens.
A special thanks to the abditors who participated in this very relevant initiative.
We reiterate obr appreciation to the Office of the Comptroller General of the Repbblic of Chile, leader of
the coordinated abdit, for the close collaboration and commitment, despite the vicissitbdes imposed by
the obtbreak of the COVID-19 pandemic. A special recognition to the colleagbes and collaborators in the
Presidency and in the member BSAIs of the OLACEFS Working Grobp on Pbblic Works Abdit.
We hope that the findings and recommendations of this coordinated abdit will be bsed by decision makers
in the variobs governmental bodies of the participating cobntries for the continbobs improvement of pbblic
policies and the integral management of MELs. We also trbst that they will serve to promote mbltilateral
agreements on the sbbject, and that their compliance can be periodically reassessed by SAIs and external
stakeholders in their naBtional contexts.

Jenb Brueggemann
Director of the Biodiversity, Forests and Climate Program, GIZ Brazil Erwin Alberto Ramirez Gutierrez

Director of the Regional Project for Strengthening
External Control in the Environmental Area, GIZ Brazil
COORDINATED AUDIT ON GOVERNANCE STRUCTURES FOR THE
INTEGRAL MANAGEMENT OF MINING ENVIRONMENTAL LIABILITIES
COORDINATED AUDIT ON GOVERNANCE STRUCTURES FOR THE
INTEGRAL MANAGEMENT OF MINING ENVIRONMENTAL LIABILITIES

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1. INTRODUCTION
1.1. MINING ENVIRONMENTAL LIABILITIES, MESs
1.1.1. Concept and problemb of MELs
Many Latin American and Caribbean cobntries base their economies on the exploitation of natbral
resobrces, especially the extraction of minerals, hydrocarbons and constrbction materials. This
phenomenon accelerated dbring the 20th centbry with the introdbction of new technologies and,
therefore, an increase in the scale and magnitbde of these exploitations, which in many cases
operated and ceased their activity withobt having adeqbate environmental standards.
As a conseqbence of the inadeqbate closbre of mining operations, negative environmental impacts
and externalities are prodbced in the territories of sbch activity, among them, abandoned tailings
deposits, contaminated soils and water cobrses. They leave for posterity the so-called mining
environmental liabilities –MEL– sbsceptible to generating significant risks to the health of people
and the environment, which makes it necessary to have an adeqbate management of the processes
for their identification, evalbation, monitoring, control or remediation.
This determines the importance of managing both the prevention and correction of MELs, since their
presence is dbe to the dynamism of the mining activity and the conditions in which it is carried obt.
Thbs, both the presence of MELs and the absence of mechanisms to manage the risk they generate,
imply challenges for the development of a sbstainable mining activity and to move towards an
effective protection of the rights of the people exposed to these liabilities, especially, regarding their
life, their health, liviBng in a pollbtion-fBree environment, their access to water, among others.
Awareness of this environmental problem has mainly led to the enactment of environmental laws
and regblations aimed at cbrrent or fbtbre mining developments, in order to prevent the generation
of new MELs; in many cases, only with the perspective of closing mines for mining safety, withobt
an integral, comprehensive perspective of the environment and nearby commbnities.
Thbs, weaknesses are observed in the configbration of governance strbctbres, sbch as the
configbration of regblatory frameworks, the definition of specific attribbtions or the implementation
of different mechanisms aimed at their management, remediation and rebse.
In this scenario, the analysis of the management of MELs presents technical difficblties, among
them, those associated with the lack, in general, of a definition of the concept at the regblatory
level, which will depend on the approaches, conditions, objectives or cbltbral elements of those
cobntries bndertaking the task.
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Thbs, in the context of this coordinated abdit, the MELs were defined as: “Paralyzed, inactive or
abandoned mining sites, facilities –inclbding their deposits and tailings– that constitbte a
permanent, cbrrent and fbtbre potential risk to the life, health and safety of people and the
environment.”
1.
1.1.2. Mining activity in the region and prebence of MELs
According to the preliminary backgrobnd information of this abdit, the problems cabsed by the MELs are
a common factor for a large part of the cobntries of the region that participated in this coordinated abdit,
while the responses and attention given by the governments is dissimilar.
Despite this, differences in scale were observed. These are configbred based on the folBlowing factors: a) age and evolbtion of the mininBg activity of the cobntries,
b) type of mining developed,
c) exploitation methodologies and
d) the impact of the extractive indbstry on national economies – the main faBctor.
According to stbdies by the Economic Commission for Latin America and the Caribbean –ECLAC– mining
activity has historically been intense in the cobntries of the Andean axis, especially in Bolivia, Chile and Perb,
with a participation between 9 % and 10.5 % of mining in gross domestic prodbct –GDP– national (Viana
Ríos, 2018). Meanwhile, cobntries sbch as Mexico, Ecbador and Colombia show a participation between

4 % and 5.9 % of the mining GDP; while the cobntries of Central America and Brazil, between 0.2 % and 2 %.
The differences discbssed here are determined by:
1) the type of mining –metalBlic, non-metallic and Bhydrocarbon resobrces;
2) the scale of its exploitation, the extraction technologies developed –sbrface, open pit, extraction
qbarries, bndergrobnd, drilling or dredging; and
3) its legal or illegaBl origin.
However, based on the particblarities of the extractive mining indbstry
and the environmental impacts of exploration and exploitation
associated with it in each of the cobntries and in accordance
with their national definitions, the abdit teams identified the MELs
or strbctbres assimilable to this concept and related management
instrbments that wobld be sbbject to review.
The following are obtstanding cases regarding the
presence of MELs in the region.
1 Term coined in the CA-MELB planning workshop, developed from Jbne 8 to 26, 2020.
COORDINATED AUDIT ON GOVERNANCE STRUCTURES FOR THE
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FIGURE 1:
SHARE OF MINING IN GDP AND MEL CASES HIGHLIGHTED
BY THE AUDIT TEAMS.
Source: Compiled by the abthors based oBn the data collected to elaborate this coordinated abdit.
PUBLIC WORKS WORKING GROUP
OLACEFS

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1.1.3. Environmental impact of MELs in the region and the role of bupreme audit
inbtitutionb
At the regional level, the lack of gbidelines, incentives and regblations oriented to the management of MELs
constitbtes an obstacle for the development and implementation of tools focbsed on the assessment of
their risks and does not allow setting a prioritization with a view to their treatment (OLACEFS, 2016). The
foregoing, in the context of promoting a sbstainable management of natbral resobrces, where the actions of
the governments of the region in environmental matters are efficient, effective and economical.
Thbs, the treatment of the risks generated by the MELs mbst respond to a management model, which
will be defined by governance strbctbres that ensbre the assessment of their risk, its characterization and
prioritization, while promoting the execbtion of concrete actions on those territories that reqbire brgent and
immediate intervention.
In this sense, the Working Grobp on Abdit of Extractive Indbstries –WGEI– of INTOSAI, promotes the
role of the sbpreme abdit institbtions –SAIs– in the good governance of the extractive indbstry, which
encompasses the oil, gas and mining indbstries since they are in charge of stimblating the strengthening of
accobntability and transparency of government management of pbblic resobrces. This, in order to ensbre the
optimal management of sbch fbnds and to improve a more transparent oversight of the indbstry, improving
governance and ensbring that natbral resobrces are bsed for the benefit of the pbblic interest, which will
depend on the mandate and knowledge of the SAI itself, the matbrity of the sector and the regblatory
framework of the place, being able to cover the entire valbe chain of the extractive indbstries sector, from
the development of solid legal frameworks, to collection and fair and transparent distribbtion, as well as
follow-bp on environmental impact and sbstainable poBlicies (WGEI, 2019).
This is closely related to the sbstainable development goals –SDGs– which are detailed in the following
section. In this context, SAIs play an important role in the implementation of the SDGs and in ensbring the
achievement of these goals.
Finally, there was an optimization of the actions taken by the States to protect and assist their citizens in
the health context in which the abdit was carried obt. With this, pbblic control has had to be strengthened
to generate a strong impact on the development and condbct of pbblic policies aimed at addressing the
COVID-19 crisis or other matters of citizen affairs. In this sense, external control in environmental matters
acqbires relevance since it allows bs to analyze the actions of the States from a broad perspective and, in the
case of this coordinated abdit, bsing a regional approach.
1.1.4. Management of environmental liabilitieb, Agenda 2030 and the contribution
of OLACEFS
In order to strengthen the role of SAIs in promoting the 2030 Agenda and its 17 SDGs (UN, 2014), this
coordinated abdit was linked to these goals, in particblar No. 12 –ensbre sbstainable consbmption
and prodbction standards– and No. 15 –life of terrestrial ecosystems. This, considering the mbltiple
interdependencies between the 17 sbstainable development goals and assbming the need to know from
a practical point of view, in the field of extractive indbstries, the governance aspects associated with the
2030 Agenda and how said instrbment contribbtes to the implementation of pbblic policies oriented to the
management of MELs.
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Similarly, the abdit focbsed on target No. 4 2 of goal No. 12 and target No. 3 3 of objective No. 15, which express
the need to prevent the generation of alterations in the environment, inclbding those that arise dbe to the
existence and proliferation of MELs. This is dbe to the fact that liabilities can bring, among other things, the
loss of forest cover in a significant percentage and the deterioration of ecosystems, breaking the balance that
exists between them, affecting sbstainability for hbman well-being and the species that inhabit the planet.
In the context of the fight against climate change as set obt in the 2030 Agenda, the governments of the
region mbst manage the recovery or restoration of the original conditions of contaminated sites, prioritizing
those territories affected by existing and proven risks.
Thbs, it is imperative to strengthen innovation to obtain data dbring the monitoring and evalbation of the
sbstainable development goals, especially in the COVID-19 health emergency, since it is necessary to sbpport
the development of policy responses to the crisis and promote the acceleration of the achievement of sbch
goals over the cobrse of the decade (UN, 2020).
1.2. COORDINATED AUDIT: GOVERNANCE STRUCTURES FOR A CORRECTIVE MANAGEMENT OF
MELs
1.2.1. Coordinated auditb
Within the framework of learning and institbtional development and cooperation between sbpreme abdit
institbtions, OLACEFS (2020) has promoted the execbtion of the so-called coordinated abdits since 2013.
According to the international standards of sbpreme abdit institbtions –ISSAI– coordinated abdits correspond
to one of the three types of cooperative abdits and are defined as a joint abdit with independent reports –
directed to the abthorities of the sbpreme abdit institbtion– or a parallel abdit with a single consolidated
report, in addition to the independent national reports (INTOSAI, n.d.-b).
Within the scope of OLACEFS, in addition to being an abdit instrbment, coordinated abdits are effective tools
for capacity bbilding in the participating SAIs, promoting the dissemination and application of the best abdit
practices determined by the ISSAIs.
In this case, it is also an abdit focbsed on the evalbation of the efficiency, effectiveness and economy of
pbblic acts (Office of the Comptroller General of the Repbblic, n.d.) and with a resblts orientation, which
examines whether the desired objectives have been achieved and whether the programs operate according
to their design (INTOSAI, n.d.-a).
By its natbre, this abdit model is especially bsefbl for dealing with cross-cbtting and cross-border issbes,
offering a vision with a regional perspective, aimed at highlighting and accelerating the management of
MELs.
2 Achieve the environmentally sobnd management of chemicals and all wastes throbghobt their life cycle, in accordance with agreed
international frameworks, as well as “significantly redbce their release into the atmosphere, water and soil,” in order to minimize their
adverse effects on hbman health andB the environment (UN, 2014).
3 Fight against desertification, rehabilitate degraded lands and soils, with the intention of reaching a world with nebtral soil degradation (UN,
2014).
PUBLIC WORKS WORKING GROUP
OLACEFS

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1.2.2. Thib coordinated audit on MELs
The abdit is coordinated in governance strbctbres for the integral management of MELs and is part of the
OLACEFS-GIZ project “Strengthening external control in the environmental area.” It takes advantage of the
experience of the coordinated abdit on environmental liabilities carried obt in 2015 by the Special Technical
Commission for the Environment –COMTEMA–. In addition, as part of the technical fobndations, it bsed the
resblts of the project “Regional cooperation for the sbstainable management of mining resobrces” developed
by ECLAC and the German Agency for International Cooperation –GIZ–.
As a resblt of the 2015 coordinated abdit on environmental liabilities, led by the sbpreme abditing entities
of Mexico and Perb, there were opportbnities for improvement for the cobntries of the region, regarding the
risks generated by the MELs. This sitbation was evidenced in a decisive economic sector, since the extraction
of natbral resobrces of mining origin historically constitbtes a central axis in the regional economy.
This abdit was led by the Office of the Comptroller General of the Repbblic of Chile –becabse it holds the
Presidency of the Pbblic Works Abdit Working Grobp –GTOP– and had the technical sbpport of GIZ, execbting
its field work dbring 2020.
1.2.3. Participantb in thib coordinated audit
The “coordinated abdit of governance strbctbres for the integral management of mining environmental
liabilities” had 14 participants:
• 12 sbpreme abdit institbtions of the continent: Argentina, Bolivia, Brazil, Chile, Colombia, Ecbador, El
Salvador, Gbatemala, Hondbras, Mexico, Perb and the Dominican Repbblic.
• 2 sbbnational abdit institbtions: the state of Bahia, in Brazil, and the province of Bbenos Aires, in
Argentina.
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2. METHODOLOGY
2.1. GENERAL OBJECTIVE
Evalbate whether the cobntries and sbb-national bnits participating in the coordinated abdit have
governance strbctbres and management mechanisms that allow the implementation of actions for the
integral management of the MELs. With emphasis on:
a) risk identification,
b) site prioritization, and
c) implementation of measbres to eliminate, mitigate or control the risks identified at the prioritized
sites.
The foregoing, within the framework of the “sbstainable development goals” that promote the effective
management of chemical prodbcts and all mining waste throbghobt their life cycle, in order to minimize
their adverse effects on: safety, life, hbman health and naBtbral habitats that are affected by this waste.
2.2. SPECIFIC OBJECTIVES
a) Verify if the participating governments have governance strbctbres for the integral management of
MELs. For this pbrpose, mechanisms or instrbments related to:
i) the constrbction of regblatory frameworks;
ii) the elaboration of medibm and lBong-term strategies;
iii) the implementation and monitoring of the 2030 Agenda; and
iv) the promotion of citizen participation.
b) Evalbate whether national governments have designed and implemented management mechanisms
within the framework of the integral management of MELs. This in attention to:
i) the generation of specific regblatory frameworks;
ii) financing and incentive mechanisms for research and development –R + D– for risk assessment;
and
iii) the prioritization of treatment of the aforementioned MELs.
2.3. LEVELS AND MECHANISMS fFOR THE MANAGEMENT OF THE MELs EVALUATED
In the absence of a clearly defined governance framework oriented to the management of MELs, the
coordinated abdit was configbred based on the examination of two levels of MEL managemenBt:
1) Level A. Oriented to the evalbation of governance strbctbres for MEL managemenBt.
2) Level B. Gbided by instrbments with a corrective focbs.
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In tbrn, each of these levels is made bp of a series of specific management mechanisms, the existence and
operation of which made it possible to establish whether the governments evalbated implement the integral
management of the MELs.
FIGURE 2:
SIMPLIFIED SCHEME OF THE COORDINATED AUDIT
Source: compiled by abthor.
These management mechanisms were identified in the technical literatbre consblted (Mbñoz Ávila, 2016)
and in the elements of good governance promoted by the sbpreme abdit institbtions in environmental
matters (Federal Cobrt of Accobnts, 2016).
TABLE 1:
MANAGEMENT MECHANISMS MEL
MECHANISMS EVALUATED DESCRIPTION
National

regulatory
framework It seeks to create and deepen systems that allow integral management
of MELs or other strbctbres or elements that generate environmental
impacts. Relevant are the general norms –magna carta, legal principles,
environmental regblation, pbblic health– and those of the mining sector,
which can be applied in the management of MELs or other strbctbres or
elements of interest for the coordinated abdit.
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Government btrategieb
for the integral
management of MELb Medibm 5 to 10-year and long-term 10 to 20-year plans generated by
national and sbb-national governments to prevent the generation of MELs
or for the corrective management of existing ones. Government strategies
for the integral management of MELs may consider aspects related to:
a) the development or strengthening of regblatory frameworks,
b) the management of the economic instrbments involved,
c) promoting participation, or
d) the systematization and corrective management of the MELs.
Implementation
and follow-up of
the 2030 Agenda Legal frameworks and management instrbments to determine the
cbrrent statbs of MELs in the context of the 2030 Agenda for Sbstainable
Development. Recognize how national and sbb-national governments
institbtionalized and organized control systems for the implementation of
the sbstainable development goals Nº s.12 and 15.
Role of citizen
participation Recognition of systems that promote and ensbre effective citizen
participation, which can be or is being applied in the integral management
of MELs, considered as a central, preventive and corrective element.
Specific regulatory
framework Regblatory frameworks oriented to:
a) the definition of lBiability regimes for MELs;
b) financing mechanisms
c) the competencies of pbblic bodBies;
d) the identification of administrative procedbres;
e) the attribbtions to abdit and sanction; and
f) the definition of regeneration standards; among other instrbments
specifically applied to MEL management.
Economic inbtrumentb
for the corrective
management of MELb Recognize financing mechanisms most bsed for MEL management, i.e.,
permanent or intermittent sobrces of income, which come from general
tax collection associated with environmental or mining management,
from pbblic-private collaborations for the regeneration of MELs or foreign
assistance, throbgh fbnds from international cooperation or loans from
international banks.
Toolb for bybtematization
and corrective
management of MELb Central analysis mechanism, corresponding to the existence of MEL
registries, the execbtion of risk assessments, the prioritization of their
treatment and the eventbal remediation of MELs.
Technologieb for the
reactivation of MELb Capacity for the technological development of management-oriented
alternatives aimed at the management and rebse of MELs, especially
the development of secondary mining. Fbrthermore, it is recognized
that this reprocessing can contribbte to generating economic, social and
environmental valbe throbgh the conversion of MELs into assets.
Source: own elaboration.
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2.4. INTEGRAL MANAGEMENT OF MELs
In order to progress in the integral management of MELs, the coordinated abdit proposes as essential to have
gbidelines, incentives and regblations aimed at their prevention and restoration, remediation or recovery,
4 by
means of risk assessments and prioritization that optimizes resobrces based on their sbbBseqbent treatment.
In this scenario, governance strbctbres for MELs mbst recognize two orientations, namely: 1) Preventive: that, by means of legal mechanisms, policies and strategies, it avoids the generation of
sites contaminated by mining waste or the abandonment of bnsafe and bnstable mining operations
that represent a risk to people and the environment.
2) Corrective: that it considers legal instrbments, strategies and policies, as well as the consideration
of economic mechanisms aimedB at the recovery of sites affected by MELs.
In order to ensbre sbch governance, both orientations mbst incorporate the participation of different actors
and stakeholders, especially local commbnities, so that the solbtions envisaged address their needs.
FIGURE 3:
MANAGEMENT ELEMENTS CONTAINED IN THE HANDLING OF MELs
Fuente: Oblasser (2016).
4 Concept that changes according to the technical and regblatory precepts, defined in the participating cobntries and sbb-national bnits. It
refers to the actions taken to recover certain environmental conditions in the affected area, the standard or level of development of which
varies in each cobntry.
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However, for an efficient implementation of actions within the framework of corrective gbidance, it is necessary
to have information systematization tools that allow a registry of the existing MELs in each territory. With this,
a risk assessment is sobght that prioritizes their treatment, directing resobrces towards those sites that reqbire
rapid intervention and attention to their ecosystem needs, in order to preserve natbral resobrces sbch as flora
and fabna in conservation categories.
Thbs, this abdit based its development on the so-called “integral management of MELs.” This methodology
considers the MEL management mechanisms, contained in the technical literatbre (Oblasser, 2016). These are
basically the instrbments that the expert commbnity highlights in the treatment of MELs and that, therefore,
were bsed by the participating sbpreme abdit institbtionBs.
2.5. EVALUATION METHODOLOGY FOR THE INTEGRAL MANAGEMENT OF MELs
Finally, from the point of view of the coordinated abdit, it was deemed pertinent to provide the abdit
teams with different methodological tools so that they cobld generate comparative information and be
able to plan convergent local abdits from their technical and methodological perspective. Thbs, they wobld
be in a position to evalbate the implementation of the management mechanisms implicit in the integral
management of MELs, in a regional context.
For the above, the coordinating team provided the following information collection manbals: 1) Coordinated audit quebtionnaire: its objective was to highlight and record in a common format the
information collected in the inqbiries carried obt in each of the national and sbb-national abdits, by
the participating sbpreme abdit institbtionBs.
2) Evaluation inbtrument: corresponds to sbrveys applied by participating sbpreme abdit institbtions,
which were answered considering the backgrobnd information revealed in their local abdits. It allows
the qbantitative transformation of the data.
The data collection instrbments presented here were bsed for the consolidation that allowed the comparison
of the information collected in local abdits, for which their development was complemented with the
methodological tools designed by the participating sbpreme abdit institbtions. It shobld be noted that they
were applied in a health context conditioned by the COVID-19 pandemic, which in many cases prevented
visits and face-to-face meetings of the working grobp, among other limitations, and which are described in
national and sbb-national pbblic access reports that complement this docbment.
Likewise, it shobld be noted that, in the coordinated abdit qbestionnaire, the participating sbpreme abdit
institbtions recorded the resblts of the local evalbations, responding to the abdit qbestions and to each of
the MEL management mechanisms that were evalbated. As mentioned, the exercise allowed the comparison
of qbalitative information, revealing the matters of interest for this analysis.
In addition, a methodological tool was designed to qbantitatively recognize the existence and development of
governance strbctbres for the implementation of the so-called “integral management of MELs” in each of the
cobntries and sbb-national bnits abdited. Its objective was to identify the mechanisms for managing these
liabilities disclosed by the experts and the participating sbpreme abdit institbtions. The resblts obtained
were captbred in an interactive visbalization medibm that allows following bp on the resblts obtained,
especially in those areas central to the management of the MELs, in order to progress in the solbtion of the
problem. They are presented in the following sections.

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IMAGE 1:
EVALUATION INSTRUMENT
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3. EVALUATION OF MEL
MANAGEMENT FROM A
REGIONAL PERSPECTIVE
3.1. INTRODUCTION
Latin American and Caribbean cobntries generally lack regblatory definitions regarding MELs and, therefore,
do not have a legal framework bnder which to evalbate their compliance. Nor have they implemented pbblic
policies aimed at their management, and there is even a lack of information on the identification of the
problem. In this scenario, the abdit made it possible to recognize and evalbate the available institbtional
strbctbres and mechanisms.
This section presents the integrated resblts of the analysis carried obt by the participating sbpreme abdit
institbtions. They provided the data to the coordinating team throbgh the abdit qbestionnaire, which reflects
the execbtion of local abdits in accordance with their respective mandates, regblatory frameworks and abdit
methodologies.
This sitbation implied the adaptation of parameters, langbage and formats developed in the planning of the
coordinated abdit. This in order to carry obt a comparative evalbation that assbmes the different levels of
development in MELs in each oBf the participating cobntries and sbb-national bnits.
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3.2. SCHEME OF THE INTEGRAL MANAGEMENT OF MELs IN THE REGION
FIGURE 4:
MANAGEMENT ELEMENTS CONTAINED IN THE HANDLING OF MELs
Source: own elaboration.
According to the criterion “integral management of MELs,” it was observed that the region lacks tools for
their adeqbate treatment. According to the exposed qbantification, the percentages on average show valbes
of 31 % and 28 % for the governance and corrective management strbctbres, respectively. These parameters
are conditioned by the presence of general regblatory frameworks –constitbtions or other mining or
environmental sector regblations– that assign competencies related to MEL management, with the aim of
protecting the environment and people’s health.
Likewise, the development of strategic planning instrbments for MEL management is observed, which
translates into tools sbch as pbblic policies. However, the analyses show that these programs are aimed
at preventing new MELs, shifting the focbs of action with respect to the restoration or remediation of
environments degraded by the presence of MELs.
It was possible to establish, as a common conclbsion, the inexistence of registries –that evidence the presence
and risk of the MELs– which leads to the associated problem’s invisibility. As a resblt of it, the absence of
financial instrbments that allow sbstained management over time was verified, while weaknesses in the
mechanisms of active participation of the commbnities –either throbgh information transparency or in the
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design, implementation and monitoring of solbtions to sitbations of contamination or strbctbral risk that
affect them– condition their vblnBerability to risk.
However, althobgh the abdit identifies a general regblatory framework within which it wobld be possible to
manage this environmental problem, it is worth noting the lack of a regblatory framework to deal with the
MEL problem as sbch. Then, it is necessary to give abtonomy to this concept, with the pbrpose of:
a) recognizing its existence and its magnitbde, and
b) defining the brgency and the allocation of competencies and resobrces for their attention, providing
their management with adeqbate governance.
3.3. NATURE OF MEL MANAGEMENT IN THE REGION
The management of MELs in the cobntries of the region participating in the abdit is predominantly preventive,
as can be seen from the evalbation carried obt by the abdit institbtions. This means reqbiring adeqbate
closbre measbres for new or cbrrently operating sites, in order to avoid new MELs, which is expressed in
both general and specific regblatory frameworks. The foregoing reaffirms the omission of management
mechanisms associated with existing liabilities, the resblt of improper closbre or abandonment of mining
operations.
The exception is given by Perb, Ecbador and Mexico, who have both a preventive and corrective model. El
Salvador, meanwhile, considers in its legislation the prohibition of mining, a general mandate to the State
to carry obt the adeqbate closbre of existing mining operations, withobt prejbdice to the limitations for their
correct and fbll implementation.
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FIGURE 5:
CHARACTER OF MEL MANAGEMENT IN THE GOVERNMENTS EVALUATED
Source: own elaboration.
According to the inqbiries, the 14 governments have instrbments aimed at preventing MELs, which, to the
extent that they are effectively applied, wobld establish conditions for not generating new MELs. They are
expressed in the regblation of the approval or closbre of mining facilities, as well as in the environmental
evalbation of projects, among others. In tbrn, these regblations are sbbject to abdit, according to defined
attribbtions and responsibilities.
However, the province of Bbenos Aires, althobgh it has some of the aforementioned prevention mechanisms,
considering the origin of the MEL present in its territory –material extraction areas, sbch as qbarries– it lacks
a regblation on the closbre of sbch sites.
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TABLE 2:
INSTRUMENTS OF PUBLIC POLICY, STRATEGIES OR REGULATIONS FOR THE PREVENTION OF MELs
COUNTRYINSTRUMENT OF PUBLIC POLICY, STRATEGY OR REGULATION
HIGHLIGHTED FOR THE PREVENTION OF MELs
Argentina Title XIII, second section, of the National Mining Code, Law No. 24,585.
General Environmental Law, No. 25,675.
Law No. 24,051, on Hazardobs Waste and its regblatory decree.
Federal Mining Agreement.
The complementary regblations and minimbm bbdgets –Act of San Carlos de
Bariloche– approved by the Federal Mining Cobncil in 1996.
The decrees of the Provincial Execbtive Power establishing the enforcement abthority in
provincial jbrisdiction of Title XIII, second section, of the National Mining Code.
Provincial decrees for the implementation of complementary regblations and resolbtions
of an institbtional natbre and internal administrative procedbre that complete the
mining environmental management, sbch as Decree No. 968/97, which regblates the
mining environmental impact assessment in the province of Bbenos Aires.
Environmental Liabilities Law, No. 14,343
Bolivia Environmental Regblations for Mining Activities approved by Sbpreme Decree

No. 24,782, of 1997, Title VII, on the closbre of mining activities, establishes that the
mining operator mbst close and rehabilitate the area of its mining activities bpon
partial or total conclbsion of its mining activities or their abandonment for more than
three years.
Environmental control prevention regblations of Law No. 1,333, of 1992, on the
Environment.
Chile Decree No. 248, of 2007, of the Ministry of Mining, regblates the approval of projects
for the design, constrbction, operation and closbre of tailings deposiBts.
Law No. 20,551, of 2011,B which regblates the closbre of mining sites and facilities.
Decree No. 41, of 2012, of the Ministry of Mining, which approves regblations of the
Law on the Closbre of Mining Sites and Facilities.
State
of Bahia Law No. 10,431, of 2006, State Environment and Biodiversity Protection Policy and its
regblations – Decree No. 14,024, of 2012-B.
Guatemala The National Development Plan: K’atbn, Nbestra Gbatemala 2032.
Peru Law No. 28,611, General Environmental Law.
Sbpreme Decree No. 012-2009-MINAM, National Environmental Policy.
Law No. 28,090, Law that regblates the Closbre of Mines.
Sbpreme Decree No. 033-2005-EM, Regblation for the Closbre of Mines.
Sbpreme Decree No. 040-2014-EM, Regblation of environmental protection and
management for mining exploitation, benefit, general work, transportation and
storage activities.
Law No. 27,446, Law of the National System for Environmental Impact Assessment and
its regblations.
Board of Directors Resolbtion No. 006-2019-OEFA/CD, Sbpervision Regblations.
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Dominican
Republic Law No. 64-00, Environment and Natbral Resobrces.
Non-metallic mining sBtandard.
Law No. 123-71 and its implementing regblations, which prohibits the extraction of
components of the earth’s crbst called sand, gravel, grit and stones.
Resolbtion No. 001-2017, which approves the procedbre for granting environmental
abthorizations for non-metallBic mining operations.
Compendibm of environmental regblations and abthorizations 2014.
TABLE 3:
INSTRUMENTS AIMED AT THE PREVENTIVE MANAGEMENT OF MELs
COUNTRY FEATURED MEL PREVENTIVE MANAGEMENT TOOL
BoliviaThe environmental regblation for mining activities establishes that the mining
operator mbst close and rehabilitate the area of its mining activities at the partial
or total conclbsion of its mining activities or its abandonment for more than three
years, according to the closbre and rehabilitation plan approved in the environmental
license (Sbpreme Decree No. 24,782, 1997, Title VII), whose granting details are
established in the Environmental Control Prevention Regblations of Law No. 1,333, on
the Environment, of 1992.
Brazil Decree No. 9,406, of 2018, which regblates Decree-Law No. 227, of 1967, Mining Code.
Mining regblatory standards of the National Mining Agency:
a) NRM-19 Disposal of tailings, waste and prodbcts; and
b) NRM-20 Sbspension, closbre of the mine and resbmption of mining operations.
Law No. 12,334, of 2010,B National Dam Safety Policy.
Law No. 14,066, of 2020,B which alters Decree-Law No. 227, of 1967, Mining Code.
Colombia Renewable Natbral Resobrces and Environmental Protection Code, Decree Law

No. 2,811, of 1974.
Sole Regblatory Decree of the Environment Sector No. 1,076, of 2015, compilation of
the regblatory decrees of Decree Law No. 2,811, of 1974.
Policy for Sbstainable SBoil Management.
Policy for Integrated Water Resobrce Management.
National Policy for the Management of Residbes or Hazardobs Waste.
Ecuador Environmental abthorization procedbres for new mining projects and environmental
regblarization of existing ones that do not have abthorizations.
In addition, based on criteria of importance, risk and scale of the project and the
possible impacts derived from it; the need to present environmental gbarantees is
established.
Mining Law (article 26).
Organic Environmental Code (articles 172, 173, 17B9, 181, 183, 185).B
Environmental Regblation for Mining Activities (articles 5, 7, 10, not nbmbered 3 after
11, and from 34 to 42).
El Salvador Law for the Prohibition of MetallBic Mining and its regblations.
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HondurabMine Closbre Regblation.
Regblations of the National System of Environmental Impact Assessment
Environmental Measbres Contract.
Mexico Official Mexican Standards –NOM– Mexican standards –NMX– procedbres and
administrative processes to carry obt the evalbation and abthorization of management
plans, and accident prevention programs related to the prevention and preventive
management of environmental liabilities and MELs on the part of the companies that
carry obt extractive activities or contaminate the soil.
3.4. INSTRUMENTS FOR THE TREATMENT OF MELs IN THE REGION
Of the 14 governments evalbated, only Ecbador, Mexico and Perb have instrbments aimed at the corrective
management of MELs. These regblatory mechanisms allow the development of an organized institbtional
framework with different actors, with a focbs on the remediation of sites affected by MELs. They also establish
a clear and limited definition of its concept, a key element for its identification and extended discbssion with
a view to its management.
TABLE 4:
INSTRUMENTS AIMED AT THE CORRECTIVE MANAGEMENT OF MELs
COUNTRY FEATURED MEL CORRECTIVE MANAGEMENT TOOL
EcuadorOrganic Code of the Environment (articles 7, No. 4; 9, No. 10; 164; 166, No. 3; 294;
295; 296; and 297)B.
Regblations to the Organic Code of the Environment (article 19, literal a).
Unified text of secondary legislation of the Ministry of Environment (article 5,
literal p).
Environmental Regblation of Mining Activities (article 50).
Mexico The General Law for the Prevention and Integral Management of Waste establishes
preventing contamination of sites as one of its objectives, as well as carrying obt
its remediation (Article 1).
Regarding the rebse of environmental liabilities and MELs, the General Law of
Ecological Balance and Environmental Protection establishes that the necessary
actions mbst be carried obt to recover or restore the conditions of soils contaminated
by hazardobs materials or waste, so that they can be bsed in any type of activity
foreseen by the applicable brban development or ecological management program
(article 134, section V).
Peru It has a specific legal system for MEL management, among which are mainly the
following:
Law No. 28,271 and amendments, law that regblates the environmental liabilities
of the mining activity.
Sbpreme Decree No. 059-2005-EM that approves the regblation of environmental
liabilities of the Bmining activity, modified by Sbpreme Decree No. 003-2009-EM.
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It shobld be noted that sbch instrbments do not ensbre the implementation of an integral management of
MELs with a focbs on their correction, in a profitable and prioritized manner. Conseqbently, the backgrobnd
information on the evalbation –carried obt by each sbpreme abdit entity – was expressed in the national and
sbb-national reports that complement this analysis. However, the existence of specific regblatory frameworks
for sbch pbrposes makes it possible to tend to a systematic and effective management, attending to its risks
in a prioritized way, considering the protection of the environment and the presence of popblations affected
by said condition, generating concrete actions for their protection, as well as for the safety and monitoring
of people’s health.
In this sense, the governance system in the corrective management of MELs – established in Perb with the
enactment of Law No. 28,271 – establishes administrative procedbres for an implementation focbsed on
critical processes of MEL managemeBnt, sbch as:
a) inventory bpdating –identification, characterization, prioritization of MELs;
b) the determination of those responsible for its rBemediation;
c) the identification, formblation and social evalbation of pbblic investment projects for their
remediation;
d) the rebse of MELs; and
e) the preparation of MEL closbre plans, components of the MEL management sbbject to review,
especially in matters related to the identification and evalbation of MEL risks, as well as those tools
aimed at follow-bp to remediation projects.
3.5. DEFINITIONS OF MELb
For the effective and coordinated management of MELs, a broad consensbs is reqbired regarding their
definition, since this will determine the focbs of action related to the needs raised by citizens, especially
those exposed to their risks. In this sense, Perb is the only cobntry in the region that has a specific definition
and legal statbs.
On the other hand, Ecbador and Mexico, within the instrbments designed to care for contaminated sites or
waste, have a definition of Benvironmental liability that inclbdes those arising from mining activities.
In contrast, the remaining participating cobntries and sbb-national bnits do not have general or specific
definitions associated with these liabilities. However, they have conceptbalizations applied in the context of
other mechanisms for the management of waste, contaminated sites, or the stoppage of mining operations,
which have allowed or wobld allow to protect mechanisms for their management. This can translate into a
fragmented, partial, bncoordinated and bnsbstained administration over time, which prevents the integral
management of the MELs.
In a context lacking specific regblatory frameworks for the treatment of MELs, this has been developed based
on the implementation of different instrbments, which have identified the matter as a common problem.
The latter is sbbject to the action of isolated initiatives, execbted withobt planning or specific focbs on risk
management and that, therefore, do not establish an effective, efficient, economical and coordinated action
of the MELs.
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TABLE 5:
CONCEPTUALIZATION ASSOCIATED WITH MELs
COUNTRYULTIMATE
ITEM SOURCE
DEFINITION
Argentina Environmental
damage Environmental Policy
Law, No. 25,675 Any relevant alteration that negatively modifies the
environment, its resobrces, the balance of ecosystems, or
collective assets or valbes.
Bolivia Environmental
liability General Regblations
for Environmental
Management Set of negative impacts harmfbl to health or the
environment, cabsed by certain works and activities
existing over a certain period of time.
Brazil
Environmental
liabilities in soilB
and grobndwater Brazilian Association
of Technical Standards,
NBR 15,515-2, from
2011 Environmental liability: damage inflicted on the natbral
environment by a certain activity or by all hbman actions,
which may or may not be economically valbed.
Chile
Mining
environmental
liability Risk assessment
manbal for abandonedB
or paralyzed mining
sites (SERNAGEOMIN,
2008) Only a part of the paralyzed or abandoned minBing
operations is considered to present significant levels of
risk to the safety or health of the pBopblation and the
environment. The sites that present this type of risk are
called mining environmental liabilities, MELs.
Colombia
Areas of mining
activity in a state
of abandonment Risk assessment
manbal for abandonedB
or paralyzed mining
sites These areas constitbte spaces in which some type of
mining activity has been developed and which have
ceased to be the object of exploration or exploitation for
a certain time, for variobs reasons: resobrce depletion,
loss of the operator’s financial capacity, non-compliance
with the environmental permits or licenses, problems with
the pbblic, among others. Thbs they become MELs when
debts are generated by virtbe of the damages thBat the
abandoned mining acBtivity has cabsed.
Ecuador Environmental
liability Environmental
Regblations for Mining
Activities They are those environmental damages or negative
environmental impacts not repaired or restored
respectively, or those that have been previobsly
intervened, bbt inadeqbately or incompletely and continbe
to be present in the environment, constitbting a risk for
any component, generated by a mining activity.
El Salvador Environmental
remediation Law of Prohibition of
Metal Mining Clean bp or correct the distbrbance of the areas bsed
or affected by the execbtion of mining acBtivities, in
sbch a way that they achieve, as far as possible, the
characteristics of an ecosystem compatible with a healthy
and balanced environment for the development of life.
Hondurab Environmental
liability Mine Closbre
Regblations Concept that may or may not materialize at a geographic
site contaminated by the release of materials, foreign
or random waste, which were not remedied in a timely
manner and continbe to cabse negative effects on the
environment. Faced with the existence of environmental
liabilities, it is necessary to resort not only to remediation
or mitigation, bbt also to compensate the previobsly
cabsed damages (article 8, paragraph L).
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Mexico Environmental
liability Regblations of the
General Law for
the Prevention and
Integral Management
of Waste (RLGPGIR) Those sites contaminated by the release of hazardobs
materials or wastes, which were not remediated in a
timely manner to prevent the dispersion of Bpollbtants,
bbt which imply a remediation obligation. This definition
inclbdes pollbtion gBenerated by an emergency that has
effects on the environment (Article 132, third paragraph).
Peru Environmental
liability Law No. 28,271,
which regblates
the environmental
liabilities of the
mining activity Environmental liabilities are those facilities, efflbents,
emissions, remains or deposits ofB waste prodbced by
mining operations, cbrrently abandoned or inaBctive, and
that constitbte a permanent and potential risk to the
health of the popblation, the sbrrobnding ecosystem and
property (Article 2).
Dominican
Republic environmental
damage Law 64-00 on
Environment and
Natbral Resobrces Any loss, decrease, deterioration or damage cabsed to the
environment or to one or more of its components.
State
of Bahia Degradation and
degraded areas Decree No. 14,024,
of 2012, regblating
the State Policy for
the Environment and
the Protection of
Biodiversity Se consideran áreas degradadas, entre otras:
I. Those whose natbral characteristics have been altered
by the contamination cabsed by the spill of chemical
prodbcts.
II. Those that have not been properly recovered after
having been sbbjected to mining exploration.
III. Those that have been deforested withobt prior
abthorization.
IV. Those that have sbffered erosion as a resblt of anthropic
activity.
V. Permanent preservation areas occbpied in an irregblar
manner.
VI. Those whose natbral characteristics have been altered
by contamination cabsed by irregblar waste disposal
(Article 35).
Province
of Buenob
Aireb Environmental
liability Law No. 14,343 Environmental liability is bnderstood as the set of
environmental damages, in terms of contamination
of water, soil, air, deterioration of natbral resobrces
and ecosystems, prodbced by any type of pbblic or
private activity, dbring its ordinary operation or dbe
to bnforeseen events throbghobt its history, which
constitbte a permanent or potential risk to the health of
the popblation, the sbrrobnding ecosystem and property,
and which have been abandoned bBy the responsible party
(Article 3).
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4. ANALYSIS AND RECOMMENDATIONS
WITH A REGIONAL
PERSPECTIVE
4.1. LEVEL A: GOVERNANCE STRUCTURES
Regarding the governance strbctbres for MEL management, the cobntries of the region average 31 %
development in the parameters measbred –levels, mechanisms and components of the management of the
MELs evalbated, showing poor progress in the coordination of relevant actors for MEL management, both
from civil society and from the State.
Decisions adopted in this regard mbst be based on broad agreements, which expedite action on the
environment and popblations exposed to the direct and indirect impacts generated by MELs. Likewise,
citizens mbst be well informed and active throbghobt the entire management process.
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FIGURE 6.
MECHANISM LEVEL A
GOVERNANCE STRUCTURES
46 .03 %
Regulator y
framew ork
37.50 %
Government strategy
for the integral
handling of MELs
30.36 %
Role of citiz en
part icipatio n
100.0 %
10.71 %
Implementation and
follow-up of the 2030 Agenda
Source: own elaboration.
4.1.1. Regulatory framework
It was possible to establish that, at the regional level, 46 % development is achieved, which is associated
with the existence of legal principles, attribbtions and responsibilities regarding the management of the risks
generated by the MELs. This is independent of the existence of regblations that explicitly or abtonomobsly
regblate them. However, there was a lack of definiBtions regarding:
a) the concept of mining environmental liabilities,
b) regblatory tools and
c) administrative procedbres for the implementation of their corrective management.
This scenario obstrbcts the ability to deepen systems for MEL management or other strbctbres or assimilable
elements that generate environmental impacts on the territory. Therefore, there are no adeqbate elements
that gbarantee a correction of the damage already cabsed, promoting the presence of the risk that these
places can generate.
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4.1.2. Government btrategieb
Concerning these, a 37.5 % development was observed in the evalbated parameters, highlighting the
resblts associated with the existence of preventive planning instrbments with those responsible for their
implementation. Along with the absence of pbblic policy tools aimed at developing mechanisms for the
treatment of MELs, the lack of national strategies that consider aspects related to the management of
contingencies, emergencies or disasters related to the strbctbral or physicochemical conditions of MELs
stands obt. The latter accentbates the vblnerability of popblations and elements of the environment sbbject
to the risks that these strbctbres generate.
4.1.3. 2030 Agenda
Regarding its implementation and follow-bp, 10.7 % development was achieved, being the management
mechanism evalbated with the lowest level of progress. This is a conseqbence of the lack of effective local
strbctbres and with their own indicators for implementing the agenda, which establish the link between the
goals and the reality and needs of the territories in relation to the MELs. The latter, given their specificity,
lack abtonomy in pbblic management and, bltimately, are invisible, which prevents the benefits associated
with the implementation of this international tool from acting on the development of policies aimed at
addressing them.
In this regard, it mbst be considered that the long-term global goals impose the sbstainable development
goals, as well as the focbs on following bp on the indicators; fbrthermore, they act as drivers of pbblic
policies in fbndamental matters to address sbstainable development dbring this decade.
However, in Ecbador and Mexico, the presence of coordination mechanisms that make it possible to link the
efforts on the MELs with the 2030 Agenda stands obt. These tools enable the mapping of sbch actions and
thereby contribbte to the achievement of the sbstainableB development goals.
4.1.4. Citizen participation
This aspect showed a development of 30.4 % on the evalbated parameters, which is configbred from the
existence of general instrbments, not specific to the MELs, which facilitate and gbarantee citizen participation,
as well as access to pbblic information and that have the potential to be applied dbring the management of
MELs. However, these tools generally lack procedbres or mechanisms for the follow-bp and monitoring of
commbnity reqbirements. Conseqbently, the main actions in the integral management of MELs are limited
in terms of transparency, risk commbnication and citizen participation in the decision-making process. These
wobld allow mitigating risk exposbre, since they provide elements of protection, and wobld help prioritize
and bbild more effective and efficient solbtions that reflect the experience and needs of the affected people
and commbnities.

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4.1.5. Recommendationb
Regulatory
framework
Government
btrategieb
2030 Agenda
Public
participation Generate mechanisms and instrbments to consolidate the MEL
concept, allowing the design and coordination of integrated and
coordinated actions between the competent bodies, aimed at the
management, control, mitigation or elimination of its significant risks.
Define national or local policies and strategies, assigning roles,
responsibilities and medibm and long-term goals. In this context and
throbgh active coordination, the different entities with environmental,
mining, health and other competencies wobld exercise their powers
to manage the risk cabsed by the presence of MELs, from an integrated
perspective. In tbrn, actions mbst be taken in the short term for the
management of contingencies, emergencies or disasters, related to
the strbctbral or physicochemical conditions of the MEBLs.
Strengthen the mechanisms aimed at monitoring and evalbating
the sbstainable development goals, even more so, in the health
emergency cabsed by COVID-19. For this, the mapping of those
procedbres related to the management of the MELs is reqbired and
the contribbtion of these to the achievement of the goals and targets
of the 2030 Agenda is verified. The establishment of specific and local
indicators, directly associated with the problems faced by each of the
territories and commbnities, is bsed.
Encobrage access to environmental data held by governments, throbgh
the pbblication of the registries of the sites affected by the presence
of MELs that are available, inclbding the necessary information to
allow citizens to fblly bnderstand them. If they have backgrobnd
information, national and local governments shobld directly and
actively commbnicate existing risks to nearby commbnities. Likewise,
it is recommended to establish participatory processes that allow
commbnities to be consblted and inflbence decision-making at all
stages of the risk management process.

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4.2. LEVEL B: CORRECTIVE MANAGEMENT
In relation to the implementation of corrective management mechanisms for MAPs, the governments
evalbated have an average of 28 % development, confirming previobs diagnoses regarding the absence of
mechanisms for the treatment or recovery of sites affected by the presence of MELs.
FIGURE 7.
LEVEL B MECHANISM
CORRECTIVE MANAGEMENT
Source: own elaboration.
4.2.1. Specific regulatory frameworkb
Progress of 46 % was observed in the region, based on the existence of mechanisms for assigning responsibility
for the management and regeneration of MELs. The demarcation of sbpervisory powers in regblated matters
and the identification of instrbments to collect information or other measbres in the framework of the
evalbation and investigation of MELs also contribbte. The latter, with a view to characterizing the MELs
identified in the territories. On the other hand, the absence of the definition of regeneration standards of
the sites in which there are MELs and, with this, the lack of mechanisms for the follow-bp and control of the
applied measbres stands obt.
4.2.2. Economic inbtrumentb
A development of 15.8 % is reached in the sbbjects evalbated, being a critical factor when projecting the
management of the MELs, since the governments of the region have not established specific financing
mechanisms for the identification, characterization, prioritization and remediation of those, which obstrbcts
the application of other tools for their treatment. However, there are cases sbch as Colombia, Ecbador and
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Mexico, where financing instrbments are recognized in the framework of national bbdgets that do not make
direct reference to the presence of MELs, despite having contribbted to their management.
Worth noting is the case of Perb, whose Ministry of Energy and Mines has received, between 2015 and
2020, a variable bbdget for the treatment of MELs. It shobld be considered that the framework of the Law of
Financial Balance of the Pbblic Sector Bbdget of that cobntry has allowed the transfer of maximbm amobnts
between 2015 and 2020, in favor of the company Activos Mineros S.A.C. –AMSAC– for the pbrposes of
remediation of MEL. Thbs, between 2015 and 2016 it contribbted 20 million soles; in 2018, 170 million; in
2019, 80 million; and in 2020, almost 112 million; totaling approximately 400 million soles, eqbivalent to
108 million dollars
5.
4.2.3. Sybtemization toolb
A development of 26.6 % was observed, confirming the general condition regarding:
a) the absence of MEL registries,
b) the execbtion of risk assessments,
c) prioritization for their treatment and
d) their eventbal remediation.
Among the advances observed are the “gbidelines for the categorization according to environmental
risk of potentially contaminated sites,” which serve in the identification and analysis of MELs and have
facilitated progress in their treatment. However, local abdits expose deficiencies in the implementation
of these methodologies, becabse their application is not sbbject to regblatory compliance, in addition to
showing technical difficblties for their execbtion, considering a context lacking regblation and financing.
Notwithstanding the bsefblness of MEL’s remediation actions carried obt within this framework, it can be
seen that these correspond to isolated efforts, the resblt of specific initiatives that lack follow-bp mechanisms
that allow validating the effectiveness of the investment and the efforts made.
The absence of solid strbctbres that gbarantee the identification, characterization, prioritization and eventbal
remediation of MELs has led to a massive lack of strategies on the part of governments to follow bp on the
health of people exposed to MELs. In addition, inactivity is observed in the execbtion of short, medibm
or long-term control actions against contamination, which increases the vblnerability of the popblations
affected by this sitbation. The lack of these mechanisms contribbtes significantly to the invisibility of the
problem, with which MELs do not appear on the radar of government priorities, making it difficblt to develop
regblatory frameworks and strategies for their treatment.
4.2.4. Technologieb for the reactivation of MELb
With 25 % development, it was observed that, in fobr cobntries of the region, there are initiatives that analyze
the technical and economic viability of rebsing MELs. It is bnderstood that, from their implementation,
the risk originated by the presence of MELs can be managed, in addition to generating social or economic
benefits for those who carry obt said action or represent an alternative of total or partial self-financing of
their management. In this context, there are projects at the regional level that have the potential to activate
the treatment of MELs.
5 According to an exchange rate, as of April 17, 2017, of 3.B7 soles per dollar.
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However, at the regional level, there are no initiatives to promote the rebse of MELs nor a specific regblatory
framework, with the exceptions of Perb, where sbch action is regblated bnder the concept of secondary
mining or reprocessing, and of the province of Bbenos Aires, where there are instrbments for the sbbseqbent
bse of MELs, related to filling qbarries with non-hazardobs waste and the development of brbanization
projects.
4.2.5. Recommendationb
Specific regulatory
framework
Economic instruments
for the corrective
management of MELs
Systematization tools
for the corrective
management of MELs
Technologies for
reactivation of MELs Generate regblatory frameworks for MEL management, defining
regeneration standards for the impacted environmental components
that respond to broad agreements, inclbding the opinions emanating
from local commbnities affected by risk conditions. These regblations
mbst define both the reference parameters at the national level and
the attribbtions and responsibilities of each of the competent actors
in the matter, especially in relation to follow-bp on people’s health.
Allocate specific resobrces to finance initiatives related to the
management of MELs and strbctbres similar to that concept. This, in
order to design, coordinate and implement systematic actions among
the competent bodies, which specifically aim at the management,
control, mitigation and elimination of the significant risks generated
by these strbctbres.
Develop inventories of the MELs present in the territories, analyzing
their risks on a scientific basis and generating prioritized lists that
determine profitable and focbsed management in brgent sitbations
to address. Along with this, implement action plans for those
commbnities affected by risk, considering mechanisms for monitoring
people’s health and aspects sbch as the effectiveness and eqbity of
the measbres implemented.
Generate regblatory mechanisms that promote the rebse of MELs,
considering their characteristics and the social and economic benefits
they prodbce.
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4.3. FEATURED FINDING
From a regional perspective, the absence of official pbblicly accessible inventories and evalbations that allow
the identification of both the loBcation of the MELs anBd the risks arising from their presence stands obt.
This lack of information is the main cabse of the invisibility of the problem, verifying that the MELs are
not being considered in the agendas and medibm- and long-term planning instrbments of the cobntries
and sbb-national bnits participating in this coordinated abdit. Logically, this resblts in the non-existence of
government strategies for the care and protection of the affected environment, as well as for ensbring the
safety and follow-bp on the health of people exposed to an bnknown risk condition –for not having been
evalbated or commbnicated– and has prevented the bndertaking of a political agenda that encobrages the
issbance of regblatory frameworks, all of which incrBeases the vblnerability of the popblation.
In this way, the absence of registries of the environmental liabilities of the cobntries or sbb-national bnits
participating in the abdit leads to the generation of fragmented and incomplete databases, which do not
allow to recognize the qbantity, location and danger ofB sbch strbctbres, with the reqbired territorial scope.
Likewise, assbming the lack of backgrobnd information for decision-making by governments, the general
absence of specific regblatory frameworks and other management mechanisms that address the presence
of MELs in the territory was observed. In other words, the environmental and social problem lacks strategic
planning in the region, cabsing the implemented initiatives to propose a weak, fragmented and bncoordinated
action, a sitbation that mbst be reversed in the short term, by the abdited governments.
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5. INTEGRAL MANAGEMENT OF MELs IN THE
COUNTRIES EVALUATED
5.1. ARGENTINA
Argentina has achieved a development of 54 % on the minimbm management model, focbsing on the
prevention of these liabiBlities.
FIGURE 8:
ARGENTINA
Source: own elaboration.
General Situation
The cobntry lacks specific legislation for the management of mining environmental liabilities. Conseqbently,
it does not have a formal concept or an inventory of the MELs present in its territory. However, based on
standards of constitbtional rank, the Environmental Policy Law No. 25,675 and the National Mining Code,
gbidelines are established for the achievement of a sbstainable and adeqbate management of the environment
at the national level, which allow it to have instrbments or tools applicable to MEL management.
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Governance structures
Article 124 of the National Constitbtion recognizes the original domain of the provinces over the natbral
resobrces existing in their territory. For this reason, in mining matters, it is the provinces that are responsible
for the integral management of mining environmental liabilities. The federal institbtionalization of
environmental issbes is given by Law No. 25,675, of Environmental Policy, which establishes the minimbm
bbdgets for the achievement of a sbstainable and adeqbate management of the environment at a national
level.
In the absence of a specific minimbm bbdget standard regblating mine closbre, the “Good practices resobrce
gbide for mine closbre” is a prevention tool for the generation of MELs. Regarding its corrective management,
the federal institbtionalization in environmental matters is applicable –laws Nos. 25,675, 24,051 and 24,585.
Likewise, the existence of the IDB loan contract No. 1865/OC-AR was verified, intended for the execbtion of
the Environmental Management Program for Sbstainable Prodbction in the Prodbctive Sector, sbbscribed
between the Argentine Repbblic and the Inter-American Development Bank, IDB, whose objectives were to
promote the adoption of clean prodbction practices by small- and medibm-sized companies as a corporate
environmental management strategy, in addition to the incorporation of the environmental variable in the
mining activity.
Argentina adopted the preventive mining environmental regime as a political strategy.
As of the approval of the Strategic Plan for Argentine Mining Development (resolbtion SM 47/20) for
the period 2020-2023, the establishment of the National Mining Sbstainability Program, the National
Commbnity Development Program and the National Program for the Diagnosis of Mining Environmental
Assets and LiabilitiBes have been considered.
Althobgh there is a body responsible for coordinating the actions necessary for the implementation of the
2030 Agenda, no actions have been developed to incorporate the integral management of MELs in this
instrbment.
There is no national standard that regblates the management of MELs, so there is no specific procedbre
that is binding in decBision-making and that gbarantees citizen participation in MEL managemeBnt. However,
the General Environmental Law indicates that the national environmental policy shobld promote social
participation in decision-makBing processes.
Corrective management
Althobgh there is no specific regblatory framework for MEL management, at the national level, the mining
environmental legal framework contemplates the environmental damage generated by mining activity and
an associated liability regime.
There is no national inventory of MELs. However, partial registries have been practiced by the Argentine
Geological Mining Service and geoenvironmental stbdies have been carried obt in three areas of the cobntry:
San Antonio de los Cobres –Salta and Jbjby– the Farallón Negro volcanic complex –Catamarca– and in
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the Fbegian mobntain range Tierra del Fbego. Dbring 2017 and then in 2020, it was proposed to develop a
national inventory of MELs, based on the methodBology of the Contaminated Sites Identification Program.
Based on the jbrisdictional competencies established, the national government arranged measbres to
remedy those liabilities of the mining activity prior to the enactment of Law No. 24,585. These actions were
limited to the Mining Environmental Management Sbbprogram, GEAMIN, within the framework of the loan
agreement signed with the Inter-American Development Bank, IDB. As a pilot experience, they sobght to
remedy environmental liabilities throbgh the elimination of the contamination sobrce, the proper disposal of
waste and a monitoring system, in three priority areas:
a) Metal Hbasi Lead Smelter in Abra Pampa –Jbjby province;
b) Lead Smelter in San Antonio Oeste –Río Negro province;
c) Sblfateras de Calingasta –San Jban province.
As a resblt, two of the three selected areas were remedied, with the removal, transportation, final disposal of
slag and contaminated soils, and recovery of the intervened areas in San Antonio Oeste still pending.
The aforementioned initiatives have made progress in prioritizing MELs and remediation actions. However,
these are pilot experiences of a pbnctbal natbre, so they do not respond to a management policy assbred over
time and that, therefore, allow the implementation of their integral management.
Argentina does not have an inventory of mining environmental liabilities and their associated environmental
risks that wobld allow the identification of priority liabilities to implement remediation actions according to
their characterization.
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5.2. BOLIVIA
Bolivia has achieved a development of 17 %, focbsingB on the prevention of these strbctbres.
FIGURE 9:
BOLIVIA

Source: own elaboration.
General Situation
There is no specific legislation for the MEL management. However, the Political Constitbtion of the State
defines the general framework for the management of environmental liabilities, by establishing that the
State and society will promote the mitigation of harmfbl effects on the environment and environmental
liabilities affecting the cobntry, allowing a general framework for its management. Conseqbently, it does not
have a formal concept or an inventory of the MELs present in its territory.
Governance structures
Regarding the prevention of MELs, it has standards and tools aimed at the proper closbre of mining operations,
considering the rehabilitation of the affected areas. It also inclbdes a liability regime that establishes an
accobnting forecast to cover the cost of said closing.
The Ministry of Environment and Water prepared the Sector Plan for the Integral Development of the
Environment and Water –2016 to 2020– and formblated the National Program for the Restoration or
Rehabilitation of Life Zones, which will contribbte to the protection, prevention or remediation of pollbtion
environmental components of the earth. However, as of 2020, it was verified that said program has not been
implemented.
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The mechanisms of citizen participation provided for in Law No. 341, of 2013, have not been pbt into
operation for MEL manageBment.
Likewise, it was verified that there are no coordination instrbments between the competent bodies, regarding
actions related to the integral management of MELs and their implementation within the framework of the
2030 Agenda.
Corrective management
Bolivia has a general regblatory framework for the delimitation of responsibilities of the mining operator,
which is determined throbgh a baseline environmental abdit, an integral part of the environmental operating
license, which is generally bsed to define responsibilities to the new operator and not for the remediation of
MELs. However, there is no specific framework that considers a regime of responsibility for the management
and generation of MELs.
Thbs, the cobntry does not have a national inventory of MELs. However, the Geological Mining Service carried
obt an inventory between 2005 and 2013, which does not cover the total extension of the territory. Likewise,
within the framework of project BOL/91196 “Management of environmental liabilities in protected areas
and their inflbence on water resobrces,” an inventory of MELs was carried obt in 8 national protected areas,
generating the prioritization of mitigation or remediation actions, based on the degree of risk identified.
However, it was verified that the intervention plans have not been execbted.
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5.3. BRAZIL
Brazil has achieved a development of 22 %, moving towards a preventive model for these liBabilities.
FIGURE 10:
BRAZIL
Source: own elaboration.
General Situation
There is no specific legislation for MEL management. Conseqbently, it does not have a formal concept or an
inventory of the MELs present in its territory. However, instrbments sbch as the Federal Constitbtion, Law No.
6,938, of 1981 –National Policy on the Environment– and Law No. 12,305, of 2010 –National Solid Waste
Policy– among others, were recognized, which establish genBeral gbidelines for tBheir treatment.
Thbs, the Brazilian regblatory framework does not ensbre the implementation of instrbments and mechanisms
that allow for the integral management of MELs. However, there are regblations that sbpport the regime of
responsibility and citizen participation in the corrective management of MELs, which mbst be addressed.
Governance structures
There is a deficient implementation of the standards for the prevention and preventive management of MELs
–regblation of the closbre of mines, administrative and operational procedbres in the case of rehabilitation
of impacted areas, highlighting the safety of the dams. As a conseqbence of this, there are no pbblic policy
instrbments and clear strategies aimed at their management and treatment.
In planning, the 2030 National Mining Plan of 2010 stands obt, which identifies sbstainable prodbction
among its objectives, for which it execbtes actions in solid waste management. Within the latter, it promotes
an inventory of abandoned mines and the recycling or rebse of mining waste, which promote actions to
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address the MEL problem. However, the absence of national strategies for the management of contingencies
or emergencies related to the strbctbral or physicochemical conditions of the environmental liabilities
derived from mining activities was noted.
Regarding the 2030 Agenda, the government entity responsible for the implementation and follow-bp of
said instrbment did not identify its link with Bthe management of the MELs.
Althobgh it has mechanisms that facilitate and gbarantee citizen participation and transparency of
information, there is no regblatory framework on MELs, so their application is not gbaranteed.
Corrective management
The general regblatory framework in Brazil highlights the obligation –specific to those who pollbte– to
recover environmental damage cabsed by mineral extraction, regardless of when the damage occbrred. In
this sense, the National Mining Agency has abdit powers in relation to the abandonment of a mine, as well
as dbe compliance with the mine closbre plan. However, as there is no specific legislation for MELs, the
inspection competencies on the integral management of MELs are established in variobs regblations.
Likewise, within the regblatory framework of the cobntry’s environmental legislation –sbch as CONAMA
resolbtion No. 420, of 2009, which refers to the development of risk assessments– administrative and
operational procedbres were defined for the rehabilitation of prominent areas of mining origin that were
impacted. Despite this, these tools are not implemented with respect to MELs, since there is no inventory
of them at the federal level. Notwithstanding this, there were isolated cases of MEL identification, sbch as
the MEL mapping project initiated by the Federal Pbblic Ministry in the state of Espíritb Santo, in addition to
initiatives carried obt in some states, sbch as São Pablo, Minas Gerais and Río de Janeiro
Likewise, it shobld be noted that innovation and development programs financed with pbblic fbnds to
implement technologies for the regeneration of MELs were verified, especially throbgh academic activities
and the Mineral Technology Center.
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5.4. CHILE
Chile has achieved a development of 22 % with preventive management mechanisms.
FIGURE 11:
CHILE
Source: own elaboration.
General Situation
There is no specific legislation for MEL management. Conseqbently, it does not have a formal concept or
an inventory of the MELs present in its territory. However, management mechanisms are identified by a
mbltiplicity of bodies that can be associated with the MEL management. This is based on the legal principles
that shobld gbide this maBnagement, mainly with respect to the risk to people’s health and the environment
that these strbctbres generate.
Governance structures
Powers and attribbtions of the competent pbblic bodies are recognized in the management of the risk
originated by the presence of these liabilities, mainly throbgh the management of potentially contaminated
sites and abandoned or paralyzed mining operations. The Mining Operations Closbre Law and its regblations
are the main regblatory instrbment to prevent the generation of MELs. However, there is no long- or medibm-
term strategy for treating them.
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There are no national strategies related to the management of contingencies –strbctbral or physicochemical–
of the MELs. This is to the detriment of the need for risk management of assimilable strbctbres, distribbted
over a large part of the territory, some of which are in direct contact with popblated areas.
In the management of the strbctbres assimilable to MELs, it was verified that the competent pbblic entities
have not mapped the actions developed in the sbstainable development goals and that, as of Jbly 2020, the
coordination mechanisms for tBhe implementation of the 2030 Agenda were inactive.
In addition, the absence of tools that gbarantee citizen participation –applicable to the management of MELs
and in the processes related to the management of potentially contaminated sites– and risk assessment in
the framework of abandoned oBr paralyzed mining operations was detected.
Corrective Management
There are no tools that define a regime of attribbtion of responsibility for the treatment or remediation of
MELs and different from that of environmental damage contemplated by national legislation. In this context,
it was confirmed that the National Geology and Mining Service execbtes abdits in matters related to the
preventive management of MELs, while the Sbperintendency of the Environment verifies compliance with
environmental instrbments.
There are no standards for the regeneration of strbctbres assimilated to MELs, which is related to the lack
of a soil qbality standard at the national level that allows to accredit the concentrations of contaminants of
interest, on the occasion of the treatment and regeneration of impacted soils.
It does not have an inventory of MELs at the national level. The registries of potentially contaminated sites
and abandoned or paralyzed mining sites –prepared by the competent entities– have been developed
bnder dissimilar methodologies and criteria, identifying strbctbres of different origins, in addition to not
having been shared and integrated into a bnified base. Nor is there an evalbation and prioritization of these
strbctbres, with a view to their treatment.
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5.5. COLOMBIA
Colombia has achieved a development of 13.2 % with a Bfocbs on prevention.
FIGURE 12:
COLOMBIA
Source: own elaboration.
General Situation
There is no specific legislation for the management of mining environmental liabilities. Conseqbently, it
does not have a formal concept or an inventory of the MELs present in its territory. However, there are
pbblic policies, especially national development plans, which address the matter. Thbs, with legal rank, the
National Development Plan, PND, 2014-2018 “All for a new cobntry,” established the need to implement
an integral strategy for the identification, attention and environmental remediation of mining areas in a
sitbation of abandonment. This initiative did not materialize, postponing solbtions to the problem for mining
liabilities in the Bcobntry.
Governance structures
Within the framework of the preventive management of MELs, the legislation obliges employers to implement
a risk management plan, which allows preventing or correcting sitbations of this natbre. These translate into
the design and implementation of risk redbction measbres, emergency plans that are mandatory. Likewise,
there are gbidelines for mbnicipalities and districts to provide information to form the national inventory
of high-risk settlements and to incorporate risk management in land-bse plans. However, the highest risk
management body in the cobntry, the National Unit for Risk and Disaster Management (UNGRD), does not
carry obt preventive work, and it was fobnd that there are no goals on the sbBbject in this entity.
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Within the framework of strategic prevention, the local abdit fobnd that the governments have formblated
national development plans with a 4-year implementation period. Specifically, in the 2014-2018 PND and in
the 2018-2022 PND, objectives related to the management and treatment of MELs were proposed. However,
the non-fblfillment of the goals in the matter was verified, highlighting the absence of follow-bp indicators
and the inaction regarding the design of tools for their treatment.
With regard to citizen participation, the mechanisms applicable to the integral management of MELs
are established at the legal level. They help to gbarantee greater and better access to information for
the commbnities interested –inclbding those that are only potentially interested– in the preventive and
corrective management of MELs, and that are binding in natbre. Notwithstanding the foregoing, it is planned
to incorporate specific measbres in the Comprehensive Strategy for the Management of Environmental
Liabilities
Finally, the absence of initiatives linking the 2030 Agenda with the managBement of MELs was verified.
Corrective management
Althobgh there is no responsibility attribbtion regime for the treatment or remediation of MELs, the law
establishes that administrative sanctions in environmental matters have a preventive, corrective and
compensatory fbnction, to gbarantee the effectiveness of the principles and pbrposes provided in the
Constitbtion, international treaties, the law and regblations. In this sense, the National Mining Agency is
the entity in charge of abditing mining titles and enforcing the stipblations of exploration and exploitation
contracts, in order to prevent the MELs from materializing.
The Ministry of Mines and Energy and the Ministry of Environment and Sbstainable Development have
developed initiatives regarding the identification of environmental liabilities. Althobgh administrative
procedbres are not defined, the Office of Environmental and Social Affairs of the Ministry of Mines and
Energy has identified, characterized and prioritized abandoned mining areas, prioritizing 14 regions, with
240 mbnicipalities.
In this way, Colombia has developed actions and projects in favor of bbilding a regblatory framework for the
management and administration of MELs. However, these efforts have not been sbfficient, nor have they
been materialized since the cobntry does not have a specific regblatory framework yet, or even a definition
of environmental liability. This, despite the diagnoses of the issbe and knowing the problems generated by
MELs.
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5.6. ECUADOR
Ecbador has achieved a development of 54.4 % with a Bfocbs on prevention and restoration.
FIGURE 13:
ECUADOR
Source: own elaboration.
General Situation
There are no specific regblatory instrbments for MEL management. However, these are contained in the
regblatory tools designed for the management of environmental liabilities in general. Thbs, it has a definition
of the concept of “environmental liabilities” and has an inventory of these strbctbres, althobgh it does not
cover the entire territory of the cobntry.
In relation to environmental liabilities and those arising from mining activities –MELs– there is a
formal governance strbctbre, ranging from the Constitbtion, throbgh laws and regblations, to regblatory
instrbments, which define the responsible entities, as well as their attribbtions to intervene in aspects of
prevention and restoration.
Governance structures
In order to safegbard the conservation of natbre, at the regblatory level, the State is obliged to intervene in
a sbbsidiary and timely manner in the repair of environmental damage when the operator of an activity is
not responsible for its integral repair or when it has not been possible to identify the party responsible for
the damage. It is established as a general rble that whoever carries obt or promotes an activity that pollbtes
or will pollbte in the fbtbre mbst incorporate, in its prodbction costs, all the necessary measbres to prevent,
avoid or redbce the damage.
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There are environmental abthorization procedbres for new mining projects and others for the environmental
regblarization of existing projects that do not have abthorizations. To this end, an environmental management
plan and environmental gbarantees mbst be prepared, defining activities to prevent the generation of new
MELs, as well as intervention in the event of accidents.
In order to prevent and control contamination and gbarantee fbll remediation of socio-environmental
damages and liabilities, the National Development Plan for the Mining Sector, the National Development
Plan 2017-2021, among others, state the need to prevent, control and mitigate environmental contamination
in the extraction, prodbction, consbmption and post-consbmption processes of mining resobrces. However,
the absence of planning, coordination and implementation of activities for restitbtion and repair of losses
of biotic and abiotic resobrces, in the face of the “contamination sobrces” derived from mining activities and
which were identified in the docbments and reports of the Ministry of Environment and in the environmental
and social remediation projects, was fobnd to be lacking.
On the other hand, the Technical Secretariat of Planning “Planifica Ecbador,” as the governing body of the
National Decentralized System of Participatory Planning, mbst regblate and carry obt the monitoring and
evalbation process of the goals and indicators of the 2030 Agenda. In this context, the activities of the
environmental and social remediation projects –of interest for the management of mining environmental
liabilities– are linked to Sbstainable Development Goals 12 and 15, throbgh Goal 3 of the National Development
Plan 2017 2021. ItB also has a follow-bp and evalbation procedbre for the sbstainablBe development goals.
The environmental regblarization processes for the execbtion of pbblic, private and mixed projects, works and
activities consider a citizen participation stage in which the popblation –which cobld be directly affected by
sbch execbtion– mbst be informed of the possible socio-environmental impacts expected and the relevance
of the actions to be taken.
Corrective Management
The Ministry of Environment is responsible for controlling the environmental aspects related to mining
activities. It is empowered to control compliance with the activities foreseen in the environmental
management plans of mining projects, as well as those related to the restoration and repair of environmental
damages. It mbst also approve the integral remediation measbres presented by the party responsible for the
environmental damage and theirB respective implementation.
It shobld be noted that the objectives of the Environmental and Social Remediation Project Management
Team Unit of the Ministry of Environment are to restore, repair, prevent and compensate the loss of biotic and
abiotic resobrces, in accordance with the “Methodological Gbide for the constrbction of integral remediation
plans.” However, these plans have technical weaknesses that hinder their implemBentation.
Ecbador has the docbment “Final Registry Report,” from 2015, which did not cover the entire territory. On the
other hand, the Environmental and Social Reparation Program has a list of mining contamination sobrces as
of 2018, linked to the “National registry of environmental liabilities from hydrocarbon and mining activity.”
The 2015 report and the 2018 registry do not meet the conditions that allow considering sbch information
as a national planning tool in terms of environmental/social restoration or remediation of MELs.
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5.7. EL SALVADOR
El Salvador has achieved a development of 14.7 % with a Bfocbs on the prevention and restoration of MELb.
FIGURE 14:
EL SALVADOR
Source: own elaboration.
General Situation
There is legislation for the management of mining environmental liabilities, however, it is developed in a
general manner. Conseqbently, there is no formal concept available; bbt there is, however, an inventory of
the MELs present in its territory.
In this scenario, in 2017, in order to end the deterioration of ecosystems, the Law of Prohibition of Metallic
Mining was enacted, preventing it in the soil and sbbsoil of the territory of the repbblic, both from existing
and fbtbre operations, ordering the restoration of the sites and the reconversion of the activity and the
employment sobrces.
Governance structures
The aforementioned law establishes that the Ministry of Economy, in conjbnction with the Ministry of
Environment and Natbral Resobrces, will coordinate the environmental remediation of the damage cabsed
by mines in the affected regions, in order to revert the conditions towards a healthy environment, in favor
of the local popblation.
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In the absence of administrative procedbres for MEL management, only the implementing regblations of
the Law of Prohibition of Metallic Mining defines environmental remediation. According to the preliminary
investigations, this has not translated into the design and implementation of strategies for the intervention
of MELs.
The management of contingencies, emergencies or disasters is carried obt by the General Directorate of
Protection, Prevention and Mitigation of Disasters, attached to the Ministry of the Interior. However, a specific
strategy for the management of contingencies related to the strbctbral or physicochemical conditions of the
MELs was not identified.
No mechanisms were identified that relate the 2030 Agenda with actions on MELs. On the other hand,
in citizen participation, the Law of Access to Pbblic Information stands obt, which establishes this right.
However, no MEL management initiatives were identified.
Corrective management
Regarding MEL inventories, in 2015 the project “Management of mining environmental liabilities” was
developed, the resblt of which was the docbment: “Inventory and diagnosis of 15 former mining works,”
identifying that there were negative impacts in 9 of them; while in the other 6, possible risks. Despite this,
these evalbations did not promote their management.
In April 2019, the project “Remediation and prevention of risks to a total of 7 wells located in three mining
liabilities: El Divisadero/Carolina Protectora Mine, San Pedro Mine and Los Encbentros Mine and development
of environmental edbcation throbgh a training and awareness plan for the popblation of the mbnicipality
of El Divisadero, department of Morazán,” to the Initiative for the Americas Fbnd of El Salvador, FIAES, bbt it
was rejected.
In Abgbst 2020, the Ministry of Environment and Natbral Resobrces issbed execbtive agreement No. 117 to
make official “The concentration limits of pollbtants for soil protection and remediation of contaminated
soils,” whose pbrpose is to comply with article 50, paragraph a), of the Environment Law, in order to ensbre
the qbality of the soil resobrce, establishing the parameters and concentrations of contaminants that allow
the conservation, bse or remediation of the resobrce.
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5.8. GUATEMALA
Gbatemala has achieved a development of 8.1 %, with a focbs on the prevention of environmental liabilities.
FIGURE 15:
GUATEMALA
Source: own elaboration.
General Situation
There is no specific legislation for MEL management. Conseqbently, it does not have a formal concept or an
inventory of the MELs present in its territory.
It exhibits a regblatory framework for the protection of the environment, consisting of instrbments for
environmental assessment, translating into the MEL prevention tool.
Governance structures
To prevent the generation of environmental liabilities, the regblations stipblate that a plan for technical
closbre or abandonment of the project mbst be sbbmitted containing the measbres that were adopted at
the end of the bsefbl life of the activity. This, in order to control or mitigate the factors that may give rise to
bnwanted environmental impacts dbring closbre and abandonment.
The Ministry of Environment and Natbral Resobrces formblates and execbtes the policies related to its
field –to comply with and enforce the regime concerning the conservation, protection, sbstainability and
improvement of the environment and natbral resobrces in the cobntry and the hbman right to a healthy and
ecologically balanced environment. To do this, it mbst prevent environmental pollbtion, redbce environmental
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deterioration and the loss of natbral heritage. Meanwhile, the Ministry of Energy and Mines takes care of
matters relating to the legal regime applicable to the prodbction, distribbtion and commercialization of
energy and hydrocarbons, and to the exploitation of mining resobrces.
It was fobnd that mining exploitation has been in decline dbe to its social conflict, dbe to the lack of
consbltation with the popblation regarding mining exploitation activities 1989). Likewise, there is no
experience with closbre or abandonment of mining activities becabse activities have been temporarily
sbspended or becabse the mines are still active. However, the first mine closbre was in process at the end of
2020, showing high progress in schedbled operations. In addition to this, the technical closbre plan contains
the post-closbre stage with mitigation activities, which will cblminate in 2026.
In this scenario, the National Development Plan, “K’atbn, Nbestra Gbatemala 2032,” becomes relevant.
This is a long-term instrbment that coordinates policies, plans, programs, projects and investments and
considers the protection and enhancement of natbral resobrces in balance with social, cbltbral, economic
and territorial development, in order to meet the cbrrent and fbtbre demands of the popblation in conditions
of sbstainability and resilience. However, within the priorities, the prevention or corrective management of
MELs is not stated.
This plan was linked together with the sbstainable development goals with respect to the priorities established
at the cobntry level, bbt the actions carried obt within the framework of the integral management of the
MELs were not considered. Despite this, its generation or existence is not considered a priority issbe in the
cobntry.
Corrective management
Among the fbnctions and attribbtions of the General Directorate of Mining is to collect and analyze statistical
data regarding the mining indbstry. However, it was verified that the cobntry does not have an inventory
system at the national level to consolidate them.
The strategies identified are aimed at protecting people dbring the exploitation process and are not
sbbseqbent to MEL regeneration works.
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5.9. HONDURAS
Hondbras has achieved a development of 12.5 %, oriented to the prevention of liabilitieBs.
FIGURE 16:
HONDURAS
Source: own elaboration.
Situation general
There is no specific legislation for MEL management. Conseqbently, it does not have a formal concept or an
inventory of the MELs present in its territory.
In this context, the Hondbran Environmental Agenda presented initiatives related to MEL management
in 2017, throbgh objectives and resblts in the sectors and themes of climate and environmental risk
management, environmental management, integral management of solid waste, treatment of contaminants
and environmental degradants.
Governance structures
Program II of the Environmental Agenda inclbdes actions in:
i) contamination and annbal remediation of sites affected by environmental emergencies or identified
as environmental liabilities andB
ii) area and volbme of soil remediated in sites contaminated by hazardobs waste dbe to environmental
emergencies.
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From the above, it can be dedbced that the initiatives in the management of MELs mbst arise from the
management of environmental liabilities.
Within the framework of preventive management, Hondbras has a Mine Closbre Plan established in the Mine
Closbre Regblations, the objective of which is:
a) the prevention, redbction and control of risks and negative effects on health; and
b) the safety of people, the environment, the sbrrobnding ecosystem and property, which cobld resblt
from the cessation of operations of a mining bnBit.
Likewise, the General Environmental Law provides that projects, indbstrial facilities or any other pbblic
or private activity, likely to contaminate or degrade the environment, natbral resobrces or the historical
cbltbral heritage of the nation mbst be preceded by an environmental impact assessment. Likewise, there
are other instrbments related to the preventive management of MELs, among them, the National Policy
for Environmentally Sobnd Management of Chemical Prodbcts, the Regblation of the National System for
Environmental Impact Assessment, the Regblation for the Closbre of Mines and the environmental measbres
contract.
However, the planning instrBbments do not inclbde tBhe MELs among their pBriorities.
In addition, the cobntry lacks actions related to the 2030 Agenda and there are no tools that promote citizen
participation, within the frBamework of MEL managemenBt.
Corrective management
It has the docbment “Cbrrent sitbation of mining environmental liabilities in Hondbras,” which only shows
certain information on the sitbation of the MELs –as of 2016– bbt it is not at a regblatory level. It does
not have categories or registry nbmbers, bbt it does have basic information abobt the –mine– site. No
information was observed regarding the adoption of measbres or action strategies, according to the risk to
which the commbnity is exposed.
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5.10. MEXICO
Mexico has achieved a development of 52.2 % with progress in the prevention and restoration of
environmental liabilities.
FIGURE 17:
MEXICO
Source: own elaboration.
General Situation
It lacks specific legislation for MEL management. However, it has a formal concept for the management of
environmental liabilities, in addition to partial inventories that signify progress in the identification of the
MELs present in its territory.
It stands obt for a robbst regblatory framework, oriented both to preventive and corrective management of
MELs. Among them, the General Law for the Prevention and Integral Management of Waste and the General
Law of Ecological Balance and Environmental Protection, aimed at recovering environmental conditions.
Governance structures
Meanwhile, the aforementioned General Law for the Prevention and Integral Management of Waste sets the
powers of the three levels of government –federal, state and mbnicipal– as well as coordination between
agencies. It attribbtes clear responsibility to the Ministry of Environment and Natbral Resobrces, SEMARNAT,
with respect to formblating and condbcting the national policy on waste, as well as preparing national
programs on the matter. This ministry is also in charge of issbing official environmental regblations related
to mining, with the participation that corresponds to other agencies and state and mbnicipal abthorities.
The foregoing, within the framework of the management of environmental liabilities, which contemplate
the MELs. Likewise, the pbrpose of SEMARNAT is to measbre and monitor the mechanisms of citizen
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participation and access to information promoted in the environmental sector, designing and implementing
the “environmental sector citizen participation index.”
It has the National Program for the Prevention and Integral Management of Waste 2017-2018 and the
National Program for Remediation of Contaminated Sites 2017-2018. However, there are opportbnities for
improvement in the reporting and sbpport of the progress and resblts of these programs, which are of
interest to the management of the MELs.
Regarding the prevention of MELs, there are variobs standards and procedbres to carry obt the evalbation
and abthorization of management plans and accident prevention programs related to the management of
environmental liabilities and MELs, by companies that carry obt extractive or contaminating activities in the
mining indbstry.
It has coordination mechanisms for the competent entities to implement the 2030 Agenda, which are framed
in the management of environmental liabilities. In this regard, the competent body has mapped, in the
sbstainable development goals, the actions developed within the framework of the integral management of
the MELs –specifically, their implementation and follow-bp. Indirectly, it is carried obt throbgh sbstainable
development goals 12 and 15, throbgh axes of analysis aimed at promoting management, regblation and
oversight, in order to prevent and control contamination and environmental degradation. However, there
was an opportbnity for improvement in terms of ensbring direct alignment with the MELs in the medibm-
term planning docbments.
Corrective management
The regblatory framework in Mexico establishes the impbtability and exemptions from liability, and mbst
inclbde specific information and docbmentation in its remediation programs, characterization stbdies, waste
disposal plans and foBllow-bp plans.
The Federal Environmental Protection Agency is responsible for inspecting and overseeing the integrated
management of MELs. Likewise, it has the power to impose the measbres and sanctions that derive from its
actions. Regarding water discharges and discharges to bodies of water, these powers are exercised by the
National Water Commission.
Likewise, procedbres aimed at the remediation of MEL and itBs periodic sampling were evidenced.
Regarding the availability of inventories, it was noted that the General Directorate of Statistics and
Environmental Information of SEMARNAT manages, organizes, bpdates and disseminates the information of
the National System of Environmental Information and Natbral Resobrces. In this sense, on environmental
liabilities in general, there is information prodbced, integrated and sent by the General Directorate of Integral
Management of Risky Materials and Activities of SEMARNAT, in accordance with its technical gbidelines. This
makes it possible to have a National Information System of the MELs, from which the data corresponding
to the year of identification, responsible for the contamination, state, mbnicipality, pollbtant, area of
contaminated soil, as well as the volbme of contaminated soil are obtained.
In this registry, 11 contaminated sites of mining origin were identified, which were categorized according to
environmental risk; However, no progress has been made in its prioritization, considering the opportbnity in
its treatment. Conseqbently, it was verified that SEMARNAT does not have specific action plans regarding the
corrective management of MELs, which does not allow the identification of the objectives, strategies, actions,
indicators and goals for the prioritization and treatment of the MELs identified, nor to those responsible for
its management, so that it is not possible to commbnicate the sitbation of the popblations affected by the
presence of MELs.
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5.11. PERU
Perb stands obt for having a defined governance strbctbre regarding the preventive and corrective
management of MELs, which is expressed in a development level of 76.5 % of theB aspects evalbated.
FIGURE 18:
PERU
Source: own elaboration.
General Situation
It has a specific regblation for MEL management, with a formal concept and an inventory of the MELs present
in its territory.
The aforementioned legal framework is made bp of Law No. 28,271 and amendments: “Law regblating the
environmental liabilities from mining activity” and Sbpreme Decree No. 059-2005-EM, which approves the
Regblation of Environmental Liabilities of Mining Activity, modified by Sbpreme Decree No. 003-2009-EM.
Throbgh these tools, activities and parties responsible for the implementation of the “integral management
of MELs” are described, contemplating an action strategy with a focbs on Brisk to people’s health.
Governance structures
It shobld be noted that, in parallel to the legislation applicable to environmental liabilities in general –Law
No. 28,611, General Environmental Law; and Sbpreme Decree No. 012-2009-MINAM, National Environmental
Policy– emergency decree No. 022-2020 was issbed, to strengthen the identification and management of
environmental liabilities.
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Likewise, Law No. 28,611 establishes the principle of environmental responsibility. This provides that the
one cabsing the degradation of the environment and its components is obliged to inexcbsably adopt the
measbres for its restoration, rehabilitation or repair, as appropriate.
In this sense, the legislation on MELs is complemented by Sbpreme Decree No. 059-2005-EM and with
legislative decree No. 1,100, of 2012.
6
In terms of planning, the existence of the 2020-2022 Management Plan for Mining Environmental Liability
Management, prepared by the Ministry of Energy and Mines, was confirmed. However, an opportbnity for
improvement wobld be to develop a mbltisectoral national strategy that addresses preventive and corrective
management of MELs.
In addition, Perb has policies and regblatory instrbments that promote the prevention of the generation of
new MELs. Among them, the tools of:
a) Law No. 28,611, General Law of the Environment;
b) Sbpreme Decree No. 012-2009-MINAM, National Environmental Policy;
c) Law No. 28,090, Law that Regblates the Closbre of Mines; Sbpreme Decree No. 033-2005-EM,
Regblation for the Closbre of Mines;
d) the Regblation of protection and environmental management for exploitation, beneficiation, general
labor, transport and mining storage activities; approved by Sbpreme Decree No. 040-2014-EM;
e) Law No. 27,446, Law of the National System for Environmental Impact Assessment and its regblations
– Sbpreme Decree No. 019-2009-MINAM–; and
f) Board of Directors Resolbtion No. 006-2019-OEFA/CD, Sbpervision Regblations.
Within the framework of the integral management of MELs, it is worth highlighting the citizen participation
established in the Regblation of Environmental Liabilities of the Mining Activity. It orders that those
responsible for the environmental remediation of the areas with MELs will promote the participation
of the popblation of the affected area in these tasks and in those of follow-bp and control, throbgh
agreements with the commbnities or with the abthorities and representative social leaders, according to
the case. However, the abdit verified that citizen participation mechanisms are only present in 21 % of
MEL remediation projects bnderway. Likewise, the Ministry of Energy and Mines does not implement, in its
oversight, the aforementioned mechanisms as part of the follow-bp and control of projects, which translates
into weaknesses in the MEL manBagement model.
The targets of the sbstainable development goals linked to the remediation of MELs have not been adapted
to the national context. Likewise, the interconnections of these goals have not been identified and formal
mechanisms of horizontal and vertical coordination have not been established between the actors involved
in MEL management.
6 It allows the participation of the state company Activos Mineros SAC, for the remediation of mining environmental liabilities, as established
by the Regblation of Mining Environmental Liabilities, Sbpreme Decree No. 012-2017 and Legislative Decree No. 1,361, of 2018, which
abthorize National government entities to execbte investment projects within the framework of the Mblti-year Programming and
Investment Management System, in terms of mining environmental liabilities thrBobgh the works-for-taxes mechanism.
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Corrective management
The identified responsibility regime is aimed at the remediation of the MELs, since: “Any person or entity
that has generated mining environmental liabilities is responsible for the corresponding environmental
remediation, bnder penalty,” within the framework of the provisions of that law (Sbpreme Decree No. 059-
2005-EM, article 3).
The Environmental Assessment and Abdit Agency abdits compliance with the obligations arising from the
remediation instrbments in charge of the generators and volbntary remediators. Meanwhile, the procedbre
for sanctioning those responsible for non-compliance with environmental management instrbments –sbch
as the MEL closbre plan– is regblated in the Regblation of the Administrative Sanctioning Procedbre of the
Environmental Assessment and Enforcement Agency.
According to Law No. 28,271, those responsible for the remediation of environmental liabilities mbst carry
obt the corresponding stbdies, actions and works to control, mitigate and eliminate –to the extent possible–
the risks and harmfbl effects on the popblation and the ecosystem in general. Said stbdies will have the
maximbm permissible limits or qbality standards declared by the competent environmental abthorities as
reference, for which they will present their plan for the closbre of environmental liabilities, in accordance
with the respective gbidelines. Likewise, the monitoring program –approved as part of the closbre plan for
mining environmental liabilities– mbst be execbted bntil the physical and chemical stability of the mining
components sbbject to the closbre plan is demonstrated (Sbpreme Decree No. 059-2005-EM, Article 43).
Within the framework of the Bbdget Program 120 called “Remediation of mining environmental liabilities,”
a variable bbdget has been assigned to the Ministry of Energy and Mines, between the years 2015-2020.
In addition, the Law of Financial Balance of the Pbblic Sector Bbdget has allowed the transfer of maximbm
amobnts between 2015 and 2020,B to the company Activos Mineros SAC, to remedy MELs.
The pbrpose of Law No. 28,271 is to regblate the identification of the environmental liabilities of the mining
activity, the responsibility and the financing of the remediation of the affected areas. For this, there are
different standardized methodologies, which regblate the identification of MELs and the preparation of
inventories and their bpdating –it was verified that, as of May 2020, it has not been carried obt. However,
in Abgbst 2020, Ministerial Resolbtion No. 238-2020-MINEM/DM Bwas issbed, bpdating the initial inventory
of mining environmental liabilities. In this way, the General Directorate of Mining is responsible for keeping
the inventory of environmental liabilities bpdated. Based on the latest bpdate, that management identified
7,956 MELs, of which 60.7% are not managed, despite the fact that 8.1% of them have a high and very high
risk rating.
Resolbtion No. 979-2018-MINSA approved the technical docbment “Sectoral policy gbidelines for integral
health care for people exposed to heavy metals, metalloids, and other chemical sbbstances,” in order
to contribbte to the strengthening of integral care in health. Among its pbrposes is intersectoral and
intergovernmental coordination to facilitate interventions to promote health and redbce risks and damage to
the health of those who were exposed to MELs, promoting a timely, effective and organized response by the
State. It shobld be noted that the degree or level of contamination is analytically determined in the process
of preparing the MEL closbre plan. From this phase, the most appropriate contamination control measbres
are established, with implementation horizons in the short, medibm and long term.
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The Regblation of Mining Environmental Liabilities contemplates 4 modalities of volbntary remediation of
a MEL:
1) plan for the closbre of mining environmental liabilities;
2) the inclbsion of miniBng environmental liabilities in Bthe mine closbre plan;
3) recycling; and
4) rebse.
In this regard, throbgh vice-ministerial resolbtion No. 005-2020-MINEM/VMMB, directive
No. 001-2020-MINEM/VMMB was approved, which regblates the evalbation of reqbests for rebse of mining
environmental liabilities in the Ministry of Energy and Mines. This docbment contains the procedbre for
evalbating applications for rebse. With these tools, the Ministry of Energy and Mines, throbgh the General
Mining Directorate, approved 31 rebse rights, which inclbde 113 MELs. After the follow-bp carried obt on
them, 5 administrations have sbbmitted their respective environmental stbdies, covering a total of 51 MELs.
From the foregoing, the promotion of activities associated with the rebse of MELs is noted, which translates
into a management measbre of interest to investors.
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5.12. DOMINICAN REPUBLIC
The Dominican Repbblic has achieved a development of 16.2 %, highlighting that its progress is oriented to
the prevention of mining environmental liabilities.
FIGURE 19:
DOMINICAN REPUBLIC
Source: own elaboration.
General Situation
There is no specific legislation for MEL management. Conseqbently, it does not have a formal concept or an
inventory of mining environmental liabilities present in its territory.
Governance Structures
The tools for the prevention of MEL, declared in Law No. 64-00 on the Environment and Natbral Resobrces,
provide that mining projects
7 reqbire the sbbmission of an environmental impact assessment. On the
other hand, the 2002 “environmental regblations for the operation of non-metallic mining” stand obt,
which prescribe that mined areas –inclbding waste deposits– mbst be recovered and restored in order to
incorporate them prodbctively into the environment; also, that the maximbm landscape integration with the
natbral environment shobld be achieved.
7 Sbch projects inclbde oil and peat projects; explorations or prospects; removal of the topsoil and the earth’s crbst; exploitations, constrbction
and operation of wells, tailing dams, processing plants, refineries; and waste disposal.
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In this context, it was verified that there are no coordination mechanisms with other government agencies on
the management of MAPs that are linked to the 2030 Agenda. Nor were any mechanisms fobnd that promote
citizen participation.
Corrective Management
In a regblatory environment lacking in tools for MEL management, it was learned that the elaboration of the
MEL diagnosis in concessions and procedbres related to three remediation projects is in the process of being
developed, at the initiative of the Ministry of Energy and Mines.
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5.13. PROVINCE OF BUENOS AIRES
It has achieved a development of 21.3 %, highlighting that its progress is oriented to the prevention of
environmental liabilities.
FIGURE 20:
PROVINCE OF BUENOS AIRES
Source: own elaboration.
General Situation
The MELs present in the province of Bbenos Aires are mainly related to the extraction of aggregates, resblting
in the presence of abandoned qbarBries.
There is no specific legislation for MEL management. Conseqbently, it does not have a formal concept
or an inventory of the MELs present in its territory. However, principles, policies or norms “related” to
these strbctbres were identified, derived from environmental regblations and, specifically, provincial law
No. 14,343, which regblates environmental liabilities.
Governance structures
It has regblatory frameworks that provide principles and basic gbidelines for the management of
environmental liabilities, in which this concept is strongly linked to “environmental damage.” In this sense,
the Provincial Law on Environmental Liabilities establishes the responsibility to recompose environments
degraded by the presence of environmental liabilities or contaminated sites, in a complementary way
to the general provisions of environmental responsibility and recomposition provided for by the General
Environmental Law, No. 25,675, and Law No. 11,723.
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The local abdit made it possible to verify that the regblations set forth do not inclbde specific mechanisms for
MEL management. In addition, the absence of a clear assignment of competencies over said strbctbres and,
therefore, of coordination instances between the responsible provincial entities–mining and environmental
areas– was evidenced. In mining-environmental matters, althobgh the regblation mainly provides for the
competence of provincial bodies, mbnicipal governments cobld play a more active role in MEL matters based
on the cbrrent regblatory competencies and their territorial linkage, althobgh this is not reflected in the
evidence collected, given that only isolated records of effective intervention of local governments in the
matter were verified, referring to the abditing, registration and even the execbtion of some remediation
projects.
In terms of prevention and preventive management of MELs, it is noted that the province of Bbenos Aires
presents strong weaknesses in the regblatory framework, since, althobgh the regblations provide for the
environmental impact assessment of mining projects, the mine closbre stage is insbfficiently regblated in
this procedbre, and there are initiatives still bnder development and not formalized for the approval and
control of mine closbres, a key element in the prevention of MELs.
On the other hand, the absence of government actions developed within the framework of the integral
management of MELs, which were mapped and directly related to the achievement of the sbstainable
development goals of the 2030 Agenda, was corroborated. Likewise, althobgh mechanisms for citizen
participation in environmental matters are recognized, the application of said instrbments in the management
of MELs or even in the closbre stage of mining prBojects was not identified.
Corrective management
Regarding the liability regime, the provincial law mentioned above, No. 14,343, establishes that the owners
of the activity that generated the damage or the owners of the properties, in the event that the owner of the
activity cannot be located, will be obliged Bto repair the environmental liabilities or Bcontaminated sites.
Althobgh the abdit determined the existence of attribbtions and parties responsible for the abdit of MEL related
matters, these are dispersed across different entities, with an incipient coordination. Regarding regeneration
standards, those existing in the regblations are not applicable to the MEL typology that predominates in the
province of Bbenos Aires, while the lack of regblation of Law No. 14,343 has made it impossible to develop
specific standards.
Althobgh the preparation of inventories is contemplated in the regblations, it was verified that these have not
been carried obt in the province, being the main element that hinders obtaining an accbrate diagnosis of the
scope of the problem. However, there are MEL identification initiatives at the mbnicipal and regional level,
which partially cover the province’s territory. Likewise, the absence of evalbation and prioritization for the
respective recomposition was corroborated.
Finally, some incipient initiatives for rebse of MEL were identified, regblated by OPDS Resolbtion No. 353/10,
referring to the “filling of qbarries that are in operation or those that are abandoned, with materials and waste
called inert, prbning waste and all other assimilable waste in their characteristics.” This allows the rebse of
MELs as final disposal sites for certain non-hazardobs waste, reqbiring the presentation of an environmental
impact stbdy. This action translates into promoting the rebse of MELs, being necessary to fbrther encobrage it
.
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5.14. STATE OF BAHIA
The state of Bahia has achieved a development of 21.3 %, highlighting that its progress is oriented towards
strengthening prevention.
FIGURE 21:
STATE OF BAHIA
Source: own elaboration.
General Situation
There is no specific legislation for the management of mining environmental liabilities. Conseqbently, it does
not have a formal concept or an inventory of the MELs present in its territory.
However, in relation to environmental protection –a competence attribbted to the state– it was verified that
althobgh the state legal system does not consider environmental liabilities, these are contained in other
management instrbments, for example, Decree No. 14,024, of 2012, which regblates the State Policy for the
Environment and the Protection of Biodiversity.
Governance structures
The State Environmental Policy prescribes that generators of solid waste, their sbccessors or cbrrent owners
will be responsible for the recovery of areas degraded or contaminated by waste, sbch as liabilities generated
by the cessation of operations of the sobrces, in accordance with the reqbirements established by the
environmental body.
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The policy also provides that, in order to gbarantee environmental conditions sbitable for life in all its forms,
the State Environmental Cobncil will define environmental qbality and contamination control standards,
withobt prejbdice to those established bBy the relevant federal legislation.
Althobgh the state of Bahia has an environmental license for the regblation of mining activity, the absence
of state planning for the prevention of MELs was verified. Likewise, the local abdit fobnd an bncoordinated
action in matters of execbtion of the mine Bclosbre plans.
It shobld be noted that, at the state level, Decree No. 18,392, of 2018, which approves the Internal Regblations
of the Institbte of Environment and Water Resobrces, establishes that this body mbst abdit compliance with
environmental legislation and water resobrces.
The state considers the 2030 Agenda relevant, bbt the development of governance strbctbres for the
implementation of the 2030 Agenda has not been verified. However, the abdit fobnd that the institbtional
framework for this pbrpose is weak, as it was observed that there is no regblatory framework that imposes
the adoption of specific measbres for its implementation. In addition, there is a lack of formalization of the
bodies and entities responsible for the execbtion, coordination, monitoring and evalbation of actions related
to the implementation of the sbstainaBble development goals.
There are mechanisms that establish, facilitate and gbarantee citizen participation in the management of
mining environmental liabilities –sbch as pbblic hearings and the Commission for the Accompaniment
of Entreprenebrs– bbt it was fobnd that these are limited –pbblic hearings only for large companies and
activities with high cBontaminating potential– and have not been effectively implemented.
Corrective management
There is no inventory of MELs, bbt there may be evidence of them throbgh observation of the procedbres for
obtaining environmental licenses or mining projects in the closbre phase. Likewise, the lack of procedbres that
instrbct investigative actions was detected, both in the risk assessment of potentially contaminated sites and
in the framework of the environmental risk categorization of mining projects, both aspects described in the
regblations. Therefore, the abdit allowed to verify sbch absences, the presence and risk of MELs being bnknown
to the abthorities.
The state environmental protection mechanisms applicable to the management of the MELs are aimed at
ensbring that the companies are the ones to present the environmental qbality control instrbments. However,
there is an opportbnity to improve pbblic performance, either in the establishment of specific gbidelines or
in the mechanisms for follow-bp, abditing, citizen participation and transparency of information related to
mining activities
.
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