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Responding to the challenge of artisanal and small-scale mining - Report-IIED

Responding to the challenge of artisanal and small-scale mining - Report-IIED



How can knowledge networks help?

How can knowledge networks help?



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    Responding to the challenge of artisanal and small-scale mining - Report-IIED Responding to the challenge of artisanal and small-scale mining - Report-IIED Document Transcript

    • Sustainable Markets Responding to the challenge of artisanal and small-scale mining How can knowledge networks help? 2013 Abbi Buxtonwww.iied.org www.iied.org
    • IIED Sustainable Markets papersThis paper was produced by IIED’s Sustainable Markets Group. The Sustainable Markets Groupdrives IIED’s efforts to ensure that markets contribute to positive social, environmental and economicoutcomes. The group brings together IIED’s work on market governance, business models, market failure,consumption, investment and the economics of climate change.Published by IIED 2013Citation: Buxton, A. 2013. Responding to the challenge of artisanal and small-scale mining. How canknowledge networks help? IIED, LondonCover photo © Abbi Buxton: small-scale mining of tin in East AfricaSustainable Markets GroupInternational Institute for Environment and Development80–86 Gray’s Inn Road, London WC1X 8NH, UKTel: +44 (0)20 3463 7399Fax: +44 (0)20 3514 9055email: info@iied.orgwww.iied.orgISBN: 978-1-84369-911-8A catalogue record for this paper is available from the British Library.This publication can also be downloaded from: http://pubs.iied.org/16532IIED.html
    • Responding to the challenge ofartisanal and small-scale mining How can knowledge networks help?
    • The authorAbbi Buxton is a Researcher in IIED’s Sustainable Markets Group. She leadsIIED’s research in mining. This includes research reviewing the mining andsustainable development agenda (against that laid out by the Mining, Mineralsand Sustainable Development programme in 2002) and research on thegovernance of large-scale extractives such as the use and implementation ofFree, Prior and Informed Consent. Abbi is the lead on IIED’s work on artisanaland small-scale mining, including the knowledge and network programmeproposed in this paper. Abbi joined IIED in 2010, prior to which she workedin the private sector. Her research-based expertise is in market-baseddevelopment, small-scale producers and values chains. Abbi has an MSc inDevelopment Management from the London School of Economics.For further information contact: Abbi Buxton abbi.buxton@iied.orgSarah Best, Interim Programme Lead, ASM Knowledge Programme sarah.best@iied.orgAcknowledgementsI would like to thank IIED colleagues Duncan Macqueen, James Mayers,Steve Bass, Bill Vorley, Emma Wilson and Emily Benson who all gave theirtime and insights in research for this paper. Thank you to the range of ASMsector stakeholders who took time to talk to me and share their thoughtson the sector. Special thanks to Karen Hayes of PACT for her feedback andcomments on an earlier draft.
    • contentsContentsExecutive Summary vIntroduction11: What are the ASM challenges? 31.1  Mapping ASM activities 3 1.1.1  Understanding the scale and contribution 3 1.1.2  Understanding the diversity 4 1.1.3  Understanding ASM’s counterparts  41.2  Mapping the issues 5 1.2.1 Vulnerability 6 1.2.2 Marginalisation 6 1.2.3 Informal 6 1.2.4  Facing inherent structural challenges 72: Using knowledge to meet ASM challenges 112.1  What is the role of knowledge? 112.2  Mapping knowledge and policy in the ASM sector 13 2.2.1  The stock of ASM knowledge  13 2.2.2  The flow of ASM knowledge  13 2.2.3  Demand for ASM knowledge  13 2.2.4  The ASM knowledge-policy interface  142.3  Knowledge and network programmes 14 2.3.1  A virtual network  14 2.3.2  A knowledge review  15 2.3.3  A dialogue series 15 2.3.4  Learning groups 15 2.3.5  Large events 16Conclusion: What next for designing a knowledge programme for ASM? 17Annex 1: Excerpt from the summary of outcomes of the Roundtable on the future of CASM 19Annex 2: Case studies on IIED’s knowledge programmes 21Forest Connect 21Forest Governance Learning Group (FGLG) 23The Forests Dialogue (TFD) 25Poverty and Conservation Learning Group 27References29
    • Boxes, Tables and FiguresBox 1: Defining artisanal and small-scale mining (ASM) 1Box 2: Defining ‘policy’  11Box 3: ‘Top-down’ and ‘bottom-up’ 11Table 1: Estimated number of ASM miners in different countries 3Table 2: Mapping the problems and challenges of ASM  7Table 3: Different types of knowledge 12Table 4: Examples of FGLG outputs 24Figure 1: Diversity in poverty-driven ASM  4Figure 2: The ASM Poverty Trap (Barry 1996 modified in Hilson 2012) 5Figure 3: Forest Connect’s iterative process of action learning  22
    • executive summaryExecutive SummaryArtisanal and small-scale mining (ASM) includes 20–30 doesn’t work. However, much of it is neither written down normillion people worldwide, with three to five times that number publicly shared. This is symptomatic of poor coordination andindirectly supported through their activities. Yet development sharing between development practitioners, consultants anddonors, governments, wider industry players and NGOs often large-scale mining companies working with ASM communitiesneglect this sector, focusing on ASM’s negative impacts across the world.rather than on addressing its structural challenges to improve Marginalisation and informality means very little knowledgethe sector’s opportunities for sustainable development. from ASM communities reaches and influences policymakers.ASM can be a resilient livelihood choice for people who are Yet this knowledge is invaluable in understanding localvulnerable or looking for economic diversity in their livelihoods. opinions and values and testing interventions for localIn fact, ASM generates up to five times the income of other relevance and practicality. The failure to capture this ‘citizen-rural poverty-driven activities in agriculture and forestry. knowledge’ perpetuates uncertainties on both structuralThe sector employs 10 times more people than does the challenges and potential policy innovations for ASM.large-scale mining sector, and stimulates considerable local Better knowledge on ASM, which also addresses theeconomic development around ASM sites. accessibility and visibility of what is currently known and usedSection 1 of this document reviews what is known about by policymakers, is essential for effective policy influencethe challenges in the ASM sector. The environmental and and innovation. This knowledge needs to feed into nationalsocial impacts of ASM can be dire but so are the structural policy and institutional improvements to achieve changechallenges underlying them. ASM is, for the most part, a ‘on the ground’ but also international industry initiatives andpoverty-driven livelihood chosen by people who are both international sustainable development initiatives, where ASMvulnerable and marginalised. The diversity of sector players is currently poorly represented.(including women, children, migrants and the most vulnerable) Section 2 explores how a ‘knowledge intermediary’, which actsmeans considerable diversity in the drivers and incentives to link knowledge with policy, could address these gaps in thefor ASM activity. The sector’s structural challenges include: ASM sector. A knowledge programme or network achievespoor laws, policies and implementation and government impacts at the local, national and/or international level by:marginalisation or repression; cultural marginalisation andexclusion of certain demographic groups; uncontrolled ■■ Helping participants find their way through dispersedmigration; low barriers to entry into informal or illegal ASM informationwith its poor social and environmental protections; poverty- ■■ Ensuring wider understanding of little-known or little-driven, short-term decision making; poor access to financial understood ideasservices, market information, technology, and geological data;political exclusion and ‘policy blindness’; and a serious lack of ■■ Providing participants with the resources, capacities anddata on ASM individuals and communities that reveal the true skills to impact policy change through knowledgescale, nature and contribution of the sector. ■■ Bringing together a diverse range of stakeholders and building a community of shared values and standardsOne of the primary obstacles to addressing these challengesis poor coordination and use of what is, and an identification ■■ Enabling participants to carry out their individual activitiesof what isn’t, known about the sector from researchers, more effectively through learning from their peerspractitioners and miners and communities themselves. Section There are many different ways of organising a knowledge2 of this document discusses the gaps in both the stock of programme, depending on a sector’s particular needs. IIED’sknowledge on ASM and the way in which existing knowledge experience in this area points to a number of options thatflows to influence policy at a national and international level. have been particularly successful in improving national andThere is a large amount of practice-informed knowledge in the international policy in different natural resource sectors —ASM sector, offering ‘hands on’ experience of what does and outlined in Section 2 and covered in more detail in Annex 2.
    • Responding to the challenge of artisanal and small-scale mining IThis document suggests a mix of options to address ASM’s small-scale miners into these groups so they can helpparticular needs and challenges: identify local problems, challenges and possible solutions would specifically address the obstacles to citizen1. Establish a ‘virtual network’ centred on an interactive knowledge flow into national policy. Such learning groups website database of projects, research, organisations can also take place across a number of countries with and events as a solid base for information-sharing international coordination to facilitate cross-country and knowledge coordination across a large number of knowledge sharing and international policy influence and interested stakeholders. Regular updates, analysis and innovation. horizon scanning of sector knowledge would ensure that users remain engaged with current understanding in ASM. 4. Set up a series of in-depth dialogues that bring together a diverse range of stakeholders to address2. Conduct a ‘knowledge review’ by drawing on research, particularly contentious issues in the sector. These can practice-informed and community- (or citizen-based) be local, regional or international dialogues that address knowledge to design a tool for collecting baseline data on different issues at different times – working through a ASM communities. This tool should (a) allow policymakers process of knowledge synthesis and problem identification to understand and respond to the diversity and structural to reveal options and build consensus across sector challenges of the sector and (b) identify ‘success metrics’ stakeholders to build on synergies of influence and for monitoring the effects of policy on ASM. innovation.3. Employ IIED’s ‘learning group’ model to convene select individuals within a country who meet, exchange Shared knowledge on ASM’s diversity of causes, motivations ideas and information, learn together and then put their and outcomes is the key to ensuring locally appropriate shared knowledge into action in their own working development responses for this important and neglected environment or networks. Incorporating artisanal and sector.
    • INTRODUCTIoNIntroductionThere are 20–30 million artisanal and small-scale miners environmental damage (particularly through the useacross the world (see Table 1 for a breakdown by country) of mercury in gold mining) to the use of ASM revenueand the sector supports three to five times more indirectly. to finance conflicts, the social disruption and conflictHowever, there are no reliable figures, and this is symptomatic sometimes caused by ‘rush’ operations, the high incidenceof a broader neglect and misunderstanding of the sector. of prostitution, and the spread of HIV/AIDS where migrant workers are involved. Box 1: Defining artisanal and small- At the extreme, governments consider the sector illegal and attempt to ban it through different means. In many scale mining (ASM) cases (since ASM falls outside the regulatory framework), Definitions for ASM are disputed; section 1.1 explores the they simply neglect it, thereby allowing negative social and diversity in the sector, including difference in scale, legality, environmental impacts to be aggravated … demographics and seasonality. But broadly speaking, The relationship between large companies and small-scale ASM operations exploit marginal or small deposits, lack miners is poorly understood and often troubled, with mutual capital, are labour intensive, have poor access to markets mistrust and sometimes conflict…” and support services, low standards of health and safety and have a significant impact on the environment (MMSD However, there has been some progress over the past decade 2002:315). In this paper we use the phrase ‘artisanal and (Buxton 2012). MMSD tasked governments with responsibility small-scale mining’ and the abbreviation ‘ASM’ to mean for ASM and some have adopted more inclusive policies mining activities fitting this description. (including Uganda, Sierra Leone, Mongolia and Ghana), increasingly recognising ASM as a legitimate route out of poverty (Ethiopia is an inspiring case study). OrganisationsASM occurs in some of the most remote areas in the world and including Oro Verde, Fairtrade International, and the Allianceinvolves some of the world’s poorest people. Despite the scale for Responsible Mining (ARM) have worked towards ethicalof need, many development donors and programmes don’t supply chains for minerals, creating the Fairtrade and Fairminedengage with the sector, seeing ASM livelihoods as undesirable Gold Standard and highlighting the sector’s ability to leadand fearing that engagement may perpetuate illegal or innovation and change.dangerous activities. So ASM continues to be underfundedand neglected compared to other rural, poverty-driven activities The World Bank’s Communities and Small-scale Miningsuch as small-scale agriculture, forestry and fisheries. Each of initiative (CASM), launched in 2001, improved understandingthose were mentioned in the post-Rio 2012 ‘Future we want’ of the sector, envisioning a positive livelihoods approachvision as important contributors to sustainable development. to ASM and responding to the need for cross disciplinaryArtisanal and small-scale miners were not mentioned at any solutions and improved coordination between the majorpoint in the document. stakeholders. Funding constraints restricted the initiative’s impact and eventually led to its closure. Although CASMThe large-scale mining sector (LSM) is often in conflict with continues in name it is the technical assistance and capacityASM over land and resources, and governments tend to favour building events that the World Bank is investing in rather thanLSM or focus on top-down formalisation initiatives that fail to the knowledge and network programme.recognise the inherent structural challenges ASM faces. Yet demand for CASM’s networking and knowledgeThe problem framing has changed little since the Mining, generation role continues. An independent review of theMinerals and Sustainable Development project of 2002 CASM programme in 2010/2011 identified the value and(MMSD 2002:314): demand for a more active and responsive network and ASM activities are often viewed negatively by governments, knowledge programme “designed and resourced to actively large companies, environmentalists, and others. Concerns seek and make connections between key ASM actors and range from the use of child labour and the potential for activities, as well as to distil and promote lesson learning I 1
    • Responding to the challenge of artisanal and small-scale mining Ifrom ASM products and literature” (Resolve 2010:3).1 Such Section 1 explores existing knowledge and experience ona programme would ensure representation of ASM issues ASM. It maps the key problems affecting the ASM sectorin major international fora and offer a space for dialogue (as articulated by both stakeholders and the literature) andbetween stakeholders at both regional and international levels, highlights some of the known structural challenges preventingeffecting change in both public and private policy design and sustainable development. Section 2 looks at how knowledgeimplementation. might influence policy, maps the knowledge–policy gaps in the ASM sector and discusses how ‘knowledge intermediaries’This paper lays the conceptual groundwork for such a can act to fill knowledge gaps. The paper concludes by settingknowledge and network programme by: out how an improved knowledge and network programme1. Outlining the artisanal and small-scale mining challenges could address the challenges of the ASM sector through based on major sustainable development thinking; and knowledge and policy innovation.2. Sharing IIED’s experience and understanding of knowledge programmes and networks that may work to meet the particular knowledge and policy gaps in the ASM sector.1  See Annex 1 for the programme options proposed by Resolve and discussed in the CASM Roundtable in 2010. In that list of programme options, CASM 1.0 referred to the work of theexisting CASM – primarily a website database and yearly conference. CASM 2.0 describes the more active and responsive network and knowledge programme discussed here. And CASM3.0 refers to the in-country capacity building and technical assistance work that now provides the basis for the World Bank’s CASM programme.2 I IIED
    • Section 1: What are the ASM challenges?1: What are the ASM challenges?1.1  Mapping ASM activities Table 1: Estimated number of ASM miners in different countries1.1.1  Understanding the scale andcontribution Country Number of MinersEstimates of artisanal and small-scale miners vary from 20 to Bolivia 72,00030 million. The last official figures were 10 million (includingup to 50 per cent women and 10 per cent children), Brazil 10,000estimated by the International Labour Organization (ILO) Burkino Faso 100,000–200,000in 1999. Over the past 10 years numbers have increaseddramatically (see Table 1 below) — driven by a host of factors Central African Republic > 100,000including increasing gold prices (rocketing from $290/ China 3,000,000–15,000,000ounce in October 2001 to $1740/ounce in October 2011),new conflict areas where ASM activity can be a source for Democratic Republic of Congo 2,000,000funds (particularly in the Democratic Republic of Congo), Ecuador 92,000and increased demand for minerals such as tin, tantalumand tungsten (all used by the booming personal electronics Ghana 180,000–200,000industries). India 12,000,000Overall, artisanal and small-scale mining contributes 15–20 Indonesia 109,000per cent of global minerals and metals. Within this, the sectorproduces approximately 80 per cent of all sapphires, 20 per Malawi 40,000cent of all gold and up to 20 per cent of diamonds (Estelle Mali 200,000Levin Ltd 2012).ASM operates in over 80 countries and is the dominant Mongolia 40,000–60,000livelihood in some. In the Central African Republic two- Mozambique 60,000thirds of people are estimated to rely directly or indirectly onartisanal diamond mining and conservative estimates suggest Nepal 120,000it injects as much as $144.7 million into the economy (Eftimie Pakistan 400,000et al. 2012). In Bolivia, mining makes up approximately 40 percent of the foreign current incomes from exports, 32 per cent Philippines 185,400–300,000of which comes from ASM, with 85 per cent of the mining Papua New Guinea 50,000–60,000sector’s total employment in small mining cooperatives andmines (ILO 2005:6).. In Mongolia, local economies near South Africa 10,000mining are worth an estimated $505 million annually (Eftimie Sri Lanka 165,000et al. 2012). Tanzania 550,000 Uganda 196,000 Zambia 30,000 Zimbabwe 350,000–500,000 Sources: Hayes 2007, Hentschel et al. 2002, Hinton 2009, 2011a, Krishnara and Shah 2004 and Lahiri-Dutt 2008 in Eftimie 2012:7 I 3
    • Responding to the challenge of artisanal and small-scale mining I1.1.2  Understanding the diversity and vulnerable miners, driven by poverty. ASM may also be aASM shows considerable diversity in scale (from rudimentary coping mechanism for shocks (‘shock-pull mining’) — such asmining with picks and shovels to small-scale mining with loss of employment, conflicts or natural disaster.simple machinery) and in employment (from ‘diggers’ to the So although ASM groups may face the same problems — such‘miner’ or ‘gang leader’). ‘Diggers’ tend to be wage labourers as child labour, mercury use, illegal trade — their structuralwho are excavating, washing, hauling, picking and sorting challenges and drivers can be very different. Policy responseswaste and transporting or providing security. Different terms need to understand mining communities’ varying incentivesare used in different cultural contexts, and each role tends to and the particular challenges facing different groups withinhave its own local incentives and accountability structures. those communities. Figure 1 sets out the diversity in poverty-Diggers often include women, the elderly, and children. driven ASM graphically.They are hired by the miner or gang leader — owner of theequipment, ghetto or pit — who bears all the costs and setsthe terms of employment. 1.1.3  Understanding ASM’s counterpartsMost ASM is informal — operating in the absence of an Counterparts in large-scale miningapplicable or appropriate legal framework. However, some The large-scale mining (LSM) sector employs approximatelyminers operate within a legal framework, holding land titles 2–3 million people. ASM employs roughly 10 times more,and government permits, paying taxes and subject to social with earnings varying greatly from subsistence amounts toand environmental regulations (Gamarra Chilmaza 2005). $2,400 a year for gold miners in Indonesia (Telmer 2007)This is termed ‘legal’ or ‘formal’ ASM. Others are illegal — (although the average for gold miners is $5–15 a day)operating in contravention of an applicable or appropriate (Siegel and Veiga 2010). Large-scale mining can make hugelegal framework. revenue contributions through national taxes, but benefits do not always reach local and poorer communities. In contrast,Miners can be local people or migrants from within country although ASM may not always be officially taxed, it canor from neighbouring countries. ASM may be year-round provide immediate, direct and local economic inputs.(‘permanent ASM’) or ‘seasonal’ (for example, in conjunctionwith farming). Newly discovered resources can draw huge In some countries, ASM production equals or exceeds thatmigrations into an area (‘rush mining’). Increasing market of LSM. For example, in China ASM produces 75 per cent ofdemand and mineral prices (particularly for gold) also attract bauxite and in Indonesia ASM tin production equals that ofopportunistic and wealthy miners into the sector. But these LSM (MMSD 2002:318). In Brazil, small-scale miners mine 84should be distinguished from the majority of marginalised per cent of all construction and building materials. In EcuadorFigure 1: Diversity in poverty-driven ASM Formal/ Legal Illegal Informal Legality Old Permanent Children Seasonal The diversity of Demographic Seasonality the ASM sector Men Shock-pull Women Rush Origins Migrant Local4 I IIED
    • Section 1: What are the ASM challenges?and Ghana, ASM produces 65 and 27 per cent of all gold studies have examined the structural challenges across arespectively. range of societies, communities and geographies, so less is known about how different ASM communities operate.Comparisons between LSM’s and ASM’s environmentalimpacts are not straightforward. Comparing the impacts of ASM is three to five times more lucrative than other small-ASM and LSM gold mining make an interesting example scale, poverty-driven economic activities with impacts on both(see Telmer 2009). ASM uses less energy, releases fewer household income and contribution to local economiesgreenhouse gasses and produces less waste rock and (Siegel and Veiga 2009) (also discussed in section 1.1.1tailings per unit of gold. However, pollution is a problem. ASM above). Wages range upwards of $2 a day depending on thereleases 40 times more mercury per unit of gold produced mineral, the miner’s role, and geography. Uganda’s 200,000than LSM (and five times more overall). ASM gold mining artisanal miners contribute around 20 times more to GDPusing cyanide uses about twice as much per unit of gold than foresters, fishers and farmers (Eftimie et al. 2012:4).produced compared with LSM. And ASM does not practice However, like small-scale fisheries, farming and forestry, ASMwaste management. is largely an informal economy, so its contribution is often invisible to government decision makers and the generalBoth ASM and LSM can have dire social impacts. Although, public.leaders in the LSM sector have developed many technicalsolutions to environmental problems over the years, LSM Each natural resource sector’s environmental impacts varycontinues to struggle with the complexity of mining’s social greatly in type and scale but ASM’s social impacts tend toproblems (Buxton 2012). LSM may not be the first cause of be the most harrowing. ASM has inherent health and safetylocal poverty, but a new mine will often aggravate poverty’s risks and the prospects of lucrative rewards incite greater riskchallenges or cause other social problems. An influx of people taking.can put pressure on local resources, and the mine may forceresettlement on communities. Social problems in the ASMsector, however, should not be viewed only as a mining 1.2  Mapping the issuesproblem, but additionally one of poverty and marginalisationexacerbated by the political economy of informality. The Often, artisanal and small-scale miners lack the most basicunderlying challenges driving ASM are often conflicts, extreme social and economic infrastructure needed to break out ofpoverty and vulnerability. extreme poverty (Siegel and Veiga 2010:277), making them unable to successfully educate their children, build upon theirCounterparts in the other sectors productive assets, and move ahead economically (Carter etASM as an economic activity compares both favourably and al. 2007:838). Inappropriate technologies, poor information,unfavourably with its counterparts in forestry, fisheries and low levels of environmental awareness and a low asset basefarming — but it is much less well understood. Far fewer perpetuate this poverty trap.Figure 2: The ASM Poverty Trap (Barry 1996 modified in Hilson 2012) Low levels of technology and poor geo-prospecting Low recovery Unskilled labour and Low productivity inability to investEnvironmental damage, Poverty: large numbers deteriorated quality of of miners exploiting Low income life and health limited resources Poverty exacerbationSource: Barry 1996 modified in Hilson 2012 I 5
    • Responding to the challenge of artisanal and small-scale mining IPoverty is a much studied and theorised concept, its many approach can be applied to ASM — ‘mining yet hungry’ —facets framed and explained in many ways. The two facets meaning the miners have insufficient assets or income toexplored here are vulnerability and marginalisation. These are purchase adequate food for themselves or their dependents.further exacerbated by informality — though informality canalso provide opportunities, as discussed below. 1.2.3 Informal Informality — operating without an applicable or appropriate1.2.1 Vulnerability legal framework — was once considered synonymous withASM is frequently driven by vulnerability, offering an (often subsistence activities that offer no real opportunity forshort-term) coping mechanism for poverty. economic development. More recently, interpretations have become more nuanced. Informality can represent innovation‘Vulnerability’ is a person’s (or group’s) particular and dynamism, and can offer poor producers an accessiblecharacteristics or situation that influences their ability to route into economic activity (De Soto 2002; Hart 2006).anticipate and overcome shocks and hazards (Wisner 2004). However, it can also exacerbate problems of marginalisationPeople are vulnerable when they have limited ability to and vulnerability. Informality marginalises a communityovercome unpredictable crises and shocks such as floods, politically, economically and even socially. Informality can bothdrought, sickness, environmental degradation and worsening increase resilience by providing an economic livelihood activityterms of trade (URT 2004:19). Poor people are especially and increase vulnerability as it removes the protections andvulnerable, as they have few buffers or resources to cope with opportunities provided by the government.hazards or shocks. Understanding poverty reduction requiresan understanding of vulnerability (IDS 2012). Most ASM is informal — but miners are not alone. Many small-scale producers in natural resources sectors operateFor example, gold mining is no longer just a boom and bust informally and often this is the norm. In Bolivia, for example,activity, but one driven by the inherent vulnerabilities of people use the term “popular economy” or “people’spoverty (although there are some who continue to be driven economy” (Hivos 2012a). This resonates with the ILO’sby opportunism). Gold is currency for people who are unable (1972) definition of informality as a ‘way of doing things’to participate in the cash economy. Its high margins and low defined by:barriers to entry make it a highly lucrative activity for thosewith little human, physical and financial capital. ASM can thus ■■ low entry barriers to entrepreneurship in terms of skills andprovide a relief to vulnerability, particularly where resources capital requirements;are invested wisely. ■■ family ownership of enterprises;But ASM is itself a livelihood that exposes its participants ■■ small-scale of operation;to vulnerability. For example, unstable mineral prices create ■■ intensive production with outdated technology; andvulnerability for those relying on ASM as their main livelihood. ■■ unregulated and competitive markets.Price fluctuations affect a household’s ability to pay for food, Often, informality dominates because of formidableschooling, health, and other basic needs. Cash economies obstacles to formalisation. These processes tend to becan make women and children particularly vulnerable where overly complicated and bureaucratic, centrally determinedmen restrict or withhold money for household essentials. ASM and managed, reliant on the State for regulation, and lackingcommunities are vulnerable to exploitation in trade, to criminal social relevance. This is both symptomatic of and exacerbatesactivity as well as to increasing health risks (as few have geographic, political and social marginalisation.access to local hospitals and clinics). Informal systems often have rules and processes based on1.2.2 Marginalisation years of social and cultural tradition. Regulation is throughThe Hivos–IIED Knowledge Programme on small producer cultural norms and social contracts — a form of ‘legal pluralism’agency describes ‘small-scale farmers’ by their degree of in which traditional, informal and formal rules overlap andmarginalisation rather than the size of their land or scale operate simultaneously (Cleaver 2000). Although not perfect,(Murphy 2010) — recognising that size does not always they are usually socially relevant (Hart 2006). ASM, forequate to prosperity. The same approach can be applied to example, is often viewed as chaotic and disorganised. Butartisanal and small-scale miners, regardless of their exact size, in reality there are often high levels of organisation based onlevel of mechanisation, etc. years of cultural practice and social interaction (i.e. regulation — just not by the state) (see, for example, Vlassenroot and VanASM faces the same marginalisation as other ‘small-scale’ Bockstael’s 2008 studies of artisanal diamond mining).sectors. Many miners operate in remote regions withpoor transport and market access, suffering geographical Many academics have long expected informal sectors tomarginalisation that makes them less able to access be gradually absorbed into formal sectors as developmentinformation, key technologies and inputs. It also leads to progresses. But in many sectors, including ASM, this hasn’tpolitical marginalisation, as communities far from the capital or happened. Governments often continue to be inefficient or‘centre’ are less able to influence policy and keep ‘in sight of’ even predatory in their regulation and management of thepolicymakers. Small-scale producers may be marginalised in sector, and the formal sector’s capital intensity excludesterms of access to markets — forced to sell through informal, many who still turn to the informal sector for employmentillegal or less lucrative channels. Marginalisation is often linked and income. Legal systems often perpetuate informality andto food insecurity. Concern International defines marginalised thereby prevent individual and country resources from beingfarmers as ‘farming yet hungry’ (Murphy 2010). The same used efficiently.6 I IIED
    • Section 1: What are the ASM challenges?So informality cannot be viewed simply as either a positive ■■ political exclusion (meaning miners are often excludedchoice or a problem to be overcome. Rather, it can be seen from decision making at various levels) and ‘policyas a response to government’s failure to properly set and blindness’;implement appropriate laws. To be effective, formalisation ■■ lack of baseline/census data on ASM individuals andpolicies require the state to recognise the dynamism and communities; andresilience of the informal sector and incentivise small-scale ■■ reliance on mining in ASM communities due toproducers to participate in the market in fair competition with vulnerability and marginalisation.their larger/already formalised counterparts. Structural challenges can vary dramatically by region or1.2.4  Facing inherent structural challenges geography. For example, child labour in ASM varies betweenThe structural dynamics of the ASM sector are poorly Latin America, Asia and Africa (ILO 2005:4–5). In Latinunderstood. Despite significant documentation of ASM’s America, where ASM has a long history, children’s involvementenvironmental and socio-economic impacts there ‘continues is part of that long tradition. In Asia, the private sector’sto be very little baseline information on how operators and involvement in ASM means there is less child labour. In Southactivities are organised’ (Hilson 2012:184). Table 2 (below) Asia the traditional stratifications of society means child labourexplores how the ASM sector is often perceived, understood is often seen alongside social marginalisation. And in Africa,and approached — the ‘problem framing’ — and then highlights where ASM is associated with civil war and conflict, weaksome of what is known about the more problematic structural government and social institutions means children are forcedcauses and challenges. Within these, certain trends begin into mining through need.to emerge that reveal what marginalisation, vulnerability and So local knowledge and understanding on ASM is crucial.informality mean for ASM. These include: This paper discusses what is known at a broad level on the■■ weak legislation, policies and implementation and often structural challenges facing the sector (with more detail in government marginalisation or repression (favouring LSM the bibliographic references). However, far more knowledge at the expense of ASM); needs to be gathered and shared on the exact nature of■■ cultural marginalisation and exclusion of certain the challenge in local ASM communities. The next section demographic groups; explores this need further.■■ low barriers to entry into informal or illegal ASM with its In short, we should consider ASM as a response to poverty poor social and environmental protections; and vulnerability. This huge sector will neither vanish nor■■ lack of legal protection for land and resource rights; become formalised any time soon. The scale of both its problems and its opportunities demands more attention.■■ poverty-driven, short-term decision making; Development agencies, governments and businesses need■■ uncontrolled migration; to learn and, where appropriate, act to ensure they recognise■■ poor access to financial services, market information, the positive contributions that ASM can make, and start to technology and geological data; address its challenges.Table 2: Mapping the problems and challenges of ASM What we know about the structural causes or How the impact or problem is expressed challenges Women are often involved in processing and waste Cultural or traditional ‘factors, functions and disposal, exposing them to harmful chemicals, with expectations’ determine roles, affecting resources rights severe consequences for family well-being and health, and decision making (Eftimie et al. 2012:9). including during pregnancy. Women are often ‘invisible’ on mine sites, transporting Women often suffer crime, domestic violence and rape and processing materials (often in domestic/private and are forced into prostitution. spaces) rather than digging (Eftimie et al. 2012). Their Women’s ‘economic’ activities are an addition to their contributions are difficult to identify, poorly researched, Social Issues domestic responsibilities. informal and therefore perceived as marginal by policymakers. Women make less money for similar tasks (Eftimie et al. 2012:9); rarely control mining income (ibid); and usually Women’s unique role and challenges are often work near the home in less profitable seasonal activities overlooked in policy responses where they are (Dreschler 2001 in Eftimie et al. 2012:8). considered in the same paragraph as children or treated the same as men in ‘gender neutral’ policies. Degradation of nearby natural resources needed for food, firewood and medicine particularly affects women. Women’s employment in ASM tends to decrease as mechanisation and organisation increases – making them less likely to benefit from these developments. Lack of law and order makes women more vulnerable to crimes. Low incomes force them into prostitution. I 7
    • Responding to the challenge of artisanal and small-scale mining I What we know about the structural causes or How the impact or problem is expressed challenges ASM is one of the worst forms of child labour The ILO (2005:2–3) identifies a number of structural because of widespread and severe hazards that risk challenges leading to child labour in ASM: death, injury and disease (ILO 2005). Low barriers to entry, minimal mechanisation and a lot of Children undertake arduous activities such as heavy physically demanding work with no need for education lifting, digging, ore haulage and transport from as young makes it easy to use children. Access tunnels may be as six years old and are working underground from the so small that only children can fit down them. age of nine (MMSD 2002:24). Poor regulation of health and safety expose children to Child labour can range from help after school to full extreme risks. time slave-like employment in the most hazardous ASM’s poverty-driven nature and low margins force conditions. families to use child labour. Children can become involved in prostitution, drug and Migration patterns associated with ASM disrupts alcohol abuse and violence. children’s schooling. In the early 2000s the ILO estimated a million children Mining’s health and environmental hazards are poorly were artisanal miners. This number is likely to have understood, especially for children. increased with the threefold increase in the total Child labour is closely linked to women’s burdens (both number involved in ASM since that time. at the mine and at home) and to their extreme poverty, lack of education and lack of control over earnings. Conflicts between ASM and LSM activities are ASM often doesn’t have formally recognised land rights Social Issues increasing as ASM increases and as LSM targets more making it difficult for them to defend their activities remote areas. Violent interactions between the two and making it difficult for LSM to identify them and (including deaths) necessitate security protocols. determine the best way to interact with them. LSM can damage ASM communities by causing Governments often favour LSM with its large in-migrations, inflation, increased pressure on social investments and government returns, and ignore ASM’s services, dilution of culture and traditional beliefs and role and contribution. This is reflected in laws and by undermining social cohesion (D’Souza 2007). policies that fail to protect ASM. Although LSM can bring better infrastructure and ways Long term conflicts and resistance arise where LSM of working, it can also force ASM into less lucrative and ASM compete for the same resources. Pre-existing alternatives, restrict the land mined and damage other ASM workers often act as ‘unpaid geologists’ for LSM natural resources that communities rely on (ibid). to identify resources. Elsewhere, ASM miners may flock ASM can be the single biggest problem for large- to an LSM site, re-mining waste products and taking scale mines, particularly in gold. ASM can undermine advantage of easy access — either passively or with a company’s social licence to operate by creating criminal intent. environmental and public health problems, conflicts Policies for resettlement can be poorly thought through with security and allegations of human rights abuse, and fail to understand, or address, existing livelihoods’ and by disputing rights to land and ownership of the social, economic and political contexts. Remoteness resources. Managing interactions with ASM can take and social and political marginalisation increase the huge amounts of time, present a serious security issue, likelihood of ASM getting a bad deal. disrupt operations and undermine efforts to rehabilitate There is much mutual distrust and misunderstanding certain areas. The legal impacts can be huge and between the sectors. ongoing – preventing mines from securing project financing.8 I IIED
    • Section 1: What are the ASM challenges? What we know about the structural causes or How the impact or problem is expressed challenges Occupational and community health and safety The high levels of health and safety risks for ASM tends to be very poor in ASM. miners have several causes (ICMM et al. 2009): Self-employed miners in the smallest underground Informal and unregulated, much ASM activity operates mines typically work in unsupported tunnels (of 1.5 outside of health and safety legislation or enforcement. metres in diameter and up to 90 metres deep) drilling Protective equipment, from helmets and dust masks and removing rock with hand tools and carrying the through to guarding shields in front of operating blades, ore to the surface in sacks. Most miners wear shorts, may be cost-prohibitive for ASM miners. trainers and sometimes a shirt. Helmets are only Technical expertise in geological stress analysis in occasionally worn. Use of earplugs, masks and gloves underground mines is typically absent, leading to more is rare. unpredicted rock falls. Even where miners introduceSocial Issues The most common accidents are trips or falls, being mechanised equipment and techniques, complementary hit by machinery or a moving object, and cave-ins or safety measures are commonly overlooked. rock falls (ILO 1999:19). The biggest health risks Even where those concerned are motivated to take and are: exposure to dust (silicosis); mercury and other sustain action improve safety, the necessary resources chemicals; the effects of noise and vibration, poor are too often lacking (ILO 1999). ventilation (heat, humidity, lack of oxygen), and over- exertion; inadequate work space, and inappropriate Few, if any, small mines have facilities for medical care. equipment (ibid). Apart from workers in government-owned or controlled mines there is no regular health screening of small- Other commonplace health issues include poor scale miners, and attendance at hospitals and clinics sanitation and lack of clean water, malaria, typhoid, generally only follows serious injury or illness. dysentery, tuberculosis, sexually transmitted diseases (including HIV/AIDS), malnutrition, and substance abuse. These can reach epidemic proportions when make-shift camps arise for rush mining. ASM for gold is the world’s second worst mercury Poor regulation and poverty means that few miners polluter, responsible for one-quarter to one-third of consider mercury pollution, especially from gold global mercury pollution (Siegel and Veiga 2010:273). processing, where profits are high. ASM releases 640–1350 tonnes of mercury a year Processing gold ore using mercury is an easy one from at least 70 countries. On average, 350 tonnes person job that is highly effective under field conditions. enter the atmosphere. The rest is released into the Miners most often say that they use mercury because it hydrosphere (rivers, lakes, soils, tailings) (Telmer and produces quick wins for daily subsistence (Ban Toxics Veiga 2009). 2010:20). Mercury is discarded in tailings and released when Mercury tends to be highly accessible and extremelyEnvironmental issues gold–mercury amalgam is burnt during processing. cheap compared to the price the gold is sold for. The Mercury impairs brain function, damaging coordination alternatives are not as easy to use, are more expensive and memory, lowering intelligence, and causing and usually less accessible. hearing loss, birth defects and miscarriages (Ban Many miners are not aware of the risks to health and the Toxics 2010:14). The risks are therefore heightened for environment or alternative technologies. Many have no pregnant women, children and babies. choice of alternatives. Mercury is usually traded illegally/ informally on the black market. ASM’s other environmental impacts include erosion Much ASM is for subsistence and is driven by and deforestation of protected areas, biodiversity immediate concerns rather than a view to the long loss and water pollution from dumped tailings, alluvial term consequences of activities. Miners often lack the river damage, acid rock drainage, river siltation. resources, knowledge and/or the requirement to work in These have knock on effects for health: contaminated an environmentally sensitive manner. As much of ASM drinking water, stagnant water that attracts mosquitos, is informal, regulators have little influence in enforcing increasing malaria etc. good environmental practice. I 9
    • Responding to the challenge of artisanal and small-scale mining I What we know about the structural causes or How the impact or problem is expressed challenges Illicit activities, smuggling and exploitation in the trade Miners often work outside of the legal, or formal, system of minerals is commonplace in many ASM activities. which makes them vulnerable to exploitation in trade. Artisanal and small-scale miners sometimes receive as Poverty means product is sold quickly and the best little as 70 per cent of the internationally agreed price of price is not always secured. gold. Income is often squandered and debt financing is Miners rarely undertake value-adding activities because common. of restrictions on finance and investment. ASM trading chains are extremely complex and Informal organisations for economic activity aren’t sometimes illegal. The sector is seen as disorganised recognised by policymakers. Attempts to suppress Economic issues and chaotic. Middlemen can be exploitative. There are ASM often forces these activities ‘underground’. In high transaction costs of getting a product to market. cases where the government is the only official buyer ASM activities are rarely taxed, meaning huge revenue of minerals, miners may be able to get more money by losses to the government and country from key natural smuggling the product out of the country or trading resources. illegally. Miners suffer geographical marginalisation without access to basic transport, infrastructure and equipment. Increasing consumer standards are placing additional barriers on already high entry into legal markets. ASM miners are poorly equipped to respond to these challenges due to insecure land rights, limited or no financial resources, inability to access credit and limited financial skills. Conflict minerals are used by armed groups to fund The structural challenges leading to conflict minerals violence and insurrection. So called “conflict minerals” include institutional weaknesses, government include cassiterite (the ore for tin), coltan (the ore for a corruption, easy transportability of minerals and rare metal called tantalum), wolframite (tungsten ore), numerous buyers in complex trading chains. High and gold. demand and rising prices for these conflict minerals are In the Kivu regions of the Democratic Republic driven by increasing demand for consumer electronics. of Congo (DRC), quasi-dictatorships have been Government corruption in in these areas is rife. Official established in areas where ‘rebel’ groups dominate and government troops in the Kivu regions are involved in natural resource exploitation allows these groups to the exploitation and trade of resources and as such of further their political goals. the population. Local populations become more vulnerable and are The central DRC government has little control over the often displaced by ‘rebel’ groups. They are subject to region and citizens are left with no recourse to justice. violence, forced labour and taxation. The UN reports Increasing standards and requirements placed Governance issues massacres and the burning down of villages in order on minerals coming out of the DRC risks further to seize artisanally mined coltan in the Kivu regions marginalisation of poor communities that aren’t able to (UNHCR 2010:para 743). access formal markets (see above). Systemic violence, particularly sexual, is endemic. Women and children are abducted from streets, schools, refugee camps and their own homes and forced into armed groups (Kim 2006:7). Rebel groups levy taxes on miners in the area leading to debt bondage and slave labour. The problems seen in the case of conflict minerals In cases of ‘rush mining’, a rapid increase in population can be replicated in many mine sites where security can overpower existing formal or traditional security is poor. This includes problems of prostitution, theft, structures in the community (ICMM et al. 2009). nuisance vandalism and armed conflict. Where different types of ASM operate – with both migrant and local communities, permanent, seasonal and rush miners – it can be difficult to identify leaders on whom communities can rely for law enforcement. Poor legal protection and land rights often lead to disputes over ownership and access to minerals.10 I IIED
    • Section 2: Using knowledge to meet ASM challenges2: Using knowledge to meet ASM challenges contrast, working with local communities to identify how they2.1  What is the role of knowledge? use mercury, and the incentives, benefits and challengesThe previous section explored some of the challenges as they perceive them, is an example of collecting citizenfacing the ASM sector and highlighted the need for better knowledge to feed into policymaking.understanding. This section begins to map out how those This example also demonstrates the difference between top-needs might be met, bearing in mind two underlying down and bottom-up knowledge flows — a distinction that hasquestions: where are the gaps in the current knowledge long been debated in development literature, with differentbase that hinder ASM policymakers when making well- schools favouring different approaches (see Box 3).informed, well-reasoned judgments? and does the way inwhich knowledge informs policy represent the range of sectorstakeholders and the different values they may hold? Box 3: ‘Top-down’ and ‘bottom-up’Good knowledge is the basis for good development Top-down approaches tend to use external leadershipinterventions. People take action when they feel empowered and resources to plan, implement and evaluateto do so, and they feel empowered when they have knowledge development programmes (Macdonald 1995) — and arewhich is relevant to the context and the practical realities of the epitome of policy processes that prioritise research-the situation. Achieving this aim is the basis for a knowledge based knowledge or practice-informed knowledge fromprogramme. ‘experts’ in the public or private sector. Bottom-up approaches tend to include comprehensive Box 2: Defining ‘policy’ community participation, motivate local communities, expand learning opportunities in the community, improve The term ‘policy’ in this paper refers not just to public local resource management, increase communication and policy but also private sector and civil society policy. information exchange, and ensure local access to finances Public sector policy refers to the laws and legislation, and resources for development needs (Blanchard 1988). guidelines and approaches adopted by government. These approaches therefore explicitly incorporate and Private sector policy is as important, however, in affecting in some cases prioritise citizen knowledge and practice- change on the ground and refers to the values, methods, informed knowledge from organisations and individuals approaches and guidelines adopted by companies. operating ‘on the ground’. Those who follow this approach The same definition holds for policies adopted and highlight the benefits as greater community empowerment implemented by NGOs. and solutions that are better suited to local realities and demands (and are therefore more successful).In developing such a programme it is important to recognisemany different types of knowledge and that these represent Innovative and effective policy solutions will need topeople’s experiences and values — truly objective knowledge incorporate ASM community (or ‘citizen’) knowledge on localis a rare thing. This knowledge has different ways of flowing realities, pull in practice-informed knowledge of what has andand of influencing policy. The table below outlines three types hasn’t worked, and use research-based knowledge whereof knowledge and the ways they may influence policy. highly political issues require greater simplicity or independent views.Finding alternatives to mercury can serve as an example thatputs these knowledge types into an ASM context. Some But knowledge is insufficient on its own. Influencing policyapproaches rely solely on research-based knowledge — — both public and private sector — requires knowledge to beexperts in a lab identify alternative solutions and develop shared and communicated. ‘Knowledge intermediaries’ playtechnologies that are then handed to local communities. By this role, for example, by establishing knowledge networks. I 11
    • Responding to the challenge of artisanal and small-scale mining ITable 3: Different types of knowledge Knowledge Type Description Influence on policy Research-based Held by scientists, academics or professional Helps clarify complex or highly politicised knowledge researchers. Based on empirical observation, issues. High credibility where the research usually written down in publications, reports and methods are seen as reliable and journal articles. Not completely independent of the transferable to a range of contexts. values and assumptions of the researcher. Can be inaccessible to a broader audience because of high technical content and the way in which it is presented. Practice-informed Held by NGOs, companies and consultants. Based Helps decide and situate actions and knowledge on hands-on experience of what does and doesn’t ideas within logistical, ideological or work. Can be in written form (evaluations and management constraints — ‘the realities annual reporting for example) and formally shared in of implementation’. Often, the process is meetings. But largely tacit in institutional memories, informal; too much codification can make it ways of working, precedents and relationships meaningless and irrelevant. Its strength is its between individuals. Informed by the values and application to and understanding of certain objectives of the organisation and the individual. contexts and situations Citizen or lay Held by local people and their representative Invaluable in understanding local opinions knowledge organisations. Based on experiences, beliefs and and values and in testing ideas for local values. Often held as ‘social capital’ – inherently relevance and application. Getting this tacit and best communicated through speaking or knowledge into policymaking requires active engagement on a particular issue. Shared ongoing and inclusive discussions and other through the use of a particular language, lived participatory processes. experiences and everyday interactions. Can be highly subjective and heavily influenced by prevailing power structures and taboos that obscure the real issues. Highly context-specific so not always relevant to an international level or other contexts.Source: Adapted from Jones et al. 2012Knowledge intermediaries: A knowledge intermediary is an ■■ ensure that little-known or little-understood ideas are moreindividual or organisation whose actions link knowledge with widely understood;policy (Jones et al. 2012:xi). This role can be played in multiple ■■ provide members with the resources, capacities and skillsways and Section 2.3 gives examples. An intermediary they need to effect policy change through knowledge;complements its own skills and resources with those available ■■ bring together multiple stakeholders;within a network. An organisation like IIED can play the roleof a knowledge intermediary by, for example, offering a space ■■ build a community of shared values and standards; andwhere a range of knowledge holders can combine knowledge ■■ help members carry out their activities more effectively andtowards a shared aim. IIED recognises that it has little to offer learn from their peers (adapted from Mendizabal 2006 inon the realities of local situations – citizen knowledge – but Jones et al. 2012:67).can offer research-based knowledge (and to some extent Networks are especially effective where the problem andpractice-informed knowledge) to provide a framework for its range of solutions are unclear. They can target particularsharing knowledge on a particular need or context. knowledge gaps or ensure a better flow of knowledge toKnowledge Networks: Knowledge intermediaries act influence policy. The foundations for establishing a knowledgethrough ‘knowledge networks’ to facilitate cooperation network should be assessing the stock of knowledge,and coordination between individuals with knowledge on a understanding how it flows and responds to demand, andparticular topic. Networks: finding the most effective spaces in which it can influence policy.■■ help members find their way through often unmanageable amounts of information;12 I IIED
    • Section 2: Using knowledge to meet ASM challenges2.2  Mapping knowledge and policy in companies, local and international civil society, researchers and international finance institutions.the ASM sector Marginalisation and lack of organisation in ASM communities2.2.1  The stock of ASM knowledge prevents miners collectively engaging in policy discussions,There is a large amount of high quality practice-informed and means citizen knowledge rarely reaches policymakersknowledge in the ASM sector that has not necessarily been at all (with some exceptions in Latin America where national-written down or publicly shared. This knowledge is held by level mining associations have successfully influencedprivate sector, public sector and civil society. It could be put to policy change (see for example Chilmaza and Rivas 2009).good use if captured effectively using reliable and transferable Marginalisation is compounded by the remoteness of manyresearch methods across the diverse range of stakeholders in mine sites. Many people’s jobs may be precarious, makingthe sector. However, there is currently no way of systematically them reluctant to speak out (an aspect of their ‘vulnerability’).capturing this knowledge and providing spaces where it can Supply chains may be relatively ‘closed’ with financiers havingbe shared and fed into policy decision making. significant control of production and pricing. These realities foster a distrust of outsiders, who are seen as prying intoThe World Bank’s CASM programme helped pool such mining practices. The national fora for engaging ASM areknowledge over the past 10 years through annual international weak, again due to marginalisation and preference that isconferences, networking, and by funding research and often given to large-scale mining investments. At the otherproviding a database of research and reports. Stakeholders end of the spectrum, are large institutions, such as theinvolved in the network point to the conferences as CASM’s World Bank, which have a far higher degree of influencemost effective actions, as they convened key actors from the on policymakers, particularly those in the public sector.miner to the international policymaker, showcased innovative Private sector policymakers tend to rely more on the advicesolutions, and let participants share experiences. But the of consultants (categorised here as practice-informedCASM online database of research and reports (at www. knowledge) but this knowledge is not always shared andartisanalmining.org) is hard to navigate and use and there was made publicly available.no systematic follow up to capture the shared information fromconferences. As CASM has now concluded its knowledge Certainly, knowledge flows are not coordinated in the ASMand network programme, there is no organisation playing this sector, particularly now the CASM programme has scaledglobal role. back. There are few policy champions and ASM is still perceived to be an illegitimate sector.LSM companies and their consultants also hold a stock ofpractice-informed knowledge focussing on solutions to LSM- Thus, the weaknesses in the existing flows of knowledge forASM interactions. This stock of knowledge — covering a range policy making in ASM can be summarised as:of issues and solutions from getting miners into alternative ■■ little citizen knowledge flowing in, which perpetuateslivelihoods to technical assistance, formalisation and poor understanding of both structural challenges and theemployment of the ASM sector — is not always made public livelihood opportunities ASM offers;because of its contractual basis. ■■ insufficient coordination and formalisation of inputs acrossOnly a limited amount of citizen knowledge has been captured the knowledge types;for policy processes — particularly from ASM communities ■■ poor accessibility and visibility of knowledge and itsthemselves. This is a significant gap and as a result ASM impacts; andsolutions tend to be top-down rather than ‘bottom-up’. This ■■ failure to maximise opportunities for synergies in bothundermines their chances of success. For example, providing knowledge/ understanding and practice in influencingeducation services without incentives or opportunities for policy improvements.alternative income generation has been unsuccessful intackling child labour in ASM (Hilson 2005). By contrast, 2.2.3  Demand for ASM knowledgeinterventions that consider the structural causes of child When it comes to demand for knowledge, different actorslabour have greater success. For example, interventions engage with different and separate issues, restricting both thethat establish social services, improve technology or health flow and stock of knowledge.and safety, provide incentives for micro-enterprise that NGOs, such as Global Witness and WWF, focus ongenerate income, or alternative employment for women, have issues of child labour, human rights, and the environment.successfully reduced child labour (ILO 2005: 20). This knowledge can be heavily value-laden and overriddenFinally, there is a small group of researchers and academics with an advocacy agenda. Consultants tend to be hired byworking on ASM issues, but they tend to focus on particular large-scale mining companies to undertake research on theirissues in particular geographies. Research-based knowledge interactions and conflicts with ASM. They generally focustends therefore to be highly context specific and not on conflict minimisation and security, managing reputationalnecessarily active or successful in influencing policy. risk, maximising community development opportunities, and meeting pressure for corporate accountability and2.2.2  The flow of ASM knowledge maximisation of company benefit — such as explorationThe key knowledge holders in the ASM sector are artisanal benefits and improved mine closure planning (ICMM et al.miners and their communities, mineral processors and 2009:12). National governments demand technical assistancetraders, local and national government actors, consultants, to realise ASM’s potential and better manage its social I 13
    • Responding to the challenge of artisanal and small-scale mining Iand environmental issues. Those holding practice-informed ASM in Uganda and Tanzania point to their failure to respondknowledge provide this assistance, but it does not necessarily to the sector’s idiosyncratic nature and complexity — ARMincorporate either research- or citizen- knowledge. This has 2011a and b). Creating a link between ASM communities andbeen the main weakness in numerous failed formalisation national policymakers through multistakeholder process isefforts that omit to reflect the structural dynamics of trade, necessary to ensure an effective knowledge-policy interface atsocial contracts and informality in the local ASM sector the national level.(Vlassenroot and Van Bockstael 2008). It is also symptomatic With the scaling-back of the World Bank’s CASM initiativeof demands to end the ‘problems’ of ASM rather viewing the there is a real need for a new and networked multistakeholderissues as ‘structural challenges’ (as outline in Table 2 above). ‘space’ for discussions – widely accepted as the mostIssues of governance and transparency, including effective knowledge-policy interface for the ASM sector.international attention on conflict minerals and the US’s Dodd So, how might a network and knowledge programme respondFrank Act, are also driving demands for knowledge. But these to some of the challenges? The next section describesdemands may be being met at the expense of a broader, and analyses IIED’s experiences on a number of suchholistic approach to the sector. Certifications such as the programmes.ITRI/ iTSCi, BGR Certified Trading Chains scheme and theInternational Conference on the Great Lakes Region (ICGLR)regional mineral certification mechanisms have proliferated in 2.3  Knowledge and networkresponse to the conflict minerals agenda, just as equivalentschemes have before in the agricultural and forestry sectors. programmesDespite good documentation in other sectors, mining There are numerous ways of structuring a knowledge networkcertification schemes are incurring many of the problems to meet different objectives, and this section describesalready uncovered elsewhere: a proliferation of overlapping options IIED has used successfully before. Each involvesstandards, poor incentives for participation (with limited multistakeholder dialogue to discuss, reflect on and promotemarket access and often unsustainable price premiums) and solutions to ASM issues, incorporating research-, practice-universal standards that are poorly adapted to local realities informed and citizen knowledge. The options vary in cost,and complexities, and therefore exclude the majority of major outputs and outcomes, and in their ‘depth versusminers. breadth’ of content. Many can be combined. For example, ‘virtual networks’ and ‘dialogues’, in some form, may be an2.2.4  The ASM knowledge-policy interface essential core of any programme.There are numerous international conferences andinitiatives looking at policy issues of mining and sustainable Each option described below offers an ASM ‘theory ofdevelopment. However, few give ASM the consideration change’ — the causal chain that helps planning achieveits contribution and scale deserve. In many cases, ASM is impacts. Annex 2 gives more in-depth case studies of howconsidered only within sustainable development responses to each option has been used in other sectors.mining and not as a sector in its own right. Some internationalcodes, conventions and standards applicable to the mining 2.3.1  A virtual networksector mention ASM, such as the IFC Performance Standards, A ‘virtual network’ provides a solid base for information-Global Reporting Initiative Mining and Metals Supplement sharing and knowledge coordination across a huge number ofand OECD Due Diligence Guidance for Responsible Supply interested stakeholders, and can be run alongside any otherChains of Minerals from Conflict-Affected and High-Risk option.Areas. However, numerous other industry standards and It is structured around email interactions and a website, whichcodes do not mention ASM. These include the Voluntary may offer:Principles on Human Rights and Security, the ExtractiveIndustries Transparency Initiative and the ICMM Sustainable ■■ a searchable bibliographic database identifying andDevelopment Principles. documenting relevant books, journal articles, policy papers, conference proceedings and other writtenThe complex, poverty-driven issues in ASM do mean the materials that inform policy and practice;sector cannot be addressed within the mining industry alone,and needs to be considered within broader sustainable ■■ a database of organisations working on these issuesdevelopment initiatives. This has happened for mercury use, (including locations and areas of interest) to fosterwith ASM (the world’s second largest mercury polluter) synergies;explicitly targeted in the Global Mercury Emissions Treaty or ■■ a database of projects and initiatives including detail of‘Minamata Convention’ signed in January 2013. However, practical initiatives; links to other web-based resourcesASM needs consideration by many other international policy including tools, list serves, databases, newsletters etc.;fora looking at sustainable development issues — from andbiodiversity and conservation to labour and women’s rights. ■■ details of relevant forthcoming meetings and events.Of course, international policy improvements alone will not By collecting and analysing information, a virtual network canachieve change ‘on the ground’. National level analysis needs offer quarterly ‘horizon-scanning’ or ‘knowledge synthesis’ forto assess ASM policy, how it is devised, and how well it emerging issues.reflects local realities (for example, studies of laws affecting14 I IIED
    • Section 2: Using knowledge to meet ASM challengesKey elements of success – A successful virtual network 2.3.3  A dialogue seriesdoes not simply dump information on databases and rely A ‘dialogue series’ offers a physical space that brings diverseon users ‘pulling’ information out. Instead, it should include stakeholders together around a table to build trust and engagea ‘push’ element that encourages interaction with the in in-depth, solution-oriented discussions. A dialogue seriesinformation through analysis, discussion and evidence of works through crucial or contentious issues (in ASM this mayapplication. be local governance, trading and supply chains or access to resources), moving from synthesis of knowledge and problemTheory of change – Better connections between a large identification to options and consensus. A series might includenumber of disparate stakeholders, along with analysis of specific regional discussions on local issues (in Latin America,emerging ASM issues, will engage and inform users about the Africa and Asia Pacific), international policy dialogues (whichmost recent debates and knowledge in the sector, supporting also pull together the learning from the regional dialogues),improved global coordination and consensus on ASM and an expert workshop (that draws on technical expertise,challenges and solutions. research and practice-informed knowledge, on a particularIIED precedent – IIED runs a number of similar services issue).including for the Poverty and Conservation Learning Group Key elements of success – This model relies on(http://povertyandconservation.info/) and the Green Economy enthusiastic ‘champions’ as it involves people freely givingCoalition (http://www.greeneconomycoalition.org/). The Green their time to promote and facilitate stakeholder actions inEconomy Coalition is particularly effective at providing regular support of the collaborative solution. Impacts can be ensuredupdates to its networks with, for example, briefings on “who by engaging participants before and after a dialogue to mapis doing what and where” (GEC 2012a) and short monthly and monitor follow-up activities.updates on major developments (see for example GEC2012b). Theory of change – Particularly contentious and challenging issues affecting the ASM sector are best addressed through2.3.2  A knowledge review shared learning and solutions, both at the level of localThis is a project-based option with a short timeframe that specificities and at international policy level. Given thepulls together knowledge on an issue, solution or set of resources needed to run multiple dialogues, early prioritisationissues and solutions. The output may be an in-depth scoping of an initial limited set of issues with stakeholders is criticalof challenges facing the sector, a review of national or to managing real subsequent change, and ensuring theinternational policy fora, or an easy-to-use guide and set of associated dialogue can itself engage stakeholders in theproven tools. All draw on existing practice-informed, research early stages of a knowledge network.and citizen knowledge. Multi-stakeholder dialogues may IIED precedent – IIED has been involved from thebe held to identify the key challenges, or test and discuss beginning in The Forests Dialogue (TFD), a highly successfulproposed solutions. Where solutions are proposed, in-country initiative that now runs up to four dialogue initiatives (i.e.pilot programmes may be needed to test them. looks at four issues) at any given time. Issues have included:Key elements of success – The process must incorporate rationalising certification; implementing free, prior andpractice-informed, research and citizen knowledge, and informed consent; addressing forests and climate; andpilot programmes where solutions are being proposed. The solutions for illegal logging. The TFD model includes a large,output should not duplicate existing efforts but add value multi-stakeholder steering committee responsible for selectingthrough distillation of knowledge, easy reference or better and agreeing the issues and supporting fundraising and aincorporation of the range of knowledge types. secretariat with four full-time staff housed at Yale University in the United States.Theory of change – Change is most likely whenstakeholders have confidence that knowledge is proven in a 2.3.4  Learning groupsvariety of contexts, and when guidance is readily available to ‘Learning groups’ are a cost-effective way to draw togetherhelp them select and use the most appropriate approaches for and build on the knowledge and expertise of practitionerslocal circumstances and experiences. A knowledge review can and opinion-leaders in a specific country or theme. Theyoffer this, provide a shared understanding of the knowledge comprise small carefully selected groups of self-starting,across the sector, and enable measurable impact on practice policy connected individuals who meet, exchange ideasand policy in both international and country programmes. and information, learn together, put these skills into actionIIED precedent – IIED’s Forest Connect programme has within their own working environments or networks, andproduced a Facilitator’s Toolkit for supporters of small and share the results. These informal spaces complement moremedium forest enterprises that covers 16 challenges in the formalised policy processes and allow stakeholders whosector and their solutions (Forest Connect 2012). The process might not otherwise interact discuss issues freely in a ‘closedinvolved (1) determining the key issues and challenges room’. Different programmes may have particular ambitions,facing the sector at a workshop of key stakeholders, (2) for example involving those affected by policy decisions,commissioning short papers on what is already known about such as artisanal and small-scale miners, so as to makesolutions to those challenges, (3) piloting solutions across a explicit linkages and drive dialogue with those setting policy.number of country partners, and (4) feeding in ‘on the ground’ In-country learning groups are complemented by regularlessons and experiences to finalise and publish the toolkit (a international learning events where national representativespocketbook that is easy to use and reference). come together to share their experiences. Global lessons I 15
    • Responding to the challenge of artisanal and small-scale mining Idistilled from this process can be used to influence 2.3.5  Large eventsinternational policy. Large events create a convening space for broader discussions across a wider range of stakeholders onKey elements of success – Learning groups need a strong shared issues such as the interaction with large-scalewell-connected convenor (or ‘knowledge intermediary’), mining, informality, revenue management and environmentalcarefully-selected members with diverse perspectives but conservation.converging interests, well-developed links to wider networks,a strong and independent host in-country to manage finance, Key elements of success – Tracking impacts from a largeand an ability to plan strategically and to leverage funding. event can be difficult given the large number of peopleThe group should be big enough to ensure diversity but small involved in different discussions and activities. Identifying inenough to remain personal. They work best when collective, advance any required impacts and then providing a space andprofessional or personal goals overlap and they need strong resources for follow up is key to ensuring impacts are betterintegration with existing in-country and international initiatives managed and monitored.to ensure ‘ground level’ change at low cost. Theory of change – Large-scale events can provide anTheory of change – Personal and professional development important space to bring together an increased number of keyfor change champions with the ASM sector would improve stakeholders in the sector to network and facilitate dialoguethe linkages between them and with initiatives at national, that may otherwise be beyond the direct activities of ASMregional and international levels. Learning groups strengthen stakeholders and an individual programme.arguments for policy change and the confidence with which Precedent – Stakeholders report that CASM’s annual ASMindividuals present that case in their existing programmes and conferences were its most effective actions, convening actorsinitiatives to ensure their success. from miners to international policymakers, sharing experienceIIED precedent – IIED has run a number of learning and showcasing solutions. The conferences were the onlygroups over the past 15 years, most notably on Poverty and opportunity for stakeholders specifically interested in ASMConservation (PCLG) and Forest Governance (FGLG). FGLG to come together to share experiences and knowledge. Theruns learning groups in 10 different countries with members conferences took place in countries where ASM occurs toundertaking research, identifying best practice, offering ensure local economic opportunities for those communities.guidance and engaging key decision-makers to support the A defining feature was the involvement of artisanal minerssolutions they propose. IIED facilitates international and cross themselves – a unique opportunity to facilitate engagementcountry learning. In-country projects are not funded by FGLG on an international platform. Poorly resourced and managedbut members work through other processes to implement the follow up meant that the true impact of these conferences wassolutions discussed. never recorded.16 I IIED
    • CONCLUSIONConclusion: What next for designing aknowledge programme for ASM?Section 2.3 identified a range of options for a knowledge ■■ A network can take time to ‘bed in’ and build enoughintermediary, based on IIED’s extensive experiences. That social capital between members to facilitate knowledgeexperience has also uncovered certain critical success factors and information sharing. This means longer time framesthat cut across knowledge and network programmes. In to impact than most development projects, and requiressummary: a patient donor. Having flexibility upfront in the agenda, goals and activities can be crucial to convening the right■■ It is important to ensure the correct stakeholder number and type of stakeholders. This is particularly the representation and recognise the unique value added case when trialling new ideas or concepts. Having a series by each individual or participating organisation. Different of short-term deliverables, outputs or targets can help stakeholders can not only bring different knowledge and ensure donors and key stakeholders remain interested in value but can create a tension that challenges the status the programme. A knowledge network need not expect to quo and develops new thinking. It is important to allow exist indefinitely. Having shorter term goals and objectives space for dissent. Active selection of network members can ensure it remains responsive and exists only to meet may be needed to achieve diversity. However, some the demands of the sector (see the evolving agenda of networks take time to become truly diverse as they often Forest Connect in Annex 2). begin with a group of individuals who are familiar with each other and have worked together in the past. This paper has articulated the challenges facing the ASM■■ The role of the knowledge intermediary should be sector from a sustainable development perspective. The identified based on an assessment of the sector’s needs. knowledge options described above show different ways a In the learning group model, for example, the knowledge knowledge intermediary can meet various needs – whether intermediary’s role is to help frame the sustainable that is producing knowledge that informs stakeholders, development context and convene stakeholders for identifying and gathering expertise for a particular challenge, global knowledge sharing. Considerable importance is helping frame discussions with knowledge, or providing a placed on the country teams themselves identifying key space for multiple stakeholders to collaborate. issues so as to ensure local relevance and to incorporate local knowledge for bottom-up policy influence. In the So how might a knowledge programme for ASM best draw dialogue model, the intermediary acts simply as an ‘honest these aspects together? broker’ providing an independent space for dealing with The ‘learning group’ approach will be particular useful contentious issues and assisting with planning the follow in the ASM sector, as it has been in both the forest and up activities and monitoring. conservation sectors, to promote learning in country close to■■ Knowledge programmes should identify opportunities local policymakers and local knowledge. This is particularly for capacity building of knowledge holders previously true given the poor understanding of the structural challenges excluded from policy debates — such as ASM communities faced at a local level and the inadequate links between themselves. This can happen by co-producing knowledge ASM communities’ citizen knowledge and policy making. and joint learning, as seen in the dialogue, learning group Based as it is on integration with existing initiatives, this low and knowledge review options. cost approach recognises the work of development actors■■ Quantifying the impacts for the ultimate beneficiaries and others in ASM around the world and seeks to find (artisanal miners themselves) can be difficult. Results may complementarities with these – embedding knowledge about be more anecdotal. Mapping out a clear theory of change, how to achieve progress with those who have the mandate to the outputs, outcomes and desired impacts, and the way deliver it. It also integrates capacity building through shared in which this will be monitored is particularly important in a learning and the co-production of knowledge, ensuring knowledge and network programme (see DFID 2011 and local actors improve their ability to influence national (and Hivos—IIED 2012b). international) ASM policy. I 17
    • Responding to the challenge of artisanal and small-scale mining IThe contentious issues in the ASM sector may require Finally, a knowledge programme could provide spaces todialogues to bring together the multiple stakeholders to meet ongoing demand for events where a larger number ofidentify and agree the problem and solution framing. Dialogues ASM stakeholders can come together to share knowledgecan be incorporated at different scales into a programme. and lessons from their work. To ensure successful outcomesThe programme may focus solely on dialogues to address and impacts from these events, content should be drawncontentious issues, it may choose to address one contentious from other aspects of the programme as well as broaderissue at a time alongside other programme activities, or it may sustainable development issues. These events could runseek to hold a dialogue on an ad hoc basis when the need alongside industry or other suitable development events toarises. promote integration into a wider agenda. Providing spaces (both physical and virtual) for follow-up activities that allow forThe ‘knowledge review’ component of a knowledge the programme to monitor impacts will be key to holding theseprogramme for ASM should seek to address the particular events.gaps in synthesis of understanding and what is known fromeach of the major stakeholder groups. There is a need to ASM has much potential to offer a sustainable livelihoodbetter understand the structural challenges facing local miners for poor and small-scale producers in developing countries.and their communities in each area to ensure successful and Where this is not possible, alternative livelihoods should beappropriate policy design and implementation. Identifying sought and incentivised. However, the reality is that ASM isa tool for collecting baseline information from an ASM an attractive livelihood opportunity for millions of poor peoplecommunity – what needs to be known for policy to reflect around the world and that, as with large-scale mining, there isunderstanding of the diversity and structural challenges of the market-driven demand for the resources they produce.community – and the metrics to determine ‘success’ in ASMand sustainable development is a knowledge gap that needs There is a pressing need to better understand ASM’sfilling by drawing on what is already known and testing it to structural challenges, and find solutions. A knowledge andgather citizen knowledge from ASM communities themselves. network programme that fully incorporates the diverse rangeSuch work could be carried out through a knowledge of stakeholders and knowledge types could build on theprogramme. previous work of CASM and meet some of these needs.18 I IIED
    • ANNEX 1Annex 1: Excerpt from the summaryof outcomes of the Roundtable on thefuture of CASM CASM should also ensure that all reports and tools are currentROUNDTABLE ON THE FUTURE OF and available on the website. CASM should begin to plan forTHE COMMUNITIES AND SMALL- a meeting but recognise a) that the meeting should occurSCALE MINING (CASM) INITIATIVE after a business plan is developed and b) that it is likely to be necessary to secure additional funds, including sponsorships, to support the meeting. A date should be set once a timelineSummary of Roundtable Outcomes is finalised for the business plan. The commitment to these21 July 2011, RESOLVE activities during this period of transition will send a message that, while its form and function will change in the comingExcerpt of ‘Program Elements’ (pages 2–4) months, stakeholders and donors continue to value andRoundtable participants clearly articulated the benefits of support the CASM brand and its evolution into a more activeCASM’s network features and its contributions over the past entity.ten years as a platform and connector for information sharingand networking. At the same time, participants noted that, to CASM 2.0: Activate and enhance the CASM networkgarner sufficient interest and funding to continue in the future, and network services. Stakeholders recognise the value ofCASM must have the mandate and resources to enable more CASM’s existing network and information-sharing functions, asconcrete results on the ground in countries with artisanal well as the need for the organisation to take a more active roleand small-scale mining (ASM) communities. These themes in the future. As such, roundtable participants recommendedemerged from the pre-meeting interviews and the meeting that the next CASM Secretariat be designed and resourced toitself. actively seek and make connections between key ASM actors and activities, as well as to distil and promote lessons learnedParticipants began visioning the CASM program as a package from ASM projects and literature. Additionally, participantsof a network base, stronger delivery capacity related to supported the idea that small-scale miners and others shouldexisting activities and services, with a more active in-the-field be asked to join the network and become actual members,support role aimed at bolstering host country capacity and demonstrating the network’s importance and need.cooperation between government, private sector, civil society,and ASM practitioners. A central element of this new program For example, rather than simply collecting relevant documentsrole centred on the notion of tri-partite (government, industry, on the CASM website, staff would review literature to identifycivil society) or multi-party mutual contribution and mutual trends, best practices, and other information of relevance toaccountability for supporting improvements in the ASM sector CASM members/stakeholders. CASM may also take a morein specific countries. active research role to fill in knowledge gaps.Roundtable participants generally supported the development Further, CASM would help identify and connect to keyof a business plan with the following package of program global initiatives for which ASM is or should be a centralelements: issue. For example, CASM could liaise with the Global Mercury Partnership and the treaty process, either by directlyCASM 1.0: Affirm and strengthen current network, participating or identifying CASM members/stakeholderswebsite, and tools. Participants saw significant value in the who can represent and advocate for sustainable ASM/SSMCASM Network and wanted to ensure CASM met its current in those fora. CASM would also organise an active roster ofcommitments and obligations, particularly during this transition experts and service providers to support members and in-stage and interim period. CASM should continue to operate country activities.its website and it should make investments in strengthening itsweb presence to ensure that it remains up to date. I 19
    • Responding to the challenge of artisanal and small-scale mining ICASM could also convene tripartite discussions when major mechanisms to measure progress against objectives. Theissues needing multi-stakeholder discussion and action program could also include pilots to test solutions, trainingarise. These would occur on both a global and regional and capacity building to support progress towards goals.level. This would position CASM as a support and service to Within the context of in-country objectives, and support,communities, governments, mining companies, companies stakeholders and experts would work together to developin the supply chain, and others as they grappled with issues and implement strategies to address issues such as mercuryrelated to the ASM sector. CASM would be seen as a ‘go-to’ and cyanide use, conflict and conflict metals, supply chainfor necessary dialogue and solutions. systems and transparency, and conflicts between large-scaleCASM 2.0 would be enhanced by a more advanced suite of and small-scale mining. This would position the new CASM tocollaborative technology tools to increase access and provide make a solid contribution to addressing these challenges on-network members with enhanced services. the-ground and with regard to global policy dialogues.CASM 3.0: Provide solutions — in-country capacity If successful, this work could bolster government capacity andbuilding and accountability. Roundtable participants noted improve investor/donor opportunities in countries. As such,that there is a need for in-country work with governments, CASM could also consider designing and supporting (directlyprivate sector, civil society, and ASM practitioners to support or through fundraising assistance) a financing mechanismstronger relationships, project planning and troubleshooting, for in-country projects that correspond to country-specificand effective implementation of ASM-related policies and objectives and that benefit the ASM community and promotepractices. Participants also identified a need for accountability responsible mining, health and safety, alternate livelihoods,mechanisms to measure and report on progress in these and other goals.areas. The future CASM could play this role by supportingwork at the country and perhaps regional level, either It is important to note that the frame for this solutionsproviding in-region services directly or identifying other focused program is one of supporting and advancingqualified technical assistance providers. sustainable development, not simply addressing ASM. As such strategies and tools would address broaderAs part of this work, CASM could convene multi-sector development issues.teams to support governments in development of sectorgoals. This would entail working with governments and other Roundtable participants suggested these programlocal stakeholders to create ‘action plans’ or ‘roadmaps’ elements as a reflection of CASM’s existing strengths,that address social, economic, environmental, and other key while recognising opportunities for a more active,ASM issues, and that build in milestones and accountability results-oriented approach to its work.20 I IIED
    • ANNEX 2Annex 2: Case studies on IIED’s knowledgeprogrammes ActivitiesForest Connect One project-based part of Forest Connect’s work hasObjectives been to develop a facilitator’s toolkit for supporting smallTo equip supporters of small forest enterprises with the forest enterprises (Forest Connect 2012). This toolkit wasfacilitation skills to do their job effectively, with the overall goal developed over two phases, the first of which determinedof reducing poverty and deforestation by better connecting what guidance supporters of such enterprises needed andsmall forest enterprises to: each other, emerging markets, the second of which shared country experiences to test andservice producers, and decision-makers. enrich the draft guidance (see further Forest Connect 2010 and Forest Connect 2008).This ad hoc international alliance sought to address aparticular problem: that small forest enterprises are isolated Phase 1 (2008–2010) – A workshop developed the— from each other, from markets and information, from framework for the toolkit based on the needs expressedproviders of business development and financial services and by participating country partners. The workshop includedfrom policy and decision makers. They are further isolated presentations from country teams on the issues of Smallgeographically by poor transport and communications and Medium Forest Enterprises (SMFEs). These identifiedinfrastructure, lack of scale and capacity, and language or opportunities, challenges and successful interactions. Thereother cultural barriers (Mayers and Macqueen 2008 in Forest were also a few presentations from experts on solutions toConnect 2008). This makes sustainable forest management well-known challenges affecting SMFEs. At the end of theinefficient and hinders profit generation, and the reinvestment workshop, 16 areas, or ‘modules’, were identified, rangingof that profit for the good of forest-dependent peoples. from product development and financial planning for SMFEs to identifying national SMFE support institutions and settingThe alliance’s focus on facilitated ‘market system up evaluation processes for external agencies. Papers bydevelopment’ to improve small forest enterprises followed well-known experts on the topic were commissioned toanalysis that mapped interventions in the sector and provide guidance on each of these modules, based on whatencouraged a move in this direction (Macqueen 2008). was already known. These five-page papers provided the draft guidance that was tested and discussed in Phase 2. OngoingTarget audience in-country support funded by Forest Connect provided a richSupporters of small forest enterprises — there are at least 20 test bed of experience on which to draw.million people formally employed in small forest enterprises,but since the vast majority of such enterprises are informal Phase 2 (2010–2012) – In-country work continued, but(not registered) the real number is much larger, probably with a specific mandate to test different modules of therunning into mid-high hundreds of millions (Forest Connect guidance prepared in the first phase. A workshop was held2008). IIED doesn’t have the field presence to reach all of to share experiences that enriched the draft guidance. Thethese producers directly and, moreover, their issues tend to draft toolkit was prepared in advanced (based on previouslybe context specific. Targeting their supporters means that commissioned studies) and enriched at the workshops withthe network is able to help small forest enterprises through shared field experiences and case studies. A final toolkit wasinstitutions that have local knowledge and presence. then written and published. I 21
    • Responding to the challenge of artisanal and small-scale mining IFigure 3: Forest Connect’s iterative process of action learningOngoing methodological supportprovided to country groups fortheir tactical action and reflectionactivities Toolkit Workshop 2 – Rome Objective: Presenting success and Tactical actions revising and refining the content of the toolkit modules 2 Workshop 1 – Edinburgh Reflect, critically Objective: Tactical actions analyse and Introductions to each other’s document lessons, work, revision and refinement embrace any of toolkit modules and country 1 failures work plans Reflect, critically analyse and document lessons, embrace any failuresSource: Forest Connect 2008The toolkit is made up of 16 modules with transferable With the toolkit complete, Forest Connect has moved toguidance targeted at the supporters of SMFEs. Each module follow-up work, including awareness building, publicationconsiders: and launch of the guidance modules in English, French and Spanish.■■ Purpose – a few sentences describing what the tool is for■■ Outline – the main steps needed to try the tool out Participants and stakeholders in the network have also been working to help develop a new framework called ‘Investing■■ Useful tips – practical advice based on experience and in Locally Controlled Forestry’ (ILCF) which captures recent case study boxes documenting experiences from the thinking on how to attract asset investment towards the small testing of the draft guidance forest enterprises subsector (TFD 2012).■■ Further information – where to get further advice Looking to the future, Forest Connect has commissioned anForest Connect’s core business is active programmes of independent third-party review of the past four years of work,work in 12 countries with a much more practical focus on and is also commissioning eight national forward-lookinghelping facilitators offer support to small forest enterprises. papers. These forward-looking papers, which acknowledge theSuch work typically involves carrying out national diagnostics scarce resources available for small forest enterprise support,of the main opportunities and challenges facing small forest assess which small forest enterprise sub-sectors are likelyenterprise sub-sectors, more detailed value analysis of the to best deliver the landscape-level imperatives of livelihoodmost promising sub-sectors, and then a range of facilitated improvements and sustainable management that forestsinterventions (e.g. business training, association building, urgently require from local to global levels.design workshops).Forest Connect also runs a broader network of 900+ Governance and operating structuresupporters in 60 countries linked by an international social Forest Connect is co-managed by staff within IIED and FAO.networking site (http://forestconnect.ning.com). Partners provide in-country support using their wide networks and local presence.The output from these two workshops, in country workprogrammes and network interaction is a community of A steering committee is made up of four country teampractice linked by strong shared interests and a commitment representatives and one additional external expert (nominatedto both people and forests. by the country teams). It provides strategic guidance, helps with fundraising and profile raising, and acts to monitor and evaluate the activities of Forest Connect.22 I IIED
    • ANNEX 2Funding stakeholder groups are represented in each country team/Two phased grants of $125,000 each (totalling $250,000) learning group.funded the toolkit – including the workshops and The ultimate target group/ beneficiaries are the localcommissioned expert papers. communities at the forest margin who own or use forestIIED and FAO have contributed $200,000 a year (totalling products and services as well as community-based or privately$800,000 over the four-year period to date) to support in- owned small and medium forest enterprises (SMFEs). Thesecountry teams testing how to implement the guidance. groups benefit through the actions of intermediaries such as national representatives of the poor, national governmentTotal budget over four years to date: ~ $1 million spread over departments, national and international forest industry12 countries (i.e. small) associations and international forest governance institutions.Impact ActivitiesThe main deliverables from the project have been (i) a FGLG is an informal alliance of forest governancecommunity of practice sharing learning across more than 900 stakeholders within 10 countries, facilitated by IIED. Themembers from 60 countries; (ii) a web-based and learning informal nature of the alliance means that members rarelyevent platform serving that community; (iii) 12 country communicate externally as ‘FGLG’ but find other channelsprogrammes of action learning in support of small forest through which to make their voices heard.enterprises; (iv) six stories of change from those programmesand (v) the facilitator’s toolkit. This latter deliverable has been The country teams undertake a series of activities based onboth tested and implemented across a number of countries. annual work plans and budgets (these can be found at IIED 2013). An example of work undertaken for a specific theme isIn the 12 countries that Forest Connect has work shown below.programmes, it has had a measureable impact on government,NGO and private sector policy for forest enterprise support. Theme: Illegal and corrupt forestry that degrades livelihoodsThis has, for example, led to improved training and capacity is reduced through the adoption and spread of practicalbuilding programmes (in line with the guidance in the approaches to improved forest governancetoolkit), an integrated communications strategy and national Suggested activities:platforms for SMFE eco-tourism operators and new productdevelopment. Test sites for the toolkit have spurred other ■■ Research practical approaches to addressing the linksinitiatives within in the sector. National communication between illegality and poverty in country; and promote thisplatforms for SMFEs have emerged in 11 of the countries and research widelyact to share lessons on tools and tactics at the national level. ■■ Refine approaches to tackling the impacts of illegality/ poverty where an existing body of knowledge existsForest Connect’s work directly complements that of its donorsand partner organisations, so multiplying the impacts and ■■ Shape the above findings into specific guidance materialshelping spread the guidance. and tools that can effect change within key strategic frameworks (such as national forest programmes,Forest Connect has maintained its relevance beyond its decentralisation and related processes)original objectives and, at the request of its stakeholders, is ■■ Engage key decision makers within these strategicbuilding on its successes to develop more in-depth guidance frameworks to ensure they support the practical changeson particular development issues, such as gender and the suggestednitrogen use in forests. ■■ Develop and run training events to build long term capacity to tackle illegality and enhance livelihoodsForest Governance Learning Group Source: Blomley 2009:12(FGLG) The activities and composition of the learning groups are very different between countries. Each country team isObjectives supported by a host organisation — a local/ national NGO (inImproved governance of forest resources in ten countries in most cases), a consultancy firm or an enterprise. This hostAfrica and Asia organisation is responsible for receiving and disseminating funds, reporting on progress and convening the network inTarget audience country.Those who make and implement policy governing forest IIED provides a supporting and facilitation role for all theresources. teams, creating a platform for shared learning and anThe immediate target group are key change agents and overarching framework for activities on the ground. The IIEDadvocates for reform in the forest sector; leading allies in team also helps identify critical issues in country, developimportant adjacent sectors such as agriculture and forest work plans and provide intellectual inputs to the studies,ministries; well-connected forest friendly power brokers such as policy briefs and other outputs. But country teamsand deal members in government or NGOs; and leaders in have considerable flexibility to engage in issues that are mostforest enterprise (Blomley 2009:34). Individuals from these relevant locally. I 23
    • Responding to the challenge of artisanal and small-scale mining IThe FGLG carefully and deliberately selected certain Each country has a host organisation responsible forindividuals and institutions for each of the 10 learning groups convening the country network, overseeing activities,to ensure they represented diverse stakeholder interests and managing funds and reporting on progress.institutional affiliations. The size of groups ranges from 3 to There are three international partners to the programme25 in different countries. Countries were selected on the who were brought in because of their in-depth knowledgebasis that IIED staff had an established network or strong of the sector or experience in countries in the alliance. Twolinkages with the work ongoing in that country. This pragmatic consultancy firms provide one off studies and time boundapproach meant it was possible to get the work started facilitation. A non-profit training institute based in Thailandquickly (although it did mean that certain countries facing has engaged more actively in supporting the countries in thesevere forest governance challenges, such as the Democratic region.Republic of Congo, were not included). FGLG has an Action Advisory Group that was set up to bringThe country teams produce policy research reports, policy the beneficiaries – namely the in-country teams – into decisionbriefs and governance tools. making. It includes representation from both the in-countryIIED organises an annual ‘international event’ to facilitate teams and international conveners, and aims to ‘steer andexchange and mutual learning between country teams. optimise’ activities.These events include a field trip to share lessons from thehost country and presentations by all country teams on Fundingachievements, tactics, lessons, challenges and upcoming work FGLG received a grant from the European Commission ofplans. Informal peer review of the presentations facilitates ~ E2 million and co-financing from the Dutch government ofdiscussion, critique and lesson sharing. The discussions at E570,000 over the first 5 years of the project.these events have improved over the years as social capital Each country team received a total of between E72,000 andbetween the participants has built up (although there continue E100,000 over the entire three- or four-year period.to be difficulties of translation with and the ability of non-English speakers to participate in fast moving discussions). ImpactBilateral learning between country teams now takes place on FGLG outlined four key governance challenges and articulatedan informal basis when shared interests are identified. a set of outputs, within a logframe for each. Country teams pick up on particular challenges and explore various sub-There are also frequent email exchanges (or ‘governance themes within them that are specific to the local context.gossip’) across country teams on areas of shared learning andinterest. This can take place spontaneously when contentious An assessment has been made of FGLG’s impacts on:issues arise or can act as a ‘call to arms’ when support or ■■ Immediate target group (members of country learningadvice on issues is needed. groups) — this group showed the strongest and mostFGLG ran initially from 2005 to 2009. The project’s success visible impact in terms of personal and professionalmeant that another five-year funding grant was awarded to development and improved linkages at national, regionalcontinue activities. and international levels ■■ Intermediary target group — the representatives of localGovernance and operating structure NGOs, trade networks and government departments haveThis programme is run and facilitated by IIED staff who have benefited by direct or indirect participation in the networkextensive experience and knowledge of forest governance and deliberate efforts to reach out to themissues in the participating countries.Table 4: Examples of FGLG outputs Generic governance challenge Defined outputs within the project’s logical framework Poverty reduction strategies, national forest Output 1: Poverty reduction strategies, national forest programmes, programmes, decentralisation programmes decentralisation programmes and related processes enable improved forest governance Tackling illegal and corrupt forestry that Output 2: Illegal and corrupt forestry that degrades livelihoods is reduced degrades livelihoods through the adoption and spread of practical approaches to improve forest governance (see above activities associated with achieving this output) Forestry enterprise initiatives and private Output 3: Forestry enterprise initiatives and private sector associations sector associations comply with the law and spread practical approaches to improve forest governance Ownership, access rights, policy and Output 4: Ownership, access rights, policy and management frameworks are management frameworks improved to support local control and benefit from forestry24 I IIED
    • ANNEX 2■■ Ultimate target group of local and marginalised forest Target audience communities and small and medium forest enterprises ‘Forest sector leaders’ who are able to convert the results of — this is where it is hardest quantify impact. Evidence dialogues into effective international, national and local action. of impacts is more illustrative and anecdotal, without The ultimate beneficiaries are forests and those dependent on necessarily having direct attribution. them for their livelihoods.■■ International level — FGLG has influenced thinking and programme direction in the institutions with which it has Activities engaged (whether at a country or international level). The Forests Dialogue (TFD) emerged from the ‘Towards a Sustainable Paper Cycle’ initiative – a research andAlthough each country team operated with an extremely engagement process similar to the Mining, Minerals andmodest budget, the impacts of activities were increased by: Sustainable Development programme, which outlined the■■ integrating FGLG activities within other projects in country sustainable development knowledge in the paper and pulp with similar objectives sector (IIED 1996). At that time, a CEO forum on sustainable paper production was also being set up, creating momentum■■ ensuring members of the learning group were part of for action across the sector. Certification schemes for forests wider formal and informal networks that they could access were beginning to emerge, providing TFD with its first issue and influence on which to focus.■■ the IIED team playing a facilitation and supporting role to country teams over the years In its early years, TFD operated in an ad hoc manner –■■ using the issues being tackled by the forest experts as growing organically under the simple strapline of being an a platform for entry in wider governance debates (such ‘honest broker’ for contentious issues and offering a set of as the interplay between local national and international ‘key principles’ for dialogues. TFD has evolved from a single levels, and the failure to effectively capture and use dialogue structure, focused solely on building trust and revenues) shared understanding between the key stakeholders, into an initiative-based and action oriented organisation looking to■■ engaging the media to ensure improved and more achieve tangible and collective outcomes. Throughout the past accurate reporting on these issues decade, TFD has retained its focus on dialogues alone and■■ linking in to complementary initiatives on forest believes this has been key to its success. governance and on trade to multiply collective impact The key principles of a dialogue are:FGLG made certain assumptions that provided the basis forits activities and proposed theory of change. Although most 1. Identify the key issues, build trust among leaders, shareof these assumptions turned out to be correct, some didn’t perspectives and informationand most notable among these was the assumption that there 2. Seek consensus about the main challenges andwould be incentive and political will for change when it came opportunities to collaboratively solve a particular issueto developing and implementing policy. Highly entrenchedpractices and powerful patronage networks in certain 3. Actively promote and facilitate stakeholder actions thatcountries have meant that it will take longer than the initial 3–4 lead to collaborative solutions, with impact in policy andyear timeframe to achieve impacts. on the ground. Issues are selected on the basis of certain key criteria (TFD 2011:9) including:The Forests Dialogue (TFD) ■■ the issue’s significance and priority in relation to TFD’sObjectives purpose, mission and goal;‘Better forests, improved livelihoods. To contribute tosustainable land and resource use, the conservation and ■■ the dialogue’s potential, as suggested by the informationsustainable management of forests, and improved livelihoods base, willingness of stakeholders to engage, access toby helping people engage and explore difficult issues, find effective analysis, and clear possibilities to achieve impactcollaborative solutions, and make positive changes’ (TFD and change;2011:6). ■■ TFD’s comparative advantage on the issues and in the possible locations;TFD stimulates multistakeholder platforms for discussion,reflection and promotion of solutions by: ■■ indication of interest from local partners and country offices of Steering Committee members’ organisations;■■ getting stakeholders with different views engaged; ■■ the likely ability of partners to reach and engage key■■ enabling them to take a respectful and structured stakeholders including government, NGOs, indigenous approach to contentious issues; peoples and private sector; and■■ building a shared understanding and common interest; ■■ the availability of financial and logistical support. and From 2011 to2015 TFD is running four concurrent dialogue■■ contributing to positive change in challenging forest initiatives. In 2011 these initiatives were: REDD readiness; related issues. free, prior and informed consent; Investing in locally controlled forestry; and the ‘4F dialogues – changing outlooks on food, I 25
    • Responding to the challenge of artisanal and small-scale mining Ifuel, fibre and forests’. A fifth dialogue on the potential role of fundraising and acting as a spokesperson for the issues dealtGM trees within intensively managed planted forests is also with in TFD initiatives), a Program Manager (who managesbeing scoped. the content related aspects of the Initiatives and individual dialogues), a Program Coordinator (who manages all theThe typical steps of a dialogue are: dialogue logistics) and student interns (who support the■■ Issue identification and clarification logistics for initiatives and individual dialogues).■■ Preparatory work and collation of background papers The Secretariat is housed at Yale University. This has both■■ Translation for all participants strengths and weakness. Yale is highly regarded for its work■■ Introduction of stakeholders on forest issues. However, this can influence the culture of dialogues.■■ Establishment of ground rules■■ Sharing of experience Local host organisations are key to ensuring the dialogue is run efficiently and effectively in country based on their local■■ Exploration of views knowledge and capacities.■■ Analysis and reasoned argument■■ Decisions on action steps or recommendations Funding TFD recently become more strategic in its activities, and put inDialogues can be small, intimate groups or large fora involving place a strategic plan (TFD 2011). This has been necessary tohundreds of participants. Where possible, field visits are secure funding as the initial funders reduce their investments,included in dialogues to ensure direct engagement with issues which were intended as ‘start-up’, and as the scope of TFDon the ground. Dialogues sometimes use internet-based increases. Previously, TFD relied largely on in-kind donationscommunications to allow more stakeholders to participate and the capacity and clout of the larger organisations involved.from across the world. Core resources are approximately £50,000 per year for theThe main types of dialogue that TFD uses are: secretariat.■■ Field dialogues – four-day dialogue, with two days in the Approximate figures for dialogues themselves are: field following by two days in a meeting room, with 50 participants (up to 35 of whom are sponsored by TFD) – ■■ £100,000 for a 4 day field dialogue with 35 sponsored crucial to engaging with issues ‘on the ground’ participants■■ Non-field dialogues – two-day dialogue in a meeting room ■■ £70,000 for a 2 day dialogue with 35 sponsored with 40 participants (up to 35 of whom are sponsored by participants TFD) – for mid-way through an initiative, usually following ■■ £30,000 for a 2 day workshop with 6 sponsored field dialogues participants■■ Technical workshops – 2 day meetings with 10 participants (up to six of whom are sponsored) – to Impact address particular issues that may require expert or The outcomes of dialogues are communicated through international expertise press conferences, presentations, publications, web-based communications and follow-up meetings.TFD has had aEach initiative will include a number of different dialogues wide range of impacts that follow from its dialogues and theacross different countries, regions and internationally. A typical ‘bringing together’ of diverse stakeholders to discuss issuesdialogue initiative will have 10 dialogues over four years – and spur collaborative action:with a mix of country-based field and non-field dialogues andtechnical workshops where required. ■■ Key publications that are recognised as internationally influential on forest issues, such as the ‘Beyond REDD’Governance and operating structure consensus statement agreed by a group of 250-plusTFD has a large and influential steering committee made up of forest sector leaders stimulated by TFD.25 individuals who are considered leaders in the forest sector ■■ TFD has served as a catalyst and model for partnerships,and able to build shared understanding and a collaborative and has helped bring together stakeholders that don’tspace. The size of the groups means that a diverse set of usually engage with each other, such as the Indigenousstakeholders are involved. The effectiveness of the group Peoples’ group and the World Bank, and the Worldis their ability to build key connections and trust. Within the Business Council for Sustainable Development and WWF.Steering Committee, a smaller executive team has been set up ■■ The TFD model has inspired the creation of local dialogueto take forward key decisions. processes in countries after a dialogue has been held.The TFD Secretariat supports and coordinates the work of the This continues the momentum and creates an ongoingSteering Committee. On dialogue initiatives, the Secretariat space for national participants to engage with the issuesworks closely with the Initiative Advisory Group (set up for and find locally appropriate solutions.each initiative), and collaborates with initiative partners, ■■ Dialogues have forced policymakers to take action ondonors and local partners. TFD has the equivalent of 4 full forest issues. For example, the Chinese government tooktime staff: an Executive Director (who also sits on the Steering action on illegal logging following a dialogue and closedCommittee, oversees all the initiatives and is responsible for the Nanxun Sawmill in Guangdong Province.26 I IIED
    • ANNEX 2■■ Dialogues provide a vehicle for civil society (and ‘citizen represented in international debates) through provision of knowledge’) to influence policy. TFD had direct influence a programme of learning activities. on the Europe and North Asia Forest Law Enforcement As this learning group model is similar to that of the FGLG, and Governance process leading to the St Petersburg we focus on those activities that are unique to PCLG – Declaration. TFD provided a catalyst for events leading primarily activities under 1. to the US Lacey Act being amended to ban commerce in illegally sourced timber. PCLG promotes good practice through a website, monthly■■ Dialogues help deal with contentious issues, such as newsletter, disseminating free publications and database intensively managed planted forests, and help reduce of donors. It actively uses and shares knowledge, avoiding conflict between key stakeholders in a country. dumping information on databases that are difficult to search and use.■■ TFD has helped create and develop international stakeholder collaborations that have gone on to influence The PCLG website (www.povertyandconservation.info) international policy processes such as the ‘international includes: super alliance’ for locally controlled forestry between the ■■ information about the activities of PCLG; International Alliance of Indigenous and Tribal Peoples of the Tropical Forests, the Global Alliance for Community ■■ a searchable bibliographic database identifying and Forestry and the International Family Forestry Alliance and documenting relevant books, journal articles, policy a ‘community of practice’ on REDD readiness. papers, conference proceedings and other written materials that inform policy and practice on linkingTFD ensures the impacts from its dialogues by: conservation and poverty;1. Communicating with dialogue participants in advance to ■■ a database of organisations working on these issues ensure they are prepared to communicate the dialogue (including locations and areas of interest) to allow for easy results through their organisations, media and follow up identification and synergies of work; meetings, partnership building and materials. ■■ a database of conservation-poverty projects and initiatives2. Working with stakeholders to develop and commit to including detail of practical initiatives (also used to plans for how they will influence change. These plans are produce a biannual directory of conservation-poverty closely monitored for impacts. organisations and initiatives); ■■ links to other web-based resources including tools, list serves, databases, newsletters etc; andPoverty and Conservation Learning ■■ details of relevant forthcoming meetings and events.Group The website has a broader target audience than the learningObjectives group activities as it is open access.To promote better understanding of the links between PCLG circulates a monthly electronic newsletter, PCLGconservation and poverty in order to improve conservation and News, to all its contacts. This includes news from members aspoverty policy and practice. well as updates on ongoing poverty–conservation initiatives, including research updates, meetings, new publications,Target audience resources available.Both conservation and development practitioners in order toaddress the growing divide between these policymakers on PCLG disseminates free publications on poverty–conservationthe link between biodiversity and poverty reduction (Roe and linkages.Elliot 2005). Most recently, it has established a database of potentialAlthough the broader network has a broader target audience, donors for conservation-poverty activities (in cooperation withPCLG specifically targets organisations that develop (or have Terra Viva Grants).the capacity to influence) policy and practitioners who havea role in sharing experience and promoting good practice in Governance and operating structuretheir learning activities. This is to ensure action through these IIED provides the convening role and a secretariat for thegroups. PCLG. A part time researcher (working three days a week) is responsible for overseeing the website, and consolidating andActivities analysing information to share with the network.The Poverty and Conservation Learning Group achieves itsaims through: Funding Website management and other ‘virtual network activities’ cost1. Promoting good practice amongst policymakers £30,000 per year. This includes website maintenance and the and practitioners through information provision and time of a junior researcher to add and manage content. dissemination via an open access website.2. Facilitating dialogue and mutual learning amongst different Impact types of organisations actively working on conservation- Six-month monitoring found the web portal was visited 3500 poverty linkages (including those who are often under- times (including over 2000 unique visitors). People visited the I 27
    • Responding to the challenge of artisanal and small-scale mining Iwebsite from 116 different countries, demonstrating its globalreach.The monthly newsletter is the main channel of communicationand is sent to over 900 subscribers. PCLG membersactively contribute news and use the newsletter to circulateinformation.The e-bulletin, BioSoc, which highlights recent relevantresearch findings, is produced periodically, and has over 2300subscribers.28 I IIED
    • referencesReferencesARM. 2011a. ‘Analysis for stakeholders on formalisation in Eftimie, A., Heller, K., Strongman, J., Hinton, J., Lahiri-Dutt, K.,the artisanal and small-scale gold mining sector based on and Mutemeri, N. 2012. Gender dimensions of artisanal andexperiences in Latin America, Africa and Asia: Uganda case small scale mining: A rapid assessment toolkit. The Worldstudy. Alliance for Responsible Mining. Available at http:// Bank, Washington DC.www.communitymining.org/. Estelle Levin Ltd. 2012. Understanding Artisanal & Small-ARM. 2011b. “Analysis for stakeholders on formalisation in scale Mining in Protected Areas and Critical Ecosystems: Athe artisanal and small-scale gold mining sector based on growing global phenomenon. Presentation for ASM Protectedexperiences in Latin America, Africa and Asia: Tanzania case and Critical Ecosystems London Roundtable November 2012.study”. Alliance for Responsible Mining. Available at http:// Forest Connect. 2008. Developing a toolkit for facilitation ofwww.communitymining.org/. support for small forest enterprises – Workshop Report. IIED.Ban Toxics. 2010. The price of gold: Mercury use and current Available at http://pubs.iied.org/pdfs/G02295.pdf.issues surrounding artisanal and small scale gold mining in the Forest Connect. 2010. Testing and enriching guidancePhilippines. Ban Toxics! Available at www.bantoxics.org. modules for the „facilitation of support for small and mediumBlanchard, D. 1988. ‘Empirical strategies of bottom-up forest enterprises – Workshop Report. IIED. Available atdevelopment’. ICA International IERD Regional Development http://pubs.iied.org/pdfs/G03112.pdf.Svmposia, pp. 318–338. Forest Connect. 2012. Supporting small forest enterprises:Blomley, T. 2009. ‘Evaluation of the work of the Forest A facilitator’s toolkit. IIED. Available at http://pubs.iied.org/Governance Learning Group 2005 – 2009’. IIED, London pdfs/13558IIED.pdf.Available at www.iied.org. Gamarra Chilmaza, F .2005. Programa para la PrevenciónBuxton, A. 2012 MMSD+10: Reflecting on a decade of y Eliminación Progresiva del Trabajo Infantil en la Mineríamining and sustainable development. IIED Discussion Paper, Artesanal de Oro en Sudamérica: Estudio Sociolaboral enIIED, London. Available at http://pubs.iied.org/16041IIED. los Centros Poblados de la Rinconada y Cerro Lunar, Puno.html. International Labour Organization. Available at http://redsocial. pe/IISOCIOLABORAL.pdf.Carter, A.S, Hayes, K., and Ziulkowski, A. 2009. ‘ConnectingASM to markets’, Annual CASM Conference ASM: An Green Economy Coalition. 2012a. ‘Background paper:Opportunity for Rural Development, Communities and Small- Surveying the ‘green economy’ landscape post Rio+20’.scale Mining. Available at http://greeneconomycoalition.org/.Chilmaza F.G. and Rivas, M.R. 2009. ‘Lessons in advocacy Green Economy Coalition. 2012b. ‘December Monthlywork for public policies for small-scale mining: Peru case’. Update’. Available at http://greeneconomycoalition.org/.Alliance for Responsible Mining. Available at http://www. Hart, K., 2006 ‘Bureaucratic form and the informal economy’communitymining.org/. in Guha-Khasnobis, B., Kanbur, R., and Ostrom, E. (eds)Cleaver F. 2000. ‘Moral Ecological Rationality: Institutions Linking the formal and informal economy: concepts andand the Management of Common Property Resources, in policies. Oxford University Press, UK.Development and Change 31 (2): 361–83. Hentscehl, T., Hrushka, F., Priester, F. 2002. Global report onD’Souza, K. 2007. ‘Global Perspective: LSM-ASM artisanal and small scale mining. Working Paper 70, Mining,Relationships Worldwide’. CASM presentation, Large-Scale Minerals and Sustainable Development (MMSD) Project.& Artisanal Mining & Infrastructure Workshop. Democratic IIED, London.Republic of Congo. Available at https://www.artisanalmining. Hilson, G. 2005. Challenges with eradicating child labourorg. in the artisanal mining sector: A case study of the Talensi-DFID. 2011. ‘How to note: Guidance on using the revised Nabdam District, Upper East Region of Ghana. University ofLogical Framework’. A DFID practice paper. UK Department Reading, UK.for international Development. Available at http://www.dfid. Hilson, G. 2006. “Strengthening artisanal mining researchgov.uk/. and policy through baseline census activities” in Natural Resources Forum 29: 144–153. I 29
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    • Responding to the challenge of artisanal and small-scalemining: How can knowledge networks help?This paper reviews what is known about the problems and structural challenges facing the 20–30million artisanal and small-scale miners and their communities, worldwide. Better understandingof these structural challenges is needed to improve policies and policy implementation to furthersustainable development opportunities for the sector. The paper explores the current gaps inknowledge to achieve policy change from researchers, practitioners and artisanal and small-scaleminers themselves. It explores how a ‘knowledge intermediary’, which acts to link knowledge withpolicy, could address these gaps and includes case studies of IIED’s work on knowledge networksand programmes. The paper concludes by proposing a way forward for designing a knowledgeprogramme to meet the particular needs of the artisanal and small-scale mining (ASM) sector, and byinviting ASM sector stakeholders to share their views on the options outlined. The paper provides thefoundation for a new knowledge programme at IIED for ASM.The International Institute for Environment and Development (IIED) is a policy and action research organisationworking to promote sustainable development, development that improves livelihoods in ways that protect theenvironments on which these are built. Based in London and working on five continents, we specialise in linkinglocal priorities to global challenges. In Africa, Asia, Latin America, the Middle East and the Pacific, we work withsome of the world’s most vulnerable people to ensure they have a say in the decision-making arenas that mostdirectly affect them — from village councils to international conventions.This paper was produced by IIED’s Sustainable Markets Group. The Sustainable Markets Group drives IIED’sefforts to ensure that markets contribute to positive social, environmental and economic outcomes. The groupbrings together IIED’s work on market governance, business models, market failure, consumption, investment andthe economics of climate change.This research was funded by UK aid from the UK Government, however the views expressed do not necessarilyreflect the views of the UK Government.©International Institute of Environment and Development 2013All rights reserved80-86 Gray’s Inn Road, London WC1X 8NH, UKTel: +44 (0)20 3463 7399Fax: +44 (0)20 3514 9055email: info@iied.orgwww.iied.org