Thông tư 44/2016/TT-BTNMT

CIRCULAR

ON SUPERVISION OF MINERAL EXPLORATION PROJECTS

Pursuant to the Law on Mineral No. 60/2010/QH12 dated November 17, 2010;

Pursuant to the Government’s Decree No. 158/2016/ND-CP dated November 29, 2016 on guidelines for the Law on Mineral;

Pursuant to the Government's Decree No. 203/2013/ND-CP dated November 28, 2013 on calculation method and charge for granting the mineral mining right;

Pursuant to the Government's Decree No. 21/2013/ND-CP dated March 04, 2013 on defining the functions, tasks, powers and organizational structure of the Ministry of Natural Resources and Environment;

At the request of Director General of General Department of Geology and Minerals of Vietnam and Director General of Department of Legal Affairs;

The Minister of Natural Resources and Environment hereby adopts a Circular on supervision of mineral exploration projects.

Chapter I

GENERAL PROVISIONS

Article 1. Scope and regulated entities

1. This Circular elaborates Clause 6, Article 30 of the Pursuant to the Government’s Decree No. 158/2016/ND-CP dated November 29, 2016 on guidelines for the Law on Mineral;

2. This Circular applies to mineral authorities; organizations and individuals issued with the mineral exploration license; units, organizations and individuals related to supervision of mineral exploration projects (below collectively referred to as “supervision”).

Article 2. Definitions

For the purposes of this Circular, the terms below shall be construed as follows:

1. “direct supervision” refers to the field supervision carried out during the execution of a mineral exploration project.

2. “indirect supervision” refers to the supervision carried out after all work items of the mineral exploration project have been finished according to the legal, technical and original documents.

Chapter II

SUPERVISION OF MINERAL EXPLORATION PROJECTS

Article 3. Work items and supervision methods

1. Work items upon direct supervision:

a) Construction: pits, trenches, wells, furnaces, drilling (geological drilling, hydro-geological - engineering-geological drilling), karotaz, water test pumps;

b) Technological sampling; test borrow pit; sampling in works; sample processing (for the samples processed in the field).

2. Work items upon indirect supervision: surveying results, geological, geophysical, hydro-geological and engineering-geological mapping, sampling, processing and analysis of samples of all kinds (except for channel samples).

3. According to the mineral exploration project, technical nature and scope of the mineral work items, the competent authority specified in Clauses 1 and 2, Article 15 of the Government's Decree No. 203/2013/ND-CP dated November 28, 2013 on calculation method and charge for granting the mineral mining right shall decide the direct or indirect method.

4. The contents of supervision are specified in Articles 4 and 5 of this Circular.

Article 4. Direct supervision

1. Excavation works (pits, trenches, wells, furnaces): summarize the field construction; accurately determine: equipment, employees, location and size of the work, thickness of mineral body (if any), volume. After the work is completed, these contents must be made into the supervision record according to the Form No. 03 enclosed herewith and regulations specified in Clause 7 of this Article.

2. Drilling: summarize the field drilling; accurately determine: equipment, employees, location and ratio of the core sample, volume, wall and cylinder structure of mineral body. After the work is completed, these contents must be made into the supervision record according to the Form No. 04 enclosed herewith and regulations specified in Clause 7 of this Article.

3. Karotaz borehole logging measurement: summarize the field measurement; accurately determine: equipment, employees, methods, volume. After the work is completed, these contents must be made into the supervision record according to the Form No. 04 enclosed herewith and regulations specified in Clause 7 of this Article.

4. Water test pump: summarize the field implementation; accurately determine: equipment, employees, methods, volume. After the work is completed, these contents must be made into the supervision record according to the Form No. 04 enclosed herewith and regulations specified in Clause 7 of this Article.

5. Sampling at excavation and drilling works; technological samples; test borrow pit: 

Channel sampling in the excavation work must be supervised at the place where such work is located; core sample must be supervised at the place where such sample is sawed or cut; technological sample or large size sample must be supervised while the excavation is being carried out. Locations, methods, equipment, size and weight of samples must be determined. After the work item is completed, these contents must be made into the supervision record according to the Form No. 05 enclosed herewith and regulations specified in Clause 7 of this Article.

In case of exploration of minerals used as stone slabs, recovery rate of the final blocks of different dimensions must be recorded while the test borrow pit is being supervised.

6. Sample processing (for the samples processed in the field): record processing procedures; determine the number of samples and their weight after the processing. After the processing is completed, these contents must be made into the supervision record according to the Form No. 05 enclosed herewith and regulations specified in Clause 7 of this Article.

7. The contents specified in Clauses 1, 2, 3, 4, 5 and 6 of this Article must be recorded in the supervision logbook according to the Form No. 02 enclosed herewith.

Article 5. Indirect supervision

1. The original documents include:

a) Legal documents relating to the investment decision and work commissioning;

b) Construction documents relating to exploration works; location of exploration works, core samples, karotaz measurement results, logbook, images, construction drawing, sample analysis results, maps;

c) Inspection, assessment and decision on the number of exploration works satisfying the requirements of the approved exploration project; reasonableness of the field data collected according to each work item.

2. The volume and quality of a mineral exploration project, construction procedures, and exploration methods and techniques shall be assessed. The collection and quality of original documents shall be determined.

Chapter III

IMPLEMENTATION AND IMPLEMENTATION CLAUSE

Article 6. Responsibilities of organizations and individuals issued with the mineral exploration license

1. Comply with all regulations of the law on supervision throughout the execution of the mineral exploration project according to the mineral exploration license issued by a competent authority.

2. Reach an agreement on the supervision contents with the supervising unit before executing the mineral exploration project.

3. Provide the supervising unit with sufficient documents about issuance of the mineral exploration license, program and plan for execution of the mineral exploration project.

4. Cooperate with the supervising unit in ensuring the volume, quality and progress of the mineral exploration project.

5. Request the competent authority to consider taking actions against the supervising unit that does not comply with the regulations specified in Clause 3, Article 7 of this Circular and other relevant laws.

Article 7. Responsibility for supervision

1. Pursuant to Clauses 1 and 2, Article 15 of the Government's Decree No. 203/2013/ND-CP dated November 28, 2013 on calculation method and charge for granting the mineral mining right, the General Department of Geology and Minerals of Vietnam and Provincial Departments of Natural Resources and Environment shall, within their power, assign units and individuals licensed to carry out geological baseline survey of minerals and mineral exploration to supervise the mineral exploration project.

2. Prepare a supervision plan in conformity with the program and plan for execution of the mineral exploration project by the units and individuals issued with the mineral exploration license; prepare a supervision report according to the Form No. 06 enclosed herewith.

3. The supervision shall be compliant with the supervision principle specified in Clause 2, Article 30 of the Government’s Decree No. 158/2016/ND-CP dated November 29, 2016 on guidelines for the Law on Mineral.

4. Request the competent authority to consider taking actions against the organization or individual that is issued with the mineral exploration license, and does not comply with regulations specified in the license and technical regulations relating to mineral exploration.

5. Units and individuals shall be responsible to law for the supervision results.

Article 8. Effect and responsibility for implementation

1. This Circular comes into force from February 10, 2017.

2. The Director General of General Department of Geology and Minerals of Vietnam shall instruct, monitor and inspect the implementation of this Circular.

3. Ministries, ministerial agencies, People’s Committees of provinces and central-affiliated cities and relevant organizations and individuals are responsible for the implementation of this Circular.

4. Difficulties that arise during the implementation of this Circular should be reported to the Ministry of Natural Resources and Environment./.

Form No. 01. Contents of supervision plan

(Enclosed with the Circular No.44/2016/TT-BTNMT dated December 26, 2016 of the Ministry of Natural Resources and Environment)

I. Introduction: legal grounds, name of the project, investor, general contents of the project (entities, scope, objectives, tasks and methods), supervising unit, purpose and contents of the supervision.

II. Contents of supervision plan

- Work items to be supervised: specify the reasons for supervision, goals to be achieved, contents to be supervised

- List of work items to be supervised

- Supervision documents:

+ Supervision logbook: daily activities recorded by the supervisor;  

+ Supervision record: made for each work item or work.

+ Supervision report: prepared by the supervising unit after the end of a supervising period (unscheduled, periodic, final), excluding unscheduled reports or reports prepared at the request of a competent authority.

III. Implementation:

- Task assignment: expected supervisors, tasks assigned to each individual (make a list of work items assigned to each individual);

- Supervision time: expected time for carrying out supervision according to the construction plan.

IV. Conclusion and suggestion

Advantages and disadvantages in implementing this plan; suggestions for the feasibility and quality of the plan.

Form No. 02. Supervision logbook

(Enclosed with the Circular No.44/2016/TT-BTNMT dated December 26, 2016 of the Ministry of Natural Resources and Environment)

1. Logbook dimension: 17.5x12cm

2. Logbook cover

3. Logbook contents

3.1. General contents

+ Table of Contents after page 2;

+ Investor;

+ Construction contractor;

+ List of codes of each supervised work and work item, date of supervision, number of pages.

3.2. Supervision contents:

+ Name or code of the work and work item;

+ Representative carrying out construction (team or group leader);

+ Technical staff;

+ Construction engineering;

+ Employees;

+ Construction equipment;

+ Starting date of construction;

+ Construction procedures and progress;

+ Volume;

+ Ending date;

+ Mineral resource protection and environmental protection;

+ Remarks (made by comparing the supervision contents and exploration project, relevant applicable procedures, standards and regulations): the work satisfying (failing to satisfy) requirements for construction quality; failed stage (construction, sampling, document preparation, occupational safety, etc.), causes.

Form No. 03. Supervision record

(Enclosed with the Circular No.44/2016/TT-BTNMT dated December 26, 2016 of the Ministry of Natural Resources and Environment)

EXCAVATION WORK SUPERVISION RECORD

1. Name and code of the work:

- Project:

- Investor:

- Construction contractor:

- Presiding person:

- Supervisor (full name, academic degree, title, place of work);

- Officials in charge of construction (full name, academic degree, title, place of work);

2. Construction process

- Starting date:                                 - Ending date:

- Unexpected changes:

3. Quality assessment: (pass/fail)

- Construction documents;

- Employees;

- Construction equipment;

- Site suitability for construction;

- Size of work;

- Construction quality;

- Quality of collected documents;

- Volume;

- …………………………….

4. Volume:

- Construction volume (m³, m, etc.) specified according to the criteria: soil and rock classification, depth, complexity, etc.:

- Sampling volume:

- Others (work filling, back filling, etc.)

5. General assessment: set objectives (achieve/fail to achieve), construction quality (pass/fail); causes.

6. Conclusion and suggestion:

………………………………………………………………………………………………………

Form No. 04. Supervision record

(Enclosed with the Circular No.44/2016/TT-BTNMT dated December 26, 2016 of the Ministry of Natural Resources and Environment)

DRILLING WORK SUPERVISION RECORD

1. Name and code of the work:

- Project:

- Investor:

- Construction contractor:

- Presiding person:

- Supervisor (full name, academic degree, title, place of work);

- Officials in charge of construction (full name, academic degree, title, place of work):

2. Construction process

- Starting date:                                 - Ending date:

- Unexpected changes:

3. Quality assessment: (pass/fail)

- Construction documents;

- Employees;

- Construction equipment;

- Site suitability for construction;

- Core sample ratio;

- Depth of ore wall and cylinder structure;

- Construction volume;

- ……………………….

4. Volume:

- Construction volume (m) specified according to the criteria: soil and rock classification, depth, etc.

- Core sample volume (m, sample tray); quality of core sample,

- Karotaz measurement volume (equipment, employees, methods, volume, etc.).

- Water test pump (equipment, employees, time, volume),

- Others (work filling, milestone construction, back filling, etc.).

5. General assessment: set objectives (achieve/fail to achieve), construction quality (pass/fail); causes.

6. Conclusion and suggestion:

………………………………………………………………………………………………………

Form No. 05. Supervision record

(Enclosed with the Circular No.44/2016/TT-BTNMT dated December 26, 2016 of the Ministry of Natural Resources and Environment)

SAMPLING AND SAMPLE PROCESSING SUPERVISION RECORD

1. Name of the item: sampling……………

- Project:

- Investor:

- Construction contractor:

- Presiding person:

- Supervisor (full name, academic degree, title, place of work):

- Officials in charge of construction (full name, academic degree, title, place of work):

2. Construction process

- Starting date:                                 - Ending date:

- Unexpected changes:

3. Quality assessment: (pass/fail)

- Employees;

- Equipment;

- Methods;

- Sampling locations;

- Sample size;

- Weight of samples before and after the processing;

- Sample processing procedures;

- …………………………………….

4. Volume:

- Sample volume;

- Documents about samples (volume);

5. General assessment: set objectives (achieve/fail to achieve), construction quality (pass/fail); causes.

6. Conclusion and suggestion:

…………………………………………………………………………………………………………….

Form No. 06. Supervision report

(Enclosed with the Circular No.44/2016/TT-BTNMT dated December 26, 2016 of the Ministry of Natural Resources and Environment)

CONTENTS OF SUPERVISION RESULT REPORT (PERIOD, STEPS), YEAR…..

Introduction:

- Legal grounds, objectives and tasks of the project.

- Implementation time.

Chapter I. GENERAL OVERVIEW

1. Overview on the area where the project is executed, task performance, advantages and disadvantages during the course of the project.

2. Assessment of construction capacity, employees and equipment.

3. Assessment of procedures for using exploration methods and executing the supervised work items.

Chapter II. VOLUME AND SUPERVISION RESULTS

1. Volume and supervision results of each work item by the construction contractor. Assessment of progress, volume, construction quality, volume of collected documents and quality of collect documents about each abovementioned work item according to regulations of the project and applicable regulations. Tabulation of volume of supervised work items, list of items and volume satisfying quality requirements; items, works and construction volume failing to satisfy quality requirements (causes).

2. Assessment of occupational safety assurance during execution.

3. Assessment of mineral resource protection and environmental protection before and after execution.

4. Assessment of deviations from the project, causes.

5. Assessment of supervision results (head of the supervising unit and supervising team leader shall carry out self-assessment of supervision results, truthfulness and objectivity, and be responsible to law for the supervision results).

CONCLUSION AND SUGGESTION

- General assessment of achieved results.

- Suggestions for shortcomings.

ENCLOSURES

1. Supervision logbook, documents collected during supervision (images);

2. Supervision record;

3. Supervision reporting periods;

4. Legal documents; inspection documents of governing authorities;

5. Profiles of participants;