Saimm 202209 sep

Presidential Address

and Diversity in STEM by Z. Botha

Introduction to our new President Zelmia Botha

Zelmia

Botha was born in 1981 in Pretoria. She completed her high school career in Rustenburg and applied for a mining bursary from Iscor. However, she started her studies in metallurgy and has never looked back. She completed her BEng degree in metallurgy at the University of Pretoria, as well as her BEng Honours Degree.

Zelmia started her career in iron ore, evaluating the properties of Iscor iron ore in price negotiations with India and China. She moved to coal process engineering in 2008, where she was exposed to both LSTK and EPCM projects. This offered her the opportunity to become involved in the full project life cycle, from the tender and adjudication phases to creating and reviewing BOOM, BOOT, and commercial contracts, to contracts close-out. She also had the opportunity to be involved in carbon, coal, and coking coal projects in India and China and worked with multidisciplinary teams in both countries until 2011.

In 2017 she was offered an opportunity to move from a highly specialized environment into a leadership role and she became the Commissioning Manager of the R5 billion Grootegeluk Expansion Mega-Project in Lephalale. This was a turning point in her career and her experience has highlighted the importance of building relationships, effective stakeholder management, diversity and inclusion, and innovation in the success of any mega project.

She now not only believes in the power of knowledge, but also the power of relationships, connection, innovation, and learning. She wants to build a safe space for team members to grow into a diverse, high-performing team where innovation can flourish.

Zelmia is also involved with the SAIMM, where she started with the annual SAIMM Student Colloquium. She has since been one of the Steering Committee members for the Technical Programme Committee (TPC), involved in the SAIMM’s Committee: Diversity and Inclusion in the Minerals Industry (DIMI) and serving as an Office Bearer.

The Southern African Institute of Mining and Metallurgy

OFFICE BEARERS AND COUNCIL FOR THE 2022/2023 SESSION

Honorary President

Nolitha Fakude

President, Minerals Council South Africa

Honorary Vice Presidents

Gwede Mantashe

Minister of Mineral Resources and Energy, South Africa Ebrahim Patel

Minister of Trade, Industry and Competition, South Africa Blade Nzimande

Minister of Higher Education, Science and Technology, South Africa

President

Z. Botha

President Elect

W.C. Joughin

Senior Vice President E. Matinde

Junior Vice President G.R. Lane

Incoming Junior Vice President T.M. Mmola

Immediate Past President

I.J. Geldenhuys

Honorary Treasurer

W.C. Joughin

Ordinary Members on Council

W. Broodryk G. Njowa Z. Fakhraei S.J. Ntsoelengoe

R.M.S. Falcon (by invitation) S.M. Rupprecht B. Genc M.H. Solomon

K.M. Letsoalo A.J.S. Spearing S.B. Madolo A.T. van Zyl F.T. Manyanga E.J. Walls M.C. Munroe

Co-opted to Members

K. Mosebi

A.S. Nhleko

Past Presidents Serving on Council

N.A. Barcza C. Musingwini R.D. Beck S. Ndlovu

J.R. Dixon J.L. Porter

V.G. Duke M.H. Rogers

R.T. Jones D.A.J. Ross-Watt

A.S. Macfarlane G.L. Smith

M.I. Mthenjane W.H. van Niekerk

G.R. Lane–TPC Mining Chairperson

Z. Botha–TPC Metallurgy Chairperson

M.A. Mello–YPC Chairperson

K.W. Banda–YPC Vice Chairperson

Branch Chairpersons

Botswana Being established DRC Not active

Johannesburg N. Rampersad

Namibia Vacant

Northern Cape I. Tlhapi

North

Pretoria

Zambia

Zimbabwe

Zululand

PAST PRESIDENTS

* W. Bettel (1894–1895)

* A.F. Crosse (1895–1896)

* W.R. Feldtmann (1896–1897)

* C. Butters (1897–1898)

* J. Loevy (1898–1899)

* J.R. Williams (1899–1903)

* S.H. Pearce (1903–1904)

* W.A. Caldecott (1904–1905)

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* Theo Meyer (1941–1942)

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* C.J. Irving (1951–1952)

* D.D. Stitt (1952–1953)

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* D. Gordon Jones (1966–1967)

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* V.C. Robinson (1970–1971)

* D.D. Howat (1971–1972)

* J.P. Hugo (1972–1973)

* P.W.J. van Rensburg (1973–1974)

* R.P. Plewman (1974–1975)

* R.E. Robinson (1975–1976)

* M.D.G. Salamon (1976–1977)

* P.A. Von Wielligh (1977–1978)

* M.G. Atmore (1978–1979)

* D.A. Viljoen (1979–1980)

* P.R. Jochens (1980–1981)

* G.Y. Nisbet (1981–1982)

A.N. Brown (1982–1983)

* R.P. King (1983–1984)

J.D. Austin (1984–1985)

* H.E. James (1985–1986)

H. Wagner (1986–1987)

* B.C. Alberts (1987–1988)

* C.E. Fivaz (1988–1989)

* O.K.H. Steffen (1989–1990)

* H.G. Mosenthal (1990–1991)

R.D. Beck (1991–1992)

* J.P. Hoffman (1992–1993)

* H. Scott-Russell (1993–1994)

J.A. Cruise (1994–1995)

D.A.J. Ross-Watt (1995–1996)

N.A. Barcza (1996–1997)

* R.P. Mohring (1997–1998)

J.R. Dixon (1998–1999)

M.H. Rogers (1999–2000)

L.A. Cramer (2000–2001)

* A.A.B. Douglas (2001–2002)

S.J. Ramokgopa (2002-2003)

T.R. Stacey (2003–2004)

F.M.G. Egerton (2004–2005)

W.H. van Niekerk (2005–2006)

R.P.H. Willis (2006–2007)

R.G.B. Pickering (2007–2008)

A.M. Garbers-Craig (2008–2009)

J.C. Ngoma (2009–2010)

G.V.R. Landman (2010–2011)

J.N. van der Merwe (2011–2012)

G.L. Smith (2012–2013)

M. Dworzanowski (2013–2014)

J.L. Porter (2014–2015)

R.T. Jones (2015–2016)

C. Musingwini (2016–2017)

S. Ndlovu (2017–2018)

A.S. Macfarlane (2018–2019)

M.I. Mthenjane (2019–2020)

V.G. Duke (2020–2021)

I.J. Geldenhuys (2021–2022)

S.O.

R.D.

P. den

I.M. Dikgwatlhe R. Dimitrakopolous* M. Dworzanowski*

Falcon

Genc

R.T.

W.C.

A.J. Kinghorn

D.E.P. Klenam H.M. Lodewijks

D.F. Malan R. Mitra* H. Möller

C. Musingwini

S. Ndlovu

P.N. Neingo

M. Nicol*

S.S. Nyoni

M. Phasha

P. Pistorius

P. Radcliffe

N. Rampersad Q.G. Reynolds

I. Robinson

S.M. Rupprecht

K.C. Sole

A.J.S. Spearing* T.R. Stacey

Topal* D. Tudor*

F.D.L. Uahengo

Vogt*

*International

Journal

NEWS OF INTEREST

PRESIDENTIAL ADDRESS

TECHNICAL AND

PAPERS

generalizable

Mulder

M.C.

principal objective of this paper was to conduct a thorough literature review on the status of project readiness mechanisms, tools, techniques, and framework for mining projects. The literature review aimed towards was to identifying, common readiness evaluation criteria, which included a general overview of capital project performances and the importance of project readiness assessments to improve project the delivery success rate for mining projects.

to copy illustrations and short extracts from the text of

the Institute, provided that the source (and where appropriate, the copyright)

contributions

Apart from any fair dealing for the purposes of review or criticism under The Copyright Act no. 98, 1978, Section 12, of the Republic of South Africa, a single copy of an article may be supplied by a library for the purposes of research or private

No part of this publication may be reproduced, stored in a retrieval system, or transmitted in any form or by any means without the prior permission of the publishers. Multiple copying of the contents of the publication without permission is always illegal.

U.S. Copyright Law applicable to users In the U.S.A. The appearance of the statement of copyright at the bottom of the first page of an article appearing in this journal indicates that the copyright holder consents to the making of copies of the article for personal or internal use. This consent is given on condition that the copier pays the stated fee for each copy of a paper beyond that permitted by Section 107 or 108 of the U.S. Copyright Law. The fee is to be paid through the Copyright Clearance Center, Inc., Operations Center, P.O. Box 765, Schenectady, New York

U.S.A.

Evaluation of rockburst energy capacity for the design of rock support systems for different tunnel geometries at El Teniente copper mine

by F.A. Villalobos, S.A. Villalobos, and L.E. Aguilera 505

Rock burst events are a particular have been a serious problem for many years and in particular at the El Teniente mine in Chile. Located in the Andes Cordillera, high stress levels are present due to intense mine activity in addition to a complex geology. In this work, the energy capacity of dynamic support systems is determined for different tunnel geometries based on two kinetic methodologies. In both cases, peak particle velocity (PPV) is estimated by a scaling law, which is subsequently adjusted due to tunnel amplification effects. The results indicated that the values of energy capacity values for the rock dynamic supports were better estimated by the YZ-PPV approach than by the SE approach.

Geological setting and concentration of scandium in the Flatreef and eastern limb chromitites of the Bushveld Complex by E. Kotze, F. Roelofse, D. Grobler, C. Gauert, and M. Purchase 517

Scandium is an important industrial metal, the demand for which that is projected to increase in demand. In this work, we present new data on the concentration of Sc in the Bushveld Complex (BC) of South Africa. The concentration of Sc in the analysed samples investigated is mainly controlled by mineralogy, with anorthosites, chromitites. and harzburgites containing under 20 ppm Sc, and norites and pyroxenites containing 20–40 ppm

Baleni v Minister of Mineral Resources: A fait accompli by K. Thambi . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 527

The court in Baleni v Minister of Mineral Resources [2019] deliberated on the protection of rights of a community holding informal land tenure under Customary Law. The contention related to the necessary level of consent needed to acquire a mining right over such land. This has significant bearing on the granting of mining rights in South Africa. This paper offers recommendations that may reduce or eliminate the tensions between the statutory and socio-economic rights in the application of the two statutes

Determination of the stress state prior to excavation in an underground slate mine using flat jack and numerical methods by A. Alonso-Jiménez, M. Arlandi-Rodríguez, C. Lopez-Jimeno, and A. García-Berrocal 535 Spain is a very important producer of dimensional stone. The maintenance of this industry is increasingly demanding. The main target of In this paper is to we present a new methodology to obtain the K-ratio stress value. Continuous iterations were performed with focuses on the technical aspects of designing underground mine chambers in slate industry deposits that were previously mined in by open pit methods. The new proposed new method means constitutes a simplification of the classical procedure for estimating k-ratio.

Journal impact factors – The good, the bad, and the ugly by D.F. Malan 541

There is growing resistance to the use of journal impact factors to measure research excellence and an alternative method of assessment is being sought. This paper provides an overview of the concepts of citations and journal impact factors, and the implications of these metrics. The paper recommends that the Editorial Board of the JSAIMM Journal should adopt a pragmatic approach and not alter good journal policies simply to increase the journal impact factor. The focus should remain on publishing excellent quality papers.

Variety is the Spice of Life, or Dedicated Themes

TheSAIMM Editorial Board receives a wide variety of papers submitted for consideration for publication every month. Papers are sourced from as far afield as Chile and China, Russia and Brazil, with most arising from countries in Europe and Africa and a smattering from North America, South America, Asia, and Australia. Such contributions are welcomed and indeed highly appreciated as the SAIMM Journal requires papers to have passed successfully through the peer reviewing process in order to populate the 12 monthly editions per year.

As readers may recall, new rules and regulations for peer-reviewed journals were published some three years ago, which have to be adhered to in order to remain internationally accredited and indexed in the Directory of Open Access Journals (DOAJ). Among other rules is one by which such journals may not publish papers that have previously been published in conference proceedings. This is to ensure that internationally recognized peer-reviewed journals publish only new, previously unpublished scientific or technical research papers, or major advances in areas of engineering endeavour, or papers offering comprehensive reviews covering topics of relevance and high value to the community at large.

Against this background, the SAIMM Journal is fortunate to receive up to 40 new papers for entry into the reviewing process every month, from five to seven of which are accepted by the peer reviewers and are published in each monthly edition.

Of specific interest is the variety of topics in the papers submitted. While most are directly allied to conventional minerals, mining, and metallurgical (M³) categories, others are now being submitted that cover important and ever-expanding new areas in the M³ value chain. Such topics include digitalization, energy, environmental aspects, legal, social, and socio-economic topics including gender-based and community-related issues, and extended specialist aspects in minerals, metals, and advanced metallurgical materials.

Given the relevance of such new topics in the world of mining and metallurgy, the Editorial Board has been deliberating how to present both conventional mining and metallurgical papers as well as extended papers covering aspects in associated value chains.

The decision has been to consider two types of journal edition: one presenting a variety of disciplines within the topics mineral, mining, and metallurgy and the second containing papers dedicated to a specific theme within those sectors.

In the former case, papers will be presented that cover a mixture of topics across the mineral, mining and metallurgical value chains.

In the latter case, a number of proposed themes have been identified, each highlighting different aspects of the mining and metallurgical sectors, and calls for papers applicable to each of those identified themes will be made.

Proposed themed editions for which papers have already been called, or will soon be called, include data science, pillar design, computational modelling, PGMs, energy for the M³ industry, critical metals and rare earth elements, environment, social and governance (ESG), mine closure, open pit stability, and future water developments for the mining industry. Ideas for further themes are always welcomed.

By way of example of the first type of journal edition, the current journal covers a variety of topics, including the need for project readiness to ensure successful delivery of mining projects, determining the stress state prior to excavating in an underground slate mine, rockburst energy absorption demands for the design of rock support systems in the world’s largest copper mine, and the relevance, geological location, and mineral associations of scandium, a metal that is likely to see increasing demand due to its role in advanced technology. This edition also includes two papers of more socio-legal or esoteric importance, one outlining the relevance of community sentiments when applying for a mining license. This paper has significant bearing on the granting of minerals rights in South Africa. The final paper debates the issue of a journal’s Impact Factor, a topic which has specific relevance for those in academia and indeed for the research value or status of the SAIMM Journal itself. This paper provides an overview of the concepts of citations and journal Impact Factors as a measure of research excellence. The author recommends the publication of high-quality papers to ensure that a journal is recognized not just for the importance of one or more high-impact papers, but rather for all its published papers, all of which should be of high quality and relevant to those in academia as well as to those in associated minerals, mining, and metallurgical industries.

Based on the journal publishing norms as summarized above, the current SAIMM Editorial Board has resolved to maintain and indeed enhance the Journal’s relevance to the minerals, mining, and metallurgical communities by continuing to publish high-quality papers in two types of editions, namely those that offer (i) variety as the spice of life and those that are (ii) dedicated to topics of specific relevance.

R.M.S. Falcon

SAMCODES NEWS

Education and Promotion

SAMCODES for Young Professionals webinar

SAMCODES Environmental, Social and Governance (ESG) Working Group constituted to revise the current South African Guideline for the reporting of ESG parameters (SAMESG Guideline).

Professor Steven Rupprecht held the ‘SAMCODES for Young Professionals’ webinar on 7 July 2022. A total of 35 delegates attended the webinar.

Implications of S-K 1300 regulations and disclosures for dual-listed companies on the JSE and NYSE webinar

The SAMCODES Standards Committee (SSC) has constituted a multi-disciplinary working group to update the existing SAMESG Guideline (and other elements of SAMCODES, if required) in order to ensure alignment with the rapidly evolving expectations of investors (and society) for disclosure of environmental, social and governance (ESG) considerations as an integral part of Mineral Reporting disclosures.

A successful two half-days webinar on ‘Implications of S-K 1300 regulations and disclosures for dual-listed companies on the JSE and NYSE’ was held on 5 6 September 2022. This was attended by some 50 delegates with presentations from 11 delegates representing dual-listed mining companies in South Africa, the JSE Readers Panel, and various consulting companies on the application of S-K 1300 in comparison to SAMREC. Experiences with reporting obligations per S-K 1300,

implications for reporting to the JSE, legal aspects of disclosure risk and liability, and ESG implications were among the aspects discussed during the two-morning sessions. The webinar was well received, and it was agreed by delegates that a follow-up conference at a similar time in 2023 should be planned.

Two key take-away points from the webinar were to establish:



A generic Q&A reference sheet on the SAMCODES website, which would capture typical and common questions with answers relating to dual listing topics and S-K 1300 reporting [this would be for guidance only and would not represent formal technical, regulatory, or legal advice]; and

An organization’s approach to the management of ESG considerations is rapidly becoming a defining feature in the market. Investors continue to demand accurate and transparent information on ESG performance to identify and prioritise funding for top tier investments. The SAMESG Guideline was an industry first when it was published in 2017. Since then, lessons in respect of its implementation have been learnt and the world of investor expectations in respect of ESG reporting has evolved. It is now an ideal time to future proof the SAMCODES to accommodate these lessons and the evolving ESG requirements.

 An appropriate forum to facilitate engagement between the SEC and listed mining companies, along the lines of the current annual conference between SEC and PCAOB arranged by the Association of International Certified Professional Accountants (AICPA).

For those who were not able to attend the webinar, the presentations and discussion will be made available at a nominal cost of R200.00. Details will be posted on the SAMCODES website https://www.samcode.co.za/

DMRE Mineral Economics Group Workshop

To date, the Working Group has been assimilating the outcomes of the Geological Society of South Africa’s (GSSA) ESG Inquisition that was held in 2021 in order to develop inputs that need to be considered when updating the ESG guidance. In addition, direct engagements have been held with a select group of key stakeholders to obtain their views on the issues that need to be addressed in the update.

Dr Tania Marshall and Messrs Sifiso Siwela and Andy McDonald attended a Mineral Economics Group Workshop hosted by the Department of Mineral Resources and Energy (DMRE) on 24 August 2022.

The DMRE had queried at what stage bulk sampling moves from exploration to mining, as this has many implications from a regulatory perspective. Dr Marshall provided an overview of bulk sampling implications for alluvial diamond prospects, in the process highlighting the issues, processes and requirements to be able to declare a Mineral Resource for an alluvial diamond prospect in terms of the SAMREC Code. Although no answers to the DMRE’s problem were forthcoming, the Mineral Economics Group acknowledged that further debate on this topic was necessary.

Mr Siwela gave an overview of the SAMREC Code. In the process, many of the aspects raised by Dr Marshall were reemphasized.

The outcomes of the above processes have been distilled in a communications document which the Working Group is now issuing for broad public review. One of the criticisms that has been leveraged against the current SAMESG Guideline is that there was inadequate consultation ahead of its publication. It is important to the Working Group that we therefore attempt to solicit the views of as many stakeholders as possible to inform the scope of work going forward.

Mr McDonald gave an overview of the SAMVAL Code followed by a worked example of how to value an early-stage alluvial diamond prospect. This reiterated some of the issues raised earlier by Dr Marshall as well as highlighting some pitfalls in valuation methodology.

Advanced and Basic SAMREC and SAMVAL Workshop

The Advanced SAMREC and SAMVAL Workshop, which was scheduled to be held in 2022, has been postponed. Recent experience suggests that the general awareness of SAMREC and SAMVAL is quite limited. The option for a more basic course as a webinar stretched over several weeks is being pursued for 2023.

ESG follow-up session

All parties who are directly or indirectly involved with Mineral Reporting and sustainability reporting are urged to review the initial consultation document from the Working Group and to provide feedback via the survey that has been prepared for this purpose. Persons working in the following disciplines are likely to be well-placed to provide comments: geologists; authors of Competent Persons Reports; environmental, social or governance subject matter experts; authors of corporate sustainability reports; mineral resource valuators; financial managers; institutional investors; private investors; investment analysts and stock exchange regulators as minimum.

The ESG follow-up session planned for 8 November 2022 has been shelved, as the SAMCODES ESG Working Group agreed it was too soon to have anything worthwhile to discuss. This follow-up session has been re scheduled for 11 July 2023.

The full report is available on the SAMCODES website at https://www.samcode.co.za/. Please create awareness of this report and the associated survey within your network!

Comments should be submitted via the survey link by no later than 24 June 2022.

The SAMCODES ESG Working Group looks forward to receiving your input.

SAMCODES Committee Key Activities

The SAMREC, SAMVAL, and SAMESG committees met in May and August 2022, as part of normal quarterly meetings.

SAMREC Committee (Ken Lomberg, Chair) has been involved in the following activities:

continued on the SAMCODES App, adding survey quizzes and ESG questionnaire.

a response to the Canadian Securities Commission (CSA) with consolidated comments on the consultation paper related to National Instrument NI43-101 and ESG matters.

no training was planned for this year, it was suggested that interaction (training) be taken to the SAIMM and GSSA branches.

around the application of S-K 1300 and its relation to the CRIRSCO codes.

an update on CRIRSCO for the website.

input to the ESG Working Group activities.

involvement with CRIRSCO via Ken Lomberg and Roger Dixon.

The SAMVAL Committee (Andrew van Zyl, Chair) has been involved in the following activities:

around Real Option Analysis, its relevance and pitfalls associated with this valuation method.

on the valuation of brines and non-solid minerals.

on the G (Governance) in ESG matters and how to include governance issues in mineral asset valuation.

around how to integrate ESG requirements into SAMVAL.

Submitted comments to the SAMREC Committee on the CSA’s consultation paper for NI43-101.

The SAMOG Committee (Peter Dekker, Chair) held a meeting on 10 May during the Mining Indaba, which was attended by

members from the USA and UK. Among the discussion points were:

How to report on helium gas.

reporting obligations for annual reports per the Code and JSE requirements.

Alignment to the new PRMS guidelines.

Expect an increase in activity once the South African Upstream Petroleum Resources Development Bill (UPRDB) has passed through Parliament.

SAMESG Guideline Committee (Teresa Steele-Schober, Chair) has been involved in the following activities:

of conceptual definitions as part of the CRIRSCO ESG sub-committee.

regarding the ESG Division within GSSA.

of the results from the Survey Monkey questionnaire distributed by the SAMCODES ESG Working Group.

with the JORC committee examining ESG matters.

SAMCODES ESG Working Group (Andy McDonald, Chair), comprising representatives from the other code committees and from various industry groups, has met on a monthly basis. Completed activities include:

findings from the stakeholder mapping exercise and the ESG Inquisition were consolidated into a presentation which is available on the SAMCODES website.

the Survey Monkey questionnaire on ESG matters relative to SAMREC/SAMVAL.

specific work streams to move the process forward, assigned champions to each work stream, and compile an integrated implementation project plan and timetable.

SAMCODES Website

have attended to the following aspects on the website:

pages for the Council for Geoscience, DMRE, and CRIRSCO.

of the SAMCODES App added.

a link to the PERC Reporting Standard of 2021.

the quiz that can be found on the SAMCODES App.

International Developments

CRIRSCO: The 2022 annual meeting will be held in Johannesburg from 17 to 20 October 2022. The meetings of Wednesday 19 October will include feedback from the National Reporting Organizations (NROs) and will be open to interested persons as observers.

contact Ken Lomberg at ken@pivotmining.co.za for details.

Andrew McDonald Chair, SAMCODES Standards Committee

Presidential Address: Collaboration and Diversity in STEM

by Z. Botha1

Affiliation: 1Exxaro, South Africa.

Correspondence to: Z. Botha Email: Zelmia.Botha@exxaro.com

Dates: Received: 17 Oct. 2022 Published: September 2022

How to cite: Botha, Z. 2022 Presidential Address: Collaboration and Diversity in STEM. Journal of the Southern African Institute of Mining and Metallurgy, vol. 122, no. 9, pp. 487 496

DOI ID: http://dx.doi.org/10.17159/24119717/2022

ORCID: ??? https://orcid.org/

Introduction

Sheryl Sandberg, the COO of Facebook, published a book titled 'Lean In', where she invites women to sit at the table. In summary, to 'sit at the table' entails not only embracing opportunity, but to actively seek out opportunities in leadership positions. Sandberg points out that, unfortunately, apart from institutional obstacles, a woman's own perceived limitations have a negative impact on her leadership ambitions. To create an environment where diversity will flourish, where everyone has a seat at the table and everyone has a voice, safety must be established first. To establish safety within a diverse team, there is power in relationships and connections.

This study will first and foremost review theories in literature as to why diversity and inclusion are so important and the value that diversity brings to our industry. The study also recommends a few focus areas for improving diversity and inclusion in the industry.

The case study will cover:

➤ My own personal diversity journey

➤ A summary of national and international diversity targets and totals

Neuroscience and diversity

How to get involved in diversity and inclusion.

A Personal journey

My leadership journey started in a specialist position, in a department that valued specialist opinions. Since the environment was so highly specialized, individuals were self-motivated, striving for perfection was ever present, and the preferred leadership style was pacesetting. My exposure to leadership was among highly academic, widely published, world-renowned scientists. After working in that environment for 8 years, my idea of leadership was that perfectionism is an attainable goal, that it shields me from judgement, that it is a quest for excellence and continuous improvement, and is the key to success. Being the expert and having specialist knowledge in a particular field 'saved' me in hard situations and became part of my value system at work. It was only 7 years later that I realized I was placing all my power in the knowledge I had. This realization dawned when I was confronted with making a choice between staying in a specialized position or moving into general management. I chose to challenge myself, my value system, and my basis of power.

Power in relationships

Literature gave me the language I needed to understand why I found the transition from power in knowledge to power in relationships challenging. I first had to understand what all the available sources of power were. The University of Colorado, together with the Center for Creative Leadership (Bal, 2008), published a summary of the main bases of power.

1. The power of position, which is the formal authority derived from a title or position.

2. The power of charisma, which is based on the influence that is generated by a leader's style or persona.

3. The power of relationships, which is gained through networking, both inside and outside the organization.

4. The power of information, which is control generated using evidence deployed to make an argument.

5. The power of expertise (or knowledge), which is the influence that comes from developing and communicating specialized knowledge.

6. The power of punishment, which is basically the ability to sanction individuals for failure.

7. The power of reward, which is basically the ability to reward for adhering.

Presidential Address: Collaboration and Diversity in STEM

My power was developed in expertise and knowledge, which suited a highly specialized environment, but moving into general management, where I had to be the leader of a team for the first time in my career, I didn't have enough knowledge to be an expert in every discipline. Not moving my basis of power in knowledge led to distrust, poor decisions, and unnecessary, unproductive conflict. It also led to self-judgement.

When I spent time with literature on this topic, I realized that in my leadership position and in the current business economy, more power is found in relationships and connections. There is a vast amount of literature available which discusses, in detail, the power of connections in an organizational structure; however, I will present the key concepts that helped me make the shift from power in only knowledge to power in relationships also.

Abraham Zaleznik, professor of the psychodynamics of leadership at Harvard Business School, categorically stated in 1970 that leadership elements comprise inspiration, vision, and human passion. He believed that no organization could flourish without establishing the power in the relationship of a central figure with his group. He also believed that failure to establish relationships within an organizational structure will result in the inability to make decisions, to evaluate performance, as well as in-fighting. This was exactly what I was experiencing while attempting to establish a new department, in a new culture, with a new team that comprised various disciplines that I had no specialized knowledge of (including civils, electrical, and mechanical).

Professor Zaleznik stated that when relationships or connections fail to develop, the first problem to address is the leader’s inability to create confident relationships. He also believed that this inability usually hinges on the nature of the leader's defenses (Zaleznik, 1970). At the start of my own leadership journey my defenses and armour were crippling my attempt to protect myself from my own lack of knowledge. I did not yet understand that my team's success did not rely on my expert knowledge of each individual discipline, but rather on my ability to form connections and to create an environment where diversity, knowledge sharing, and innovation are permitted to flourish.

In different research fields, results show that human connections play a central role in fostering a sense of purpose and wellbeing in the workplace. These studies made me question the link between healthy relationships (or connections) and the core values of a high-performing team. If a high-performing team has the core values of trust, free expression, engagement in constructive criticism, and engagement in extensive discussion (Wiese and Ricci, 2012), it would be easier to maintain, uphold,

and support these values if there were meaningful connections in the workplace. If meaningful connections create the safe space for expression, engagement, and sharing of ideas, this supports the theory of Dr Rob Cross, Professor of Global Leadership at Babson College, that meaningful connections and relationships facilitate learning and knowledge sharing across boundaries. Moreover, Dr Cross believes it increases employee engagement, reduces burnout, sparks innovation, and improves performance. I wanted to create a space where I could re-programme my fear of criticism, could nurture engagement, and where we could reach optimal performance as a team. Therefore, the need for power in relationships became more and more evident.

We need to appreciate the power which lies within relationships and connections and then create an environment that promotes power in relationships to harness collaborative competition and constructive conflict. However, I had no idea how to establish this environment, nor how to develop connections within a brand-new position, with a brand-new team, within a brand-new culture. More importantly, I had no idea how to do this as the only and youngest, technical female leader, without losing my authentic self in the process. Therefore, I had no idea how to make the shift to power in relationships, by utilizing my own unique attributes as a female leader.

Authentic leadership

At the time, our project manager started a 'Leadership Journey' for his senior management team. One of the themes of this Leadership Journey was Authentic Leadership, and I was introduced to the work of Bill George. From this work I realized that to stay authentic, while developing as a leader; I had to know myself, my values, what my leadership principles are. and what motivates me. These key knowledge areas are shown in Figure 1.

In addition to the realization that an authentic leader first cultivates self-awareness and then understands his own deeply held values, I also read Brene Brown's works, which clearly state that values guide us during difficult situations. More specifically, she defines integrity as choosing courage over comfort and allowing our values to guide our actions. Dr Etienne van der Walt, neurologist and founder of AmazingBrainz and Neurozone, defines integrity as practicing your values in difficult situations. According to Brene Brown’s research, less than 10% of organizations have operationalized their values into behaviours. Simply put, Brene Brown states that 'no values = no me'. It means that you will never be able to set boundaries, lean into difficult conversations, nor will you be able to talk to people (instead of around them) or take care of them.

of the Southern African Institute of Mining

Metallurgy

knowledge areas in authentic leadership (from Bill George, True North)

Presidential Address: Collaboration and Diversity in STEM

What I realized from my research on authenticity is that none of these principles rely on gender, race, nor any other form of human diversity. Self-awareness, determining the core team’s values, creating our brand and establishing the way we work became common ground for me and my team and did not rely on gender at all. This was a human connector. It only required collaboration, which quite incidentally is one of the female leader’s unique capabilities, as confirmed by Dr Etienne van der Walt in his Neurozone work.

Staying authentic, but in balance Sheryl Sandberg, COO of Facebook, states very clearly that '… we do not embrace female leadership'. In an interview with the COO she said: 'We call little girls '''bossy'. We do not call little boys '''bossy'. We tell those same women they are too aggressive in the workplace. We rarely say that to men, even though we know with gender blind studies that men, on average, are more aggressive in the workplace.’

The COO captured the female leader's dilemma and challenge brilliantly when she summarized that woman are associated with caring traits because they have been overrepresented in such roles, while men are associated with agentic (leader-like) traits because they have been overrepresented in roles requiring agency. Furthermore, both genders are exposed to bias: if a female in a leadership position enacts masculine behaviours she will be penalized for a lack of femininity (and be disliked). But if she behaves in feminine ways, she will not be seen as leader-like. Men who lean into their home, especially caring for young children, can have their masculinity questioned. Dr Brown confirms this in her book Daring Greatly (Brown, 2012). Although both women and men are exposed to shame triggers when being authentic, Dr Brown describes the shame triggers for women as a metaphorical web. Mahalik et al. (2005) published a study on development of the conformity to feminine norms, where they found the most important attributes to being female are being nice, pursuing the ideal body, being modest, and being domestic. Laura Liswood, from the Council of Women World Leaders stated in a 2019 interview with Forbes Women (Michelson, J. 2019), that when a man says 'I don’t know' he is perceived as an authentic leader.

When a woman says, 'I don’t know' it's perceived as weakness and incompetence. Therefore, in my own opinion and experience, in a male-dominated environment, female leaders are faced with the following obstacles when trying to be authentic in difficult situations or conversations:

➤ Don’t upset anyone, but speak your mind

➤ Be authentic, but not if you're shy or unsure about the subject at hand

➤ Don't cause an uncomfortable situation, but always be honest

➤ Don't get emotional, but don't appear to be detached

➤ React, but don't show it, otherwise you overreact

➤ Always remain modest, calm, collected, composed, dignified, and poised, otherwise you are seen as irrational and emotional

➤ Don't be a knower, but also don't say that you don't know.

To be my authentic, passionate, loud self in a difficult situation almost always seemed detrimental. I needed assistance in having courageous conversations, having constructive conflict, and also in developing a strong back but soft front. I found inspiration in literature; there are extremely good examples, in the global market today, of female leaders who lead authentically. These examples

include Laura Liswood, Council of Women World Leaders and Helena Morrissey, chief executive of Newton Investment Management (and author of A Good Time to Be a Girl), as well as Christine Lagarde, head of the IMF.

Liswood states that 'There is some sense that women lead differently than men, but it's hard to parse out if it's because of gender differences or because women have historically been in the non-dominant group and men have been in the dominant group.' Liswood believes that a non-dominant group will always know more about a dominant group; therefore, she believes that when women step into leadership, they are forced to work, network, and produce results in a system designed for men, by men. Nonetheless, she has still found that women form deeper connections, collaborate differently, find more creative solutions (born out of necessity), focus more on various stakeholders, and tend to be better prepared.

Morrissey established the 30% Club, which campaigns to increase the number of women on company boards. This started in the UK in 2010 after a major financial crisis (which basically means the bank had a funding crisis because due to the credit crunch it could not secure the short-term funds it needed). The 30% club has since spread to 14 different countries and regions. Despite the need for something new during this financial crisis and although Morrissey pointed out 'there is no business case for just one type of person running things', she struggled to find support, with most chairmen seeing diversity as a women’s issue, not a business issue. That started to change as diversity came to be seen as part of a solution and the 12.5% of women on boards increased to 30%.

In 2019, at the Forbes Women’s Summit in New York City, Christine Lagarde, the first female managing director of the International Monetary Fund, stated that there were only six countries in the world (at that time) where there was no legal gender discrimination. According to IMF research, adding one more woman to a company’s management or board is associated with a boost in return on assets of up to 13%. Another IMF report concluded that banks are more stable when they have more women on their boards.

What all these exemplary female leaders have in common is the message that it is advantageous to have a diverse workforce and to have female leaders, as well as male leaders, in management positions. It is important to note that bias can affect men as well. In a typically male field, people rated their male colleagues as less masculine and less deserving of workplace success if they had female supervisors (Brescoll et al., 2012). Therefore, diversity is a balance, a bridge, and a collaboration. Barbara Annis, CEO of Gender Intelligence Group (GIG), an expert on gender, diversity, and inclusive leadership, advocates the value of gender unity – not equality, but unity. How this balance is established is shown in Table I (Annis, 2016).

I can be authentic and believe that I will bring balance to a male-dominated world. I can control how I engage in difficult conversations and situations. What I cannot do is control others' perspectives and biases. What I can do is create an environment to accommodate more collaborative personalities. In this way I can achieve optimal advantage of diversity.

Neuroscience and diversity

The neuroscience work referenced in this study is the work of Dr Etienne van der Walt, from Neurzone and Karien van der Merwe, a registered industrial psychologist, from the Thrive Institute.

I

Female vs Male Leaders

Female Leaders

Male Leaders

Transactional Participative Hierarchal

Interactive

Collaborate connectively

Collaborate competitively Group problem solve Personally problem solve

Inductive in problem solving

Define themselves by being relationally literate

Deductive in problem solving

Define themselves through accomplishments

Prefer to be recognized Ask to be recognized

Ascertains the exact needs of each team member

Emphasize complex and multi-tasking activities

Helps others express emotions

Cares more about larger structural needs

Single task orientation and completion

Downplays emotions

Directly empathizes Promotes independent resolution

Cognizant of the specific needs of many at once

Verbally encourages and praises

Resolves emotional conflicts to reduce stress

Navigating diversity and complex stakeholder relationships becomes easier when you understand what your body does during difficult social interaction. Neurozone describes what happens in our brains when we perceive (or not) psychological safety (otherwise known as value tagging or social safety). The amygdala (Fight-Flight reaction stations) in our brains unconsciously and continuously ask these questions, in any social setting:

➤ How important is this interaction for my survival?

➤ Does this space make me feel like I belong?

➤ Is this me?

➤ Does this interaction give me meaning?

Should the answer be 'no' to any one of these questions, we feel uncomfortable, and we are hesitant to engage for fear of possible exclusion. This stands in the way of necessary and possible conflict that the team needs to get creative and innovatively solve problems as a collective. We need diverse teams to engage, even though they feel uncomfortable, and courage allows a team to consciously override the uncomfortable feelings and to engage anyway. Typical courage enablers are:

1. Socially safe environment

X Social safety is the essential outcome of any operational leadership framework

X We need social safety to leverage diversity.

2. Skills development, both personal and leadership skills.

From a neuroscience perspective, there is a scientific need for diversity so that we may increase our collective creativity and our collective knowledge (different knowledge). The MIT Center for Collective Intelligence found that equal gender representation brings empathy, innovative solutions, and more ways of doing one thing. They found that diversity and psychological safety equals the highest intelligence. The C factor (collective intelligence) will always be higher in a diverse group than the intellect of any one individual. Neuroscience work by Dr Etienne van der Walt has also shown that creative diversity, problem-solving diversity, and cognitive diversity cannot be achieved without establishing cultural, ethnic, and gender diversity first. We need all forms of diversity to build our own human resilience (Figure 2).

The leader’s role in creating social safety

In a diverse team, the focus should always be on social safety first. We need social safety to leverage diversity. The team leader plays a critical role in achieving social safety by establishing bonding; it is

Cognizant of the needs of the organization

Encourages less feeling and more action

Denies emotional vulnerability to reduce stress

the responsibility of the leader to remove the things that impede social bonding (unclear expectations, perceived unfairness, etc). This can often be challenging since diverse teams could be the result of man-made, enforced rules, typically driven by political or global agendas. However, we have tools to manage these challenges, like empathy and, most importantly, our ability to establish commonalities. Commonality is typically the ability to create context, to create the common goal and to work from the outside in. Working from the outside in is the narrative of clearly showing what is going on around the boat, clearly showing that the diverse team is together in the boat and that the diverse team needs to avert a specific crisis. The World Health Organization has found that a lack of belonging can lead to a medical syndrome called chronic stress, which results in burn-out and consequently, the loss of team members. We therefore need leadership to create courage enablers, bonding, social safety, and belonging!

Targets and totals for diversity

Before targets, totals, and gap analyses can be considered, the importance of diversity must first be understood.

'Many conversations about diversity and inclusion do not happen in the boardroom because people are embarrassed at using unfamiliar words or afraid of saying the wrong thing — yet this is the very place we need to be talking about it. The business case speaks for itself — diverse teams are more innovative and successful in going after new markets.' Inga Beale, former CEO of Lloyd's of London

Simply put, diversity is important because it leads to significant economic growth (European Institute for Gender Equality). Reducing the gender gap in STEM could help reduce the skills gap, increase employment and productivity of women, and reduce occupational segregation, which will foster economic growth. Increasing the participation of women in STEM would contribute to an increase in EU GDP per capita by 2% (Figure 3), which amounts to €610 billion and an additional 850 000 jobs in 2050.

Therefore, the message is clear, it is advantageous to have a diverse workforce and to have female leaders, as well as male leaders in managing positions. This is a balance, a bridge, a collaboration. Barbara Annis, CEO of Gender Intelligence Group (GIG), advocates the value of gender unity. We need both female and male leadership styles to survive and that is why collaboration is so important! But if diversity and inclusion are so important,

why are we not reaching our targets? Why, in countries with equal education and opportunity, do women still choose not to enter STEM (Figure 4)? This is known as the global 'educational-genderequality paradox' (the more gender equality in a country, the fewer women in STEM). This paradox could have to do with the fact that women in countries with higher gender inequality are simply seeking the clearest possible path to financial freedom. And often, that path leads through STEM professions.

Experts do not have any clear answers; however, they did find that we should focus our efforts on those young, would-be STEM women and form programmes specifically aimed at creating positive environments for girls to interact with STEM ideas (Stoet and Geary, 2018).

We are all standing on a burning platform. Across the world, according to UNESCO, women with degrees in computer science

represent only 40% of the total, and those with engineering degrees account for just 28%; cloud computing only 14%, and data and AI only 32%. It seems surreal, but women make up more than two-thirds of the world's 796 million illiterate people (Facts & Figures | UN Women – Headquarters). As regards South Africa, since 1996, when women were first allowed to work in underground mining, women have come to represent only 14% of the total mining workforce. In a study (PISA 2018: Insights and Interpretations) across more than 60 countries, on the level of learning of 15-year-old students, in more than half of the countries involved less than 2% of girls plan to work in STEM. The report shows in Italy, only 1 in 8 girls wants to pursue a career in science

excellent achievements in the field).

trend seems to be prevalent in the USA as well, with less than 20% women in engineering (Figure 5). A US report published

Women in STEM Occupations

during 2010 indicates that social and environmental factors contribute to the under-representation of women in science and engineering. It is clear that education makes a difference and has an impact, since the ratio of boys to girls who scored above 700 on the SAT math exam at age 13 has shrunk from 13:1 to about 3:1. However, this is not the whole story. Perceptions and unconscious beliefs about gender in mathematics and science have an influence.

The World Economic Forum is asking the same question: 'Why do we need more girls in Africa in STEM … Why aren't there enough women in STEM-related jobs in Southern Africa?'

The World Economic Forum found that gender biases and expectations for different genders, set by families, society, culture, and the media, tend to propagate stereotypes, discriminatory practices, and policies which deter girls from pursuing STEM careers (The Equality Equation Report). Of those women

The

of the Southern African Institute of

Figure

educational-gender-equality paradox (Stoet and Geary, 2018)

Presidential Address: Collaboration and Diversity in STEM

who complete secondary education, many lack the required proficiencies in numeracy, science, and the digital skills required to enroll and/or excel in STEM-related programmes at the tertiary education level.

Targets and totals for diversity

Literature is rich with experiments clearly showing the presence and impact of gender bias in fields from medicine to education. One simple hiring experiment, done in a laboratory with approximately 200 undergraduate students in groups of around 14 students each, was clear, concise, and the results straightforward (Ernesto Reuben, Columbia Business School, 2014). The participants had to perform an arithmetic task on a computer, summing as many sets of four two-digit numbers as possible during a four-minute period, and then took part in a hiring exercise.

The Brief: Participants were told that they would be paid a small amount according to the number of correct answers they provided and additional money if they were chosen to be hired. (Payment was offered to motivate participants to think hard about the questions and to want to be hired).

Action: Following the arithmetic task, participants were told the number of problems they had solved correctly. The participants were also told that they would repeat the same task and were asked to estimate how many questions they would answer correctly the second time around.

The interview: Before the second task began two participants were chosen randomly to be 'job candidates'. The remaining participants acted as 'employers', tasked with hiring one of the two candidates to perform the second arithmetic task.

If employers chose correctly (when choosing the candidate who performed better than the other candidate on the second arithmetic task) they received increased compensation for the study. This was repeated a few times, with other randomly chosen job candidates. Although pairs represented any combination of women and men, the researchers analysed data only when the two candidates in the pair were of different genders.

Results: The results, in summary, are shown in Figure 6.

➤ Phase 1, based on appearance only: 'Bad' hiring decisions were not gender-neutral, employers were more than twice as likely to choose the lower performing man as the woman when they made a 'bad' hiring decision.

➤ Phase 2, based on candidate's expressed anticipated performance: Employers still chose a lower-performing man (over a higher-performing woman) 29 per cent of the time. In contrast, employers chose a lower-performing woman only 2 per cent of the time.

➤ Phase 3, employers were told the actual performance of each candidate in the first task. In this phase, employers chose the top performer 81 per cent of the time. However, when employers hired the lower-performing candidate, they were still nearly twice as likely to hire the lower-performing man over the woman.

How do we go about instituting positive change?

The good news is that stereotypes, bias, and other cultural beliefs can change. In South Africa the Minerals Council has published an action plan with seven key drivers (Figure 7). The publication also has a very strong focus on zero tolerance for gender-based violence.

The role of the Minerals Council is clearly outlined in the white paper on diversity and inclusion. When considering these roles and responsibilities, one can ask what the role of an institute like the SAIMM would be. One of the roles that such can play in diversity and inclusion is to provide a platform for networking, collaboration, and dissemination of best practices in diversity and inclusion. Supporting roles could include offering mentorship to young would-be STEM women and openly communicating industry drives for change.

The review of literature on diversity and inclusion shows eight key practices that everyone must commit to executing as part of their sustainable development goals for gender equality. A summary of these practices is given below.

1. Become an active partner. Become aware of organizations that want to provide young girls and women with the STEM education needed. Possible partners can actively participate through financial resources, internship openings, and networking opportunities. Through these partnerships, everyone has the opportunity to become an active part of the solution.

2. Give back. Numerous organizations fund corporate social responsibility initiatives. Financial donations and sponsorships are always needed.

3. Create exposure to best practices in the STEM environment. Identify and invite external guest speakers who can share career inspiration and best practices in diversity and inclusion. Share this platform with young women in STEM. Create opportunities for mentorship, not just with external guest speakers but also with local organizations or educational institutions.

4. Create internships with a focus not only on diversity and inclusion, but also on future needs. Involve young wouldbe STEM women in emerging technologies like the cloud, AI, and edge computing.

Figure 6—Summary of results from a hiring experiment conducted by Ernesto Reuben, Columbia Business School, 2014

Include

Run diversity and inclusion programmes that include men

Figure 7—Actionable

Review

Government

Review

Ensure job shadowing, training, recruitment, retention, talent pools

planning

Establish collaborations with relevant partners that advance the cause of women in mining, e.g. MHSC and WIMSA

mining industry (Minerals Council, South Africa. Women in Mining, White Paper. 2020)

5. Make engineering socially relevant. Papers published by Colvin, Lyden, and León de la Barra (2013) and TylerWood et al. (2012) suggest that highlighting the communal aspects of STEM careers increases girls' interest in this field. Therefore, by incorporating the communal aspects and by communicating the societal benefits of engineering, the representation of women in STEM could potentially increase.

6. Cultivate a sense of belonging. This has been proven by the Neurozone work of Dr Etienne van der Walt as well; a sense of belonging has measurable effects on

an individual's physical and mental states. The impact of stereotype threats has been found to be alleviated for women in engineering if they had a strong sense of belonging in the team (Shnabel et al., 2013; Richman, van Deilen, and Wood, 2011; Rosenthal et al., 2011; London et al., 2014). Literature suggests a few simple methods of increasing sense of belonging. Firstly, to introduce women to engineering at an early age. Therefore, once again, it's very important to create a positive environment for young would-be STEM girls to engage with engineering. Secondly, cultivate awareness of subtle cues that can

Figure 8—Results from a survey showing corporate culture as a key driver to improve diversity and inclusion in the mining industr (Hogan Lovells, Africa Legal. 2020. The Future of Mining | Diversity)

Presidential Address: Collaboration and Diversity in STEM

send a message to women that they don't belong in an environment. An examples of this is gender-stereotypical commercials, which have a negative impact on women's aspirations to pursue a career in STEM (Davies et al., 2002). Actively work on changing the representations people are exposed to, emphasize the value that women bring to the table, for example their natural collaboration skills (Derks, van Laar, and Ellmers, 2007), and increase the visibility of women in the industry. Working on these subtle cues can create an environment of belonging where women feel motivated and committed (Walton, Spencer, and Erman, 2013). In an article on the future of mining Hogan Lovells (2020) posed the question: What is the most important influencer that can improve diversity in mining? The results, from 170 participants, showed a clear focus on culture (Figure 8).

7. Education. To reach our diversity goals and targets, we first need to be educated on the importance of diversity, including race, gender, ethnicity, religion, and socioeconomic background. A report by the UN (https:// www.unwomen.org) found that education is so important that females will earn 10% to 20% more for each additional year they're in primary school. Therefore, we need to give young would-be STEM women equal opportunities and equal rights of access to resources, which will also lead to global economic development. This is in line with Goal 5 of the 2030 Agenda for Sustainable Development.

8. Learn about your own implicit bias. There is an opportunity to take your own implicit association tests at https://implicit.harvard.edu. On your own diversity journey, it is important to keep your biases in mind. It remains true that implicit biases operate at an unconscious level; however, individuals can actively work on becoming more aware of how and why they make decisions. If bias has an impact on decision-making, take the necessary steps to correct it. If scientists and engineers are made aware of gender bias in STEM fields, teams can work together to disrupt the unconscious thought processes that lead to bias.

Conclusion

Literature is rich with research in the diversity and inclusion space. It has been proven that diversity is needed for economic growth, diverse knowledge, increased collective intelligence, and high-performing teams. However, literature also shows that diversity targets are not always achieved. There is a plethora of factors at play which negatively impact any diversity and inclusion journey; nonetheless, the conclusion is clear. Improving diversity requires conscious effort, decision-making, and active steps. Diversity cannot flourish if safety and a culture of belonging are not created through the power of relationships and meaningful connections. Literature also recommends that a collaborative environment should be created for young would-be STEM women so they can have positive interactions with STEM from a young age, thereby increasing a sense of belonging in the field.

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Faculty of Engineering

The School of Chemical and Minerals Engineering at Northwest University (Potchefstroom campus) offers programmes that are approved and accredited by the Engineering Council of South Africa - ECSA

Our specialised Minerals Processing programme offers scholars specialised studies that deal with the

and

used to extract metals and other commodities from ores.

include diamonds, coal, platinum, gold and other precious metals, as well as base metals. The production, processing and

of these

earnings. This sector is also one of the largest

is the largest contributor to South Africa’s

in the country.

in mining?

The Journal of the Southern African Institute of Mining and Metallurgy

Affiliation: 1University of Pretoria, South Africa.

Correspondence to: M. Bekker

Email: giel.bekker@up.ac.za

Dates: Received: 8 Jun. 2020

Revised: 20 Jul. 2021

Accepted: 8 Jun. 2022

Published: September 2022

How to cite: Mulder, H. and Bekker, M.C. 2022

Towards a generalizable project readiness assessment methodology for the mining industry: A literature review Journal of the Southern African Institute of Mining and Metallurgy, vol. 122, no. 9, pp. 497 504

DOI ID: http://dx.doi.org/10.17159/24119717/1244/2022

ORCID: M. Bekker https://orcid.org/0000-00024837-2677

Towards a generalizable project readiness assessment methodology for the mining industry: A literature review

by H. Mulder1 and M.C. Bekker1

Synopsis

The principal objective of this investigation was to conduct a thorough literature review on the status of project readiness mechanisms, tools, techniques, and frameworks for mining projects. The review aimed at identifying common readiness evaluation criteria as well as potential shortcomings that prevent the establishment of a generalizable project readiness index.

The literature review included a general overview of capital project performances and the importance of project readiness assessments to improve project delivery success. The study then progressed towards literature involving mining projects and how this differs from infrastructure and industrial project assessments.

The paper concludes by summarizing the current state of mining project readiness assessments, the unique and differentiating factors to be considered, and suggests recommendations towards the development of generalizable readiness assessment criteria for mining projects.

Keywords

Project readiness, mining projects, front-end planning, project evaluation, project assessment.

Introduction

The quest to establish a fail-proof project readiness assessment tool, mechanism, or guideline remains elusive to the broader mining community. In recent times various industry bodies, consultants, and project owners have attempted to develop assessment tools to improve the level of readiness and certainty of project status prior to committing major capital amounts to the project (Williams and Samset, 2010, p. 40; Samanta, 2017, p. 110; Flyvbjerg, Garbuio and Lovallo, 2009, p. 173; Walker, Davis and Stevenson, 2017, p. 187). These efforts saw the establishment of various models addressing specific project types in their relevant industries (Bingham, 2010; Cho, Furman, and Gibson, 1999; Collins, 2015; Gibson and Dumont, 1996) as well as organizations developing their own in-house project assessment criteria and tools (de Wet, 2007, p. 23).

In the mining industry various companies developed and internalized project methodologies and decision systems with positive validated results. However, the problem is that no generalizable assessment criteria or index exist that provide a sufficient level of confidence on whether a capital project in the mining industry is ready to progress into implementation or not.

In order to determine what should be included in a project readiness assessment index, this paper firstly reviews the literature on readiness assessments for large capital projects. Then literature on the status of mining project assessments is reviewed. Thirdly, the unique parameters related to mining projects that could determine project readiness are listed. In conclusion further research is discussed and proposed towards the formulation of a generalizable project readiness assessment model.

Project readiness assessments

According to Collins, Parrish, and Gibson (2015, p. 1), the front-end planning phase of a project has potentially the most significant impact on reducing risk and ensuring project success. Efforts undertaken during this phase of a project yield potentially the highest returns in ensuring success during the later stages of a project (Gibson, Kaczmarowski and Lore, 1993, p. 2). Williams and Samset (2010, p. 41) found that project success is traditionally measured by success in meeting time, cost, and quality requirements, and that projects with adequate front-end loading have an 80% success rate, as opposed to those with

insufficient planning, which have success rates of only 20%. The quality of the front-end planning work has been shown to have a more significant impact on the success of a project than any other factor (Williams and Samset, 2010, p. 42).

Williams and Samset, (2010, p. 40) state that it is not easy to measure the level of maturity, accuracy, or completeness of a project study. Decisions regarding project approval are often based on biased, inadequate, and non-neutral analysis of the project due to political priorities, alliances, and pressure from individuals or groups of stakeholders. There is a real possibility that different parties may interpret information differently in the absence of a standard appraisal tool (Williams and Samset, 2010, p. 39).

According to de Wet (2007, p. 13), it is important for an organization to determine whether a project complies with the minimum requirements for it to be approved, prior to proceeding to the next phase. Typically, this is done via an audit, a health check, or a review session. The goal with review sessions is to determine if the project is indeed ready to proceed to the next phase or if additional work is required prior to proceeding, or even cancellation. The main difference between a project review and a project audit is that a project review (also called a project readiness assessment (RA)) is conducted at the end of a specific phase of a project, while a project audit can be done at any time during a project’s life-cycle (Project Management Learning, 2010).

A project review is a governance tool that assists with decision-making. One of the advantages of conducting project reviews is that it helps in creating an optimal relationship between sponsors and project managers (Englund and Bucero, 2006, p. 37). The four main objectives of a project review, as mentioned by Englund and Bucero (2006, p. 38), are:

➤ Establishing if a project can proceed to the next phase (go / no-go decision)

➤ Determining if all (or enough) of the required activities were carried out during the current phase

➤ Establishing if the client (end-user) and project delivery organization (project manager) have agreed and signed off on the methodology and deliverables

➤ Identifying deviations and gaps which can be rectified during the next phase or before approval to proceed.

Some of the benefits of conducting reviews, according to Duffy and Thomas (1989, p. 102), include:

➤ Being proactive instead of reactive with regard to identifying potential problems

➤ Establishing an independent evaluation of the project team’s performance

➤ Establishing the level to which the end-user’s requirements are understood and realistic

➤ Ensuring that project controls (such as schedule and cost) are in place and adequate.

Some of the shortcomings of conducting a project review as noted by Conroy and Soltan (1998, p. 188) include:

➤ Project teams can develop the data specifically for the review, instead of as a management tool

➤ Because reviews are done at specific stages of a project, there may not be enough time to repair damage caused by oversights in the remaining project duration

➤ Project teams may not cooperate, as reviews may be viewed as 'fault-finding' rather than an assistance

➤ The availability of competent reviewers could hamper proper auditing.

Conducting project reviews at the end of each stage of a project’s life-cycle can add value, as it enables decision-makers to make informed decisions. It can also assist the project team to identify gaps, which can be addressed during the next phase of the project. However, for project reviews to be effective, project teams must see the benefit, and the person(s) reviewing the project must be competent to do so.

Examples of readiness assessments

Various industries and organizations have adopted different tools to evaluate projects before approval to proceed into detail design and implementation. Berechman and Paaswell (2005, p. 224) observed that some of these tools are aimed at determining which projects should proceed, given a capital-constrained environment, among a competing pool of projects for limited capital. These tools typically focus on attempting to decide which projects will deliver the best value for money. As such, the focus is more on portfolio management than on trying to evaluate a specific project to determine its state of readiness to proceed to implementation. Some tools are aimed at assisting a portfolio manager in evaluating a portfolio of projects which are in implementation, as well as deciding which new projects should be approved or delayed (Gifford and Wildon, 1995, p. 69).

There are tools which attempt to identify the characteristics of specific types of project (such as power plants) which correlate with schedule and cost performance using the Fischer exact test (Brookes and Locatelli, 2015, p. 59). By using this type of analysis, it is possible to identify the various factors that contribute to the failure or success of projects in a specific industry. This tool does not, however, assess the state of scope definition of a project at a specific point in time, which is the aim of this research.

The South African Mineral Reporting Codes (SAMCODES) are guidelines that set the standards for Public Reporting of mineralrelated issues in South Africa (SAIMM, 2021). Currently these consist of three Codes, two Guidelines, and a National Standard. While the SAMCODES do touch on a number of the issues that should be addressed during a mining project study, these are not comprehensive as the Codes focus mainly on the reporting of Exploration Results, Mineral Reserves, Asset Valuation, and certain of the elements that should be addressed during a project study, such as environmental and social parameters. The SAMCODES do not address many of the elements that should be considered during a project study phase, such as the level of maturity of a design prior to project execution and many other critical considerations.

The benefits of project readiness assessments

The purpose of a feasibility study is to demonstrate the technical and economic viability of a project to an investor (Persampieri, 2014, p. 1). Williams and Samset (2010, p. 42) found that the quality of the study and appraisal of a project, had significantly more impact on the eventual outcome, than any of the other factors considered, which included the macroeconomic environment, external factors, or government considerations.

Muldowney (2015, p. 1) advocated educating decisionmakers to understand that project approval at all costs does not translate to success, and that it is much more important to base project decisions on mature information and 'the truth'. Winch and Leiringer (2016p. 273) maintained that the ability to select the most beneficial project is foremost among the strategic capabilities that a project organization must have and that a

Towards a generalizable project readiness assessment methodology for the mining industry

Towards a generalizable project readiness assessment methodology for the mining industry

proper set of assurance tools is critical to enable this. Winch and Leiringer (2016, p. 276) advocated having 'three lines of defence' to keep the project owners involved in the project, namely:

➤ Having effective project controls in the project team

➤ Internal assurance, independent of the project team ➤ Internal audits.

Flyvbjerg, Garbuio, and Lovallo (2009, p. 179) introduced some reasons why decision-makers could potentially make the wrong decision regarding project approval. Among these reasons, asymmetric information is mentioned as a source of 'strategic deception'. The possibility exists that parties with a vested interest in approving the project could deceive the decision-makers. The project champions could potentially do this because they have information that the decision-makers do not possess. Flyvbjerg, Garbuio, and Lovallo (2009, p. 180) also mention different risk preferences as a reason why decisions regarding project approvals could be sub-optimal. If decision-makers are perceived as riskaverse, the parties involved in the project study may be tempted to downplay or understate the risks and uncertainties in order to assure project approval. Williams and Samset (2010. p. 47) added that humans are not always rational decision-makers, but are prone to making the wrong decisions, especially if faced with incomplete information. Williams and Samset (2010) also mentioned that project sponsors often fail to consider the outcome of a project study objectively, due to them looking at the project from an 'evolutionary perspective'. If a tool is not in place to evaluate the project study outcome on a rational basis, humans are prone to succumbing to this bias.

Williams and Samset (2010, p. 37) noted three types of biases that hamper rational project decisions, and which necessitate an objective evaluation of a project study. These are:

➤ Technical bias (honest mistakes and inadequate forecasting techniques)

➤ Psychological bias (optimism bias)

➤ Political-economic bias (deliberately taking an overoptimistic view of the project, in order to ensure project approval).

Williams and Samset (2010, p. 39) mention that if they are not based on unbiased, adequate, and neutral analysis, project decisions may be affected by political priorities, alliances, and pressure from individuals or groups of stakeholders. It is also possible that different parties may interpret information differently, in the absence of a standard appraisal tool (Williams and Samset, 2010, p. 40).

Van Marrewijk et al. (2008, p. 598) held that the organizational design of a project, as well as the form of contract and execution approach, can have a significant influence on the outcome of a project, and needs to be considered when setting up the project. Landoni and Corti (2011, p. 58) compared the project cycles used by various aid agencies, such as the Australian Agency for International Development (AusAID), Canadian International Development Agency (CIDA), the European Commission (EC), the Japan International Cooperation Agency (JICA), and the United States Agency for International Development (USAID). All the agencies were found (ibid., p. 59) to have some form of appraisal of the project before approval. The AusAID project cycle focuses on the detailed design which must be undertaken before approval, while the CIDA project cycle focuses on the feasibility of the project to ensure that it is viable and sustainable. The EU model considers the relevance and feasibility, as well as the

project design and financing before approval. The JICA model evaluates the participants, problems and potentials, and the project design before approval. The USAID model has separate approvals for the strategic plan (which includes the objectives and performance measure) and the activity planning (which defines the outputs and means to achieve it). Both are evaluated before approval.

Existing project readiness assessment tools for project studies

Most mining companies use either the Independent Project Analysis (IPA) or Construction Industry Institute (CII) frontend planning models (and thus also the readiness assessment tools of these two institutions) to evaluate the readiness of a mining project to proceed to execution (Motta et al, 2014, p. 402). No non-proprietary tools exist in the mining industry to evaluate scope definition before execution (Gibson and Dumont, 1996, p. 14). Bastianelli and Yeager (2012, p. 2 stated that thirdparty consultants have devised several methods to evaluate and assess the maturity and readiness of the front-end loading phase of a project to proceed to detail design and implementation. There are many advantages to using external facilitators during project development and evaluation. These include consultants knowing industry best practice and having project experience. Consultants are unbiased as regards internal politics and can be used for periodic follow-up assessments via audits and checks. The use of external consultants is especially advised when owner organizations do not have adequate internal resources. While these firms offering external project evaluation and assurance services use various methods to collect data and to interpret and evaluate the state of a project at a given time, the methodology and tools used during the assessment are not shared freely with the client, as this would impact on the consulting firm’s ability to sell its services in future. The IPA does offer a range of educational programmes in the field of capital project implementation and evaluation, but clients need to hire the services of the IPA to gain access to some of their material (Motta et al., 2014, p. 407). While this may assist in ensuring that industry best practices are utilized and that findings are impartial, the knowledge is not embedded within the project organization, and the knowledge regarding the tools and techniques utilized is not transferred to the end-user.

The Advanced Planning Risk Analysis (APRA) tool which was developed by the Texas Department of Transport was mentioned by Bingham (2010, p. 35) as being a risk management tool that focuses on improving a project’s scope clarity and comprehensiveness. It was developed specifically to be easy to use, and to measure the degree of scope development early in a project, as well as to identify potential risks. The APRA tool was developed explicitly for transport projects and as such focuses on the significant transport disciplines.

John Hackney published a Definition Rating Checklist in 1965 (Gibson and Dumont, 1996, p. 15). It attempted to quantify the degree of scope definition in industrial projects at a given stage. A revised Definition Rating Checklist was published by Hackney in 1990 to account for changes in political, economic, and engineering conditions (Gibson and Dumont, 1996, p. 16).

Gateway reviews are another type of independent peerreview that could potentially be used to evaluate a project (Kells, 2011, p. 63). Typically, these reviews are conducted at individual 'gates' or stages of a project. A checklist is used to determine if

Towards a generalizable project readiness assessment methodology for the mining industry

a pre-determined set of criteria has been achieved. Kells (2011, p. 64) noted that these are based on best practice, such as the internationally accepted Project Management Body of Knowledge (PMBOK). The outcome of such an evaluation is typically a report with findings on the various knowledge areas as defined by the PMBOK, as well as recommendations for further actions to rectify identified shortcomings. The report is accompanied by green, amber, or red 'traffic light' ratings of many areas. The shortcoming of this type of evaluations is that it is subjective and project teams cannot use it for self-assessment, as it relies on the view of the independent auditor. Most of the available tools focus more on the organizational and management issues and less on the technical issues for project evaluation (de Wet, 2007, p. 23). Table I indicates some of the current project readiness assessment tools, along with their shortcomings.

The mining industry

The mining industry plays an essential role in the global economy. It contributes approximately 11.5% to the global GDP (Creamer, 2012, p. 3). When the mining service industry (which include construction, fuel and fertilizer production) is included, the total

Table I

Various tools currently used to asses project readiness

contribution to the global GDP is 45% (Creamer, 2012, p. 3). The contribution of mining in low- and middle-income countries towards foreign direct investment, exports, government revenue, gross domestic product, and employment is depicted in Table II.

Mining life cycles

A typical mine life cycle, along with the activities in each stage, is illustrated in Figure 1.

Typically, all of the activities in Figure 1, except for commercial production, form part of a mine project life cycle.

Table II

Contribution of mining in low- to middle-income countries

Foreign direct investment 60-90%

Exports 30-60%

Government revenue 3-25%

National income 3-10%

Employment 1-2%

Source: ICMM (2018:33)

Generic tools

Name Reference Shortcomings

Advanced Planning Risk Analysis (APRA) Bingham, 2010, p. 47 Focuses on transport projects

Definition Rating Checklist Gibson and Dumont, 1996, p. 29 Caters for industrial projects only

Revised Definition Rating Checklist Gibson and Dumont, 1996, p. 29 Caters for industrial projects only

Project Health Check Model Buttrick, 2000, p. 87 Focuses on high-level issues, not detailed enough for mining projects

Project Implementation Profile Pinto, 1990: 175 Focuses on high-level issues, not detailed enough for mining projects Englund and Bucero model Englund and Bucero, 2006, p. 148 Focuses on high-level issues, not detailed enough for mining projects Bolles model Bolles, 2002, p. 5 Focuses on high-level issues, not detailed enough for mining projects WS Atkins Performance Auditing Methodology Duffy and Thomas, 1989, p. 103 Focuses on high-level issues, not detailed enough for mining projects Stage gate process Cooper et al., 2002, p. 44 Focuses on high-level issues, not detailed enough for mining projects

Balanced scorecard methodology Germain, 2000, p. 46 Focuses on high-level issues, not detailed enough for mining projects

Gateway reviews Kells, 2011, p. 62 Focuses on high-level issues, not detailed enough for mining projects (ConSERV) Conroy and Soltan, 1998, p. 187 Time-consuming and mostly focussed on risks

Organizational-based information architecture Messner and Sanvido, 2001, p. 395 Does not provide a rating score to compare projects easily (OBIA)

Single Period Project Selection (SPPS) Eben-Chaime, 2000, p. 56 Needs expert inputs in order to interpret results

Fuzzy stochastic dominance model (SFD) Wong et al., 1999, p. 409 Needs expert inputs in order to interpret results

Tools used in other industries

Name Reference Shortcomings

Construction Industry Institute (CII) PDRI tools Gibson and Dumont, 1996, p. 17 Does not address all mining elements

Fischer exact test Brookes and Locatelli, 2015, p. 58 Does not assess scope definition at a specific point in time 3rd party proprietary tools

Name Reference Shortcomings

Independent Project Analysis (IPA) Gibson and Dumont, 1996, p. 17 Not freely available

KPMG Motta et al., 2014 Not freely available

BDR Motta et al., 2014 Not freely available

PWC Motta et al., 2014 Not freely available

During commercial production, there will be stay-in-business (SIB) projects, but these are normally smaller maintenance projects and are not considered as part of the larger project to establish and close a mining operation.

Mining projects

Accenture (2012) noted that capital expenditure in the mining and minerals industry is predicted to reach between US$1 trillion and US$ 1.5 trillion in the period between 2011 and 2025. Despite the significant role that mining plays in the global economy and the large amounts of capital which are spent in the industry, the success rate of mining projects is not very good. Only 2.5% of large capital mining projects are considered as successful when evaluated on scope, schedule, cost, and business benefits (Motta et al., 2014, p. 402). Between 1965 and 2014, mining project cost overruns averaged between 20% and 60% (Mining Markets Magazine, 2014). Smith et al., (2007, p. 67) stated that capital investment is the life-blood of minerals companies. Becasue orebodies becomes depleted, it is necessary to continuously reinvest so that production does not decline. Since there is competition for capital, it is important to carefully evaluate each project, to ensure that only the correct projects, which will add the most benefit to the business and that have the highest likelihood of success during implementation, are approved for execution. According to Kuhn and Visser (2014, p. 106), decision-makers in mining projects are faced with a daunting task when deciding on project approval. By applying appropriate risk-management techniques (of which a generalized mining project readiness assessment tool could be one), decision-makers can potentially ask the right questions and are in a better position to get the right answers. This could enable them to make appropriate project decisions

Development of mining projects

In the mining industry, the developmental stage or study of a project is often referred to as the front-end planning phase, the front-end loading phase, or the feasibility study. According to Rudenno (2012, p. 36) a well conducted front-end planning phase provides the best estimate of an uncertain future. Feasibility studies, financial analysis, and project financing, are required to bring together all the data generated during a mining project study

(Kennedy, 1990, p. 393). The front-end phase of a project was noted by Botin (2009, p. 208) as being a 'step-wise risk reduction process' where increasing amounts of money are invested in minimizing risk and financial uncertainty. In mining projects, the study phase is typically divided into several stage-gate phases, each culminating in an approval to proceed to the next phase of the study. This approach is illustrated in Figure 2.

An example of a stage-gate approach is that of the Anglo American project model, which divides the study phase into resource planning, concept, pre-feasibility, and feasibility stages (Anglo American, 2009, p. 14). As the study progress through the various stage-gates, the level of certainty of elements regarding cost, schedule, and engineering should increase. Wittig (2013, p. 392) found that the ability to influence the value of the project is at a peak during the concept and first half of the pre-feasibility phases of a project. Figure 3 illustrates how risk is reduced as the project study progresses, while the cost of changes grows.

Specialists review the project during each phase to evaluate its readiness to proceed to the next phase (Cooper, Scott, and Kleinschmidt, 2002, p. 45). Ireland (2008, p. 41) mentioned that the stage-gate approach in mining projects gives structure to a mining project study and assists in minimizing risks. The main activities during each phase of a mining project are illustrated in Figure 4.

Differences between assumptions made during the project study and the actual performance of completed projects are often the basis for disputes in mining projects (Persampieri, 2004, p. 4). It is therefore essential that a mechanism is developed by mining houses which ensures that all the participants in a project are aware of uncertainties at the time of project approval. Implementing the wrong project can destroy value, as can executing the right project poorly.

Mining project readiness parameters

Mining projects are synonymous with long study and implementation phases, geological unpredictability, and rapidly changing commodity prices (Kuhn and Visser, 2014, p. 106). The mining industry is becoming more capital-intensive due to high development costs and the high degree of mechanization that is required to deliver competitive products through economies of scale. Mining projects differ from other industries, in that mining involves:

for the mining

Figure 1—Life cycle of a mine (Badri, Nadeau, and Gbodossou, 2012, p. 147)

impact and strict legislation, mining projects incur additional costs

➤ Land rights - the needs and expectations of indigenous people need to be considered. While industrial projects are also affected by this issue, mining projects are unique in that they must explore the area before deciding to proceed. Also, different countries have different legislation regarding land- and mineral-right ownership, which impacts on the ability to explore, develop and operate a mine.

According to Botin (2009, p. 210), a mining project must take into account health, safety, and social risks. Risks such as dust, noise, impact on water and land resources, immigration due to the project and operations, resettlement of communities, and risks to artisanal miners also need to be addressed (Botin, 2009, p. 210). These factors, along with numerous others that must be considered during a mining project study, contribute to the long study timelines, and need for RAs before proceeding to the next phase of a mining project

Conceptual mining project readiness index

An initial list of elements that should be considered during a mining project study, was compiled using a literature review and by evaluating the existing PDRIs. Apart from providing a list of elements applicable to mining project studies, the list also divides the elements into categories and sections. This initial division was based on the previous PDRIs. Together, the sections, categories and elements equate to a draft readiness assessment tool (RAT) for mining projects. The conceptual model for this study is thus a graphical depiction of the way the sections and categories result in the draft unweighted RAT. The model is depicted in Figure 5.

The draft RAT for mining projects consists of three sections, namely Basis of decision, Basis of design, and Execution approach. The Basis of decision section consists of eight categories, the Basis of design section consists of three categories, and the Execution approach section four categories.

Conclusions

The mining industry is an important contributor to global GDP and spends large amounts of capital in order to study and execute mining projects. Despite the significant investment in projects, the track record of mining projects is not very good. Only 2.5% of large mining projects are considered as successful. The front-end loading phases of a project can significantly improve the likelihood of overall project success, if performed well. In order to determine the quality of front-end loading, a generally accepted readiness assessment tool for mining projects is required. Such a tool will enable decision-makers to determine if adequate levels of maturity have been reached in a mining project study before it is allowed to proceed to the next phase.

References

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Badri, A., Nadeau, S., and Gbodossou, A. 2012. A mining project is a field of risks: a systematic and preliminary portrait of mining risks. International Journal of Safety and Security Engineering, vol. 2, no. 2. pp. 145−166.

Bastianelli, L. and Yeager, T. 2012. Project development and strategies for success. Pittsburgh: Berkley Research Group. https://www.thinkbrg. com/media/publication/255_BRG_Project%20Development%20and%20 Strategies%20for%20Success_24Sep2012.pdf [accessed 9 March 2018].

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Towards a generalizable project readiness assessment methodology for the mining industry

Towards a generalizable project readiness assessment methodology for the mining industry

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Affiliation:

1Universidad Católica de la Santísima Concepción, Chile.

2BECHTEL G&HES - Mining & Metals, Chile.

3Consorcio JEJ-CYGSA, Chile.

Correspondence to: F.A. Villalobos

Email: avillalobos@ucsc.cl

Dates: Received: 6 Jul. 2020

Revised: 1 Mar. 2022

Accepted: 8 Jun. 2022 Published: September 2022

How to cite:

Villalobos, F.A., Villalobos, S.A., and Aguilera, L.E. 2022

Evaluation of rockburst energy capacity for the design of rock support systems for different tunnel geometries at El Teniente copper mine

Journal of the Southern African Institute of Mining and Metallurgy, vol. 122, no. 9, pp. 505–516

DOI ID: http://dx.doi.org/10.17159/24119717/1249/2022

ORCID: F.A. Villalobos https://orcid.org/0000-00025419-3958

Evaluation of rockburst energy capacity for the design of rock support systems for different tunnel geometries at El Teniente copper mine

by F.A. Villalobos1, S.A. Villalobos2, and L.E. Aguilera3

Synopsis

Rockburst events have been a serious problem for many years in many mines worldwide, and in particular at El Teniente mine in Chile. El Teniente is the largest copper mine in the world, located in the Andes Cordillera where high stress levels are present due to intensing mining activity in addition to complex geology. Consequently, the study and management of the rockburst threat are necessary. In this work, the case of the Diablo Regimiento (DR) mine within El Teniente is studied. The energy capacity of dynamic support systems is determined for different tunnel geometries based on two kinetic methodologies, using data from DR. Initially, rockburst potential is determined by means of a stress analysis around different tunnel geometries through the boundary elements method. In the first methodology a yielding zone (YZ) is estimated for each excavation geometry using the finite element method FEM. The second methodology involves the definition and determination of a critical strain energy (SE) around each excavation geometry using a FEM numerical analysis. In both cases, peak particle velocity PPV is estimated by a scaling law, which is subsequently adjusted due to tunnel amplification effects. According to the results, and knowing the working energy capacity applied in DR mine, it was found that the values of energy capacity for the rock dynamic supports were better estimated by the YZ-PPV approach than by the SE approach.

Keywords

rockburst, peak particle velocity, yielding zone, strain energy, dynamic rock support, energy capacity.

Introduction

The search for new orebodies has led several mining projects around the world to exploit much deeper underground (e.g. Stacey and Rojas, 2013). El Teniente mine in Chile is an example of this process. El Teniente is the largest underground copper-molybdenum mine in the world (Stern, Skewes, and Are'valo, 2011; Skewes et al., 2005), producing around 140 000 t/d and with more than 3000 km of galleries. The mine is located in the Andes Cordillera (34°05’S, 70°21’W) between 3200 and 2200 m above sea level. El Teniente is actually a group of production units, comprising Diablo Regimiento, Esmeralda, Dacita, Reservas Norte (RENO), Pipa Norte, Sur Andes Pipa, Pilar Norte, and Teniente Sur. A new and deeper extension of the current extraction levels at 1880 m is called the New Mine Level project (NMLP), which is a panel caving project around 1.2 km below ground surface (Jarufe and Vasquez, 2014). At El Teniente, mining at great depths, in addition to high regional tectonic forces combined with particular geological (e.g. discontinuities, faults, lithology) and geotechnical conditions (strong stiff rock mass) induces frequent seismic activity leading to rockbursting. Seismic activity and rockburst events have been recorded at El Teniente production mining levels (e.g. Kaiser, Tannant, and McCrete, 1996; Cai and Kaiser, 2018) and no exception is forecast in the deeper NMLP (Potvin, Jarufe, and Wesseloo, 2010b).

Therefore, there is a need to ensure safe mining conditions by implementing adequate design practices to mitigate and control rockbursts. Although procedures and solutions for rock support systems have been proposed and applied at El Teniente (e.g. Kaiser, Tannant, and McCrete, 1996), it is important to verify these approaches. For instance, Jarufe and Vasquez (2014) presented procedures for the determination of the energy demand to be adopted in the dynamic support design at the NMLP. They carried out numerical analyses to calculate contours of a strength factor around a horseshoe excavation to define zones of fractured rock due to seismic events. However, the meaning of the strength factor and the numerical calculations were not clearly explained.

In the present work, a combination of different approaches, namely empirical, analytical, and numerical methods, is outlined and applied for the analysis of rockburst potential with the aim of

Evaluation of rockburst energy capacity for the design of rock support systems

designing dynamic support systems for the mining and geological conditions at Diablo Regimiento (DR) mine. Different excavation geometries are considered for comparison with the horseshoe tunnels usually adopted in DR mine.

The rockburst and strainburst phenomenon

Rockburst is defined as serious damage to an underground excavation that occurs in a sudden and violent form, which is associated with seismic events induced by mining activities (e.g Kaiser, Tannant, and McCreath, 1996; Cai and Kaiser, 2018).

Rockbursts can cause a sudden and severe bulking in the interior of an excavation or violent rock ejections from the contour of the excavation (e.g. Kaiser and Cai, 2013; Stacey and Rojas, 2013). The generic term rockburst is independent of the cause and process of failure, whereas the term 'strainburst' not only tries to explain the damage type, but also the reason for and process of failure (Gao et al., 2019; Kaiser, 2017).

A strainburst is a sudden and violent rock failure close to the excavation surface with a localized seismic source and damage (Gao et al., 2019; Kaiser and Cai, 2013). This may (or may not) cause material ejection. The majority of strainbursts are caused by mining-induced stresses, that is, the burst is caused by changes in the stress and stiffness regime as a result of tunnel advance or stope excavation. The damage may be related with the stored energy around the excavation, or affected by the energy associated with the seismic event. If the damage is caused only by the stored energy, the burst is self-activated and will trigger seismic events. On the contrary, in other bursts the activation is triggered and magnified by a seismic event (Kaiser and Cai, 2013). Depending on the triggering mechanism and type of event, the process that causes rockbursts can be differentiated among self-activated strainburst, mining-induced strainburst, seismically-triggered strainburst, and dynamically loaded strainburst (Gao et al., 2019; Kaiser 2017).

In practice, the seismic sources that cause rockbursts are measured using the moment magnitude (MW ) or the local Richter scale (ML), which are based on the amplitude of the propagated P and S waves; or the Nuttli magnitude (MN), which is based on the amplitude of multiple reflected and refracted shear waves (Mendecki, 2016). Morrisette et al. (2012) demonstrated that there is not significant dependence on the severity of damage from an excavation in a rockburst event for ML magnitudes below 2.5 (MN < 3). But, for cases of events with magnitudes greater than that, the severity of the damage has been shown to be dependent on the seismic event.

Proposed methodology

Several methods have been proposed for the analysis of rockburst potential by means of an index or relationship. These methods broadly cover approaches of stress-strength ratios and energy using, for instance, the peak particle velocity (PPV) (see for example Bacha et al. 2020: Perez, 2015).

Among the different types of relationships proposed, that by Russenes (1974) offers a better prediction rate of rockburst occurrence (Perez, 2015). This criterion is based on the ratio T s between the excavation-induced maximum tangential stress θ and the surrounded rock's uniaxial compression strength c (Equation [1]). Table I presents the rockburst intensity or potential for different ranges of T s values.

Table I

Rockburst potential classification by Russenes (1974)

T s Rockburst potential

< 0.20

0.20 – 0.30

0.30 – 0.55

> 0.55

None

Low

Moderate

Violent

After obtaining the rockburst potential, two methods are implemented to obtain the kinetic energy from a possible rockburst. These are the yielding zone criterion (YZ-PPV) and the strain energy criterion (SE-PPV). The first method is based on the yielding zone of an excavation and the PPV experienced by rock fragments at the moment of ejection in a rockburst (e.g Kaiser and Cai, 2012). The PPV parameter is obtained following the model proposed by Kaiser, Tannant, and McCreath (1996). The second method is based on the rock strain energy and the rock PPV (e.g. Kaiser and Cai, 2012; Weng et al., 2017). For the application of each methodology, the finite element method (FEM) was used to estimate the yielding zone (YZ) and the strain energy (SE) at the excavation contours. For both criteria the energy produced by the rockburst is considered as kinetic energy, which is a function of the rock mass that bursts and the ejection velocity:

where E is the energy in kJ, m is the mass of the ejected rock in tons, and v is the particle maximum velocity in m/s. The mass is calculated as the rock area failing per metre of tunnel advance divided by the tunnel perimeter in contact with the lost area. In this way, the energy is expressed in kJ/m².

Diablo Regimiento case study

This study is based on data collected from the sublevel Diablo Regimiento (DR) at El Teniente mine, which is a mine with a long record of rockburst events (e.g. Kaiser, Tannant, and McCreath, 1996; Cai and Kaiser, 2018). Seismicity recordings at El Teniente mine since 1982 include severe seismic events (ML = 3.2 to 4.0), which have led to numerous major rockburst events. More than 50 rockburst events per year took place between 1983 and 1987, with around 130 and 100 in 1983 and 1987, respectively. Although, fewer than 50 rockburst events occurred at the end of the 1980s and beginning of the 1990s, events did not reduce in intensity. Some severe rockburst events destroyed extensive areas, resulting in stoppages to production (in 1987 and 1992). Since 1992, significant changes in operating procedures have been implemented.

Hydrofracturing has been introduced to reduce the intensity of seismicity (Araneda and Sougarret, 2008; Valderrama and Saéz, 2015) and ground support considering energy dissipation capacity is part of the design procedures, which forms part of this study.

From 1995 to 2007 there were several seismic events from 0.8 up to 3.2 magnitude, albeit mostly with slight to medium damage. However, a few seismic events were accompanied by significant damage due to rockbursts, for example the events in 2005 in Esmeralda, RENO, and DR (Alviña, 2008; Potvin, Jarufe, and Wesseloo, 2010b; Araneda and Sougarret, 2008) and Pilar Norte in 2011 (Malovichko, Cuello, and Rojas, 2018). In DR rockburst events occurred in 2004, 2005 and recently in 2020 (Figure 1).

Figure 1—Layout of the production level of Diablo Regimiento mine showing rockburst zones (circled) and year of occurrence. Coordinates every 200 m, and SCh indicates crusher stations (Araneda and Sougarret, 2008)

DR mine is located at an average level of 2192 masl. The lithology in DR corresponds mainly to andesite, referred to as the El Teniente Mafic Complex (CMET > 90%). The rock is massive with structures filled with quartz, sulphur and anhydrite due to hydrothermal activity (e.g. Stern, Skewes, and Are'valo, 2011; Brzovic and Leon, 2017). A view of the DR mine layout is shown in Figure 1. DR is composed of parallel galleries separated by a distance of 34 m with a horseshoe section of 4.5 m height and 4.5 m width (see Figure 3b). Table II presents CMET representative geomechanical parameters as well as the field stress values adopted in this study.

For the seismic analyses, the studies of Kaiser, Tannant, and McCreath (1996) and Estay (2014) in the Reservas Norte (RENO) mine at El Teniente were considered. In the latter study a records from 2003 to 2011 were used. Figure 2 summarizes the level of seismicity obtained from seismic sensors in terms of magnitude and event frequency as a function of altitude.

Figure 2 shows that the level where the seismicity is concentrated is at 2300 masl. Although not possible to see this in Figure 2, the largest recorded event corresponds to a moment magnitude M w close to 3.1, which is equivalent to a Richter magnitude ML = 3.1 and Nuttli magnitude MN = 3.6. Kaiser, Tannant, and McCreath (1996) and Jarufe and Vasquez (2014) also reported seismic events at El Teniente with maximum moment magnitudes M w of 3.0. Therefore, the whole horizontal plane at 2300 masl can be considered as a seismic source with a maximum event magnitude of 3.1.

In this study the rockburst potential and response to rockbursts is investigated for different tunnel geometries under the loading regime and geomechanical conditions present in DR mine. The tunnel geometries considered in the study are circular, horseshoe, square, horseshoe with inverted arc, elliptical, and rectangular as shown in Figure 3. The tunnels were modelled based on a typical cross-section used in DR mine tunnels, with dimensions of 4.5 x 4.5 m (width and height) and a cross-section of area of 17.8 m2

Table II

CMET geomechanical parameters in DR mine (Vergara, 2006)

Parameter Value

, kg/m³ 2760

, GPa 40

0.22 mi 6.4

0.062

75

0

MPa 125

North-South, MPa 47

Vertical, MPa 30

East-West, MPa 30

1.57

: density; E: Young's modulus; v: Poisson’s ratio; mi: intact rock HoekBrown H-B failure criterion parameter; s: H-B material constant; GSI: geological strength index; D: H-B factor for blast damage and stress relaxation effects; UCS = c: rock uniaxial compression strength; k: in situ stress ratio

Figure 2—Frequency of events and seismic magnitude Mw with height(masl) at RENO mine (Estay, 2014)

In the elliptical tunnel case the ratio adopted between the horizontal A and vertical B diameter of the ellipse is the same as the in situ stress ratio k = h/v. The reason behind this design criterion is based on elasticity theory and empirical evidence that the stress concentration and magnitude diminish around an elliptical excavation that follows A/B = k. This is also referred to as the optimal ellipse tunnel.

Results and analysis

Rockburst potential evaluation

The evaluation of the zones of maximum induced stresses for each tunnel geometry was carried out using Examine 3D software (Rocscience, 2016), which is based on the boundary element model (BEM). Figure 4 shows results of the induced major principal stress (1) analysis for each tunnel cross-section using as input the parameter values from DR mine summarized in Table II. From these results the maximum induced stress for each geometry was obtained, and this data was used in the rockburst potential assessment adopting the criterion of Russenes (1974).

From Figure 4a it can be observed that for a circular tunnel subject to the field stresses present at DR mine, the maximum induced 1 of 110 MPa concentrates on the roof and floor of the tunnel. Moreover, stress relaxation takes place in the tunnel walls. For the horseshoe tunnel (Figure 4b) a maximum induced 1 of 160 MPa was obtained in the bottom edges, whereas stress relaxation occurs in the tunnel walls also. The horseshoe geometry is that used in DR mine. Therefore, results for the horseshoe tunnel geometry are of particular interest, since they can be compared and applied to DR mine. For the square tunnel (Figure 4c), the numerical model estimated a maximum 1 of 175 MPa, concentrating at the four corners of the cross-section. The relaxation zones, due to the direction of the increased in situ stresses, occur again in the tunnel walls with induced 1 values between 20 to 40 MPa.

For the modified horseshoe inverted arc shape shown in Figure 4d, the maximum induced 1 estimated by the numerical modelling is 140 MPa, concentrating in the bottom edges and tunnel roof.

Figure 4e shows that an elliptical tunnel induces the lowest 1 value of 82.5 MPa, which agrees with the optimum ellipse design

according to the elasticity theory mentioned previously for this geometry. This means that 1 is distributed more regularly around the contour of the elliptical excavation, thus avoiding large stress differences, that is, without stress relaxation zones, which are found beyond the tunnel periphery. Consequently, elliptical tunnel geometries are convenient when dealing with a high stress field. However, it should be mentioned that achieving this geometry in practice is a complicated task. It requires that the geometry follows the principal directions of the stress field, and this is not always possible because the mine design is probably already fixed.

From Figure 4f, it can be observed that the maximum induced 1 for a rectangular tunnel is 175 MPa, which concentrates in the four corners of the tunnel section similar to the case of the square tunnel. Here again the relaxation is found in the tunnel walls. Furthermore, it is important to mention that for the square and rectangular tunnels the magnitude of the induced 1 is greater than those for the other tunnel geometries analysed, since the right-angled corners tend to concentrate high stress levels.

Table III summarizes the results for induced 1 and the ratio 1/c. It can be seen that there is a violent rockburst potential according to the criterion of Russenes (Table I). For all the tunnel geometries studied under the in situ stresses and geomechanical properties present in DR mine, T s = 1/c = θ/1 > 0.55. This is mainly caused by the high in situ stresses at DR mine with a major principal stress of 47 MPa.

Even though the circular and elliptical tunnels are less favourable geometries for high stress concentrations, i.e., show less rockburst potential than the other geometries, they can still present a violent rockburst potential. For the horseshoe tunnel, which corresponds to the DR mine tunnel geometry, a violent rockburst potential is also estimated due to the high stress concentrations in the bottom corners and tunnel roof.

Estimation of the energetic demand by the YZ-PPV criterion

Since there is a violent rockburst potential at DR mine, an adequate design for the rock support is required to withstand or mitigate this type of event. To determine the needed support energy capacity the yielding zone criterion YZ was first adopted. Finite element method (FEM) modelling was carried out using the RS2 software (Rocscience, 2017) and input data from DR mine (Table II). The main purpose was to model the yielding zones for

Evaluation of rockburst energy capacity for the design of rock support systems

Figure 3—Cross sections analysed:

circular,

horseshoe,

square,

horseshoe with inverted arc,

elliptical, and (f) rectangular. Dimensions in metres

Evaluation of rockburst energy capacity for the design of rock support systems

avoid concentration of high stresses. Since all the cross-sections analysed have the same area, the dimensions of the yielding zones generated depends exclusively on the tunnel geometry. The determined values of the amount of yielding rock mass are presented in Table V, where it can be noted that the horseshoe tunnel geometry adopted at DR mine has the minimum yielding zone.

A reasonable peak particle velocity (PPV) should be established for the estimation of the kinetic energy caused by a possible rockburst, which is needed for the support design. For this purpose, the scaling law proposed by Kaiser, Tannant, and McCrete (1996) and subsequently modified by Potvin, Wesseloo, and Heal (2010a), is adopted.

each excavation geometry, in other words, the amount of yielded or loose rock around the tunnel that could be ejected during a rockburst event. The yielding zones for each excavation geometry are shown in Figure 5 as a percentage of yielded elements, where red represents 100% of elements yielding. In this form, the rock mass that could possibly fail in a rockburst event is obtained. It is worth mentioning that the numerical modelling did not incorporate any kind of rock support, in order to visualize the real rock mass behaviour as a result of the excavation.

From Figure 5 it can be observed that each tunnel geometry results in different plastic areas around the excavation. Straight horizontal edges tend to generate more extensive yielding areas than curved contours. However, arc edges like those found in the elliptical tunnel generate a large yielded area too. In contrast, straight vertical edges tend to not generate yielding areas. Therefore, the generation or not of extensive plastic zones around tunnels depends largely on the horizontal extension of their edges, in other words, the longer the horizontal edge is, the greater the yielding zone generated. Therefore, the design of excavations with circular or arched edges is recommended to avoid the generation of thick plastic zones, with smooth and not straight vertices to

where R is the distance to the seismic focus, C is an empirical constant between 0.2 and 0.3, and R0 is the source influence radius expressed as:

where ML is the magnitude of the seismic event on the Richter scale and  is an empirical constant varying between 0.53 and 1.14, although for El Teniente a value of 0.50 has been normally adopted (Kaiser, Tannant, and McCrete 1996).

However, the presence of an underground opening can produce a wave amplification phenomenon that increases the values of PPV around the excavation perimeter by several times compared with the PPV from the same tremor measured some distance away in the rock mass. This PPV amplification depends mainly on the tunnel dimensions, modulus of elasticity, and wave propagation frequency. It has been found from measurements in deep mines that PPV amplification can be between 1 and

an average value of 12, with significant variation (e.g

Evaluation

Estimated

mass that

Tunnel shape Yielding zone,

demands using the YZ- PPV criterion for the DR mine

perimeter, Energy demand, Energy capacity,

kJ/m² kJ/m²

Circular 5.70 15.73 180.17 7.49 24.07 36.10

Horseshoe 4.57 12.61 144.45 6.37 22.68 34.01 Square 5.99 16.52 189.17 5.72 33.05 49.58

Horseshoe with 4.62 12.74 145.87 7.50 19.46 29.19 inverted arc

Elliptical 6.81 18.80 215.28 7.77 27.71 41.57 Rectangular 8.94 24.67 282.48 8.17 34.58 51.87

Milev et al., 2002; Milev and Spottiswood, 2005). Additionally, it has been determined from FEM numerical models of wave propagation that the PPV amplification can be between 6 and 12 for an isolated tunnel in an elastic, isotropic and homogeneous material (van Sint Jan and Alviña, 2008; Alviña, 2008). However, the PPV amplification can reach values up to 25 in the case of a damaged rock annulus or the presence of a nearby excavations. Jarufe and Vasquez (2014) adopted an amplification factor of 12 for the rock support design in the NMLP at El Teniente. A similar PPV amplification value of 12 is adopted in this study as a compromise between measured values and those obtained from FEM numerical studies. A precise value depends on sitespecific conditions and calculating it will require sophisticated in situ measurement resources or complicated numerical analyses (or both) to obtain a reliable value. Table IV presents data and results for the determination of PPV using the scaling law and an amplification factor.

PPV values measured at El Teniente mine range from 4 to 7 m/s (Bravo-Haro et al., 2017). The PPV of 4.8 m/s obtained by means of the scaling law for DR mine is within that range. Using the kinetic energy expression (Equation [2]) it is possible to obtain rockburst event energetic demands, and by using an energy factor of safety (FS) and following the YZ-PPV criterion, the support design values to apply in DR mine can be obtained. Table V shows the results for an acting perimeter which corresponds to the perimeter to where the yielding zone around the excavation has expanded. The last column in Table V corresponds to the support energy capacity obtained after applying an energy factor of safety FS = 1.5, which corresponds to the FS value currently adopted at El Teniente mine. The energetic demand is obtained from Equation [2] using the rock mass and PPV. Then, the energetic demand is divided by the acting perimeter to obtain the energy demand, which is multiplied by FS = 1.5 to finally estimate the energy capacity. The results for yielded rock mass in Table V are below the range between 20 and 40 t/m reported as loose, overbreak, or damaged rock by Jarufe and Vasquez (2014) for the units NMLP, RENO, and Esmeralda.

Estimation of the energetic demand by means of the SE-PPV criterion

Rock failure occurs when the strain energy (SE) per unit volume exceeds the uniaxial compression strength (UCS). Analytically, SE depends on the in situ stresses, rock elasticity constants, and confinement variations. In view of the changes in the confinement equilibrium conditions, resulting in zones of stress accumulation and zones of stress relaxation, the rock in situ SE becomes modified (e.g. Krstulovic, 2017).

If 1, 2, and 3 are the principal stresses in the rock, E is the Young’s modulus, v is the Poisson’s ratio, and assuming a homogeneous, isotropic rock, the strain energy can be obtained by the expression proposed by Love (1927):

From uniaxial and triaxial tests, Krstulovic (2017) determined SE values for the CMET rocks. From the test results a minimum critical SE value of 0.045 MPa was determined for the CMET specimens, after which violent failure would occur. This SE value allows the determination of the acting perimeter, which surrounds the area with high rock energy levels. Figure 6 shows the results from the FEM modelling for each excavation geometry. The modelling was performed to determine the SE of the rock around the contour of the excavation. In this analysis Equation [5] was implemented in the Rocscience RS2 software since it is not part of the analysis options.

The SE distributions around each excavation geometry (Figure 6) tend to follow the 1 distributions shown in Figure 4, and not really resemble the yielding zones shown in Figure 5. Therefore, it can be expected that the rock area under high SE which is likely to fail due to a seismic event will be rather different to that obtained from the YZ-PPV criterion. This may originate from the nature of plasticity modelling behind the yielding zone criterion, which is different from the elasticity modelling behind the strain energy criterion. Results summarized in Table VI may explain this difference in terms of rock mass area values associated

Evaluation

with the defined limit of SE for each tunnel geometry, as well as acting perimeters and energy capacities obtained as before with a factor of safety FS = 1.5. Comparing these results with those in Table V, it can be noted that SE analysis results in higher energy capacities, mostly owing to the larger rock masses and smaller acting perimeters. The difference becomes significant (around three times larger) for circular, horseshoe and horseshoe, with inverted arc geometrics. For the other tunnel geometries the difference is less than 40%. The tunnel geometry that involves the least energy demand is the ellipse, and (surprisingly) the square and rectangular follow with less energy demand. This is because the square and rectangular sections generate a lesser amount of rock area subjected to high values of SE, due mainly to the

accumulation of stress in the two bottom corners. Note again that the horseshoe is the tunnel geometry adopted in DR mine and the SE area and rock mass in this case are maximum obtained. Therefore, the elastic strain energy approach implies that the horseshoe geometry involves the largest amount of rock with accumulated elastic energy that could be released by a seismic event.

The energy capacity estimations obtained from the YZ-PPV and SE-PPV criteria for the horseshoe tunnel case (which is the excavation geometry employed in DR mine) were compared with the energy capacity values for the support currently used, the performance of which has been adequate so far. The comparison is shown in Table VII.

Figure 6—Numerical results of the strain energy distribution around different excavation geometries: (a) circular, (b) horseshoe, (c) square, (d) horseshoe with inverted arc, (e) elliptical, and (f) rectangular

Evaluation of rockburst energy capacity for the design of rock support systems

Estimated

Tunnel SE

Acting perimeter, Energy demand, Energy capacity,

m kJ/m² kJ/m²

Circular 7.94 21.91 251.34 3.65 68.80 103.21

Horseshoe 8.80 24.29 278.63 4.11 67.81 101.72 Square 6.26 17.28 198.21 4.99 39.75 59.62 Horseshoe with 8.54 23.56 270.34 4.06 66.63 99.95 inverted arc Ellipse 7.42 20.47 234.81 6.78 34.66 51.99 Rectangular 2.45 6.76 77.57 1.61 48.21 72.32

Table

Comparison of the energy

the YZ-PPV

in

current support design at DR mine DR mine (Rojas, 2017) YZ-PPV SE-PPV 29.2 34.0

It is clear that the YZ-PPV estimation is much closer to the energy capacity value currently adopted. Moreover, there is evidence from rockburst back-analysis that for the NMLP at El Teniente the energy demand causing most of the damage is less than 50 kJ/m2, and that higher values are usually related to weak zones due to geometric singularities (Jarufe and Vasquez, 2014).

Conclusions

According to the rockburst potential assessment using the criterion of Russenes (1974), there is a high potential for rockburst occurrence in Diablo Regimiento DR mine, with events of violent intensity for all the evaluated excavation geometries (circular, horseshoe, square, horseshoe with inverted arc, ellipse, and rectangular). This is in agreement with the evidence from several rockburst events reported at El Teniente. Consequently, it is necessary that the rock support systems be able to withstand the dynamic energy demand imposed by a rockburst.

Two methodologies have been applied to DR mine for the estimation of the energy capacity for rock support for six different tunnel geometries. These methodologies rely on the peak particle velocity PPV. The first one is based on the amount of rock mass yielding around the excavation (yield zone YZ-PPV criterion), and the second one on the amount of strain energy stored in the rock mass (SE-PPV criterion). FEM numerical analyses were undertaken in order to determine the yield zones and strain energies. PPV was estimated using a scaling law and was further amplified by a semi-empirical factor, resulting in a value of 4.8 m/s.

From the YZ-PPV criterion, it was found that the energy capacity for a rock support system is higher for rectangular, square, and elliptical tunnels (in that order), and lower for the horseshoe with an inverted arc, horseshoe, and circular, (again in that order). Therefore, the horseshoe geometry seems to be a good choice. In fact, the estimated energy capacity of 34 kJ/ m2 for the horseshoe configuration is slightly higher than the value currently adopted at DR mine (29 kJ/m2), which has proved satisfactory. On the contrary, the SE-PPV criterion resulted in

much larger values of the support energy capacity, where the elliptical tunnel had the minimum value of 51 kJ/m2, followed by the square and rectangular geometries, whereas the horseshoe had a value of 101 kJ/m2, almost three times that obtained using the YZ- PPV criterion. These results indicate that the YZ- PPV criterion represents a lower bound, closer to the current energy capacity that has been adopted in DR mine.

Future research should include calibration of volume and mass of damaged rock with the results from actual rockburst events, as well as 2D and 3D numerical modelling with DFN (discrete fracture network) to estimate the structural network in the rock mass (as in Villalobos, Cacciari, and Futai, 2017), which could generate wedges or blocks around the tunnel likely to be ejected in a rockburst event.

References

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SAIMM celebrates its 2021 prize-winners – 23 September 2022

Gold Medal Award Winners

Silver Medal Award Winners

The Journal of the Southern African Institute of

Metallurgy

Zelmia Botha and Prof Bryan Watson

Zelmia Botha and Willie Theron

Zelmia Botha and Mqondisi Mahlangu

Zelmia Botha and Prof Josias van der Merwe

Zelmia Botha and Kedimetse Moloko

Nicola Rundora and Zelmia Botha

Pamella Sambo

Affiliation:

1University of the Free State, South Africa.

2Ivanhoe Mines Ltd.

3Dezernat für Angewandte Geologie und Georisiken, Landesamt für Geologie und Bergwesen Sachsen-Anhalt.

Correspondence to: E. Kotze

Email: kotze.e@ufs.ac.za

Dates:

Received: 17 Jan. 2022

Revised: 29 May 2022

Accepted: 8 Jun. 2022

Published: September 2022

How to cite: Kotze, E., Roelofse, F., Grobler, D., Gauert, C., and Purchase, M. 2022 Geological setting and concentration of scandium in the Flatreef and eastern limb chromitites of the Bushveld Complex Journal of the Southern African Institute of Mining and Metallurgy, vol. 122, no. 9, pp. 517 526

DOI ID: http://dx.doi.org/10.17159/24119717/1987/2022

ORCID: E. Kotze

https://orcid.org/0000-00033195-713

Geological setting and concentration of scandium in the Flatreef and eastern limb chromitites of the Bushveld Complex

by E. Kotze1, F. Roelofse1, D. Grobler2, C. Gauert3, and M. Purchase1

Synopsis

Scandium is an important industrial metal for which demand is projected to increase in the future. Although many Sc deposits are secondary, Sc is scavenged by clinopyroxene during fractional crystallization of primary, mafic-ultramafic magmas. Sc may thus occur in sub-economic concentrations in mafic-ultramafic intrusions. In this work, we present new data on the concentration of Sc in the Bushveld Complex (BC) of South Africa. The eastern and western limbs of the BC are considered to be largely pristine, primary magmatic deposits, whereas the northern limb shows evidence of largescale, localized crustal contamination. Samples from the primary magmatic cumulates of the eastern limb, from the mineralized Flatreef of the northern limb, and from the crustal-contaminated Footwall Assimilation Zone (FAZ) of the Flatreef were analysed for Sc. Despite the FAZ containing abundant clinopyroxene, interpreted to have recrystallized from the original cumulates in the presence of melted sedimentary rocks, no significant differences are seen in the concentration of Sc compared to other cumulate rocks of the BC containing less-abundant clinopyroxene. The concentration of Sc in the analysed samples is mainly controlled by mineralogy, with anorthosites, chromitites, and harzburgites containing under 20 ppm, and norites and pyroxenites containing 20–40 ppm. The parapyroxenites of the FAZ are less enriched in Sc than expected, suggesting that Sc may have been lost during alteration and recrystallization.

Keywords

scandium, Flatreef, Bushveld Complex, rare earth elements, igneous processes.

Introduction

The Bushveld Complex (BC) (Figure 1), which is located in the north of South Africa, is a gigantic assemblage of intrusive magmatic and associated rocks (e.g. Willemse, 1966) estimated to be 2.055 billion years old (Zeh et al., 2015). The mafic to ultramafic phase of the BC is termed the Rustenburg Layered Suite (RLS) (Willemse, 1966; Cawthorn and Webb, 2001; Cawthorn et al., 2006; Kruger, 2005). Associated with the RLS are the later acid suites (the Lebowa Granite and Rashoop Granophyre suites) (Von Gruenewaldt, Sharpe, and Hatton, 1985; Van Tongeren, Mathez, and Kelemen, 2010), as well as smaller intrusive bodies (sills, dykes and magmatic pipes) (e.g. Tarkian and Stumpfl, 1975; Harmer and Sharpe, 1985; Viljoen and Scoon, 1985; Scoon and Mitchell, 1994; 2004).

The BC boasts many different types of economic mineralization. It is the world’s largest single repository of the six platinum group elements (PGE) (e.g. Cawthorn et al., 2002; Arndt et al., 2005), with the pyroxenitic Merensky Reef accounting for much of the PGE production (e.g. Cousins, 1966; Lee, 1996; Cawthorn et al., 2002). Also closely associated with the PGE are the laterally continuous chromitite layers (e.g. Von Gruenewaldt, Hatton, and Merkle et al., 1986; Lee and Parry, 1988; Kinnaird et al., 2002; Oberthür et al., 2015), a major source of the world’s chromium (e.g. Cameron & Desborough, 1966; Teigler and Eales, 1993; Cawthorn et al., 2006). Grades of PGE in the chromitite layers range from below 0.5 ppm up to 10 ppm in the UG-2 chromitite (Von Gruenewaldt et al., 1986; Lee & Parry, 1988; Lee, 1996; Kinnaird et al., 2002; Arndt et al., 2005). The Main Magnetite Layer (MML) is exploited for vanadium (Cawthorn and Webb, 2001) and also hosts titanium resources that may be exploitable in the future (Cawthorn et al., 2006; Harney and Von Gruenewaldt, 1995). The BC is also a source of the base metals Co, Cu and Ni, (e.g. Cramer, 2001; Jones, 2005) as well as gold, (e.g. Godel, Barnes, Maier, 2007; Van der Merwe, Viljoen, and Knoper et al., 2012) all of which are closely associated with the PGE and are typically separated from them during mineral processing to be sold as secondary commodities (e.g. Jones, 2005; Jacobs, 2006). Tin has also been mined from intrusive pipes associated with the granites of the BC (Von Gruenewaldt and Strydom, 1985; Coetzee and Twist, 1989; Kinnaird and McDonald, 2005).

Despite all it has produced so far, the BC may still be host to metal and other commodities that have yet to be exploited.

Scandium

Due to its similar applications in industry, similar chemical properties, and occurrence alongside the lanthanides, scandium may be classified as one of the rare earth elements (REE) (Williams-Jones and Vasyukova, 2018; Wang et al., 2021; Xie et al., 2014). Sc concentrates are traded alongside REE concentrates, but most REE deposits are not significantly enriched in Sc (WilliamsJones and Vasyukova, 2018). However, Sc is mainly mined as a byproduct from deposits that primarily exploit the other REE (Xiao et al., 2020; Wang et al., 2021).

Scandium is considered a valuable metal because of its uses in current technological developments. One of the main uses is to reduce the mass of aircraft and vehicles, which may be accomplished by substituting a lightweight, strong alloy of Sc and Al for other metals (Williams-Jones and Vasyukova, 2018; Hughes, Andersen, and Driscoll, 2021; Wang et al., 2021). It is also used for solid oxide fuel cells (Hughes, Andersen, and Driscoll, 2021; European Commission, 2021; Wang et al., 2021), which can be used to produce electricity on scales ranging from portable battery chargers to generators for fuel plants (Minh, 2004). Scandium is traded globally alongside the rare earth elements as well as 'minor' metals such tellurium, antimony, and bismuth (Shanghai Metals Market, 2022). According to the European Commission (2021), the main world producers of Sc are China, Russia, and the Ukraine, with China producing over two-thirds of the world’s supply. With global events trending as they are, the Sc supply chain from Russia and the Ukraine is particularly at risk. Disruption of supply could result in shortages of all commodities supplied by these two countries, having wide-ranging effects on the various industries which rely upon them (e.g. Burke, 2022; Johnston, 2022; Kahn, 2022). In the case of Sc, these industries include the manufacture of semiconductors and batteries, as well as the aeronautics and renewable energy sectors.

Unlike the other REE, Sc is compatible with early rockforming minerals. In the 3+ oxidation state, it may substitute for Mg and Fe in minerals such as pyroxene and amphibole (WilliamsJones and Vasyukova, 2018). Sc is known to be compatible with clinopyroxene during crystallization, but less compatible with orthopyroxene and incompatible with plagioclase and olivine

(Allègre et al., 1977; Morimoto et al., 1988; Nielsen, Gallaham, and Newberger, 1992; Williams-Jones and Vasyukova, 2018). There exists a clinopyroxene that contains Sc as an essential element, namely jervisite (NaScSi2O6) (Hawthorne and Grundy, 1973; Morimoto et al., 1988; Deer, Howie, Howie, and Zussman, 2013; Williams-Jones & Vasyukova, 2018). In the world’s largest single resource of Sc, China’s Bayan Obo deposit, Sc is found in aegirine of hydrothermal origin (Williams-Jones and Vasyukova, 2018). However, Sc may be found enriched in any of the clinopyroxenes associated with mafic-ultramafic intrusive deposits, such as augite and hedenbergite, where it may substitute for Mg or Fe in the M1site (Morimoto et al., 1988; Williams-Jones and Vasyukova, 2018; Wang et al., 2021). The first stage of Sc enrichment in any deposit may be considered to be fractional crystallization, which produces Sc-enriched clinopyroxene in rocks of mafic to ultramafic composition (Wang et al., 2021). Further stages of Sc enrichment may include hydrothermal activity, or surficial weathering in lateritic environments such as the bauxite deposits in Madagascar or Ni-Co laterites of New Caledonia (Taylor et al., 2005; WilliamsJones and Vasyukova, 2018; Teitler et al., 2019; Wang et al., 2021). Lateritic Sc enrichment commonly occurs in iron oxide deposits overlying ultramafic intrusive pipes (Ural-Alaskan type intrusions), which is the case for the New Caledonian deposits (Teitler et al., 2019) and for the Sunrise Ni-Co laterite of Australia, which is sporadically enriched in Pt as well as Sc (SRK Consulting, 2018).

The methods used to extract Sc are mainly hydrometallurgical (Xiao et al., 2020). Like the other rare earth elements, Sc may be roasted to produce a concentrate which is then leached by acids such as HCl, HNO3, and H2SO4 (Xie et al., 2014). At Bayan Obo, Sc is extracted from tailings that have already been processed for Fe and the other REE (Williams-Jones and Vasyukova, 2018; Wang et al., 2021). Aegirine at Bayan Obo is roasted before leaching to decompose it (Williams-Jones and Vasyukova, 2018). Scandium occurring in oxidized deposits such as Ni-Co laterites is particularly suited to hydrometallurgical extraction since it has already been weathered out of the silicates and occurs in oxide minerals such as goethite (Teitler et al., 2019).

Since Sc is mainly produced as a by-product to other elements (Xiao et al., 2020), cut-off grades vary considerably between operations. According to Williams-Jones and Vasyukova, (2018) the average grade of Sc in currently exploited as well as reserve

Figure 1—(a) The outcropping rocks of the Rustenburg Layered Suite of the BC, indicating the three main limbs (north, east and west) of the Complex.

Magnified view of the southern part of the northern limb where samples originated on the properties of Turfspruit and Macalacaskop (modified after Grobler et al., 2019)

Geological setting and concentration of scandium

deposits across the world varies from 50–200 ppm. Teitler et al. (2019) consider high-grade lateritic Sc deposits to be those over 300 ppm, while those of 100 ppm and below are generally too low to be exploited, except for Sc as a by-product. Concentrations of Sc in pyroxenitic rocks of notable mafic-ultramafic intrusions such as the Russian Urals and similar intrusions in China range from 54 to 135 ppm (Wang et al., 2021).

Although Sc is usually not significantly enriched in layered intrusions (Wang et al., 2021), it is of both scientific and economic interest to investigate this element in the BC, particularly the ore-bearing horizons of the Flatreef and their footwalls, the latter being significantly contaminated with crustal material (Keir-Sage et al., 2021; Maier et al., 2021) and are not considered to represent a typical igneous BC cumulate.

The Flatreef

The northern limb (see Figure 1b) of the BC lacks the consistent and ubiquitous mineral layering of the RLS of the western and eastern limbs, although it does host PGE mineralization in a horizon of sulphide-bearing pyroxenite broadly similar to the Merensky Reef, which is known as the Platreef (Kinnaird and McDonald, 2005; Van der Merwe, Viljoen and Knoper, 2012). The Flatreef represents a thick, almost horizontal, laterally continuous down-dip extension of the Platreef (Hutchinson and Kinnaird, 2005; Maier et al., 2021) which hosts economic grades of PGE (average grade of 3.8 ppm Pt+Pd+Rh+Au) over a lithological interval which may be up to 90 m thick (Grobler et al., 2019). It was only recently discovered (Maier et al., 2021), and development is under way to exploit this reef for PGE, Au, Ni, and Cu (Grobler et al., 2019; McFall et al., 2019).

The 'reef' portion of these rocks, representing the main target for exploitation of PGE and other metals, consists of sulphide-mineralized layers of dunite, harzburgite, and pyroxenite containing chromite stringers of no more than ca. 2 cm thick (Yudovskaya et al., 2017; Grobler et al., 2019). However, PGE mineralization associated with Ni– and Cu-bearing sulphides may extend below the reef for tens of metres into the footwall (Yudovskaya et al., 2017; Grobler et al., 2019). These rocks were emplaced upon the older Transvaal Supergroup sediments, and therefore they have a much greater degree of contamination (KeirSage et al., 2021), though the Flatreef is generally considered to be less contaminated than the up-dip Platreef (Grobler et al., 2019; Maier et al., 2021).

Directly below the Flatreef, sporadic sulphide mineralization appears in a pile of rocks that may contain sedimentary xenoliths (Kinnaird and McDonald, 2005; Yudovskaya et al., 2017; Grobler et al., 2019). The original composition of these xenoliths ranges from carbonate (dolostone) to pelitic (shale) and quartzitic, and also includes evaporitic rocks (Hutchinson and Kinnaird, 2005; Grobler et al., 2019). The rocks of this pile are layered and may be underlain by a chromitite seam recognized as correlating with the UG-2 elsewhere in the BC (Grobler et al., 2019; Langa et al., 2021). Where sedimentary xenoliths are not abundant, this zone is termed the Footwall Cyclic Unit (FCU) (Grobler et al., 2019).

In the central region of the Flatreef Project area, the most sedimentary xenoliths may be found in the FCU (Yudovskaya et al., 2017; Grobler et al., 2019). In this region, the FCU is also more variable, consisting of abundant pegmatitic mafic and ultramafic rocks, and some rock types appear to have been altered (Grobler et al., 2019). These rocks, where interaction of magma with sediment is highly evident, are termed the Footwall Assimilation

Zone (FAZ) (Grobler et al., 2019; Mayer et al., 2021). Xenoliths found in this zone are often metamorphosed and recrystallized; for example, argillite is often altered to hornfels and dolostones or limestones form marble and localized skarn assemblages (Grobler et al., 2019). Sporadic zones of pegmatoidal 'parapyroxenite' and serpentinized 'paraharzburgite' occur in these rocks (Yudovskaya et al., 2017; Grobler et al., 2019). They represent an alteration of the normal mafic-ultramafic assemblage, and may be interpreted as products of an ultramafic magma that was contaminated (with Ca originating from dolostone/ limestone) by the sediments, and crystallized in the presence of volatiles resulting from melting of sedimentary xenoliths (Grobler et al., 2019).

Below the entire Flatreef sequence, sills of dunite, pyroxenite, and harzburgite may be found intruding the Transvaal Supergroup (Grobler et al., 2019; Yudovskaya et al., 2021). The package of rocks from the lower chromitite seam up to the noritic cyclic units above the Flatreef shows better mineral layering with less contamination than the Platreef, and can be well correlated with the interval from the UG-2 up to the Bastard Reef (above the Merensky Reef) in the western and eastern limbs of the BC (Grobler et al., 2019; Beukes et al., 2021; Mayer et al., 2021).

In parts of the FAZ, as is evident from several exploration boreholes drilled by Ivanplats for the Flatreef Project, pegmatoidal clinopyroxenite is well developed over many metres of depth. This clinopyroxenite belongs to the parapyroxenite lithologies that have been affected by contamination with sedimentary material (Grobler et al., 2019). It occurs close to the footwall of the Flatreef mineralized zone and therefore provides an important starting point when studying the Sc content of the BC, since this metal is almost always mined as a by-product to other commodities.

The purpose of this paper is not only to evaluate the scandium content of the Flatreef, but also to provide an overview of existing Sc data for the Critical Zone (CZ) of the Rustenburg Layered Suite of the BC. This is then compared to global deposits and the average Sc contents of mafic to ultramafic igneous rocks. The authors intend this paper to serve as a repository of knowledge as well as a discussion of possibilities pertaining to the economic potential of existing South African mineral ores.

Samples and methods

Samples analysed for scandium in this study include clinopyroxenites from the Flatreef (described below), as well as chromitite and associated silicate rocks (pyroxenite, norite, anorthosite) of the Critical Zone of the eastern BC (see Figure 1a). Preceding Sc analysis, major elements in all samples were analysed by XRF and the normative mineralogy was calculated. The eastern BC samples originate from borehole WV-30 drilled on the Winterveld property of Samancor’s Eastern Chrome Mine. A thorough petrological and mineralogical overview of these samples, as well as their location relative to the eastern limb of the BC, is given in Kotzé and Gauert (2020). Figures 2a–d show typical mineral and textural characteristics of these samples.

Sample WV52.1 (Figure 2b) represents the first anorthosite of the Critical Zone, which marks the start of the Upper Critical Zone (UCZ), which is defined by the presence of cumulus plagioclase (e.g. Kinnaird et al., 2002). Sample WV-65 is a massive, nearly monomineralic chromitite with variable grain size from the LG-6, which is mined for Cr at Winterveld. All of the samples from the eastern Bushveld used in this study represent a relatively unaltered, nearly pristine magmatic assemblage that is likely representative of equivalent rocks throughout the eastern and

western limbs of the BC (Kotzé and Gauert, 2020). The most notable post-magmatic effects that were active with regard to these samples are those that occurred purely as a result of magmatic processes – for example, the scavenging of Fe from sulphide minerals by nonstochiometric chromite (FeCr₂O₄), leading to replacement of pyrrhotite by pyrite alongside sulphur loss from chromitite layers (Naldrett and Lehmann, 1988; Naldrett et al., 2012), resulting in mobilization of S in late-stage magmatic fluids, which produced limited features of high-temperature hydrothermalism (Figure 2d) (Kanitpanyacharoen and Boudreau, 2013; Kotzé and Gauert, 2020).

One sample, LG306 (see Table II) originated from an abandoned pit on the Winterveld property. This sample represents the LG-3 chromitite layer, which was exploited for chromium at that site. This chromitite seam occurs at about 4 m depth below the surface in the eastern BC just north of the Steelpoort Fault. It is a massive, coarse-grained chromitite with very little interstitial material (Figure 2a).

Tables II–IV list the rock type of each sample as well as the name of the borehole and depth at which each sample was taken.

Flatreef samples

Samples from the Flatreef and associated rock units that were analysed for this study belong to four groups: the Flatreef itself, the FCU, the UG-2- equivalent chromitite seam, and finally the FAZ. All samples were taken from Ivanplats' UMT exploration boreholes, which are described in Grobler et al. (2019). The area of the northern limb where these boreholes were drilled is illustrated in Figure 1b. The borehole numbers may be found in Tables III and IV. Assays of Pt, Pd, Rh, Au, Cr, Ni, Cu, and S were provided by Ivanplats. The methodology for these analyses is described in Peters et al. (2017) and Grobler et al. (2019). The samples taken for this study are all mineralized with regard to PGE and the base metals, and all contain visible base metal sulphide (BMS).

Two samples were taken from the Flatreef itself, consisting respectively of harzburgite (M1-lower) and pyroxenite (pegmatoidal orthopyroxenite, M1-upper). These two samples were judged to be representative of typical lower reef facies as described in Yudovskaya et al. (2017) and Grobler et al

(2019). Both samples contain visible disseminated sulphide mineralization, with the main sulphide minerals being pentlandite, pyrrhotite, and chalcopyrite. The pyroxenite sample (KO32) contains abundant green clinopyroxene. The harzburgite sample (KO2) is relatively high-grade with total Pt+Pd+Rh+Au ca. 5.5 ppm. The pyroxenite, on the other hand, is of lower grade, with Pt+Pd+Rh+Au ca. 1 ppm. The pyroxenite also contains about 0.4 w% Cr, likely from minor chromite, but possibly also in clinopyroxene. The harzburgite contains only 540 ppm Cr. Textures and mineralogy of these two samples are depicted in Figure 3a–d. Notably, these samples are much more altered compared to the eastern limb samples, with abundant serpentinization of olivine (Figure 3a), and abundant biotite and chlorite. Plagioclase also displays alteration along microfractures, most likely to sericite (Figure 3b).

Two samples originated from the FCU just below the Flatreef. These consist of pyroxenite and norite, respectively. The pyroxenite (KO14) contains both ortho- and clinopyroxene, and hosts inclusions of what are probably sedimentary xenoliths. The norite sample (KO6) also contains abundant clinopyroxene, and has a pegmatitic texture. The norite contains relatively high-grade PGE mineralization (ca. 6 ppm Pt+Pd+Rh+Au) and abundant disseminated sulphide, whereas the pyroxenite is only sparsely mineralized with respect to BMS and contains slightly less than 0.5 ppm Pt+Pd+Rh+Au. Textures and mineralogy of these samples are depicted in Figures 4a–b. These footwall samples show greater alteration compared to the samples from the Flatreef. There are abundant masses of mica and clay, along with occasional crystal growth of secondary minerals. Both macroscopically and microscopically, the mineral grains display irregular, rounded edges, suggesting possible postmagmatic re-melting and alteration (Figures 4a).

Two samples were taken from the UG-2- equivalent chromitite seam below the Flatreef. Sample KO25-Cr represents the chromitite portion of the seam, and KO25-Px is a pegmatoidal pyroxenite very similar to the pyroxenite which underlies the UG-2 chromitite in the eastern and western limbs. The PGE content of both pyroxenite and chromitite together is given as around 3 ppm. Textures and mineralogy of these samples

Figure 2—Textures of samples originating from the eastern limb of the BC. (a) Massive chromitite from the LG-3, once beneficiated for Cr. (b) Anorthosite just above the MG-2; first appearance of cumulus plagioclase in the Critical Zone. (c) Norite of the UCZ. Plagioclase and orthopyroxene (white and brown) are enclosed within a large clinopyroxene oikocryst (dark blue). (d) Rare example of hydrothermal alteration in the WV samples. Base metal sulphide, identified as pyrrhotite (black) occurs along a micro-vein in UCZ norite. Muscovite (pale pink) and biotite (orange) are associated with the sulphide. To the right (black), a large orthopyroxene grain is heavily altered. (b–d) Photomicrographs taken under cross-polarized (CPL), transmitted light

are shown in Figures 4c–d. The degree of alteration of these samples is similar to those from the Flatreef, and is limited to the pyroxenite rather than the chromitite. Macroscopically, the chromitite appears to have been disturbed by the surrounding silicate layers; individual seams are broken and discontinuous (Figure 4c).

In total, seven samples from the FAZ were analysed. Samples KO33 to KO38 are well mineralized with respect to PGE, with total Pt+Pd+Rh+Au ranging from ca. 3 to ca. 7 ppm. Sample KO7 is exceptionally high grade, with Pt+Pd+Rh+Au just over 9 ppm. For these samples, sulphide-mineralized horizons with appreciable PGE content and abundant visible clinopyroxene were specifically targeted. Textures and mineralogy may be seen in Figures 5a–d. All samples consist of parapyroxenite, with textures similar to the irregular, rounded grain edges of lithologies in the FCU above

(Figure 5a). However, in the FAZ, the grains appear much less well ordered. The pyroxenite is very coarse-grained, and contains abundant visible sulphide (Figure 5a). Also visible are veins infilled with quartz or calcite (Figure 5b). These are often associated with large clusters of sulphide. Microscopically, evidence of re-melted pyroxene grains can be seen (Figure 5d), as well as the typical micaceous alteration. In contrast to the Flatreef, where alteration occurs along mineral fractures, in the FAZ there is clear evidence of infilled veins (Figures 5b–c).

Sc analysis

All 22 samples were analysed at the University of the Free State, South Africa, on pressed powder pellets using a Rigaku ZSX Primus IV wavelength-dispersive X-ray fluorescence (XRF) spectrometer. A custom calibration method was set up using a

Figure 3—Mineralogical textures in the Flatreef. (a) Serpentinization of olivine (green) along fractures in harzburgite. (b) Plagioclase grain (black-and-white, centre) with sericitic alteration in harzburgite. In the bottom left corner is an orthopyroxene grain; in the top right, a mass of serpentine. The brightly coloured grains in the top left are biotite. (c)Clinopyroxene grains (bright blue and yellow) against interstitial plagioclase in pyroxenite. (d) Surface of a large clinopyrox ene grain in pyroxenite showing abundant inclusions and infill of crystal fractures. All photomicrographs taken under crossed-polarized light (CPL)

Figure 4—Mineralogical textures of the FCU and UG-2 equivalent chromitite. (a) Abundant green clinopyroxene, coarse-grained pegmatitic texture, and irregular grain edges in norite of the FCU. (b) Large round sulphide grain (black) associated with biotite (orange) and orthopyroxene (brown). (c) Chromitite showing disruption of the layers. (d) Microscopic texture of contact between chromitite and pyroxenite, showing orthopyroxene (brown) enclosing chromite grains (black). Similar chromitite textures are found in the eastern and western limbs. (b) and (d) are photomicrographs, taken under plane-polarized (PPL) transmitted light

set of standards that covered the range of known rock types. The standard reference materials used consisted of SARM, GSJ, CCRM, and USGS rock powders of appropriate compositions. Standards with appropriate Sc values were tracked down by querying the GeoReM database by imputing the desired value ranges of Sc, as described by Jochum et al. (2005). The database provides measured values of any element, as well as recommended, compiled, and certified values. Because Sc has no certified value for any of the available standards, compiled Sc values from Govindaraju (1994) were used for each standard in the calibration after using GeoReM for lookup and reference. After the calibration was set up, each standard was analysed as a sample to test the precision of the calibration, which was found to be excellent (Table I). Duplicate samples were included in analytical runs to ensure accuracy, which was within acceptable limits (10%). The lower limit of detection was 2 ppm, and the lower limit of quantification was 3 ppm for Sc.

The analysed values for the Eastern Bushveld chromitites and associated lithologies can be found in Table II. The results for the Flatreef, UG-2 equivalent in the northern limb, and FCU samples are in Table III. Sc results for samples originating from the FAZ are in Table IV.

Results and discussion

Sc in the Main and Critical Zones

Despite Sc being used as a trace element to track igneous processes such as fractional crystallization and partial melting, particularly in relation to vanadium, (Allègre et al., 1977; Lee et al., 2005), assay values for Sc in the BC are relatively sparse. No reference information can be found regarding concentrations in Sc in the Critical Zone of the RLS below the Merensky Reef, hence Sc concentrations of chromitites and associated lithologies that we present in this paper appear to be the first of their kind.

The concentration of Sc in the primitive mantle is calculated to be about 16.5 ppm (Lee et al., 2005). In pyroxenitic igneous rocks, as has been discussed above, Sc may reach (sub-)economic concentrations of 50 ppm or above. Looking at the standard reference materials described in Govindaraju (1994), basalts

Table I

Sc contents (in ppm) of certified reference materials used for analysis

Standard Rock type Compiled value* Analysed name (Govindaraju, value 1994)

BHVO-1 Basalt 31 30

JB-2 Basalt 54 54

JGb-1 Gabbro 36 36

MRG-1 Gabbro 54 53 SARM-4 (NIM-N) Norite 38 37 SARM-5 (NIM-P) Pyroxenite 29 30

and gabbros such as the USGS standard BHVO-1 and the CCRM standard MRG-1 typically contain about 20–50 ppm Sc (see Table I). Anorthositic rocks, however, do not preferentially concentrate Sc and have much lower concentrations (15 ppm or below) (see e.g. Mitchell 1986; Boudreau 2016).

One of the main sources for Sc concentrations in the Main Zone of the BC (above the level of the Bastard Reef) is Mitchell (1986), who found Sc concentrations to vary from 5 ppm (in anorthosite) to 40 ppm (in pyroxenite). Scandium was strongly correlated with clinopyroxene. Arndt et al. (2005) determined Sc along with other trace elements in the Merensky Reef unit and associated rocks. The concentration of Sc varied from 9 to 22 ppm, which is relatively low. Notably, the Merensky Reef samples in this study are mineralogically dominated by orthopyroxene and plagioclase, with almost no clinopyroxene.

The Lower Main Zone and Platreef of the northern limb (Roelofse and Ashwal, 2012) show a slightly higher average, with Sc ranging from 20–36 ppm in gabbroic and noritic lithologies, excluding outliers. Anorthosite and leuconorite, as expected, have lower concentrations (10–18 ppm Sc).

The analysed values of Sc presented in Table II closely approximate the exact ranges in the Main Zone, Merensky Reef, and Platreef as discussed above, with maximum concentrations ranging above the Merensky Sc concentrations as given by Arndt et al. (2005). The two massive chromitites from the LG-6

Figure 5—Textures and minerals of clinopyroxene-rich lithologies of the FAZ. (a) Parapyroxenite, showing rounded blebs of pyroxene. (b) Calcite vein cutting through parapyroxenite. (c) Vein infilled with chlorite, cutting across clinopyroxene grains. (d) Clinopyroxene grain (bright, middle of image) appears to have been partially dissolved and surrounded by a second-generation clinopyroxene grain. (c–d) Photomicrographs taken under cross-polarized light (CPL)

Geological setting and concentration of scandium

Table II

Samples analysed for Sc from the chromitites of the eastern limb of the Bushveld Complex

Location Borehole Lithology Depth(m) Sample no. Sc(ppm)

Upper CZ (UG1-FW) WV30

Eastern Bushveld chromitites

Leuconorite 336.25 - 336.41 WV28A 14 Pyroxenite (Fs) 353 - 353.2 WV29 32

MG-5 WV30 Cr-melanorite 371.85 - 371.95 WV30 6 Melanorite 382.8 - 383 WV34 40

Upper CZ (MG5-FW) WV30 Melanorite 413 - 413.2 WV35 27

Upper CZ (MG2-HW) WV30 Anorthosite (1st) 538.44 - 538.57 WV52.1 <3

LG-6 WV30 Chromitite 599.14 - 599.24 WV65 <3

Lower CZ (LG6-FW) WV30 Pyroxenite 643 - 643.2 WV62 19 LG-3 Pit Chromitite 4 LG306 <3

LLD

Table III

Samples

and associated lithologies

Location Borehole Lithology Depth(m) Sample no. Sc(ppm) Flatreef (Merensky Reef correlate)

Flatreef UMT263 Harzburgite 851 - 851.31 KO2 8 UMT397 Orthopyroxenite (peg) 947.4 - 947.66 KO32 40

Footwall Cyclic Unit

Flatreef UMT276 Pyroxenite 817 - 817.18 KO14 36 UMT263 Norite 879 - 879.15 KO6 20 Cr seam (UG-2 correlate)

Flatreef UMT345 Pyroxenite (peg) 1519.98 - 1520.11 KO25-Px 30 Chromitite 1520.11 - 1520.26 KO25-Cr 12

LLD = 2ppm; LOQ = 3ppm. cpx = clinopyroxenite. peg = pegmatoidal. Fs = feldspathic. CZ = Critical Zone. FW = footwall. HW = hanging wall. 1st = first cumulus plagioclase. LG, MG, UG = Lower, Middle, Upper Group (chromitite)

Zone

Sample no. Sc(ppm)

Flatreef UMT319 Parapyroxenite (px) 879.08 - 879.34 KO33 10 880.11 - 880. 31 KO34 21 880.67 - 880.83 KO35 23

Flatreef UMT263 Parapyroxenite 910.43 - 910.64 KO7 13 UMT332 1164.19 - 1164.35 KO36 7

Flatreef UMT331 Parapyroxenite 1176.31 - 1176.58 KO37 23 1176.83 - 1176.96 KO38 28

UG = Lower, Middle, Upper Group (chromitite)

and LG-3, as well as the only anorthosite sample, contain Sc concentrations below the limit of quantification. Considering the rest of the results, this is clearly due to the fact that these horizons contain almost no pyroxene – all three of these samples can be said to be monomineralic, with the chromitites strongly excluding any mineral but chromite, and the anorthosite with only Ca-plagioclase and no visible pyroxene. Sc consistently correlates with rock type, with the melanorites and pyroxenites ranging from about 20 to 40 ppm, while anorthosite and leuconorite have concentrations below 20 ppm. Variations between individual layers may simply be due to the amount of clinopyroxene versus

orthopyroxene. In the Lower Critical Zone (LCZ), orthopyroxene is the most important cumulus phase, and correspondingly the LCZ pyroxenite (WV62) in Table II has Sc of just below 20 ppm. The very low Sc content in the chromitiferous melanorite of the MG-5 (sample WV30; 6 ppm) can be explained by the high concentration of Cr₂O₃ (40%) in this sample, indicating high chromite content, in addition to the fact that it contains mainly orthopyroxene rather than clinopyroxene. These results agree with the theory that Sc preferentially associates with clinopyroxene above all other minerals. Based on these results, Sc does not appear to be compatible with chromite.

Sc in the Flatreef

The values from the Flatreef, UG-2- equivalent and FCU shown in Table III correspond to the ranges in the previous results. Again, Sc correlates closely to rock type, with olivine-rich harzburgite of the Flatreef showing low values (8 ppm) and the clinopyroxenerich pyroxenites of the reef and footwall with higher values (up to 40 ppm). The analysed value for pyroxenite associated with the UG-2 fits in with values found for pyroxenite of the Critical Zone in the eastern limb.

Values of Sc found in the FAZ fit into the ranges for the BC discussed so far, but interestingly, despite clinopyroxene-rich lithologies being targeted for analysis, including two samples (KO34 and KO35) with an estimated 71–73% modal clinopyroxene, the values actually trend lower than those found in the unaltered eastern limb and the relatively unaltered Flatreef, with the lowest value being 9 ppm and the highest 28 ppm. This may be a sign that the extensive alteration found in the FAZ might have redistributed scandium that was originally concentrated in the clinopyroxenes. Alteration of clinopyroxene to mica would mean that Sc, incompatible in the crystal structure of mica, might partition into a hydrothermal fluid. If so, the eventual fate of the Sc is still unknown, since no likely reservoirs have been found in the BC.

The presence of clinopyroxene-rich parapyroxenite in the FAZ has been interpreted to represent a recrystallization of originally igneous cumulates in the presence of a Ca-rich fluid originating from crustal sediments of carbonatic composition (Grobler et al., 2019). During this process, trace elements from crustal material must also have been introduced into the Bushveld cumulates. Scandium does not appear to have been introduced from the crust, nor is this likely, since Sc tends to be strongly associated with igneous processes (Williams-Jones and Vasyukova, 2018; Wang et al., 2021).

Figure 6 illustrates the ranges of Sc for different zones of the BC, as found in this study and taken from literary sources. Sc values overlap for the Main Zone of both the northern and western limbs. Values of Sc for the Flatreef reef portions, the FCU, and the Critical Zone of the eastern limb in this study largely fit within the same parameters, with Sc generally increasing with the amount of clinopyoroxene. There also appears to be a steep trend of Sc enrichment in a few samples including silicate and chromitite samples from the Critical Zone as well as the Flatreef pegmatoidal pyroxenite, two FAZ samples, and a few Main Zone

samples. A possible explanation for this 'trend' is that these samples were trapped between other layers (for example, silicate inclusions in chromitite layers) and thus Sc could not concentrate as efficiently into the clinopyroxene fraction.

Most of the FAZ samples analysed in this study plot along a gentle trend of Sc enrichment with increasing clinopyroxene (see Figure 6). The deficiency in Sc for the FAZ, as discussed above can clearly be seen in this graph.

Certainly, the values of Sc that we have found in the BC for this study do not appear to be economic, even if Sc were to be exploited as a by-product. With improving recovery through enhanced leaching processes and increasing demand for Sc leading to rising prices, this could conceivably change. The Southern African mining industry thrives on innovation; selenium and tellurium, two other metals associated with growing technologies, are now being produced from copper refinery anode slimes in Ndola, Zambia (Dworzanowski, 2019). Even the low grades of Sc found in this study can be of economic interest, especially considering that the Sc 'missing' from the FAZ may be concentrated elsewhere.

Concluding remarks

The values of Sc in the Bushveld Complex strongly correlate with the presence of clinopyroxene and do not differ significantly from Sc concentrations for typical mafic-ultramafic rocks, even in the lithologies of the northern limb, which are significantly contaminated with crustal material. The pyroxenites of the Critical Zone from the eastern limb and the Flatreef of the northern limb from this study contain approximately 40 ppm Sc, whereas the Merensky pyroxenite of the eastern and western limbs contains about 22 ppm Sc on average. The difference is most likely due to the increasing cpx to opx ratio, which corresponds with higher cpx concentrations in the CZ and the Flatreef lithologies.

Acknowledgments

The authors wish to thank the staff of Ivanplats in Mokopane, particularly Mr Fabian Fredericks, for their kind co-operation in obtaining sample material and previous assays for this study, as well as assistance in understanding the lithologies of the Flatreef. This research was entirely supported by post-doctoral funding from the University of the Free State.

Figure 6—Values of Sc against modal clinopyroxene for the Main Zone of the western limb (Mitchell, 1986) and northern limb (Roelofse and Ashwal, 2012), the Critical Zone of the eastern limb (this study), and different lithologies of the Flatreef (this study)

Geological setting and concentration of scandium

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The Journal of the Southern African Institute of Mining and Metallurgy

Affiliation: 1School of Law, University of Witwatersrand, South Africa.

Correspondence to: K. Thambi

Email: kiyasha.thambi@wits.ac.za

Dates: Received: 7 Oct. 2021

Revised: 30 May 2022

Accepted: 7 Jun. 2022

Published: September 2022

How to cite:

Thambi, K. 2022

Baleni v Minister of Mineral Resources: A fait accompli. Journal of the Southern African Institute of Mining and Metallurgy, vol. 122, no. 9, pp. 527–534

DOI ID: http://dx.doi.org/10.17159/24119717/1781/2022

Baleni v Minister of Mineral Resources: A fait accompli

by K. Thambi1

Synopsis

The court in Baleni v Minister of Mineral Resources [2019] 2 SA 453 GP and [2020] 4 All SA 374 (GP), deliberated on the protection of rights of a community holding informal land tenure under Customary Law. The contention related to the necessary level of consent needed to acquire a mining right over such land. Moreover, whether consultations with such communities (Section 23, Mineral and Petroleum Resources Development Act 28 of 2002 (MPRDA) or consent (Section 2, Interim Protection of Informal Land Rights Act, No. 31 of 1996 (IPILRA)) was required to acquire such right. The case has a significant bearing on the granting of mining rights in South Africa, and the discretion of the Minister of Mineral Resources (the Minister) in this regard. However, the objectives of the MPRDA and IPILRA do not dovetail, therefore consultation and consent are not mutually exclusive (Tlale, 2020). This note argues that, despite the resounding victory of this case, the peripheral basis surrounding the decision and the various levels of engagement require serious deliberation. Equally, the degree of reliance on the IPILRA requires clarity to avoid aborting the fundamental objectives of the MPRDA. This paper provides considerations and recommendations that may reduce or eliminate the tensions between the statutory and socio-economic rights in the application of the two statutes.

Keywords

Baleni, informal land rights, mining communities, SLPs, MPRDA, PILRA.

Introduction

A substrate of the South African economy is mining, an industry plagued by pressures associated with the extent of its failure to consider the environments and communities it engages (Malesa and Morolong, 2021). The historical tension between mining companies and the communities in which they operate stems from the inequities of the apartheid and migrant labour systems (Hamann, 2003). As such, the legacy of this industry is fraught with controversy and imbalances between mineworkers, communities, and mining companies (Thambi, 2019).

In terms of the Mineral and Petroleum Resources Development Act (MPRDA), mineral and petroleum resources are the heritage of the people and as custodian, the State is empowered to grant new order rights (MPRDA). These new order rights relate to prospecting and mining rights under the MPRDA, which are limited real rights in respect of the minerals and land. As such these rights require registration in order to provide security of tenure (Thomas, 2018). However, these rights are often awarded in respect of land owned by informal communities, where the entitlements to these rights inadvertently impinge on and encumber the landowner's 'ownership' prerogatives (van der Schyff, 2019). Furthermore, once granted, these rights provide the holder with a statutory right to enter the said land. This right to enter the land entitles the holder to interdict the landowner or occupier against any unlawful denial of access (Thomas, 2018). It is, therefore, obvious how prospecting or mining rights are perceived as the deprivation of a property right; and the continued imperative to maintain balance between the statutory right and the socio-economic protection (van der Schyff, 2019).

A good relationship between a mining company and a community is essential for the development of mining operations, which rely on the level of acceptance by a community toward the company (Nieto and Medina, 2020). It is therefore incumbent on mining companies to provide legitimacy, transparency, and trust through assurance, informed communication, and community participation (Nieto and Medina, 2020). The Broad-Based Socio-Economic Empowerment for Mining and Minerals Industry 2018 (the Charter) outlines transformation objectives and engages with social and labour plans that companies are required to have by law. However, it is argued that some of the Charter improvements could be implemented in

Baleni v Minister of Mineral Resources: A Fait Accompli

a system that has failed to hold companies accountable to their commitments (Nicolson, 2018).

Landowners and/ or communities surrounding South African mines are often entangled with social issues relating to poverty, unemployment, and poor housing (Chenga, Cronje, and Theron et al., 2005). They are often at a disadvantage in engaging large mining companies, with challenges ranging from issues of land tenure, ownership, buy-ins, and partnership (Chenga, Cronje, and Theron, 2005). Furthermore, they are rarely homogeneous in terms of political or cultural structure, which exacerbates the challenges. This is evidenced when local economic development commitments of mining right holders are appropriated by communities with contradictory expectations (Marikana Commission of Enquiry, 2014). The rippling effects result in (but are not limited to) significant delays for right holders and potential prohibitions imposed by the Regional Manager in the enforcement of these mining rights (Stevens and Louw, 2018).

Despite these challenges, the Department of Minerals Resources and Energy (DMRE) is committed to provide protection and benefits to communities in mining areas (Chenga, Cronje, and Theron, 2005). In particular, the MPRDA requires consultation with 'interested and affected parties', landowners, or lawful occupiers before a mining or prospecting right is granted.

An applicant for a mining right (or prospecting right) who is not the landowner will need to consult with the 'landowner'. The landowner could be a community and/or 'splinter' groups within such communities claiming to be legitimate owners of the land (Mnguni and Sibiso, 2012). Note that 'interested and affected parties' has been defined in the MPRDA Regulations as 'natural or juristic person with a direct interest in the proposed or existing operation or who may be affected by the proposed or existing operation' (MPRDA). While the MPRDA attempts to rectify past imbalances endured by communities in South Africa, its provisions have not always been successful in this regard (Mitchell et al., 2012). In fact, the procedural aspects of the MPRDA remain challenged, with anomalies in the mineral rights application system (Tlale, 2020). The MPRDA only provides for consultation, and not prior consent to the granting of a mining right (Maolusi, 2019).

In terms of Section 10(1) of the MPRDA, on acceptance of an application for a mining right (or prospecting right), the Regional Manager is required to notify interested and affected parties of the application and, at the same time, request their submission of comments (Section 22 of MPRDA). Section 10 is therefore the “first round of consultation (Thomas, 2018), where the applicant is required to inform the landowner or occupier of the mining activities related to the mining right. This enables the landowner or occupier to determine the impact of such mining activities on their land (Tlale, 2020).

More specifically, in terms Section 16 (application for prospecting rights) and Section 22 (application for mining rights) of the MPRDA; the 'applicant' notifies and consults the landowner or lawful occupier and any other affected parties (i.e. the surface rights owner) (Thomas, 2018). Thus, Section 16(4) and 22(4) consultations are the 'second round of consultation' (Thomas, 2018). This details the successful applicants' access to the land and associated compensation for the land occupiers (Tlale, 2020).

Section 22 of the MPRDA, however, goes further and prescribes the procedure for application for a mining right (Baleni, 2020). Section 23 of the MPRDA obliges the Minister to grant a mining right application if the listed requirements of the MPRDA are satisfied (Baleni, 2020) while Regulation 10 of the

MPRDA prescribes the information contained in a mining right application, including a social and labour plan per Regulation 46 (Baleni 2020). Lastly, Regulation 50 (f) of the MPRDA details the engagement process of interested and affected parties in the context of an environmental impact assessment report (Baleni, 2020). The aforementioned sections demonstrate the tenets of the MPRDA, namely, that a mining right application needs to ensure sustainable development and participation based on adequate and meaningful consultation (Baleni, 2020).

The Intern Protection of Informal Land Rights Act (IPILRA ) on the other hand, which was a temporary measure, ensures the protection of compromised communities' informal land rights and their participation in respect to any tenure or development on their land (Communal Land Tenure Policy and IPILRA, 2012). In particular, Section 2(1) of IPILRA recognizes that unless communities consent, they cannot be deprived of their 'informal rights' to their land (Communal Land Tenure Policy and IPILRA, 2012). In spite of its 'temporary' nature, scholars argue that the IPILRA has a permanency equal to that of any other Act of Parliament.

The Baleni decision confirms the need for companies to seriously consider the rights of communities or risk possible loss. Therefore, part of the license application process requires companies to engage with communities. This informs communities about the nature and extent of proposed mining activities. However, in the Baleni case the DMRE failed to act as the custodian of mineral rights by negligently awarding mining rights without verification of proper consultation as per the MPRDA (Tlale, 2020). Although Transworld Energy and Mineral Resources (TEM) alleged that it had consulted the community in terms of Section 22(4) of the MPRDA, it failed to substantiate (Tlale, 2020) whether proper consultation had in fact occurred. In addition, the DMRE accepted an unsubstantiated draft social and labour plan from TEM (Baleni, 2020). Based on the facts, the court ordered that the Minister obtain full and informed consent of communities before granting any mining rights (Maolusi, 2019). Furthermore, that on request, interested and affected parties are entitled to copies of mining right applications (Baleni, 2020).

This case has aroused much controversy, particularly when Basson J emphasized that the Minister lacked authority to grant mineral rights unless the relevant provisions of the IPLIRA had been compiled with (Baleni, 2019). Civil society groups argued that the lack of meaningful consultation with communities was prevalent throughout the Mining Charter drafting process, despite the DMR being ordered to engage and address communities (Nicolson, 2018). Those representing communities argued that communities should be required to give consent, rather than just be consulted before a mining license is issued (Nicolson, 2018). The court failed to address how to reconcile the different levels of engagement under the MPRDA (statutory right) and IPLIRA (socio-economic protection), i.e. to address the question of consultation versus consent (Tlale, 2020). Nor did the court explain the consequences of the right to refuse consent to mine in areas where government currently own the mineral resources under the ground (Nicolson, 2018).

The problem

At ground level, there appears to be a misalignment of the basic foundations of the rights and associated ancillary rights in relation to consultation processes (van der Schyff, 2019). This misalignment is attributable to the differing objectives of the

Baleni v Minister of Mineral Resources: A Fait Accompli

MPRDA and IPLIRA which is apparent in (i) the entitlements of holders of prospecting or mining rights, (ii) the burden on landowners, and (iii) the indistinct consultative processes. The MPRDA only provides for consultation and not prior consent to the granting of a mining right (Maolusi, 2019) while the IPILRA requires consent from the land occupiers before mineral rights are granted. In light of the Baleni judgement, consent of land occupiers would be a prerequisite in all mineral right applications. This would render communities selective as regards the activities allowed on their land (Tlale, 2020). The question therefore, is whether this was the real intention behind the Baleni judgement.

Aim

This paper reviews some of the disparities that seem to lend weight to the above problem. For example, the levels of engagement under IPLIRA and the MPRDA are not mutually exclusive, nor are the respective rights of the different parties reconcilable (Baleni, 2019). Instead, it has been accepted that the two statutes must be read together (Baleni, 2019). This paper aims to provide considerations and recommendations which could notably contribute to easing the problem, while preserving the tenets of the MPRDA and IPLIRA.

Background to the Baleni case Facts

The Baleni case relates to a dispute in the High Court between the rural community of Umgungundlovu or the Applicant. The community represents a group of villagers under the Amadiba traditional authority in Xolobeni in the Eastern Cape. An Australian mining company, Transworld Energy and Mineral Resources (TEM) was the Respondent (Meyer, 2020). At the head of the Umgungundlovu community and the Umgungundlovu iNkosana Council (a body established under customary law) was Duduzile Baleni (Meyer, 2020). The community's forbears have resided in the area of Umgungundlovu since the 1800s and, as such, they have held informal rights to the land under IPILRA and customary law (Baleni, 2019). The initial primary issue was whether interested and affected parties in an application for a mining right are entitled to a copy of the mining right application in terms of Sections 10 and 22(4) of the MPRDA (Malesa and Morolong, 2020).

In 2008 the government; with the backing of the local chief representing these villagers, had granted a mining right to TEM's holding company, Mineral Resources Commodities (Meyer, 2020). Conflict ensued amongst factions within the community as to whether a mining right over the land should have been granted or not (Meyer, 2020). In response to the conflict, the Minister of Mineral Resources imposed a moratorium of 18 months on mining in the Xolobeni area (effective till 9 June 2017) (Section 49 (1) of the MPRDA).

Following this, on 3 March 2015, TEM applied for a mining right over land on which the community lived and farmed (Malesa and Morolong, 2020). Given the history of their dependency on the land, the community were concerned about the 'disastrous social, economic and ecological consequences of mining' (Baleni, 2019). They argued that given their 'reach' of the land, they should have been consulted and provided with the requisite authority to consent to mining operations in the area (Baleni, 2019). They acknowledged the customs and complex decision-making processes within their community, e.g. majority approval by

community members of such mining operations was not always considered tantamount to consent (Baleni, 2019). However, the failure of TEM to engage and consult with the community on the proposed mining operations and their failure to provide detailed information did not equip the community to consent to TEM's operations (Baleni, 2019).

Given that such mining operations might result in their physical displacement and economic disruption (Maolusi, 2019), the community wrote to the DMRE, and more specifically the Regional Manager, to ascertain the status of TEM's mining right application; and to request a copy of the application. (Baleni, 2020). The Regional Manager advised them to direct their request to TEM, or to the DMRE in terms of the Promotion of Access to Information Act, 2 of 2000 ('PAIA'). Despite these efforts by the community to request a copy of the application, TEM refused to comply. The community then resorted to instituting an application compelling TEM's disclose the application documents. TEM subsequently supplied a copy thereof, but argued that the community were not entitled to it in terms of the MPRDA (Veeran and Bishunath, 2020). Instead, TEM stated that access to the application documents could be gained through the PAIA (Baleni, 2020).

It was the contention of the community that, based on Sections 10 and 22(4) of the MPRDA, interested and affected parties would automatically upon request obtain a copy of a mining right application to supplement consultations between the parties (Baleni, 2020). They believed that their successful participation with TEM was subject to adequate and meaningful consultation and that only with such consultation would TEM obtain the mining right, and the community the right to sustainable development (Baleni, 2020)

TEM and the Minister opposed the requirement to obtain consent on the basis that the MPRDA provides only for consultation, and not prior consent, before the granting of a mining right (Maolusi, 2019).

Judgement

The judgement embarked on the interpretation and application of the provisions of the MPRDA and the IPILRA. This was crucial to determine the necessary level of engagement before granting a mining right. Furthermore, it was necessary to establish whether consultation as required per the MPRDA applies to the exclusion of consent as required per the IPILRA (Baleni, 2020).

The central issue before the court was whether consultation with members of communities holding rights to land under Customary Law was a prerequisite before granting a mining right (Section 23 of the MPRDA), or whether consent (Section 2 of the IPILRA) was required (Baleni, 2019/2020). The court referred to Section 23(2A) of the MPRDA in order to bolster its stance on the issue of 'consent'. However, Section 23A empowers the Minister to introduce conditions into mining rights that have been granted. Therefore, this section has no relevance to a community's right to refuse the granting of a mining right under the IPILRA.

According to the community, Section 2(1) of the IPILRA required the consent of the holder of an informal land-based right before such person/community is divested of property, i.e. before a mining right is granted. However, TEM argued that all that was required before the granting of a mining right was 'consultation' and not consent as per the IPILRA. Thus, they contended that in accordance with the MPRDA, the community had no right to consent to the mining right (Baleni, 2020).

Baleni v Minister of Mineral Resources: A Fait Accompli

In a parallel case, namely, Bengwenyama Minerals (Pty) Ltd and others v Genorah Resources (Pty) Ltd and other 2011 (3) BCLR 229 (CC)), the Constitutional Court had to decide on the issue of consultation in circumstances where the landowner was a traditional community and where there had been no proper consultation by the holder of the prospecting right. It was stated that: 'It appears that, apart from the mechanisms provided for in Sections 10(2) and 54 of the MPRDA, which mechanisms are designed to resolve objections or disputes between an applicant for or a holder of a prospecting right and a landowner, consultation is the only prescribed means whereby a landowner is to be appraised of the impact prospecting activities may have on his land and, for instance, his farming activities' (Sechaba v Kotze and Others (2007)).

However, the Baleni judgement relied extensively on Maledu v Itireleng Bakgatla Mineral Resources (Pty) Ltd 2018 ZACC 41, where a mining right had already been granted. In the Maledu case, the court held that Common Law requires the landowner and the mining right holder to exercise their rights alongside each other as far as reasonably possible. It was held that the purpose of IPILRA is to provide temporary protection of certain rights to an interest in land (Maledu, 2018). The court added that the award of the mining right constituted a deprivation of informal rights to land, since the rights granted to the mining right holder are extensive, and would deprive the community of their rights to their land (Maledu, 2018). As such, the mining company in Maledu was obliged to comply with Section 2 of the IPILRA. In this case, the court re-established the importance of Section 2 of IPILRA and the requirement of consent from community members/ the community in accordance with that particular community's customs and traditions (Maledu, 2018).

It is worth noting that, prior to the Baleni decision, interested and affected parties were restricted to the use of the weighty mechanisms of PAIA to gain access to information. This provided for limited access to copies of mining right applications, which in some instances were provided only after the consultation process (Peter Leon, 2021).

It was held in Baleni, that 'interested and affected parties' in terms of MPRDA should be consulted, and that an application for mining-rights-related land rights would require community consent (Malesa and Morolong, 2020). It was further held that meaningful consultation per the MPRDA involved discussion in calm equanimity, with each mining operation making allowances especially for the land 'owner' or occupier (Baleni, 2020). Effectively, the landowner's/occupier's input to the mining application was to acquaint the Minister of compliance to the prescribed requirements MPRDA objectives and consultation processes (Malesa and Morolong, 2020).

In final judgement in the Baleni case, the High Court ordered that interested and affected parties are to be furnished with a copy of an application for a mining right (Malesa and Morolong, 2020). This right was based on the requirements imposed under Sections 10(1) and 22(4) of the MPRDA, which include a duty to meaningfully consult with interested and affected parties during the application process.

Considerations and recommendations

There is no doubt that the Baleni judgement is a resounding one, and a step in the right direction. However, the author does not agree with the reasoning of the judgement, because fundamentally it has always been intended for the landowner/occupier and the mining right holder to exercise their rights alongside each other

(Maledu case). However, engaging in 'meaningful consultation' during application for a mining right (MPRDA) is the only prescribed means for the informal right-holder to be informed of the extent of the mining activities on their property. The purpose of IPILRA, on the other hand, is to provide temporary protection of certain rights for those occupying the land (Maledu, 2018). In this regard, 'consent' of the holder of an informal right was premised on the view that granting of a mining right is seen as divestment of the informal right-holder of their property. It is, therefore, necessary to appreciate that prospecting or mining rights are often perceived as the deprivation of a property right; hence the continued imperative to maintain the balance between the statutory right and the socio-economic protection (van der Schyff, 2019). The challenge is to find the balance between statutory rights and the socio-economic protection measures. The court failed to divulge how to reconcile the disparity between the primary objectives of the MPRDA and IPLIRA, namely, 'consultation' and 'consent' respectively (Tlale, 2020). In terms of these statutes, landowner/occupier and miner rights will always be juxtaposed. However, it has been accepted that the two statutes must be read together (Baleni, 2019).

The court did not consider a further point, namely the power yielded by the right to unreasonably withhold or refuse consent to mining in areas where government (which holds the same position as the owner) currently owns the mineral resources under the ground (Nicolson, 2018). Nor did the court consider how certain factors could defeat the MPRDA's goal of ensuring equitable access to mineral and petroleum resources in South Africa (Reid, et al., 2021). Despite this, the Baleni ruling fundamentally alters the authority of the Minister of DMRE to grant a mining right in South Africa. With this development, the Minister appears to have limited or no lawful authority to grant mining rights in terms of Section 23 of the MPRDA, and in particular, in respect of land occupied under a right to land in terms of tribal, customary, or indigenous law, or practice of a tribe per the IPILRA (Maolusi, 2019). The DMRE is of the view that the ruling will strengthen and extend the scope and application of the MPRDA, facilitating streamlined consultation processes (Veeran and Bishunath, 2020). However; the following aspects (or at least some of which) informed the judgment and thus require further deliberation and/ consideration with the respective recommendations:

Clarification re the temporary nature the IPILRA

Central to the Baleni decision is the IPLIRA. In spite of its temporary nature, the IPILRA is an Act of Parliament. Hence, where decisions such as the Baleni case rely thereon, the veracity and longevity of the IPILRA has to be tested. To this end, the IPLIRA states that the Minister of Rural Development and Land Reform can make regulations (Communal Land Tenure Policy and IPLIRA, 2012). Bearing this in mind, it is hereby recommended that legally binding regulations be introduced into the IPILRA. Such regulations should detail processes and procedures for consultation and/or compensation relating to informal land rights (Communal Land Tenure Policy and IPLIRA, 2012). Furthermore, these regulatory provisions should be aligned (where necessary) to similar provisions contained in the MPRDA.

Amendments to the MPRDA Regulations published for imple mentation

Selected Mineral and Petroleum Resources Regulations (Amended Regulations) published in 2020 by the Minister for the DMRE

Baleni v Minister of Mineral Resources: A Fait Accompli

(Masina and Bromham, 2020) inform the judgement. Such amended regulations widen the requirements of 'meaningful consultation' and the obligation on the mining right holders to consult with members of a community (Veeran and Bishunath, 2020). Therefore, the Amended Regulations require clarity with respect to the following:

➤ Reliance on the MPRD Regulations 2019 ('Draft Amendments') remains questionable, particularly since it extends the definition of 'Interested and affected person', to include 'any other person (including on adjacent and non-adjacent properties) whose socio-economic conditions may be directly affected by the proposed prospecting or mining operation'. This definition is far too expansive to withstand the rigor of judicial scrutiny (Christie and Berman, 2020).

➤ Furthermore, the definition of 'Mine Community' in the Amended Regulations is misaligned with the definition of 'community' in the MPRDA and the definition of 'host community' in the Mining Charter (Masina and Bromham 2020). This is a recipe for disaster.

➤ Lastly, though undefined in the MPRDA or its Regulations, 'meaningful consultation' has supplanted the concept of 'engagement' in the Draft Amendments and this requires an applicant to have 'facilitated' the 'participation' of the landowner, lawful occupier or interested and affected party. However, the Amended Regulations link the concept of 'meaningful consultation' to the public participation processes (Regulation 3A of the Environmental Impact Assessment), whilst the Draft Amendments refer to 'consultation' and not 'meaningful consultation' (Christie and Berman, 2020).

It is recommended that the above anomalies surrounding the aforementioned references in the MPRDA (between the community/holder, consultation/meaningful consultation) be clarified if they are to be relied upon.

Consultation and Section 54

The MPRDA provides only for consultation, and not prior consent to the granting of a mining right (Maolusi, 2019). Whilst the MPRDA does not purport to regulate Customary Law, communities with rights in land are given inordinate protection in terms of IPILRA. Yet, regardless of the aforementioned discrepancy, the MPRDA continues to apply, as does the IPILRA.

'Consultation' in the context of mining is a very animate and ongoing process, involving a plethora of stakeholders; and it commences from the conception to 'mine'. In terms of the MPRDA Section 5(4) (c) (now repealed), consultation with the surface rights landowner or lawful occupiers of land was required before mining began. This consultation reduced the interference with the landowner or occupier's rights (Majoni, 2013). It also protected the surface rights landowner's rights, and inferred that agreement regarding compensation could be achieved before access to the land was granted to the mining right holder (Thomas, 2018).

Section 54 of the MPRDA makes provision for the deployment of dispute resolution, but only between mining right holders and the landowner or lawful occupiers (Veeran and Bishunath 2020). It comes into play (i) where a mining company is denied access to land which it intends to mine by the landowner or lawful occupier; or (ii) where the landowner or lawful occupier has suffered, or is likely to suffer, loss or damage because of mining operations (Schoeman, 2019). The Constitutional Court in Maledu and

Others (Maledu, 2019) held that, with the repeal of Section 5(4) (c); Section 54 is invoked by disputes of compensation. Although Section 54 allows for further consultation and negotiations, it has to be exhausted in order to guarantee balancing the rights of the mining right holder and the surface rights of the landowner (Thomas, 2018). However, the challenge with consultation under Section 54 and Section 5(4) (c) (now repealed) is that at that stage, the mining right has already been granted (Thomas, 2018).

A further anomaly relates to the responsibility to notify the Regional Manager of consultations with the landowner, lawful occupier, and any 'interested and affected party'. In this regard, Section 54(1)(c) of the MPRDA refers to a 'holder' of prospecting and mining rights, whereas Sections 16 and 22 of the MPRDA respectively refer to 'applicants' of prospecting and mining rights. Yet, Section 54 comes into effect only when a prospecting or mining right has already been granted and the consultation process has been completed. Furthermore, the concepts of 'access' and 'entry' are regarded by the legislature as two distinct notions, even though securing 'access' to the prospecting or mining area should form part of the consultation process, (van der Schyff, 2019).

Since Section 54 deals with compensation, consultation, and negotiation, it is recommended that it be amended to include 'applicants'. Furthermore, such amendment could be aligned with the consultative process of Social and Labour Plans (SLPs), which could eliminate the requirement that mining companies exhaust Section 54 processes before approaching the courts. To bolster this recommendation, a suspensive clause could be added to Section 54, i.e. 'if meaningful consultation has not been engaged and documented in an SLP, then Section 54 processes can be dispensed with in order to approach a court'. This could effectively prevent the tenets of MPRDA from being hampered by delays requiring the exhaustion of Section 54 before approaching a court (Badenhorst, 2019).

Lastly, the Draft Amendments proposed regulations relating to the manner in which disputes should be addressed under Section 54. However, the proposal was not retained in the Amended Regulations (Veeran and Bishunath, 2020). It would be interesting to see if this would be revisited by the DMRE.

Compensation

Except for expropriation or through arbitration, the MPRDA does not provide for compulsory compensation to land owners in respect of the surface use of their land via prospecting or mining (van der Schyff, 2019). Barring the right to be consulted, surface rights landowners are allowed to claim compensation only if the Regional Manager believes that they have suffered or are likely to suffer a loss or damage due to mining activities conducted on their land.

It is therefore recommended that consideration be given to the suggestions by scholars in relation to the approach taken in Western Australia. In Western Australia, mining companies cannot commence operations without concluding a Compensation Agreement (Thomas, 2018) with the surface rights landholder. This system encourages mining companies to negotiate in good faith in order to avoid delays in the process and provides assurances needed to manage the relationship between mines and landholders. Therefore, it is recommended that Section 54 be amended to include a similar provision; namely that entry/access to the land should not be permitted until provisional and or an adequate compensation and or surety has been settled in the SLP (Thomas, 2018).

Baleni v Minister of Mineral Resources: A Fait Accompli

Access to information

The judgement in Baleni neglected to refer to TEM's argument relating to the provisions in the MPRDA of information disclosure. Namely, that the community were not entitled to a copy of the mining application per the MPRDA, but rather per the PAIA.

Perhaps the reluctance around such disclosure rests purely on the right to protect confidential information, and specifically industry-competitive information. Section 88 of the MPRDA refers expressly to PAIA. To this end, provision is made for the person or entity submitting the information to the Regional Manager to indicate which information must be treated as confidential. Furthermore, Section 88 does not override the obligations as contained in PAIA (Section 88 of the MPRDA).

Therefore, where concerns regarding confidentiality exist, future mining applications should include a redacted version as regards confidential information.

The MPRDA and IPLIRA

Some scholars believe that if the MPRDA is applied subject to the IPILRA, the consent requirement would be a prerequisite in all mineral right applications, and communities would be selective as regards which activities to allow on their land (Tlale, 2020).

It is questionable whether this was the intention behind the Baleni judgement. However consideration ought to be given to the streamlining of the MPRDA and IPILRA, insofar as they relate to community, consultation, compensation and consent. If this is even possible, given the objectives of each Act. In the interim the sections of the MPRDA providing for consultations between an applicant for and/or a holder of a prospecting right and a landowner should be widely construed (Sechaba v Kotze, 2007).

Social and Labour Plans (SLPs)

SLPs are entered into between the mining company, community, and the DMRE. The eligibility for a mining right and renewal thereof is conditional upon the submission by a mining company of a SLP. SLPs are developed in consultation with affected communities. Since it contains commitments to the DMRE, upon granting of the mining right, these plans/programmes are binding conditions (Thambi, 2019). However, the basis of the SLP system is very much a 'carrot and stick approach' (Centre for Applied Legal Studies, 2016). Hence, in the case of Baleni the acceptance of a draft SLP without proper consultation by the DMRE is reproachable. Nevertheless, in terms of the Amended Regulations, applicants for mining rights (and prospecting rights) are required to consult meaningfully with mine communities and interested and affected persons regarding SLPs. Moreover, public participation must take place in terms of the prescribed process per the EIA (Environmental Impact Assessment) Regulations. However, the success of implementation and application of SLPs may hinge on the broader definition of 'interested and affected persons'.

Interplay between the MPRDA and National Environmental Management Act 107 of 1998 (NEMA)

In terms of the National Environmental Management Act 107 of 1998 (NEMA), Regulation 39(2)(b) (now deleted), landowner consent for an environmental authorization (EA) was not required for mining-related activities. This has changed with the amendments to NEMA in 2014 and the Environmental Impact Assessment Regulations (EIA Regulations) which came into effect in 2021. Included therein was an amendment to this

requirement for landowner consent in respect of applications for environmental authorization (EA) for mining and mining-related activities. In terms of the amendment, a person intending to submit an application for EA must obtain written consent of the landowner or person in control of the land before undertaking any environmental authorization (Sections 24(5) and 44 of NEMA).

The MPRDA makes provision for an internal remedy in relation to access to land. However, no internal remedies are currently provided for under NEMA and the MPRDA, where landowner consent in relation to an EA is unreasonably withheld (Reid et al., 2021). This amendment will likely have the effect of vesting considerable power in landowners which may defeat the MPRDA's goal of ensuring equitable access to mineral and petroleum resources in South Africa (Reid et al, 2021).

Conclusion

The advent of the MPDRA created a cauldron of complex mining issues which collided with established settlements and ecosystems (Hermanus et al., 2015). In spite of this, the Minister of DMRE has expressed the importance of communication of a positive image of mining in efforts to attract foreign investment into the mining sector (Leon, 2021). The lack of adequate consultation speaks to the fact that sustainability in mining was revered more than the mining sectors social responsibilities (Hermanus et al., 2015). The Baleni case demonstrates how the MPRDA and associated legislation have crossed the historical relationship between mines and communities (Mitchell et al., 2012), and not to mention the fragilities between mining operations and socio economic rights in South Africa (Meyer, 2020). While it clarifies that consultation has become a pivotal aspect of community involvement in mining operations (Mitchell et al., 2012), it does not quite dispel the contradictions regarding informal land tenure and the requirements for granting mining rights over such land (Meyer, 2020). Furthermore, where judgements such as Baleni remain reliant on the IPILRA, some argue that the IPILRA has not been accepted (formally) as binding and permanent legislation (Meyer, 2020). Given their distinctive objectives, and the MPRDA and IPILRA 'never the two shall meet' impression, a formalized consultation process is needed which could lay the foundation for the achievement and concrete application of their respective objectives (Mitchell et al., 2012). Ultimately, each case has to be decided on the facts and merits. Furthermore, while the MPRDA contains internal mechanisms for addressing impediments between landowners and mining right holders, these mechanisms will require adaptation, especially given the Baleni decision (Thomas, 2018).

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“We Know Our Lives are in Danger” Environment of Fear in South Africa's MiningAffected Communities2019 GroundWork, Centre for Environmental Rights, Human Rights Watch, Earthjustice. 

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Affiliation:

1Universidad Politécnica de Madrid, Spain.

2Centro Nacional Instituto Geológico y Minero de España (IGME-CSIC).

3Túneles y Geomecanica S.L., Spain.

Correspondence to: A. Alonso-Jiménez

Email: antonio.alonsoj@alumnos.upm.es

Dates: Received: 22 Nov. 2021

Revised: 7 Jun. 2022

Accepted: 9 Jun. 2022 Published: September 2022

How to cite:

Alonso-Jiménez, A., ArlandiRodríguez, M., Lopez-Jimeno, C., and García-Berrocal, A. 2022

Determination of the stress state prior to excavation in an underground slate mine using flat jack and numerical methods.

Journal of the Southern African Institute of Mining and Metallurgy, vol. 122, no. 9, pp. 535–540

DOI ID: http://dx.doi.org/10.17159/24119717/1916/2022

ORCID: A. Alonso-Jiménez https://orcid.org/0000-00024260-1758

M. Arlandi-Rodríguez https://orcid.org/0000-00017935-671X

A. García-Berrocal https://orcid.org/0000-00019000-6542

C. Lopez-Jimeno https://orcid.org/0000-00023229-6059

Determination of the stress state prior to excavation in an underground slate mine using flat jack and numerical methods

by A. Alonso-Jiménez1,2, M. Arlandi-Rodríguez1,3, C. Lopez-Jimeno1, and A. García-Berrocal1

Synopsis

Spain is a major producer of dimension stone, which is one of the most important industrial sectors in the northwest of Spain. This justifies the maintenance of these industries, although the technical and environmental requirements for their continuity are increasingly demanding. The main target of this paper is to present a new methodology in order to obtain k-ratio stress values on the basis of flat jack measurements and finite element numerical back- analysis with Rocscience© RS2 software. Continuous iterations were performed to try to find a relationship between the k₀ and the measured stress in the tunnel roof and sidewalls. It focuses on technical aspects of the method for designing mine chambers in the slate industry that were previously mined by open pit methods. The size of the chambers impacts the operating cost, and the dimensioning of a correct support ensures better efficiency and safety. Correct knowledge of the k₀ therefore is critical for the design of the support. The proposed new method entails a simplification of the classical procedure for estimating the k-ratio.

Keywords

in-situ natural stress, flat jack test, underground slate mine, back-analysis, FEM numerical methods.

Introduction

Spain is the world's leading producer of roofing slate. In the last 25 years, operations have moved from opencast to underground mines with large chambers, using a transference system, filling the previously mined chambers with waste. The chambers have remarkable dimensions, generally in the order of 150 000 m³, with widths of 25 to 30 m and heights of 50 to 60 m.

According to Hoek (2000), natural stresses can be described in a simplified way by dividing them between horizontal and vertical stress.

The horizontal stresses acting on an element of rock at a depth Z below the surface are much more difficult to estimate than the vertical stresses. Normally, the ratio of the average horizontal stress to the vertical stress is denoted by k such that:

This simplified procedure is very useful for providing input data to numerical stress-strain models based on the use of commercial software.

To analyse the stability of chambers of such size, it is essential to have very reliable and precise geotechnical parameters, especially the stress state prior to excavation. This paper presents a method to obtain the virgin stress field, based on the use of measurements taken with a flat jack in the access adits to the mine chambers, and subsequent numerical back-analysis using finite element methods in 2D.

Location and description of the mine

Spain accounts for approximately 80% of the international roofing slate market (Sanz and GonzalezBarros, 2008). The economic value of this activity is particularly important in the southeast of Galicia (Valdeorras, Orense) and the west of León (La Cabrera), where large and small companies produce high-quality slate roof tiles. The best roofing slate is mined in massive metapellitic formations of a lower metamorphic degree than the greenschist facies (Roberts, Morrison, and Hiron, 1990; (Garcia-Guinea and Martinez-Frias, 1992; The Natural Stone Cluster, 2016).

Determination of the stress state prior to excavation in an underground slate mine

This work was carried out in the 'A Fraguiña' Mine in Carballeda de Valdeorras (Orense, Galicia, Spain) as shown in Figure 1. The mine is owned by CAFERSA.

In this mining district, slate mining began with large opencast quarries, with waste dumped in large outdoor tips. When the height of the quarry fronts exceeded 100 m, and the tips covered a large surface area, the mining concept was changed, and the deposit began to be mined in large underground chambers of remarkable dimensions (30 m wide x 50 m high x 120 m long). Once an underground chamber was completely excavated, it was filled with waste from new chambers in operation.

The excavation of a chamber begins by excavating the upper adit, which gives shape to its dome (Figure 2). This adit also serves to determine the location of the chamber. From there it is widened laterally until it reaches the full width of the chamber (about 25 to 30 m), thus completing the 'dome'. The slate extracted from this area is not used but is all discarded as waste. The productive extraction of the slate begins from the base of the dome by benching (Figure 3), as would be done in an opencast quarry. The excavation of the blocks is carried out by means of a mechanical cutting saw to prevent vibrations affecting the size and quality of each extracted block. Benching and extraction continues until mining reaches the lower level of the chamber.

The chamber is supported by passive cable anchors, anchored with grout, 15.2 mm in section and 8 m to 12 m long, in a 2 x 2 m configuration. Electro-welded mesh is used to prevent the fall of small stones.

Geology and geomechanics of the site

The slates mined correspond to the so-called 'Formación Agüeira' of the Upper Ordovician. The slates occur interbedded with

quartzite and sandstone. Structurally, the deposit is located in the Truchas Syncline (Sastre and Calleja, 2004).

According to Julivert, Truyols, and Philippot (1974), the area under study would belong to the Western Asturina-Leonese Zone of the Hesperian Massif. Within this zone, according to PerezEstaún, Crimes, and Marcos (1974), it belongs to the Truchas Syncline domain. The age of the quartzite and slate is LowerMiddle Ordovician.

Figure 4 shows a cross-section of the deposit, with the approximate position of the slate chambers.

The area in which the mining district is located is classified as grade VI-VII, according to the European macro-seismic scale, and a large number of small-medium earthquakes are regularly recorded in the area (Figure 5). Considering the presence of a reverse fault near the mined chamber area, high k-ratios were expected, i.e. greater than, as observed in other mines in the district (CAFERSA , 1997).

The geotechnical characteristics of slates are well known. The rock material and the rock mass of the mine have good geotechnical qualities and a very low degree of fracturing. If this was not the case, i.e., poor quality ground and a high degree of fracturing, the deposit would not have been of interest for the extraction of slate since the extracted block would have been too small and the recovery (the ratio between the volume of marketable material and the volume of the chamber) would have been too low.

The mining method and geomechanical characteristics are very well known in this Spanish mining district. CAFERSA has been mining slate in open pit and underground mines for more than 35 years (Matías Rodriguez, 2006), and the quality of its product is defined by a good selection of the mining area. The geomechanical parameters of the rock are shown in Table I (CAFERSA , 1997):

Problem statement

The chamber size required for the deposit to be profitable is of such a magnitude that an accurate knowledge of the geotechnical

Figure 3—Method of removing the slate by benching

parameters of the rock mass. Through surveys, in-situ testing, and laboratory tests, good values of the strength properties and deformation of the ground were obtained. However, the initial field stress conditions prior to excavation were not known. The value of the k-ratio was generally obtained only once mining of a chamber was complete. In-situ measurements were used in a back analysis exercise using numerical modelling. The k-ratio was found to be generally around 1.4. However, in order to design new safe and low-cost chambers in other areas of the site, it is necessary to have a methodology that would determine the stress ratio before mining the chamber.

This paper describes a back-analysis technique, based on 2d stress data obtained in the access adits by means of the flat jack

method. These instruments are provided locally by geomechanical companies, and has been successfully applied in other mines in this district (CAFERSA , 1992).

Methodology developed

The measurements of the stress field were carried out in an adit to the chamber, which was 300 m deep. The rocky massif in the chosen environment had a geotechnical quality similar to that of the chamber to be mined. The tunnels and adits in this mine have very good geomechanical characteristics. They are square in shape with rounded corners and no support is required for their stabilization. Each adit is usually 5 m high and 5 m wide, and the

Figure 4—Geological section of the mined chamber in shale rock mass (CAFERSA , 1997)

Figure

Galicia

Galicia,

rock is usually free of discontinuities, except for the cleavage of the slate.

Excavation of the adits is usually done by blasting since it is the cheapest and easiest method of execution. For this reason, the ground around the excavation usually presents a small, damaged zone (EDZ) (Qihao 2021; Kwon, et al., 2009) which has been empirically estimated (through clean-up) to have an approximate thickness of 0.5 m.

To carry out the test, the adit was visually inspected (Figure 6), and an area without discontinuities, and of the best possible geotechnical quality, was found. In addition, an area was chosen in which the damage generated by blasting was of the least magnitude possible.

It was proposed that three readings would be carried out in total: one in the roof, another in the right sidewall, and another in the left sidewall. The roof reading was made right in the centre and those in the sidewalls were measured at a height of 2 m; this height was chosen because was approximately the middle of the total height from the ground. However, the sidewall position is not relevant in the back-analysis process. Once the stress readings were made at the locations considered, numerical stress-deformation modelling was carried out using finite element software, for different k-ratio values, keeping the rest of the geotechnical parameters of the rock and the rock mass constant. These results were compared with those obtained in the flat jack tests and, in this way, a k-ratio value could be assigned for the measurement site.

To properly assess the results of the stress measurements, it was considered that the reading procedure could involve two possible factors that could alter the reading value. The first is experimental errors, which could occur during execution of the test. The second could be due to performing the test in the zone disturbed by blasting (EDZ). Thus, it was assumed that the value of the flat jack reading (L) could be expressed as:

L

L

L

Reading obtained with flat jack in roof.

Measurements with flat jack

Initially reference points are made on the rock surface at about the centre point of where the flat jack slot will be cut. An initial distance reading is made between the two reference points. Subsequently, the slot is cut for the flat jack and the reference points will move towards each other in a compressive environment. The flat jack is then grouted into the slot (Figure 7c) and a new measurement of the distance between the reference points (2Li) is made (Figures 7b and c). Once the grout has cured, the jacks are pumped up until the reference points return to their original position. The pressure required to achieve this return to the original distance between reference points corresponds to the original stress along the axis perpendicular to the groove (Figure 8). A digital micrometer (Mitutoyo model ID C125b) with a resolution of 0.001 mm was used to measure the deformation. The flat jack had a thickness of 3.8 mm and dimensions of 102 mm x 203 mm.

L

Reading obtained with flat jack in sidewall.

C

Disturbances in the reading value due to the execution of the test in the EDZ zone

Table II provides the results obtained from the flat jack readings as shown in Figure 9. The roof tunnel value was 940 kPa and the average of the two sidewalls was 564 kPa.

Thus, the k-ratio (S xx / Szz) had a value of 940/564 = 1.667.

C

Disturbances in the reading value due to experimental errors

Numerical back-analysis

S

= Real value of stress in tunnel roof

S

= Real stress value in sidewalls

The values of both CEDZ and CEE would be less than unity.

Along the lines outlined by various authors, such as Monge and Arlandi (2003), if we assume that the CEDZ and CEE coefficients are equal in the roof and sidewalls, the ratio between roof and sidewall stress tensors would be:

[4]

Therefore, performing the back-analysis based on the ratio between the roof reading and those of the sidewalls would be more appropriate than performing it on direct readings, since the different errors and perturbations of the real value could be reduced in this way.

The procedure was developed on the basis of comparing the experimental measurements with the values obtained numerically for different values of k-ratio, assuming the rest of the geomechanical parameters of the measurement positions to be constant. As previously justified, the comparison is made on the S xx / S zz ratio rather than on the direct reading of the flat jack.

To carry out the numerical modelling, RS2 (RocScience, 2021) was used. The calculations were carried out at a depth of 300 m, using the geotechnical parameters indicated in the previous sections. Calculations were made for k-ratio values of 0.25, 0.50, 0.75, 1.00, 1.25, 1.50, 1.75, and 2.00. Figure 10 shows an example of graphical result of the calculations performed directly from the numerical modelling program.

Table III show the values obtained for the SXX / SZZ ratio with variable k-ratio values.

These results can be represented graphically as in Figure 11.

Determination of the stress state prior to excavation in an underground slate mine

Figure 6—Adit used to carry out measurements with a flat jack; note the square section with rounded corners

Analysis of results

The flat jack tests carried out in the adit provided a value S xx / S zz = 1.667. This value corresponds to a k-ratio of 1.33, according to Figure 11, and substantially coincides with the k-ratio values that were determined in the mine from the instrumentation data after mining had taken place, i.e k-ratio of 1.4 (CAFERSA , 1997). The described method is therefore validated by these measurements. The great advantage of the 'new' methodology is that the k-ratio can be determined before excavating the chamber and, in this way, it allows for an appropriate design of the size and the support before excavation.

Conclusions

The underground slate mines of Galicia (Spain) are excavated

using large chambers. They are in a geologically favourable zone to determine stress ratios (k-ratios). In the past, the k-ratio was determined only after excavation of the first underground chambers was completed. A back-analysis showed that the k-ratio was approximately 1.4. However, in order to design the excavation and support requirements, it was necessary to define the k-ratio before mining the chamber. A methodology was developed using stress readings from flat jacks carried out in the adit that was mined to access the chamber. This methodology determined the value of the k-ratio by means of a numerical back-analysis. The proposed method involves a comparison between the values of the stresses obtained from the flat jacks and the numerical values from a 2D elastic model. The method minimizes the errors that could be introduced into the readings by experimental errors and other rock-dependent factors.

References

AFERSA. 1992. Estudio Geologico y Minero de la concesion minera "A Fraguiña". Madrid.

CAFERSA. 1997. Estudio Geotecnico de la Ampliación de Labores en la Mina "A fraguiña", Explotación de la Cámara "0" y Cámaras Transversales. O Barco de Valdeorras: CAFERSA.

Garcia-Guinea, J. and Martinez-Frias, J. 1992. Recursos Minerales de España. C.S. (ed.) Colección Textos, Universitarios

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Determination

Gonzalez Vallejo, L. I., Ferrer , M., Ortuño , L., and Oteo, C. 2002. Ingeniería Geológica. Madrid: Pearson Education. doi:10.21701/bolgeomin.128.2.008

Hoek, E. 2000. Practical Rock Engineering. https:www.rocscience.com

Julivert, M., Truyols, J., and Philippot, A. 1974. Les formations siluriennes de la zone cantabrique et leurs faunes. Bulletin de la Société géologique de France, vol. 7, no. 1. pp. 23−35.

Kim, K. and Franklin, J. 1987. Suggested methods for rock stress determination. International Journal of Rock Mechanics and Mining Sciences & Geomechanics Abstracts, vol. 24, pp. 53−73.

Kwon, S., Lee, C.S., Cho, S.J., Jeon, S.W., and Cho, W.J. 2009. An investigation of the excavation damaged zone at the Kaeri underground research tunnel,. Tunnelling and Underground Space Technology, vol. 24, no. 1. pp. 1⁻13. doi:https:// doi.org/10.1016/j.tust.2008.01.004

Marchán Sanz, C. and Regueiro Gonzalez-Barros, M. 2008. La piedra natural en

España: evolución y perspectivas. Boletin Geominero. pp. 395−403. doi:https:// doi.org/10.21701/bolgeomin.128.2.008

Matías Rodriguez, R. 2006. La mineria subterranea de pizarra. Energia y Minas, vol. 3. pp. 6−12.

Monge, J.C. and Arlandi, M. 2003. Numerical solution for the deformations of tunnels in rock masses and its application to estimate in situ stress ratio ko 10th ISRM Congress. International Society for Rock Mechanics and Rock Engineering. Sandton, South Africa. Retrieved from http:// tunelesygeomecanica.es/descargas

Munro, R. 2018. Jacking test. Encyclopedia of Engineering Geology. (ed.). P.T. Bobrowsky. Springer. doi:10.1007/978-3-319-73568-9_175

Perez-Estaún, A., Crimes, T. P., and Marcos, A. 1974. Upper Ordovician turbidites in western Asturias: A facies analysis with particular reference to vertical and lateral variations. Palaeogeography, Palaeoclimatology, Palaeoecology, vol. 15, no. 3. pp. 169−184.

Qihao, S., Fengshan, M., Jie, G. G., Haijun, Z., and Guang, L. 2021. Excavationinduced deformation and damage evolution of deep tunnels based on a realistic stress path. Computers and Geotechnics, vol. 129. doi:https://doi. org/10.1016/j.compgeo.2020.103843

Roberts, B., Morrison, C., and Hiron , S. 1990. Low grade metamorphism of the Manx Group: A comparative study of white mica crystallinity techniques. doi:https://doi.org/10.1144/gsjgs.147.2.0271

Rocscience. 2021.

Sastre, M.R. and Calleja, L. 2004. Caracterización del comportamiento elástico de materiales pizarrosos del Sinclinal de Truchas mediante ultrasonidos. Trabajos de geología, vol. 24. pp. 153−164.

The Natural Stone Cluster. 2016. Informe sectorial. https://clusterpiedra.com/wpcontent/uploads/2018/01/Informe-sectorial-CLUSTER-PIEDRA-2016.pdf

Xunta De Galicia. 2009. Special Civil Protection Plan against Seismic Risk in Galicia. https://ficheiros-web.xunta.gal/emerxencias/plans/memoria-sismigalcas.pdf

The

of the Southern African Institute of Mining

Affiliation: 1Department of Mining Engineering, University of Pretoria, South Africa.

Correspondence to: D.F. Malan

Email: francois.malan@up.ac.za

Dates:

Received: 18 Sep. 2021

Revised: 13 May 2022

Accepted: 2 Jun. 2022

Published: September 2022

How to cite: Malan, D.F. 2022

Journal impact factors – The good, the bad, and the ugly.

Journal of the Southern African Institute of Mining and Metallurgy, vol. 122, no. 9, pp. 541–548

DOI ID: http://dx.doi.org/10.17159/24119717/1741/2022

ORCID: D.F. Malan https://orcid.org/0000-00029861-8735

Journal impact factors – The good, the bad, and the ugly

by D.F. Malan1

Synopsis

This paper provides an overview of the concepts of citations and journal impact factors, and the implications of these metrics for the Journal of the Southern African Institute of Mining and Metallurgy (JSAIMM). Two key research literature databases publish journal impact factors; namely, Web of Science and Scopus. Different equations are used to calculate journal impact factors and care should be exercised when comparing different journals. The JSAIMM has a low impact factor compared with some of the more prestigious journals. It nevertheless compares well with journals serving other mining sectors, such as the Canadian CIM Journal. The problems associated with journal impact factors are discussed. These include questionable editorial practices, the negative impact of this concept on good research, and the problem of a few highly cited papers distorting the journal impact factor. As a consequence, there is growing resistance to the use of journal impact factors to measure research excellence. The San Francisco Declaration on Research Assessment is a global movement striving for an alternative assessment of research quality. As a recommendation, the Editorial Board of the JSAIMM should adopt a pragmatic approach and not alter good journal policies simply to increase the journal impact factor. The focus should remain on publishing excellent quality papers. Marketing of the Journal, the quality of the published papers, and its open access policy should be used to counter the perception that journals with high impact factors are better options in which to publish good research material.

Keywords

research publishing, citation, journal impact factor.

Introduction

Citations and impact factors, such as the Web of Science Journal Impact Factor (JIF) and Scopus’ CiteScore, are prominent metrics in the modern academic environment. Postgraduate students are encouraged to publish in journals with a high impact factor and academic staff need numerous citations and good h-index scores for promotion. The h-index (or Hirsch index) is an author-level metric that measures both the productivity (number of publications) and number of citations of these publications (Hirsch, 2005). This paper explores citations and journal impact factors and their impact on the Journal of the Southern African Institute of Mining and Metallurgy (JSAIMM1). Of particular interest is the effect of the JIF on manuscripts that the Journal attracts for potential publication and will attract in future. It appears that universities may, in some cases, encourage staff and students to preferably publish in journals with 'high' impact factors and the author has experienced this at first-hand. The JSAIMM has a proud history: outstanding papers were published in the past and such papers continue to be published. The effect of a greater emphasis on journal impact factor in academic circles therefore needs to be better understood and countered using an appropriate strategy.

Fundamental to the discussion is the concept of a 'citation'. This is simply a reference in a publication to another author’s paper or book. A 'citation index' is a bibliographic index of citations between publications, allowing researchers to establish which later documents cite which earlier documents.

Eugene Garfield, founder of the Science Citation Index (SCI) in 1964, described it more eloquently (Garfield, 1979):

'Citations are the formal, explicit linkages between papers that have particular points in common. A citation index is built around these linkages. It lists publications that have been cited and identifies the sources of the citations. Anyone conducting a literature search can find from one to dozens of additional papers on a subject just by knowing one that has been cited.'

1The abbreviation JSAIMM is used throughout this paper, although according to SCIELO (The Scientific Electronic Library Online, South Africa), the correct abbreviation of the journal title is J. South. Afr. Inst. Min. Metall.

Garfield’s SCI is currently incorporated into the well-known Web of Science as one of the databases. Garfield argued that the connections he captured between indexed papers could be trusted because they were based on the decisions of the researchers themselves (Web of Science, 2020). The value of a citation index is that literature that shows the greatest impact in a particular field can be easily identified. It makes searching the literature more efficient and effective. These are clearly noble objectives and make the citation databases valuable research tools.

As an unintended consequence, citations became a widely used measure of the performance of researchers. This was inevitable because it is very difficult to measure research performance. As there are so many fields of research, it is difficult for universities to measure extraordinary research performance. Owing to the difficulty of developing reliable techniques, the number of citations has been adopted as one of the measurement tools. The number of citations and databases also evolved into a powerful marketing tool for universities. As a good example, Clarivate, the current owner of Web of Science, publishes an annual document listing the “Highly Cited Researchers” (see Figure 1). As stated in the 2020 document:

'These highly cited papers rank in the top 1% by citations for a field or fields and publication year in the Web of Science. Of the world’s population of scientists and social scientists, Highly Cited Researchers are 1 in 1000.'

Clearly, ambitious researchers will strive to become part of this elite club, and there is subtle pressure to focus on the number of citations and publishing in high-JIF publications. Figure 2 illustrates the number of highly cited researchers in the top institutions for 2020. Invariably, this information will be used in marketing material by the universities to attract top students and research grants.

This focus on citations and publications in journals with a high JIF in academic circles raises the important question: How should the JSAIMM position itself to remain relevant to the Southern African mining industry and its wide audience, but still attract top academic research papers? This paper gives some of the long and interesting history of the JSAIMM, explores the growing body of criticism against the use of impact factors, and presents some possible solutions.

Calculation of journal impact factors

Citations are used to calculate the journal impact factors: two commonly used metrices are discussed in this section. These are the JIF from Clarivate and CiteScore from Elsevier. JIF is occasionally referred to as the 'JCR impact factor'.

Clarivate was formerly the Intellectual Property and Science division of publisher Thomson Reuters. In 2016, it was spun off into an independent company and is the current administrator of the Web of Science database. The Web of Science method used to

Journal impact factors – The good, the bad, and the ugly

Figure

Figure 2—Number of highly cited researchers in the top institutions (Web of Science, 2020)

calculate JIF is described in Clarivate (1994). A specific example for the year 1992 is reproduced in Figure 3. The JIF for a specific year is based on the number of citations of papers published in the preceding two years in a particular journal.

More generally, the method of calculation for the JIF can be given by the following equation:

(1999). He stated that the impact factor could just as easily be based on the previous year's articles alone. This would give an even greater weight to rapidly changing fields. A less current impact factor can consider longer periods. One can therefore go beyond two years for the items in the denominator in Equation [1], but then the measure would be less current. It should be noted that a five-year impact factor is also calculated and included in the Journal Citation Reports (JCR). The five-year impact factor is typically a larger number than the two-year impact factor, as illustrated in Table I.

where y is a particular year, Citations y is the number of citations received in year y for the total number of publications in that journal that were published in the two preceding years, Publications y-1 and Publications y-2.

Of significance is that a two-year period is adopted for papers published and the year following this period is used to count citations of papers published in the previous two years. It is therefore essentially a three-year cycle. The important and difficult implication of this is that for journals with a low JIF, it will take at least three years to substantially increase the JIF if very good papers can be sourced. Top researchers, attempting to meet the university requirements described in the introduction, may not be willing to wait such a long time. The nature of Equation [1] probably induces a feedback loop in which the prestigious journals continue to attract the best papers and, by default, the most citations; the opposite is true for journals with low impact factors.

The motivation for the adoption of a two-year period is not clear in the literature, but some information is given by Garfield

Elsevier also maintains a curated abstract and citation database called Scopus. The impact factor calculated from the Scopus database is called CiteScore. In comparison with the JIF of Web of Science, CiteScore uses a different calculation. The equation for CiteScore before 2020 is given below:

where y is a particular year, and Citations y is the number of citations received in year y for the total number of publications in that journal that were published in the three preceding years, Publications y-1, Publications y-2, and Publications y-3. As a longer period is used, it is expected that CiteScore will be a larger number than JIF.

From 2020 onwards, the CiteScore was calculated differently (Wikipedia, 2021) and the revised formula is given by:

Table

Journal

International

International

Minerals

International

International

Mining

4.338

4.084

4.765

2.232 1.931

2.956 2.684

5.458 5.967

Nature 49.962 54.637

Canadian

Journal impact factors – The good, the bad, and the ugly

Figure 3—Practical example of calculating JIF (after Clarivate, 1994)

The various time periods, databases, and calculations can be confusing, and care should be exercised when comparing JIFs to ensure that similar metrics are being used. Table I gives a small arbitrary sample of journals that publish papers similar to those of the JSAIMM, and illustrates their recent impact factors as sourced by the author during September 2021 from the various journal websites. Note that the CiteScore values are larger than the JIF values. The journals do not specify whether the new CiteScore method is being used, but it is presumed that Equation [3] was used to calculate the values shown. Note that the objective of this table is not to give an extensive list of mining journals and their ranking, but rather to put the current JIF of the JSAIMM into perspective.

From Table I, it can be seen that the CiteScore and JIF of the JSAIMM are low compared with the other prestigious journals. Note the data is only for the year 2020 and this comparison may look different for years prior to 2020. Also note the exceptionally large JIF of Nature. When considering Equations [1)] to [3], an impact factor of less than unity for the JSAIMM implies that some of the papers published seem to get no citations at all. It is encouraging, however, that there seems to be a gradual improvement in the JIF, as shown in Figure 4. A large step change occurred in 2019. It is not clear if this was a consequence of many more citations or simply caused by the change in CiteScore calculation method (see Equations ([2] and [3]). Note that the impact factor of the JSAIMM is substantially larger than comparable Canadian journals, which cater for the local mining industry in that country. Another useful comparison will be with an Australian mining journal, but the author could not find the impact factor of the journal(s) published by the AusIMM on the internet.

History of the Journal of the Southern African Institute of Mining and Metallurgy

The JSAIMM has a proud history and the first edition was published more than a century ago. The name of the Journal changed several times as listed below. Listing these previous titles is of value to researchers searching for older papers in libraries because the current SAIMM website only includes papers from January 1969 onwards.

➤ The title of the first edition was Chemical and Metallurgical Society of South Africa Proceedings, vol. I, 1894 – 1897.

➤ In July 1904 it changed to Journal of the Chemical, Metallurgical and Mining Society of South Africa, vol. V, July 1904 – June 1905.

➤ In 1956, it changed to Journal of the South African Institute of Mining and Metallurgy, vol. 57, August 1956 to July 1957.

➤ In 2008, it changed to: Journal of the Southern African Institute of Mining and Metallurgy, in line with the new mission of the Institute to include neighbouring countries.

Some of the historical covers of the printed Journal are illustrated in Figure 5.

One of the attractive features of the Journal is that it provides immediate open access to its content, on the principle that making research freely available to the public supports a greater global exchange of knowledge. This has not always been the case and, until recently, the Journal was distributed as a hard copy to members only. From the information available on the Journal website, it seems that the initiative of indexing of the Journal in the Directory of Open Access Journals gained momentum in 2017.

Some outstanding technical papers have been published in the Journal. Only a few key papers in the author’s area of expertise, rock engineering, are mentioned below to illustrate that important papers do not necessarily attract a large number of citations. There seems to be a poor correlation between the number of citations for some of the important papers and their significant impact on new developments in the mining industry: care should therefore be exercised on judging publications solely on the number of citations. The reader is advised to explore the Journal website (https://www.saimm.co.za/publications/journalpapers) and Google Scholar to sample a larger selection of papers and the number of citations these papers attracted over the years. One of the mostly highly cited papers was written by Krige (1951). According to Google Scholar, it has already attracted 3414 citations. This paper was written a long time ago, but it highlights the problem associated with Equations [1] to ([3] when only a short time-frame is used to count the number of citations. As a second example, Krige (1966) has 491 citations.

In terms of rock engineering, the following papers are noteworthy. Following the Coalbrook mining disaster in January

Journal impact factors – The good, the bad, and the ugly

Figure 4—Scopus journal impact factor (CiteScore) trend for the JSAIMM (after SCI Journal Impact Factor Database, 2021)

1960, Salamon and Munro (1967) published their famous powerlaw formula for coal pillar strength in a paper in the JSAIMM. The South African coal mining industry still uses this formula and the original source was the publication in the JSAIMM. According to Google Scholar, this paper has already been cited 459 times. Some other papers that have a large number of citations are Bieniawski (1974) with 437 citations and Laubscher (1994) with 292 citations.

In contrast, other important rock engineering papers only received a limited number of citations. The adoption of the elastic concept was a very significant development for the quantitative analysis of stress distribution around excavations in the gold mining industry. Deformation measurements were conducted by Ryder and Officer (1964) at East Rand Proprietary Mines from 1961 to 1963. This paved the way for general acceptance of elastic theory to approximate the behaviour of a rock mass. In spite of the importance of this paper, it has only been cited 37 times.

The use of the displacement discontinuity numerical modelling approach is described in early foundational papers written by Salamon (1963, 1964a, 1964b, 1965), which he termed the 'Face Element Principle'. He published these papers in the JSAIMM and these led to the devopment of numerical programs such as MINSIM and TEXAN that are still used in the gold and platinum mining industries to design layouts. Despite the significance of these papers and their major influence on mine design, they have attracted only a few citations: as examples, the 1964a paper has only 60 citations and the 1965 paper has 49 citations.

The important principle illustrated is that groundbreaking publications may attract only a few citations, but may have a major impact on the mining industry in Southern Africa. JIF is a flawed measure of research excellence in these cases. One possible reason for this is that some mining problems are unique to a particular country or region (Figure 6). Owing to the unique tabular geometry of the gold reef deposits on the Witwatersrand (Malan and Napier, 2018), South Africa, research needs to be conducted to understand the behaviour of the rock mass around the deep tabular excavations. As correctly pointed out by the Leon Commission (Leon, 1995): 'Furthermore, as no other region of economic significance has similar geometry, no mining industry outside

South Africa pursues the solution to this problem. The solution must therefore be found in South Africa.' As the number of researchers working in South Africa comprises a small group, and no other mining countries encounter these problems, such research publications can attract only a limited number of citations. Thus, for the reasons explained above, JIF is not necessarily a good measure of the impact of many papers published in the JSAIMM, but it may be applicable for other papers in journals elsewhere in the world.

Problems associated with the use of journal impact factors

The use of JIFs is criticised by some as having a negative impact on science in general. Müller and de Rijcke (2017) suggested that 'For many researchers the only research questions and projects

Figure 6—The unique shallow-dipping tabular geometries encountered in the South African gold, platinum, chrome, and manganese mining opera tions (after Malan and Napier, 2018). The mining height, h0, is very small compared with the lateral extent of the orebody. These stope geometries at depth are unique to South Africa and almost no researchers outside South Africa conduct research on this problem. By default, publications on this topic will attract only a small number of citations

Figure 5—Some historical covers of the JSAIMM. The photograph on the left is the July 1963 edition and the one on the right is of the March 1972 edition

that appear viable are those that can meet the demand of scoring well in terms of metric performance indicators - and chiefly the journal impact factor.' This relates to the discussion above of the unique mining geometries encountered in South Africa. Research is desperately needed in this area, but the papers will attract only a few citations owing to the small number of researchers interested in this problem. This may result in important areas of research not receiving the required attention. Larivière and Sugimoto (2019) noted that the process of scientific publication is slowed down because authors attempt to publish in a journal with the highest impact factor. In many cases, this may not be the most appropriate journal for the topic. For this reason, South African research on problems experienced in the deep tabular gold mining excavations needs to be published in the JSAIMM

A further problem is that impact factors may not be suitable for comparing journals across disciplines. The percentage of total citations of a paper occurring in the first two years after publication also varies greatly between disciplines. As examples this percentage is 1 –3% in the mathematical and physical sciences and 5–8% in the biological sciences (van Nierop, 2009).

More insidious are questionable editorial policies that may affect the impact factor. Some journals adopt dubious practices to increase their impact factor. Coercive citation is a practice in which an editor forces an author to add unrelated citations to a paper to inflate the journal's impact factor (McLeod, 2020). The author has recently experienced this first hand from a so-called 'prestigious journal'. Journal editors may also attempt to limit the number of 'citable items' by declining articles that are unlikely to be cited or by altering articles that will not be considered as a citable item by the rating agencies.

The concept of the JIF was originally developed by Garfield as a metric to assist libraries to make decisions about which journals were worth indexing. JIF has now become a measure of quality, however, and is widely used for the evaluation of research. It therefore has a major effect on research practices and behaviours. Curry (2018) stated: 'Most agree that yoking career rewards to JIFs is distorting science. Yet the practice seems impossible to root out. In China, for example, many universities pay impact-factor-related bonuses, inspired by unwritten norms of the West.'

Statistically, there is also a problem with JIFs because a high impact factor may be derived from a few highly cited papers. Most papers do not get many citations, but are still regarded as influential because the overall impact of certain individual papers in the journal is high. This is illustrated in Figure 7, which compares the impact factors of Nature and Plos One for papers

published in 2013 to 2014. Note that the impact factor of Nature is 38.1, but most papers received only between 10 and 20 citations. The few highly cited papers distort the 'average' impact factor.

As a final word on the negative aspects of impact factors, Garfield (1999) recognized that his system was being abused and stated:

'I first mentioned the idea of an impact factor in 1955. At that time it did not occur to me that it would one day become the subject of widespread controversy. Like nuclear energy, the impact factor has become a mixed blessing. I expected that it would be used constructively while recognizing that in the wrong hands it might be abused.'

The future of journal impact factors

From the literature studied to compile this study, it appears that there is a growing resistance to the use of JIFs. Curry (2018) described the role of the San Francisco Declaration on Research Assessment (DORA) that was established by journal editors and publishers at a meeting of the American Society for Cell Biology (ASCB) in December 2012. DORA strives for a system in which the content of a research paper is more important than the JIF. Curry (2018) mentioned that the number of university signatories from the United Kingdom had tripled within a period of two years. He stated: 'Impact factors were never meant to be a metric for individual papers, let alone individual people. They’re an average of the skewed distribution of citations accumulated by papers in a given journal over two years. Not only do these averages hide huge variations between papers in the same journal, but citations are imperfect measures of quality and influence.' This is illustrated in this paper with regards to the rock engineering papers discussed above: some of the key influential papers attracted only a few citations.

Based on the above discussion, it is recommended that the Editorial Board of the JSAIMM adopts a pragmatic approach and does not modify good journal policies simply to increase the impact factor. Additional marketing and wider circulation of the journal to industry, as well as academia, should be conducted. The following points should be emphasized.

➤ The JSAIMM is open access. Many of the prestigious high-impact-factor journals charge exorbitant fees to publish papers open access. If the open access option is not selected, the papers are typically available only to subscribers for a period of, say, two years or if a fee is paid.

➤ Excellent quality papers are published in the JSAIMM and the review process is thorough and fair. It is notable that a double-blind system of peer review has recently been introduced to further improve impartiality and reduce bias. Such a system is seldom used by more prestigious journals, and this can lead to preference for publication of a reviewer’s colleagues and countrymen.

➤ The JSAIMM has wide distribution in the Southern African mining industry and researchers will reach the appropriate target audience.

➤ There is significant interest in the JSAIMM by international researchers who want to publish their work in the journal (see Figure 8).

It is expected that marketing of these aspects will have a positive effect on the JIF.

Figure 7—The problem caused by a few highly cited papers distorting the impact factor of a journal. The blue line is the prestigious journal Nature and the orange line is a less cited journal (Wikipedia, based on data published in Callaway, 2016)

The Editorial Board should also strive towards a good turnaround time for paper submissions. Targets should be set in this regard (Figure 9 can, for example, be used as a guideline) and ongoing monitoring of actual performance should be conducted.

Journal impact factors – The good, the bad, and the ugly

Long wait times are caused by several factors, such as the poor language quality of papers submitted, finding suitable referees, and a small administrative office to manage the large volume of paper submissions. The problem of long wait times is, however, not unique to the JSAIMM. Vosshall (2012) wrote: 'In the past three years, if anything, it’s gotten substantially worse. It takes forever to get the work out, regardless of the journal. It just takes far too long.'

Powell (2016) stated that, for Nature, the median review time had increased from 85 days to more than 150 days over the past decade, and at PLoS ONE it increased from 37 to 125 days during the same period. Globally, researchers are becoming increasingly frustrated by how long it takes to publish their papers. In defence of the journals, it should nevertheless be added that the quality of the work submitted nowadays is frequently of an unacceptable standard. The large number of poor-quality papers clogs the

system and it consumes valuable resources to review and reject these papers.

An interesting aspect is that the above studies found that journals with the lowest and highest impact factors have the longest wait times (Figure 9). Powell (2016) nevertheless added the important comment that researchers are also to blame for the long publication times as they 'indulged in the all-too-familiar practice of journal shopping'. This is the practice of submitting first to the most prestigious journals with the highest impact factor and then working their way down the hierarchy if the papers are rejected. A further factor contributing to the wait time is that the volume of papers has substantially increased. For PLoS ONE, the volume of papers increased from 200 in 2006 to 30 000 per year in 2016, and it takes time to find and assign appropriate editors and reviewers. Contributing to this problem is that a large number

Figure 8—Submissions to the JSAIMM by country during 2020

Figure 9—Typical time taken from submission to publication as a function of the impact factor of a journal (after Powell, 2016)

of poor-quality papers are being submitted. This has discouraged and demoralized competent reviewers, who then become less willing to offer their services in this regard.

Conclusions

This paper provides an overview of the concepts of citations and journal impact factors, and the implications of these metrics for the Journal of the Southern African Institute of Mining and Metallurgy (JSAIMM). Two key research literature databases publish journal impact factors; namely, Web of Science and Scopus. Different equations are used to calculate journal impact factors and care should be exercised when comparing journals evaluated using different equations.

The JSAIMM has a low impact factor compared with some of the more prestigious journals. It nevertheless compares well with journals serving other mining industries, such as the Canadian CIM Journal. The problems associated with journal impact factors were discussed. These include questionable editorial practices, their negative impact on good research, and the problem of a few highly cited papers distorting the impact factor. As a result, there is growing resistance to the use of journal impact factors to measure research excellence. The San Francisco Declaration on Research Assessment is a global movement striving for an alternative assessment of research quality. As a recommendation, the Editorial Board of the JSAIMM should adopt a pragmatic approach and not alter good journal policies simply to increase the journal impact factor. The focus should remain on publishing excellent quality papers.

Marketing of the JSAIMM, the quality of the published papers, and its open access policy should be used to counter the perception that journals with high impact factors are better options in which to publish good research material. The Editorial Board should also strive for a good turnaround time on manuscript submissions.

Acknowledgements

Kelly Matthee from the SAIMM is thanked for sourcing historical publications from the JSAIMM. The reviewers are thanked for their good suggestions to improve the quality of the paper.

References

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Callaway, E. 2016. Beat it, impact factor! Publishing elite turns against controversial metric. Nature, vol. 535, no. 7611. pp. 210–211.

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Malan, D.F. and Napier, J.A.L. 2018. Rockburst support in shallow-dipping tabular stopes at great depth. International Journal of Rock Mechanics and Mining Science, vol. 112. pp. 302–312.

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Salamon, M.D.G. 1963. Elastic analysis of displacements and stresses induced by the mining of seam or reef deposits – Part I: Fundamental principles and basic solutions as derived from idealised models. Journal of the South African Institute of Mining and Metallurgy, vol. 63. pp. 128–149.

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Journal impact factors – The good, the bad, and the ugly

the Southern African Institute

Mining

26 October 2022 — 18TH Annual Student Colloquium 2022 Mintek Randburg, South Africa

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Computational Modelling

Call for Papers

The discipline of minerals processing and metallurgical engineering is facing a number of unique challenges as it enters the third decade of the 21st century. These include escalating operating costs and volatile commodity markets, dwindling reserves of easilyprocessed primary ores, and obligations to decarbonize and reduce climate impact. In addition, increasing drives toward recycling in circular economies mean that chemically-complex secondary raw materials such as e-wastes and batteries must be processed back into primary commodities for re-use. These pressures are forcing significant changes to existing processes, or the invention of entirely new ones. Unfortunately the high level of phenomenological complexity present in all minerals industry applications, together with the cost and safety

plant testing, often presents major

large-scale

to traditional experiment-based

workflows.

modelling – the use of powerful computers to

equations of a process in order

knowledge – has developed

as a disruptive technology in the R&D

industries including aerospace, automobiles,

others. With sustained exponential growth

high-fidelity computational models have

cases supplanted experimental testing

pipelines of new technologies, particularly

This so-called ’third mode’ of the scientific

between theory and experimentation, is now

in the metallurgical field as well; numerical

prototypes are able to provide rapid

process optimizations at low cost and

portions of the design parameter space and

Guest editor: Quinn G. Reynolds (Mintek, University of Stellenbosch)

CONFERENCE

VISIT

BACKGROUND

The production of SO2 and sulphuric acid remains a pertinent topic in the Southern African mining and metallurgical industry, especially in view of the strong demand for, and increasing prices of, vital base metals such as cobalt and copper.

The electric car revolution is well underway and demand for cobalt is rocketing.

New sulphuric acid plants are being built, comprising both smelters and sulphur burners, as the demand for metals increases. However, these projects take time to plan and construct, and in the interim sulphuric acid is being sourced from far afield, sometimes more than 2000 km away from the place that it is required.

The need for sulphuric acid ‘sinks’ such as phosphate fertilizer plants is also becoming apparent.

All of the above factors create both opportunities and issues and supply chain challenges.

To ensure that you stay abreast of developments in the industry, the Southern African Institute of Mining and Metallurgy invites you to participate in a conference on the production, utilization, safe transportation and conversion of sulphur, sulphuric acid, and SO2 abatement in metallurgical and other processes, to be held in March 2023 in Cape Town.

FORMAT OF THE EVENT

At this point in time, the event is planned as a full contact conference with international participation through web links. It is also planned to hold technical visits to nearby facilities.

The situation will be constantly reviewed, and if it appears that the effects of the pandemic are still such as to pose a threat to the health and safety of delegates, this will be changed to a digital event.

OBJECTIVES

• To expose delegates to issues relating to the generation and handling of sulphur, sulphuric acid, and SO2 abatement in the metallurgical and other industries.

• Provide an opportunity to producers and consumers of sulphur and sulphuric acid and related products to be introduced to new technologies and equipment in the field.

• Enable participants to share information about and experience in the application of such technologies.

• Provide an opportunity for role players in the industry to discuss common problems and their solutions.

WHO SHOULD ATTEND

The Conference will be of value to: Metallurgical and chemical engineers working in the minerals and metals processing and chemical industries

Metallurgical/chemical/plant management

and development

and students

providers and engineering firms

EXHIBITION AND SPONSORSHIP

There are a number of sponsorship opportunities available. Companies wishing to sponsor or exhibit should contact the Conference Co- ordinator.

FOR FURTHER INFORMATION, CONTACT: Gugu Charlie, Conference Co-Ordinator E-mail: gugu@saimm.co.za Web: www.saimm.co.za

Acid Catalysis - Key Parameters to Increase

and Lower

VINEYARD HOTEL, NEWLANDS, CAPE TOWN, SOUTH AFRICA