“I am formal, what comes next?”: A proposed framework for achieving sustainable artisanal and small-scale mining formalization in Peru

Abstract

Artisanal and small-scale gold mining (ASGM) continues to exponentially increase in developing countries. However, the majority (70–80%) of ASGM operations around the world continue to operate informally without any permits or licenses. In recent years, Peru has had relative success in its ASGM formalization efforts based on the number of formalized miners (10,554 as of May 2022). However, aside from the number of formalized miners, analyses of the persistent socio-technical issues present among formalized ASGM operations are nonexistent. The article draws on four years of field-based research analyzing formalized ASGM operations in three of the most important ASGM regions in Peru (Arequipa, Puno, and Madre de Dios), which account for almost half (46%) of all formalized miners in the country. This article proposes a framework for post-formalization needs, focusing on three-pillars that can support formalized ASGM operations to remain in compliance and improve their practices. The three pillars we develop within the framework are Mining Operations, Business Development, and Partnerships and Collaborations. This research underscores the importance of post-formalization strategies and provides a starting point for host governments including specific elements that should be considered in the development of these plans.