Mine Safety and Health Administration Requirements for Slurry Impoundments (30 CFR 

§ 77.216). 

§ 77.216 Water, sediment, or slurry impoundments and impounding structures; 

general. 

(a) Plans for the design, construction, and maintenance of structures which impound water, 

sediment, or slurry shall be required if such an existing or proposed impounding structure can: 

(1) Impound water, sediment, or slurry to an elevation of five feet or more above the upstream 

toe of the structure and can have a storage volume of 20 acre-feet or more; or 

(2) Impound water, sediment, or slurry to an elevation of 20 feet or more above the upstream toe 

of the structure; or 

(3) As determined by the District Manager, present a hazard to coal miners. 

(b) Plans for the design and construction of all new water, sediment, or slurry impoundments and 

impounding structures which meet the requirements of paragraph (a) of this section shall be 

submitted in triplicate to and be approved by the District Manager prior to the beginning of any 

work associated with construction of the impounding structure. 

(c) Before May 1, 1976, a plan for the continued use of an existing water, sediment, or slurry 

impoundment and impounding structure which meets the requirements of paragraph (a) of this 

section shall be submitted in triplicate to the District Manager for approval. 

(d) The design, construction, and maintenance of all water, sediment, or slurry impoundments 

and impounding structures which meet the requirements of paragraph (a) of this section shall be 

implemented in accordance with the plan approved by the District Manager. 
(e) All fires in impounding structures shall be extinguished, and the method used shall be in 

accordance with a plan approved by the District Manager. The plan shall contain as a minimum, 

provisions to ensure that only those persons authorized by the operator, and who have an 

understanding of the procedures to be used, shall be involved in the extinguishing operation. 

§ 77.216-1 Water, sediment or slurry impoundments and impounding structures; 

identification. 

A permanent identification marker, at least six feet high and showing the identification number 

of the impounding structure as assigned by the District Manager, the name associated with the 

impounding structure and name of the person owning, operating, or controlling the structure, 

shall be located on or immediately adjacent to each water, sediment or slurry impounding 

structure within the time specified in paragraph (a) or (b) of this section as applicable. 

(a) For existing water, sediment or slurry impounding structures, markers shall be placed before 

May 1, 1976. 

(b) For new or proposed water, sediment, or slurry impounding structures, markers shall be 

placed within 30 days from the start of construction. 

§ 77.216-2 Water, sediment, or slurry impoundments and impounding structures; 

minimum plan requirements; changes or modifications; certification. 

(a) The plan specified in §77.216, shall contain as a minimum the following information: 

(1) The name and address of the persons owning, operating or controlling the impoundment or 

impounding structure; the name associated with the impoundment or impounding structure; the 

identification number of the impounding structure as assigned by the District Manager; and the 

identification number of the mine or preparation plant as assigned by MSHA. 
(2) The location of the structure indicated on the most recent USGS 71/2minute or 15 minute 

topographic quadrangle map, or a topographic map of equivalent scale if a USGS map is not 

available. 

(3) A statement of the purpose for which the structure is or will be used. 

(4) The name and size in acres of the watershed affecting the impoundment. 

(5) A description of the physical and engineering properties of the foundation materials on which 

the structure is or will be constructed. 

(6) A statement of the type, size, range, and physical and engineering properties of the materials 

used, or to be used, in constructing each zone or stage of the impounding structure; the method 

of site preparation and construction of each zone; the approximate dates of construction of the 

structure and each successive stage; and for existing structures, such history of construction as 

may be available, and any record or knowledge of structural instability. 

(7) At a scale not to exceed 1 inch = 100 feet, detailed dimensional drawings of the impounding 

structure including a plan view and cross sections of the length and width of the impounding 

structure, showing all zones, foundation improvements, drainage provisions, spillways, diversion 

ditches, outlets, instrument locations, and slope protection, in addition to the measurement of the 

minimum vertical distance between the crest of the impounding structure and the reservoir 

surface at present and under design storm conditions, sediment or slurry level, water level and 

other information pertinent to the impoundment itself, including any identifiable natural or 

manmade features which could affect operation of the impoundment. 

(8) A description of the type and purpose of existing or proposed instrumentation. 

(9) Graphs showing area-capacity curves. 
(10) A statement of the runoff attributable to the probable maximum precipitation of 6-hour 

duration and the calculations used in determining such runoff. 

(11) A statement of the runoff attributable to the storm for which the structure is designed and 

the calculations used in determining such runoff. 

(12) A description of the spillway and diversion design features and capacities and calculations 

used in their determination. 

(13) The computed minimum factor of safety range for the slope stability of the impounding 

structure including methods and calculations used to determine each factor of safety. 

(14) The locations of surface and underground coal mine workings including the depth and 

extent of such workings within the area 500 feet around the perimeter, shown at a scale not to 

exceed one inch = 500 feet. 

(15) Provisions for construction surveillance, maintenance, and repair of the impounding 

structure. 

(16) General provisions for abandonment. 

(17) A certification by a registered engineer that the design of the impounding structure is in 

accordance with current, prudent engineering practices for the maximum volume of water, 

sediment, or slurry which can be impounded therein and for the passage of runoff from the 

designed storm which exceeds the capacity of the impoundment; or, in lieu of the certification, a 

report indicating what additional investigations, analyses, or improvement work are necessary 

before such a certification can be made, including what provisions have been made to carry out 

such work in addition to a schedule for completion of such work. 

(18) Such other information pertaining to the stability of the impoundment and impounding 

structure which may be required by the District Manager. 
(b) Any changes or modifications to plans for water, sediment, or slurry impoundments or 

impounding structures shall be approved by the District Manager prior to the initiation of such 

changes or modifications. 

§ 77.216-3 Water, sediment, or slurry impoundments and impounding structures; 

inspection requirements; correction of hazards; program requirements. 

(a) All water, sediment, or slurry impoundments that meet the requirements of §77.216(a) shall 

be examined as follows: 

(1) At intervals not exceeding 7 days, or as otherwise approved by the District Manager, for 

appearances of structural weakness and other hazardous conditions. 

(2) All instruments shall be monitored at intervals not exceeding 7 days, or as otherwise 

approved by the District Manager. 

(3) Longer inspection or monitoring intervals approved under this paragraph (a) shall be justified 

by the operator based on the hazard potential and performance of the impounding structure, and 

shall include a requirement for inspection immediately after a specified rain event approved by 

the District Manager. 

(4) All inspections required by this paragraph (a) shall be performed by a qualified person 

designated by the person owning, operating, or controlling the impounding structure. 

(b) When a potentially hazardous condition develops, the person owning, operating or 

controlling the impounding structure shall immediately: 

(1) Take action to eliminate the potentially hazardous condition; 

(2) Notify the District Manager; 

(3) Notify and prepare to evacuate, if necessary, all coal miners from coal mine property which 

may be affected by the potentially hazardous conditions; and 
(4) Direct a qualified person to monitor all instruments and examine the structure at least once 

every eight hours, or more often as required by an authorized representative of the Secretary. 

(c) After each examination and instrumentation monitoring referred to in paragraphs (a) and (b) 

of this section, each qualified person who conducted all or any part of the examination or 

instrumentation monitoring shall promptly record the results of such examination or 

instrumentation monitoring in a book which shall be available at the mine for inspection by an 

authorized representative of the Secretary, and such qualified person shall also promptly report 

the results of the examination or monitoring to one of the persons specified in paragraph (d) of 

this section. 

(d) All examination and instrumentation monitoring reports recorded in accordance with 

paragraph (c) of this section shall include a report of the action taken to abate hazardous 

conditions and shall be promptly signed or countersigned by at least one of the following 

persons: 

(1) The mine foreman; 

(2) The assistant superintendent of the mine; 

(3) The superintendent of the mine; 

(4) The person designated by the operator as responsible for health and safety at the mine. 

(e) Before May 1, 1976, the person owning, operating, or controlling a water, sediment, or slurry 

impoundment which meets the requirements of §77.216(a) shall adopt a program for carrying out 

the requirements of paragraphs (a) and (b) of this section. The program shall be submitted for 

approval to the District Manager. The program shall include as a minimum: 

(1) A schedule and procedures for examining the impoundment and impounding structure by a 

designated qualified person; 
(2) A schedule and procedures for monitoring any required or approved instrumentation by a 

designated qualified person; 

(3) Procedures for evaluating hazardous conditions; 

(4) Procedures for eliminating hazardous conditions; 

(5) Procedures for notifying the District Manager; 

(6) Procedures for evacuating coal miners from coal mine property which may be affected by the 

hazardous condition. 

(f) Before making any changes or modifications in the program approved in accordance with 

paragraph (e) of this section, the person owning, operating, or controlling the impoundment shall 

obtain approval of such changes or modifications from the District Manager. 

(g) The qualified person or persons referred to in paragraphs (a), (b)(4), (c), (e)(1), and (e)(2) of 

this section shall be trained to recognize specific signs of structural instability and other 

hazardous conditions by visual observation and, if applicable, to monitor instrumentation. 

§ 77.216-4 Water, sediment or slurry impoundments and impounding structures; reporting 

requirements; certification. 

(a) Except as provided in paragraph (b) of this section, every twelfth month following the date of 

the initial plan approval, the person owning, operating, or controlling a water, sediment, or slurry 

impoundment and impounding structure that has not been abandoned in accordance with an 

approved plan shall submit to the District Manager a report containing the following 

information: 

(1) Changes in the geometry of the impounding structure for the reporting period. 

(2) Location and type of installed instruments and the maximum and minimum recorded readings 

of each instrument for the reporting period. 
(3) The minimum, maximum, and present depth and elevation of the impounded water, sediment, 

or slurry for the reporting period. 

(4) Storage capacity of the impounding structure. 

(5) The volume of the impounded water, sediment, or slurry at the end of the reporting period. 

(6) Any other change which may have affected the stability or operation of the impounding 

structure that has occurred during the reporting period. 

(7) A certification by a registered professional engineer that all construction, operation, and 

maintenance [were] in accordance with the approved plan. 

(b) A report is not required under this section when the operator provides the District Manager 

with a certification by a registered professional engineer that there have been no changes under 

paragraphs (a)(1) through (a)(6) of this section to the impoundment or impounding structure. 

However, a report containing the information set out in paragraph (a) of this section shall be 

submitted to the District Manager at least every 5 years. 

§ 77.216-5 Water, sediment or slurry impoundments and impounding structures; 

abandonment. 

(a) Prior to abandonment of any water, sediment, or slurry impoundment and impounding 

structure which meets the requirements of 30 CFR 77.216(a), the person owning, operating, or 

controlling such an impoundment and impounding structure shall submit to and obtain approval 

from the District Manager, a plan for abandonment based on current, prudent engineering 

practices. This plan shall provide for major slope stability, include a schedule for the plan's 

implementation and, except as provided in paragraph (b) of this section, contain provisions to 

preclude the probability of future impoundment of water, sediment, or slurry. 
(b) An abandonment plan does not have to contain a provision to preclude the future 

impoundment of water if the plan is approved by the District Manager and documentation is 

included in the abandonment plan to ensure that the following requirements are met: 

(1) A registered professional engineer, knowledgeable in the principles of dam design and in the 

design and construction of the structure, shall certify that it substantially conforms to the 

approved design plan and specifications and that there are no apparent defects. 

(2) The current owner or prospective owner shall certify a willingness and ability to assume 

responsibility for operation and maintenance of the structure. 

(3) A permit or approval for the continued existence of the impoundment or impounding 

structure shall be obtained from the Federal or State agency responsible for dam safety.