The importance of local communities' participation for an effective Emergency Action Plan for Mining Dams in Brazil

1. The APELL model and the Brazilian Emergency Action Plan for Mining Dams

On the 5th November 2015, the rupture of two iron ore tailings dams called "Fund?o" and "Santarém" owned by the company Samarco Minera??o SA, caused the release of millions of cubic meters of mud, flooding numerous houses in the district of Bento Rodrigues, in Mariana, Minas Gerais, as well as provoking the contamination of much of Rio Doce. The lack of an emergency action plan and the delay in disseminating information about the risks generated by the disaster caused the UN to strongly criticize Samarco, the Brazilian government, Vale SA and the Anglo-Australian miner BHP Billiton Brazil Ltda.[1], revisiting the discussion about the need to implement a model of an emergency action plan that involves the community.

On the 25th January 2019, a very similar event happened in the same State. The Dam I, a?tailings dam?at the iron ore mine “Córrego do Feij?o”, 9 kilometres east of?Brumadinho, suffered a?catastrophic failure.?The dam is owned by?Vale, the same company that was involved in the 2015?Mariana dam disaster[2]. The dam released a?mudflow?that advanced over houses in a rural area near the city. As a result of the collapse at least 206 people died. The United Nations Economic Commission for Europe?(UNECE) reacted by saying that “the answer lies in a tried and tested formula: putting safety first and investing in prevention. Such tragic accidents could have been avoided by taking adequate and effective safety measures[3].

A successful model for this emergency action plan is the APELL for mining. This article suggests that Brazilian mining companies, communities, environmental risk and accident prevention authorities use the APELL model. The next session compares the main points of the APELL with the Emergency Action Plan for Mining Dams – PAEBM, in relation to the responsibility for elaborating and implementing the plan, and the participation of local community, including training and communication.

2. Responsibility For The Elaboration

Under Resolution ANM/MME no. 95, it is the responsibility of the entrepreneur to prepare the Emergency Action Plan for Mining Dams – PAEBM[4]. In order to do so, the technical auditor needs to be registered with the Regional Council of Engineering and Agronomy – CREA, with professional qualification for the design, construction, operation or maintenance of dams compatible with those defined by the Federal Council of Engineering, Architecture and Agronomy – CONFEA.

In the APELL, the Group Coordinator plays a fundamental role in the construction and maintenance, communication, commitment, cooperation and dynamics during the development of the emergency plan, ensuring that it is inclusive and effective. The Group Coordinator’s performance, therefore, is prior to operational activities[5], giving the APELL a structural aspect, planning the actions to be carried out if an emergency occurs.

The Group Coordinator shall include, in its composition, representatives of groups responsible for minimizing and responding to emergencies, as well as representatives of groups that have some legitimate interest in the choices of planning alternatives[6]. The entrepreneur responsible for the mine, representatives of non-governmental environmental agencies, Civil Defence authorities, National Park’s officials, local religious leaders, members of residents' associations, among others[7]can be part of the coordination nucleus.

3. Operational Responsibility

According to Resolution ANM/MME no. 95[8], the PAEBM coordinator must be formally designated by the entrepreneur to coordinate the actions described in the PAEBM, with readiness to act promptly in emergency situations of the dam[9], classified in Level 1, Level 2 or Level 3. In case of an emergency situation, the PAEBM coordinator will be responsible for declaring it and executing the actions described in the PAEBM[10], for communicating the civil defence and for making themselves available[11].

In case the dam, for example, is in an imminent situation of rupture (Emergency Level 3), the planning of the activities to be carried out must be object of national, state and municipal Civil Defence, in compliance with Federal Law? no. 12,608/2012, which provides for the National Policy on Protection and Civil Defence.

In the APELL Plan, on the other hand, operational responsibility is more widespread and interdisciplinary. In view of the 10-Step Program, the identification of the group that will act in response to a potential emergency situation occurs in Step 1 (identify participants and establish communication). Thus, the group could be composed of fire brigade, civil police, emergency health services, such as ambulances and paramedical teams, environmental agencies, governmental and nongovernmental, port and airport authorities, public transport Many mining ventures operate in rural or remote areas, where the infrastructure of the site is extremely limited, as well as the performance of government agents, or even in places where such characteristics exist. In cases in which resources are severely scarce, it is the entrepreneur's responsibility to provide all the needed resources to deal with possible emergencies.

After assessments undertaken in Step 2 and Step 3, respectively, assessing risks and reviewing existing plans and identifying flaws, Step 4 (identification of functions) determines the additional tasks that need to be performed to complete or enhance the emergency plan already structured. This step requires that the Coordinating Group and the participants of the team responsible for responding to emergency situation put their efforts into a full definition of what exactly needs to be done.

Finally, in Step 5 (combine tasks and resources), each function defined in Step 4 will be assigned by the Coordination Group to the participants who will be best able to do so. The assignment of tasks shall consider aspects such as authority, jurisdiction, competence and resources.

4. Local Communities

Contrary to the worldwide trend of stakeholder and community involvement, PAEBM does not specify the involvement of local communities in the formulation phase of the emergency plan. According to Resolution ANM/MME no. 95 – article 35, paragraph 2 – local communities are still expected to adopt the actions foreseen in the PAEMB, when an emergency situation is verified without having actively participated of its elaboration. PAEBM has adopted a top-down approach in which local actors must follow plans made without their participation in the decision-making process for prevention of, and response to, accidents and selecting priorities.

This is the biggest difference between APELL Mining and PAEBM. At APELL, there is foresight and need for local communities to participate in all stages of the process. Examples of this prediction are, for example, in Step 2, already mentioned. At this stage, when assessing the risks that may result in emergencies, the community's perception of such risks and their prioritization are considered. The Coordination Group considers emergency situations most likely to occur, and also those with which the local community is most concerned.

In Step 6 (incorporating individual plans into the integrated and reconciled plan), the necessary changes will be made to improve the existing emergency plan, integrating it with the individual plans of regional companies and communities, if they exist. This procedure integrates existing individual plans to avoid contradictions and transforms the final emergency plan into a document more consistent with local legislation and other relevant priorities for the communities. In Step 7 (prepare the final plan and obtain approval), the integrated plan, as agreed in consensus with the Coordinating Group, will be formalized in a final version, and approved by local government, community and other stakeholders involved.

5. Training

At PAEBM, training and simulations of emergency situations shall be done by the entrepreneur in close collaboration with municipal government and the civil defense. When it comes to internal training, involving the dam safety team and other employees, the entrepreneur has the responsibility of carrying out such activities, which must be recorded in Volume V of the Dam Safety Plan – PSB.

In the APELL methodology, with the approval of the final version of the plan, it is necessary to communicate all its details to the members of the groups that will act during emergency situations. This is for participants to be aware of the process format, their individual and collective responsibilities, and training that will be required, subject of Step 8 (training).

In Step 9 (testing, review and updating), it will be up to the Coordinating Group to ensure that the plan is adequately and effectively tested. The initial test, for example, shall not involve the external public, facilitating the qualitative analysis of the coordination between the groups and the structuring that has been used until then. These trainings, therefore, constitute an important instrument for the identification of new areas for improvement and strengthening of appropriate measures. In addition, the Coordinating Group must certify that, through performance of local authorities and the media, the public and all participants in the training are alerted about their scheduling, so that the test is not confused with a real situation, avoiding potential panic, and become, in fact, an emergency.

6. Communication

According to Federal Law no. 12.334/2010, the PAEBM shall contain training and disclosure programs to potentially affected communities in emergency situations[12]. In addition, the prepared emergency plan shall be available at the dam site, with the protection agencies and with the civil defence authorities or, when inexistent, with the city council[13].

At the international level, the regulation of strategies for disclosure is more complete. Step 10 of APELL mining (guidance and communication to the public) ensures that each member of the community, likely to be affected, knows what emergency warnings will be, what conduct and behaviour to take in the event of an emergency, and how to obtain information when evacuation is required.

Thus, among the measures proposed, the creation of a "media kit" containing emergency contacts of the mining company, public authorities and other relevant organizations, providing detailed information on the response plan. This kit shall be presented during a press conference, which will also explain the role of the media during an emergency situation. Another positive step, which is worth mentioning, is the organization of special workshops on the chemical substances involved in mining, in order to educate the public about its benefits and risks.

7. Conclusions

Brazil has an extraordinary mineral wealth, translated by numerous and significant dams in the mining sector. Considering the accidents that happened in Mariana and Brumadinho in the Minas Gerais State and the variety of dams in high risk of rupture, it is crucial for the mining sector and the government to continue developing a set of instruments to deal with such structures and increase the security of the populations living downstream.

The National Policy for the Safety of Dams – PNSB, established by Federal Law no. 12,334/2010 and, regarding mining dams, by Resolution ANM/MME no. 95, through the PSB Dams Safety Plan, classifies dams by Risk Category – CRI and Associated Potential Damage – DPA. The Emergency Action Plan – PAE aims to promote a culture of dam safety and risk management. Such measures intent to minimize the consequences of disruption of these structures, with the preservation of life, health, property and the environment in the mining areas.

Despite the progress made by Federal Law no. 12,344/2010 and by Resolution ANM/MME no. 95 considering the rupture of the dams in Mariana and Brumadinho, and the Minas Gerais State Law no. 23,291/2019, a great deal needs to be done regarding improvements in the system with regard to the Emergency Action Plan for Mining Dams – PAEBM and the PAE. One of the ways to improve such plans is to adopt several points highlighted in the APELL Manual for Mining.

As discussed in this article, when comparing the two models of emergency plans, the APELL is more complete and more detailed, especially regarding stakeholder participation. The APELL sets a 10-step plan for drafting and implementing actions with stakeholders’ participation at its centre. The APELL places special emphasis on representatives of local communities, making the plan more inclusive and effective in saving lives and the environment. This is because when people participate in the decision-making process from an early stage, they are more likely to implement what is planned. In times of emergency, knowledge of the plan and the will to follow it are crucial to save lives and minimize negative consequences of accidents.

Thus, the implementation of APELL in Brazil comprises an unique challenge that requires the promotion of dialogue among entrepreneurs, public authorities, local populations, and scientific community, aiming, above all, to adapt the methodology to the reality of the country while improving the plan’s effectiveness.

[1]UNITED NATIONS HUMAN RIGHTS. Brazilian mine disaster: “This is not the time for defensive posturing” – UN rights experts. Published on 25 nov. 2015. In:<https://www.ohchr.org/en/press-releases/2015/11/brazilian-mine-disaster-not-time-defensive-posturing-un-rights-experts> Accessed on 28 May 2022.

[2]Correio Braziliense(in Portuguese). Barragem de rejeitos da Vale se rompe e causa destrui??o em Brumadinho (MG)?[Vale's Tailing dam collapses and causes destruction in Brumadinho, Minas Gerais].? Published on 25 January 2019. In:

<https://www.correiobraziliense.com.br/app/noticia/brasil/2019/01/25/interna-brasil,732919/barragem-de-rejeitos-da-vale-rompe-e-causa-destruicao-em-brumadinho-m.shtml> Accessed on 28May 2022.

[3]United Nations Economic Commission for Europe – UNECE. Let’s not wait for another deadly dam failure: UNECE guidelines can improve safety. Published on 30 January 2019. In: <https://www.unece.org/info/media/presscurrent-press-h/environment/2019/lets-not-wait-for-another-deadly-dam-failure-unece-guidelines-can-improve-safety/doc.html>. Accessed on 28 May 2022.

[4] Article 2, Resolution ANM/MME no. 95.

[5]UNEP. APELL for Mining: Guidance for the Mining Industry in Raising Awareness and Preparedness for Emergencies at Local Level. ISBN 92-807-2035, 2001. Section 3. The Co-ordinating Group.

[6]Ibid.

[7]Ibid.

[8] Article 38, Resolution ANM/MME no. 95.

[9] Article 39, Resolution ANM/MME no. 95.

[10] Article 41, paragraph 1, Resolution ANM/MME no. 95.

[11] Article 41, paragraph 2, Resolution ANM/MME no. 95.

[12] Article 12, IV.

[13] Article 12, paragraph 1, Brazilian Federal Law no. 12.334/2010.