Artisanal And Small-scale Mining Sector Research Articles

Towards sustainable ASM-based livelihoods: The role of institutional arrangements in the formalization of artisanal and small-scale mining

Artisanal and small-scale mining (ASM) is an essential livelihood for millions in the Global South. However, this sector faces numerous challenges, including informality, inconsistent policies, and marginalization. Nevertheless, ASM has development opportunities, and its formalization may help to address some of these challenges. This research emphasizes the role of institutions as a mechanism through which artisanal and small-scale miners can become formal, whereby institutions provide rules and put in place incentives and constraints, reduce uncertainty, create means of exercising power, and influence access to opportunities and choices. This paper presents a case study on the formalization program implemented between 2014 and 2020 through a contractual agreement between a large-scale mining company and several ASM local associations in a gold mining project in Buriticá, Antioquia, Colombia. The contractual system allocated specific areas within the mining concession to ASM operators and agreements on extraction methods, marketing of produced ore, access to geological and mining knowledge, technical capacity, and financial assistance. Formalization allowed ASM operators to adopt technical and business procedures that supported their transformation. The study highlights the barriers that need to be overcome by informal artisanal and small-scale miners and their partners to operate in the formal sector. The Buriticá case study provides relevant insights into the formalization process, identifies various aspects that contribute to the ASM development process, and presents some challenges that policymakers and other stakeholders must consider to address the challenges within the ASM sector.

Youth in artisanal and small-scale mining (ASM) and higher education nexus: Diffusion of innovations and knowledge transfer

Research literature has underscored the growing engagement of youth in artisanal and small-scale mining (ASM). However, no published study has explicitly investigated the symbiotic exchanges on how youth in ASM transfer acquired knowledge and practical skills to educational settings and how they in turn transfer their acquired knowledge in higher education institutions to the ASM sector. Based on our inquiry in Ghana, involvement of educated youth in ASM had resulted in a) diffusion of innovations to the ASM sector, b) skills/knowledge transfer on mineral processing, c) knowledge transfer on health and safety in mining, d) provision of equipment repair and maintenance services, and e) transfer of legal knowledge and processes to the sector. With the transfer of mining-related experiences to educational settings, three sub-themes emerged: f) sharing of ASM experience and knowledge with peers and tutors, g) experiential learning and practical understanding of theoretical concepts, and h) enhanced higher education-ASM industry synergies. In relation to these findings, we argue that the future of the ASM sector in Ghana and broadly sub-Saharan Africa concerning cleaner production and environmentally safe mining practices, to a greater degree, relies on educated youth who hold enormous promise to champion innovation and knowledge transfer to the sector.

Application of triple bottom line concept to artisanal and small-scale mining activities in Wa East District, Ghana

<p align="justify">The artisanal and small-scale mining (ASM) sector offers a supplementary livelihood strategy to agriculture in northern Ghana, acting as a source of capital to support agriculture. However, the sector has been associated with several adverse environmental and socio-economic consequences, making its sustainability dimensions extremely complex and inconclusive across the literature. This study sought to investigate the dynamics of ASM operations in line with the Triple Bottom Line concept. Specifically, the paper explored the influence of the small-scale mining law and institutional framework on ASM operations, examined the relationship between the economic benefits of ASM and other livelihood activities, and assessed the adverse environmental effects of ASM in the host communities. The research design was a mixed method and cross-sectional survey. Household questionnaires, semi-structured interviews and non-participant observation were the main primary data collection techniques. Secondary data were provided by satellite images sourced from USGS Earth Explorer. They were analysed to determine the land cover types. The results indicate that the relevant regulatory state institutions lag behind their law enforcement duty. The ASM is a lucrative job that provides quick income to the youth. However, ASM activities affect food crop farming and decrease the quantity and quality of vegetation causing variations in land cover. Consequently, the host communities and ASM cooperatives have employed some land reclamation strategies. The study recommends increased government support to the relevant regulatory state institutions to constantly monitor and sanitize the ASM sector. To eradicate illegal mining, the study advocates for multi-stakeholder consultation and action.</p>

A proposed DEMATEL based framework for appraising challenges in the artisanal and small-scale mining sector

The Artisanal and Small-scale Mining (ASM) sector is a source of livelihood for many people that cannot get white-collar jobs. However, the sector has a plethora of challenges that threaten its economic stability and/or growth. These need to be mitigated or ameliorated through strategic policy response. To attain this, the criticality levels of challenges should be quantitatively assessed based on their intensity and ability to influence or cause other challenges. Currently, no quantitative framework has been developed for this undertaking. Therefore, in this paper, a DEMATEL based framework integrating an expert questionnaire survey, intensity-influence scoring matrix, and sensitivity analysis has been proposed. The framework identifies and ranks critical challenges to prioritize policy response. To illustrate its practical application, it was applied in the assessment of challenges in Zambia's artisanal and small-scale manganese mining sector. Results show that the number of highly, mildly, and tolerably critical challenges are three, four, and one, respectively. Highly, mildly, and tolerably critical challenges are those having a criticality rating of (12–25), (6–10), and (1–5), respectively. The proposed framework has the potential to be used by governments to aid the systematic and strategic formulation of policies that can mitigate critical causal challenges to attain economic stability and/or growth of the ASM sector.

Governance challenges in Ghana’s artisanal and small-scale mining (galamsey) sector: Is stakeholder interaction the way forward?

Artisanal and small-scale mining (ASM) operations have surged in Ghana in recent years causing many environmental and social problems. The government has employed the military to eradicate illegal mining operations. However, despite the military’s countless efforts to clamp down on these illegal miners, it appears their involvement is not yielding the expected outcome. Several forms of collaboration and collusion are reported in the literature to have taken place between the illegal miners and the local stakeholders. However, little attention is given to how the interaction between the various stakeholders in the ASM sector can help remedy the galamsey menace. Drawing on the collaborative stakeholder participation perspective in natural resource governance and a qualitative research approach, this paper looks at the small-scale mining sector conundrum and how collaborative stakeholder engagement can contribute to transcending the problem. Results show that the collaboration between the stakeholders seldom involved key community actors like the chiefs and landlords in granting small-scale mining licences. We call for strong collaboration between the stakeholders as a good step to fighting illegal mining activities in Ghana. The study contributes to knowledge on enhancing collaborative mineral resource governance in developing countries.

Graduate unemployment, artisanal and small-scale mining, and rural transformation in Ghana: What does the ‘educated’ youth involvement offer?

In the face of rising graduate unemployment, an increasing number of graduates in Ghana has joined the artisanal and small-scale mining (ASM) sector. Hitherto, graduates were reluctant to take up jobs in ASM let alone move into rural areas to engage in ASM. In light of these ongoing employment dynamics, we investigate the reasons why educated youth in Ghana join the ASM sector by using digital interviewing methods (2 phone and 17 WhatsApp instant messenger interviews). Further, we examine how university graduates' involvement in ASM transforms the rural communities they work in and how they are in turn shaped by the communities. These rural transformations have important policy considerations for this distinct youth group due to their ‘non-typical’ association as ASM workers and how formalisation within the sector can increase the gains they actualise from the sector as a source of employment. We find that most university graduates join ASM because of four reasons: 1) ASM serves as a primary livelihood source because of lack of alternatives, 2) lack of employment opportunities (graduate positions) in the cities, 3) for income diversification, and 4) opportunity to start a business in a profitable sector/higher remuneration in ASM compared to other employment sectors. Among other things, graduates' involvement in ASM transforms rural communities in the following ways: 1) reconfiguring the spatial mobilities of graduate employment avenues towards rural areas, 2) promoting locally-anchored community development, 3) stimulating local economy through linkages to other sectors/industries, and 4) influencing rural labour dynamics in ASM communities. Given these dynamics of rural transformation, educated youth involvement in ASM questions the singular conceptualisation of ASM as ‘a poverty-driven activity’ and helps scholars to reconceptualise and recontextualise ASM considering the view of ASM as an ‘entrepreneurial activity', and ‘a community activity' for traditional authorities to generate funds for local development. The policy implications of our findings on the formalisation of ASM and the promotion of youth employment in the ASM sector in Ghana and potentially, elsewhere in Africa are discussed.

Gender equality in artisanal and small-scale mining in Ghana: Assessing progress towards SDG 5 using salience and institutional analysis and design

Although a growing body of research emphasizes the role of women in artisanal and small-scale mining (ASM) in developing countries, gender inequality is still persistent in the sector. The paper investigates whether ASM sector policies integrate gender equality principles of the United Nations Sustainable Development Goals (SDGs). In particular, we analyze the implications of formalization policy and a ban on informal mining for the attainment of SDG 5 (Gender Equality) using a qualitative case study of informal gold mining in Ghana. In this study, we assess how these solutions to ASM governance engage with gender equality targets and women’s participation in the governance functions using Salience and Institutional Analysis and Design (SIAD) framework. We highlight policy shortcomings with regards to internationally agreed targets on gender equality and draw recommendations for formalization policies in the ASM sector.

‘Age is just a number’: Articulating the cultural dimension of child labour in Africa's small-scale mining sector

This paper engages critically with socio-cultural debates on child labour in sub-Saharan Africa, with a view toward articulating more comprehensively why young boys and girls pursue so-called ‘hazardous’ work in the region's artisanal and small-scale mining (ASM) sector. Today, a discourse of ‘forced (child) labour’ propelled by images of, and anecdotal claims made about, the ASM sector is being widely promoted across sub-Saharan Africa, despite little being known about the social context within which the region's children live. Drawing on a qualitative case study of child labour in Ghana's ASM sector, it is argued that, at the community level, views on maturity and readiness to enter the labour market contrast sharply with the ideas underpinning the concept of ‘childhood’ at the heart of legal and policy frameworks for child protection and child labour eradication. Both have historical roots in Western elite and middle-class milieus.

Safety concerns and occupational health hazards of women in artisanal and small-scale mining in Ghana

Due to the organisational logics and structures within artisanal and small-scale mining (ASM) – low-tech, labour-intensive mineral extraction and processing – being male-dominated, women's health and safety concerns are poorly understood and not given the needed practical and policy considerations. This paper draws on field observations and interviews with 49 women directly engaged in artisanal and small-scale gold mining in the Prestea-Bondaye mining area in Ghana to explore the safety concerns of women in the ASM sector and their exposure to occupational health risks at the informal ASM sites. Lack of regulations and guidelines regarding safety protocols at mine sites, non-usage of personal protective equipment, odd working hours and poor physical conditions were found to be the primary occupational health and safety (OHS) concerns of women in ASM. Other findings, including the creation of risky and dangerous pits within the abandoned open mine pits of large-scale mining companies, carrying of mineralised materials in head pans, and the lack of childcare support at ASM sites, also exposed women to various occupational health and safety risks. We argue that women's health and safety needs in ASM stand to benefit when ASM operations are formalised as well as the gendered structures that influence sex roles and decision-making at mine sites are transformed. We call for a practical decentralised approach that builds on collaboration between relevant local institutions to conduct regular monitoring at ASM sites and to ensure ASM employers comply with OHS regulations.

Mineral exhaustion, livelihoods and persistence of vulnerabilities in ASM settings

Formalisation of the artisanal and small-scale mining (ASM) sector has come to dominate the discourse on mineral exhaustion, livelihoods, and the persistence of vulnerabilities in ASM settings. Often touted as a panacea to curbing the excesses of informal mining operations, the calls for the formalisation of ASM operations continue unabated. In this paper, we explore how the operations and management practices in the growing formal ASM sector are formulated and (re)negotiated in practice. We develop our contribution in the context of a formalised small-scale mining operator in Ghana, focussing on its organizing practices and operational outcomes within the contingencies of organizing to explicate how livelihoods and vulnerabilities persisting in ASM settings are identified and labelled in practice. The data for our inquiry come from ethnographic interviews with management and staff. Our findings, in emphasizing, but also nuancing, what has come to be known as the ‘mineral-exhaustion-vulnerabilities’, provide insights into how the organizing practices induced by formalisation cohere to support socio-economic and environmental mitigation efforts. We note that the persistence of vulnerabilities, rather than the lack of mitigation mechanisms, is largely influenced by profligacy and the incipient lack of investment culture. We conclude by highlighting the need for sustainability mechanisms, based on exit strategies for ASM operators, to tie in with comprehensive policies and lessons on income diversification and investment.

Competency oriented management for sustainable artisanal and small‐scale mining sector development in Ethiopia

AbstractThe continued decline of artisanal and small‐scale mining (ASM) sector gold supply through the legal scheme in Ethiopia reflects sector management framework failure. The current result‐based management framework tends to focus on monitoring and tracking mining activities with the main objective of collecting revenue, and it has been demonstrated to be a bad approach. Therefore, this study proposed a competency‐oriented sector management framework. The concept behind the proposed framework revolves around identifying sector elements that help define appropriate sector structure, institutions, processes, and organizational interlinks where a subtle balance between economic, social, and environmental aspects of the ASM sector is maintained. To identify the elements, the research follows two‐step analysis approaches. First, the study conducted a problem analysis in the ASM in Ethiopia and identified key sectorial challenges from literature and the perceptions, opinions, and beliefs of stakeholders through individual interviews and focused group discussion in a semi‐structured context. From collected resources, initial codes were generated, and then themes were identified from the codes. The identified ASM sector themes/elements are governance in ASM, community development, methodological advancement, technology transfer, and environmental conservation. The study discusses the scope and the source through which the elements have been defined. Established sector elements are employed to perform a gap analysis of the legal and organizational structures of the sector's institutional framework. And the assessment found there is a serious mismatch between sector elements and sector institutional formation, where the study found sector planning, monitoring, and evaluation lack to encompass social and environmental aspects of the sector. Therefore, the study recommends rewiring the current sector management where sector competencies gain representation in the ASM institutional formation. This will facilitate a clear sector evaluation and establish a sense of accountability in sector management.

Between the Africa Mining Vision and the neo-patrimonial state: The agency gap in Ghana’s regulation of artisanal and small-scale gold mining

ABSTRACT This article critically examines the discourse of African agency in global affairs via Ghana’s failure to implement the artisanal and small-scale mining (ASM) component of the Africa Mining Vision (AMV). If implemented effectively, the AMV would serve as a signal example of African agency, demonstrating the capacity and autonomy of African states to govern their natural resources in the interests of their own development. One of the pillars of the AMV is a well-governed ASM sector, to promote sustainable rural livelihoods in Africa. However, in the case of Ghana, a leading member of the Africa Union, it is argued that neo-patrimonial practices have contributed immensely to a failure to implement its ASM policies. This fact points to a gulf between collective African agency on the global stage and the acute ineffectiveness of African states to implement the AMV, a continental development blueprint which has often been used to illustrate this very agency.

Effects of the Mining Legal Framework on Women Participation in Artisanal and Small Scale Mining: Lessons from Taita Taveta County (Kenya)

Artisanal and small-scale mining (ASM) is increasingly the focus of the national efforts to effectively regulate the sector as an initiative to ameliorate national benefits by increasing women participation in the sector while seeking to address challenges that they face. Despite women’s participation in the ASM sector being estimated at nearly 50% in the mining areas, their significant participation has largely been overlooked. The study investigated the effect of legal framework on women participation in ASM. To achieve this, the study used data from a cross-sectional survey of 146 women working at different nodes of the ASM sector in Taita Taveta County. Descriptive statistics and linear regression was employed to analyse data. The results show that the requirements for mining permits have a positive effect on women participation in ASM while the process of obtaining a mining license had a negative influence. We recommend policy frameworks that facilitate easy access to mining licenses by women in the ASM sector. Specifically, there is a need to establish a field office for offering the ASM mining licenses and reduce bureaucracies associated with obtaining mining permits.

Engendering regulation of artisanal and small-scale mining: participation, protection and access to justice

This article argues that adopting a gender perspective when regulating artisanal and small-scale mining (ASM) is both necessary and achievable. The authors analyse women’s often-ignored needs and experiences as workers, decision-makers and affected community members in the ASM sector. To address these concerns, this article sets out standards for regulating ASM to guarantee women’s access to services and information and women’s decision-making and representation; to address the specific risks women face in the sector; and to provide access to effective remedies. The authors use international instruments to identify good practice benchmarks from which legislators and policymakers can draw. The article also notes where global norms fall short of addressing women’s rights in ASM. Some of the limitations of this approach are also acknowledged, notably the challenge of establishing gender-responsive laws that can be feasibly and effectively implemented. Nonetheless, the proposed approach should be favoured to better respond to the highly masculinised nature of the sector and the differentiated impacts of ASM on men and women while recognising women’s roles as beneficiaries and productive agents of the sector.

State-led efforts to reduce environmental impacts of artisanal and small-scale mining in Tanzania: Implications for fulfilment of the sustainable development goals

Improved environmental management is key to several of the sustainable development goals (SDGs). This paper focuses on the interaction between formalization of the Artisanal and Small-scale Mining (ASM) sector in Tanzania, and the regulation of negative environmental impacts. Key environmental impacts associated with ASM in Tanzania include: deforestation, use of mercury and cyanide in gold processing, dust and noise pollution, generalized water pollution, soil contamination, and failure to properly reclaim mining areas, and/or secure or fill-in mine shafts. Previous studies found that the Tanzanian regulatory framework was not well suited to the needs of the ASM sector, governance of ASM environmental issues was overly centralized, and environmental awareness amongst miners was low. Over the past five years, the Tanzanian government has reformed environmental regulations in the mining sector and has attempted to formalize ASM. It has also aligned some of its development targets to the SDGs. This paper describes current environmental regulations and policies, discusses actual and potential linkages to formalization initiatives, and assesses the capacities of different stakeholders to regulate and reduce environmental impacts, in the context of the SDGs.

Effect of illegal small-scale mining on basic education of children in rural communities in Ghana: perspectives for future development

ABSTRACT Despite the substantial contribution of Artisanal and Small-scale Mining (ASM) to economic growth and livelihood diversification, the activities of this highly informal sector pose diverse challenges. Environmental pollution and social problems can hinder development. The study examined the problem of illegal mining and the factors that influence children to participate in ASM; through a survey of 186 participants and stakeholder interviews. The results showed that at least one child from each household was involved in ASM because of poverty. The findings highlight the need to formalize the ASM sector to reduce the negative impact, support operators, and promote best practices.

Coexistence and conflict between artisanal mining, fishing, and farming in a Peruvian boomtown

A global boom since the early 2000s has spurred major mining projects as well as major social conflicts, with South America standing as a central example on both fronts. Artisanal and small-scale mining (ASM) has also boomed, but academic research on mine-community conflicts has seldom considered the ASM sector. This paper examines the dynamics of conflict and coexistence between mining and other rural livelihoods in a Peruvian ASM boomtown. We analyze ASM-livelihood dynamics through the lenses of water, land, economic tradeoffs, immigration, social and power dynamics, and history and previous conflict – all themes identified in the literature on conflicts around large-scale mining (LSM). In our study site, ASM activity did not physically displace communities or other livelihoods, as often occurs with large-scale mines. We found a baseline acceptance for ASM activity, based on perceptions of economic improvement and historic incorporation of informal mining within the local livelihood mix. However, this acceptance was fragile, threatened by the rapid pace of ASM growth, immigration and social change, and uncertainty about water contamination that could undermine other livelihoods. Weighing the contrasting realities and pressures in our study site, we conclude that ASM could coexist with other livelihoods, though it is far from certain whether this will play out in practice over the long run.

Customary governance of artisanal and small-scale mining in Guinea: Social and environmental practices and outcomes⋆

In Guinea, attempts are underway by international donors, development practitioners, and the national government to bring artisanal and small-scale diamond mining in line with a formal regulation and parcel allocation system. This formalization initiative in Guinea—along with similar reforms aimed at land tenure regularization across Africa—attempt to superimpose modern legal institutions onto community institutions. Artisanal and small-scale mining (ASM) in Guinea’s Forécariah and Kindia regions is currently governed by customary governance structures and deeply rooted customary institutions for land and property rights management. Thus far, formal structures have failed to replace or integrate with customary institutions. Identifying how to achieve complementarity between informal and formal systems that are defined by deep cultural and structural tensions requires a solid understanding of customary institutions (Ensminger, 1997). This paper analyzes social and environmental practices and ASM outcomes in an area with a history of strong informal customary governance. The study has three research objectives. First, the study seeks to provide a deeper understanding of the customary institutions and systems governing ASM in Guinea’s Forécariah and Kindia regions. Second, the paper draws on empirical analysis of village level quantitative and qualitative data to identify whether and how customary governance and institutional factors affect social and environmental outcomes in the context of ASM. Based on these findings, the paper closes with concrete policy recommendations for promoting greater complementarity between the formal and informal systems. Given the scale and scope of quantitative and qualitative data sources applied to the analysis, this study utilizes the most comprehensive empirical data to-date on ASM in a customary context. As such, this paper presents a unique contribution to the literature around customary governance, resource contestations, and land governance for mining communities and the ASM sector in sub-Saharan Africa.

Evaluating the impact of small-scale mining on the achievement of the sustainable development goals in Guyana

The artisanal and small-scale mining (ASM) sector in Guyana has, over the last decade, become the main engine for economic growth, the key source of foreign exchange and a vital source of employment across the country. It has therefore served as a vital driver in alleviating poverty and helping the country to make progress on the Sustainable Development Goals (SDGs) relating to poverty and economic growth. At the same time, however, the sector has contributed to significant levels of deforestation and water pollution, threatening progress on other SDGs. In this paper we develop a framework that allows an evaluation of the impact of the sector upon progress towards a variety of the relevant SDGS and their accompanying targets and indicators. We extend this framework by presenting valuations of the environmental and social impacts from the ASM sector and compare this to the economic benefit from the sector in terms of contribution to GDP, foreign exchange, taxation and indirect employment benefits, allowing us to understand the trade-offs involved in the use of the ASM sector as a tool for achieving the SDGs. Our assessment shows prominent economic benefits crucial for the country to achieve the economic related SDG targets but at a significant social and environmental cost that will hinder the country achieving the social and ecological SDG targets. The framework presented in this paper can thus be used to identify policy areas that need prioritizing in order to address the social and ecological costs associated with ASM whilst maintaining and possibly improving the economic prosperity it provides.

Household dynamics and the bargaining power of women in artisanal and small-scale mining in sub-Saharan Africa: A Ghanaian case study

With the increasing participation of women in artisanal and small-scale mining (ASM) across many sub-Saharan African countries, the ASM sector offers women artisanal miners considerable income that gives them better opportunities at household decision-making. While the existing literature has widely studied intrahousehold dynamics in domains such as agriculture and health, very little is known about the bargaining power of women in ASM and their household dynamics. Through in-depth interviews with 49 women artisanal miners in Prestea-Bondaye mining area in the Prestea-Huni Valley Municipality of Ghana, this paper considers how women's engagement in ASM changes the dynamics within their households and impacts their bargaining power. Findings showed that most women artisanal miners were not in support of pooling income with their husbands with most of them using their income to alter the dynamics of household decision-making concerning food to cook for the family, children's education and family size. Extended family relations as a form of social norm were found to determine women artisanal miners' decision not to pool income with their husbands. The findings, therefore, problematise the unitary model of household decision-making and provide a nuanced analysis of rural household power dynamics in a mining context, which is grossly unexplored. However, various aspects of intrahousehold bargaining models – cooperative, non-cooperative and collective – were found under different circumstances depending on the household needs and artisanal women miners' relations with husbands and their extended family. Findings also showed that women's participation in ASM was changing household dynamics, particularly sexual interactions with their partners and childcare responsibilities. Although women's participation in ASM results in higher levels of bargaining power, the Minerals Commission of Ghana, gender advocacy institutions and other relevant stakeholders must engage in policy discussions to streamline women's activities and find possible ways of dealing with their challenges in the sector.