Among the mining pollution incidents that have occurred in recent years, environmental incidents caused by tailings pollution have been particularly prominent—for example, the “9·8” catastrophic tailings dam failure in Xiangfen County, Shanxi Province, in 2008; the chromium slag pollution incident in Qujing, Yunnan Province, in 2011; and the public interest litigation case involving tailings pollution from the Bafan Iron Mine in Hancheng City, Shaanxi Province, in 2012. Given the severity of these incidents in terms of both nature and consequences, the companies involved ultimately paid a heavy price. In addition to bearing civil compensation liabilities and administrative penalties, in the Yunnan Qujing chromium slag pollution incident and the Xiangfen County “9·8” tailings dam failure incident, certain responsible individuals at the implicated companies were also held criminally accountable.

　　In the aforementioned case, the public interest litigation concerning environmental pollution caused by tailings from the Bafan Iron Mine in Hancheng City, Shaanxi Province, is one of the earliest public interest litigation cases in China related to tailings pollution and thus holds certain typical significance. Huo Zhijian, an attorney at Beijing Yuren Law Firm, served as a member of the advisory team and participated throughout the entire process of preliminary argumentation for this case.

　　“As for this case, judging solely from the verdict, the defendant company was merely ordered to bear expenses totaling about one million yuan. However, in reality, while the litigation was ongoing, the local environmental protection bureau and the government also imposed administrative enforcement measures on the polluting enterprise, such as ordering it to suspend operations and setting deadlines for remediation. In addition to bearing compensation liability, the company’s production and business activities have been severely affected, and the resulting losses are difficult to estimate,” said Huo Zhijian.

　　The issue of tailings environmental pollution cannot be taken lightly.

　　Tailings refer to the waste residue discharged after valuable concentrates have been extracted from ore mined in metallic or non-metallic mines by beneficiation plants.

　　“The hazards of tailings pollution are obvious, primarily manifesting in the following ways: occupying land, covering forests, and destroying vegetation; blocking water bodies and polluting water quality; generating airborne dust that contaminates the air; causing tailings to erode and pollute the soil; and resulting in the loss of metals and wasteful use of resources,” analyzed Huo Zhijian.

　　Due to the influence of social development levels and economic and technological conditions, damming tailings for treatment is easier to implement than other treatment methods. Consequently, developing countries widely adopt damming as a method for treating waste rock and tailings—and China is no exception. According to preliminary statistics, China currently has 12,655 tailings ponds, of which 533 are large- and medium-sized ponds classified as Grade III or higher, accounting for 4.2% of the total; the remaining 12,122 ponds are small-scale Grade IV and V ponds, making up 95.8% of the total. As of the end of 2009, the cumulative stockpile of tailings in China reached 10 billion tons. Tailings have become the solid waste with the largest current output and the greatest stockpile volume in China, posing serious environmental problems and presenting significant safety hazards.

　　In recent years, with the advancement of green mine construction and the proposal of ecological civilization, many regions have begun to place greater emphasis on the comprehensive utilization of tailings. What was once considered a burden is gradually being transformed into a valuable asset. Luanchuan County in Henan Province, known as the "Molybdenum Capital of China," currently has 277 tailings ponds. At present, the county’s Bureau of Geology and Mineral Resources, leveraging the platform of its resource, environment, industry, academia, and research base, has started conducting preliminary surveys of these tailings. The goal is to achieve comprehensive utilization of tailings, protect resources and the environment, and promote economic transformation and upgrading.

　　However, due to constraints such as funding and technological limitations, China’s current comprehensive utilization rate of tailings is only 7%. As a result, large quantities of tailings can only be stored in tailing ponds. Because some mine waste and tailings dams have low seepage-control standards, outdated technologies, and poor construction quality, coupled with long-term mismanagement and insufficient technical expertise, many tailings dams suffer from varying degrees of pollution, including seepage and dispersion of waste residues. In some cases, tailings ponds belonging to certain enterprises have even experienced major environmental pollution incidents. On the other hand, China also sees a significant number of mining enterprises that either illegally construct tailings ponds or fail to build them altogether, instead opting for natural dumping of tailings and waste residues—a practice that further exacerbates pollution problems. Naturally, such widespread irregularities in tailings disposal inevitably lead to serious environmental pollution issues.

　　“If tailings cannot be effectively and comprehensively utilized—turning waste into valuable resources—not only will it harm ecological protection, but it will also expose companies to numerous legal risks. Especially now that the strictest-ever “Environmental Protection Law” has officially come into effect, many mining enterprises that fail to respond proactively are likely to run into serious trouble with their tailings,” said Huo Zhijian.

　　There are numerous legal risks associated with tailings environmental pollution.

　　In fact, China’s legal framework for the environmental management of tailings is relatively comprehensive. In terms of both general principles and specific legal systems, the “Mineral Resources Law,” the “Environmental Protection Law,” the “Law on the Prevention and Control of Environmental Pollution by Solid Waste,” and the “Regulations on the Management of Tailings Pollution Prevention” constitute the fundamental laws and regulations governing tailings management and environmental protection in China. The construction and operational management of tailings projects must strictly comply with the relevant legal provisions on environmental protection.

　　The “Interim Measures for the Planning and Management of Mineral Resources” is a special system established to protect and promote the rational development and utilization of mineral resources, with a particular focus on ecological protection in mining areas. These measures provide comprehensive planning and ensure the effective implementation of ecological protection during mine development and construction, including the management of mine “three wastes,” land reclamation and sustainable land use in mining areas, and the remediation of ecological damage caused by mining activities. Meanwhile, China has also established a system for environmental impact assessment in mining operations. According to the “Environmental Impact Assessment Law” and the “Administrative Measures for Environmental Protection Acceptance upon Completion of Construction Projects,” tailing projects must undergo environmental impact assessments, and environmental protection facilities must be designed, constructed, and put into operation simultaneously with the main project. Only after passing the environmental protection acceptance inspection upon completion can tailing projects begin operation.

　　In terms of the supervision and management of tailings safety, the "Regulations on the Supervision and Management of Tailings Pond Safety" clearly stipulates that tailings pond operators and producers shall establish and improve a sound system of responsibility for safe production in tailings ponds, formulate comprehensive rules and regulations for safe production as well as safety technical operating procedures, and implement effective safety management measures for tailings ponds. These regulations also serve as specific guidelines governing the construction, operation, backfilling, closure, and related safety management and supervision of tailings ponds.

　　Meanwhile, China has also established systems for soil and water conservation, land reclamation, and the deposit of environmental restoration and remediation guarantees for mining sites. The "Law on Soil and Water Conservation," the "Regulations on Land Reclamation," the "Provisions on Land Reclamation for Gold Mining and Placer Gold Production," and the "Guiding Opinions of the Ministry of Finance, the Ministry of Natural Resources, and the State Environmental Protection Administration on Gradually Establishing a Responsibility Mechanism for Mine Environmental Remediation and Ecological Restoration" together constitute a comprehensive institutional framework governing soil and water conservation, land reclamation, and environmental remediation related to tailings ponds. The "Regulations on Geological Environmental Protection for Mines" explicitly stipulate the system under which mining enterprises must pay environmental restoration and remediation guarantees. According to these regulations, before a mine is closed, the mining right holder must fulfill its obligations to restore and rehabilitate the mine’s geological environment. Upon completion of closure procedures and passing the acceptance inspection, the environmental restoration and remediation guarantee will be returned to the mining right holder. If the mining right holder fails to fulfill its restoration and remediation obligations within the prescribed time limit or if the restoration still does not meet the required standards, the administrative authority for natural resources will use the deposited environmental restoration and remediation guarantee to carry out the necessary remediation work; any shortfall in funding will be borne by the mining right holder.

　　“Moreover, our country has established systems such as the industrial solid-waste declaration and registration system, the hazardous solid-waste transfer manifest system, and technical specifications for tailings pond construction and safety,” Huo Zhijian explained. According to the Law on the Prevention and Control of Environmental Pollution by Solid Waste, entities that generate industrial solid waste are required to provide relevant information—including the types, quantities, flow paths, storage, and disposal methods—of such waste to the environmental protection administrative authorities of the local people's governments at or above the county level, as stipulated. The Measures for the Management of Hazardous Waste Transfer Joint Manifests specify the hazardous solid-waste transfer manifest system. Under these regulations, before transferring hazardous waste, the entity generating the waste must submit a hazardous waste transfer plan for approval in accordance with national requirements. Once approved, the generating entity shall apply to the environmental protection administrative authority of the place of departure for the issuance of the joint manifest. As for the technical specifications for tailings pond construction and safety, they mainly include design standards for tailings facilities, the “Design Specifications for Factory and Mine Roads,” and the “Safety Technical Regulations for Tailings Ponds.”

　　According to China’s current legal provisions, mining enterprises are highly likely to encounter environmental problems and legal risks during the management of tailings. Even if a mining enterprise has already built a tailings pond, obtained the necessary environmental impact assessment approvals at the outset, and completed construction and acceptance inspection, it may still face serious consequences if it fails to properly manage the tailings pond area, neglects timely maintenance of aging or problematic facilities, fails to comply with the requirements set forth in the environmental impact assessment documents, improperly stacks tailings, exceeds storage capacity, continues to use the pond beyond its designed service life, or arbitrarily reactivates a closed tailings pond—leading to the dispersion of waste residues, leakage, dam failures, and subsequent environmental pollution. Such enterprises will be held liable under the "Environmental Protection Law," the "Environmental Impact Assessment Law," the "Law on the Prevention and Control of Solid Waste Pollution," and the "Regulations on the Safety Supervision and Management of Tailings Ponds" for violating legal provisions concerning the disposal of solid waste. They may face penalties including orders to cease illegal activities, deadlines for corrective actions, and fines. If they fail to complete the required remediation within the specified time frame, they could face the legal risk of being ordered to suspend operations or even shut down entirely. Moreover, responsible managers and other directly involved personnel will also face the legal risks of administrative disciplinary measures and criminal prosecution according to law.

　　For mining enterprises that construct new tailings ponds or undertake reconstruction or expansion projects based on existing pond sites—yet fail to obtain environmental impact assessment approval and environmental protection acceptance for these new or upgraded projects, even though they have built the corresponding supporting facilities—there may simultaneously exist significant safety hazards. In such cases, the responsible enterprises will face legal risks, including being ordered to halt construction and given a deadline to complete the necessary procedures. Should they fail to comply with the deadline, they will also be subject to hefty fines. Meanwhile, the directly responsible managers and other personnel directly accountable at the construction unit will be subject to administrative disciplinary actions in accordance with the law. Enterprises that are ordered to carry out remediation within a specified time frame but fail to complete the task by the deadline will also face the legal risk of having their operations suspended or even shut down. Furthermore, in the event of a major pollution incident, while the enterprise will bear civil liability for compensation, the responsible managers and other directly accountable personnel will also face the legal risk of criminal prosecution.

　　Mining enterprises have been negligent in managing tailings and waste residues, failing to construct proper tailings storage facilities or sites, failing to store them in a safe and categorized manner, or failing to implement harmless disposal measures. Instead, they have directly stockpiled these wastes on leased land or illegally dumped them in unauthorized locations. Such actions constitute violations of the legal provisions under the Environmental Protection Law and the Law on the Prevention and Control of Solid Waste Pollution. In addition to facing liabilities such as being ordered to cease illegal activities, given a deadline for rectification, and fined, in severe cases, the responsible officials and other directly liable personnel also face the legal risks of administrative sanctions and criminal prosecution.

　　After a tailings pond or other similar facility is decommissioned, if the tailings pond is not properly closed in a timely manner, the mining enterprise will face legal risks, including being ordered by the environmental protection administrative authority of the local people's government at or above the county level to make corrections within a specified time limit and being fined for violating the provisions of the "Law on the Prevention and Control of Environmental Pollution by Solid Waste." Furthermore, if a mining enterprise disposes of tailings waste along the transportation route by discarding or scattering it, or entrusts its transportation or disposal to an entity lacking the necessary qualifications for handling hazardous materials, thereby causing an accident, the responsible enterprise will be subject to administrative penalties, including being ordered to cease the illegal activity and paying fines, for violating the legal provisions on solid waste disposal and transportation set forth in the "Environmental Protection Law," the "Law on the Prevention and Control of Environmental Pollution by Solid Waste," and the "Administrative Measures for the Joint Manifest for the Transfer of Hazardous Waste." In addition, the responsible supervisors and other directly liable personnel will face legal risks of administrative disciplinary action and possible criminal prosecution.

　　Mining enterprises that fail to pay the land reclamation deposit and the environmental remediation deposit as required, or that fail to carry out land reclamation and environmental remediation in accordance with regulations, shall be subject to administrative fines. If they refuse to pay these deposits, they will face legal risks, including denial of applications for renewal or modification of mining rights and revocation of their mining licenses by the authority that issued the licenses. Mining enterprises are required to prepare a geological environmental protection and restoration plan for mines. Those that fail to prepare such a plan, or that expand their mining scale, alter the mining area boundaries, or change their mining methods without re-preparing and obtaining approval from the original approving authority for the geological environmental protection and restoration plan, will face legal risks, including fines and failure to pass the annual inspection of their mining licenses.

　　“If a mining enterprise fails to declare and register industrial solid waste in accordance with national regulations, or if it provides false information during the declaration and registration process, the responsible enterprise will face legal risks—including being ordered to cease the illegal activity, given a deadline to make corrections, and fined—for violating the provisions of the Law on the Prevention and Control of Environmental Pollution by Solid Waste. Furthermore, if a mining enterprise fails to complete the hazardous waste transfer manifest as required by national regulations, or transfers hazardous waste without obtaining prior approval, it will also face legal risks—including being ordered to cease the illegal activity, given a deadline to make corrections, and fined,” Huo Zhijian further analyzed.

　　After the new Environmental Protection Law—crowned as “the strictest ever”—officially came into effect on January 1, 2015, one of its key highlights—the “daily penalty system with no upper limit”—has drawn particular attention. According to Article 59 of the new Environmental Protection Law, if enterprises, institutions, and other producers and operators illegally discharge pollutants and are subject to a fine and ordered to make corrections, but refuse to comply, the administrative authority that issued the penalty decision may, starting from the day following the date of the order to make corrections, impose continuous daily penalties at the original penalty amount. The fines stipulated in the preceding paragraph shall be determined in accordance with relevant laws and regulations, taking into account factors such as the operating costs of pollution-control facilities, the direct losses caused by the illegal act, or the illegal gains derived from the violation. Local regulations may, based on actual needs for environmental protection, add to the types of violations subject to continuous daily penalties as specified in the first paragraph, thereby imposing even stricter requirements on tailings management.

　　“The original legislative intent behind this provision is to significantly increase the cost of penalties for corporate pollution, thereby compelling polluting enterprises to prioritize environmental protection investments and promptly rectify their illegal activities,” said Huo Zhijian. After the new Environmental Protection Law takes effect, thanks to this “no upper limit” penalty provision, if companies continue to fail to regulate and correct their own pollution problems, they will face the severe consequence of having to pay exorbitant—even astronomical—fines for their long-term delays in addressing these issues. This regulation deserves the full attention of every mining enterprise.

　　It is worth noting that, as the requirements for plaintiffs in environmental public interest litigation become increasingly clear, polluting enterprises will face the legal risk of potentially being sued at any time by grassroots social organizations. The newly revised Environmental Protection Law of 2014 stipulates that for acts that pollute the environment, damage ecosystems, or harm the public interest, social organizations that have been legally registered with the civil affairs departments of prefectural-level or higher people's governments, or that have been exclusively engaged in environmental protection public welfare activities for more than five consecutive years and have no record of violations, may file a lawsuit with the People’s Courts. This means that if an enterprise engages in serious pollution activities, it could at any time find itself embroiled in lengthy and complex environmental litigation brought by environmental or other social organizations seeking damages. Given the high-profile nature of public interest litigation, pollution incidents and the enterprises involved are highly likely to be exposed by the media and widely known by the public.

　　“The series of provisions on environmental public interest litigation represent a new initiative introduced by the state to strengthen social oversight and public participation in effectively addressing environmental pollution. Against this backdrop, these provisions will undoubtedly have a positive impact on and boost the attention and efforts of social organizations—especially environmental groups—toward public interest litigation. As mining enterprises, which are relatively prone to environmental issues, should pay even closer attention to this phenomenon,” said Huo Zhijian.

　　Take a multi-pronged approach and step up precautions.

　　In summary, if mining enterprises violate the legal provisions governing the environmental management of tailings, they will typically be ordered to carry out remediation or make corrections within a specified time frame and face substantial administrative fines. In more serious cases, their mining rights permits may even be revoked due to the inability to renew them effectively. Moreover, in instances where the pollution consequences are particularly severe, the responsible senior officials and directly liable personnel could face the legal risk of criminal prosecution.

　　Huozhijian believes that to prevent and control legal risks in tailings management, mining enterprises should strictly prohibit illegal practices such as failing to build tailings ponds or treatment facilities in order to cut costs, or arbitrarily dumping tailings waste in unauthorized, unregulated locations. They must firmly reject the construction or expansion of new tailings ponds without prior environmental impact assessment approval; if a project has already begun construction, the environmental impact assessment approval procedures should be promptly completed. During the construction phase, tailings projects must be designed and built in strict compliance with the technical specifications for tailings pond construction and safety, as well as the "Regulations on the Safety Supervision and Management of Tailings Ponds."

　　Mining enterprises should further strengthen the operation and management of existing tailings ponds, promptly inspecting and repairing any problematic dam structures and facilities. They must strictly comply with the requirements outlined in the environmental impact assessment documents when stacking tailings and waste residues. Once tailings ponds and other facilities are decommissioned, they should be properly disposed of and closed off in a timely manner as prescribed. Enterprises must strictly adhere to legal regulations governing the disposal and transportation of solid wastes, and must not arbitrarily entrust the disposal of tailings or the transportation of tailings waste to entities lacking the necessary professional qualifications. They must also, as required, submit discharge declaration and registration forms to the local environmental protection administrative authorities. Additionally, they must rigorously implement the system of reporting forms for the transfer of hazardous solid wastes.

　　Mining enterprises shall, in accordance with regulations, pay land reclamation deposits and environmental remediation deposits, and prepare mine geological protection and restoration plans in a standardized manner. Guided by the principles of resource utilization and harmlessness, they should intensify research into the comprehensive utilization of tailings and adopt scientific and technological approaches—such as efficient and integrated utilization—to effectively address the issue of tailing-induced environmental pollution.

　　In addition, mining enterprises should establish and improve a responsibility system for flood prevention and pollution accident management at tailings ponds, implement 24-hour monitoring and surveillance as well as on-duty shifts, and earnestly develop emergency rescue plans. They should also equip themselves with the necessary emergency rescue materials and equipment, placing them in locations that are easily accessible for use in emergencies. In the event of a tailings accident, the emergency plan should be promptly activated to carry out rescue operations, prevent the accident from escalating, and immediately report the incident to the local county-level safety production supervision and administration department and the people’s government.