9th ICGLR-OECD-UN GoE Joint Forum on Responsible Mineral Supply Chains 5th May 2015

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www.rcsglobal.com
Draft
Guidance
for
Governments
on
Managing
Artisanal
and
Small-­‐scale
Mining
9th ICGLR-OECD-UN GoE Joint Forum on
Responsible Mineral Supply Chains
5th May 2015

2. Introduction
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We developed a shared diagnosis of the
shortcomings of ASM Management.
Governments usually knew what objectives
to set, but not how to achieve them in the
face of various obstacles.
These included:
• Challenges of implementation
• Challenges of strategy

3. Scope
of
the
Guidance
3
This Guidance is comprehensive in scope.
It is not intended for governments in only one region.
It is not intended for management of some minerals and metals, but not
others.
It is intended to be used by governments, but also by other stakeholders in
ASM management.
Therefore, it is not primarily concerned with conflict minerals and supply
chain initiatives.

4. Structure
of
the
Guidance
4
The Guidance is organized into three phases:
Phase 1: Pre-ASM Management Strategy Development
Preparation to manage ASM by forming an ASM Taskforce, a
stakeholder forum and commissioning research on ASM
Phase 2: Development of an ASM Management Strategy
Deciding what instruments and initiatives to use and what purposes they
should have.
Phase 3: Implementation of the ASM Management Strategy
Deciding how to execute those instruments and initiatives

5. How
to
use
the
Guidance
5
The purpose of the Guidance is to offer advice to users about
how a government can manage ASM.
Guidance is organized as a process that a government can
follow section by section to manage ASM from start to finish.
The Guidance can also be used as a reference manual.
The Guidance lists 19 instruments and initiatives that
governments can employ to manage ASM.
Phase 2 explains when each of them should be used.
Phase 3 explains how each of them should be implemented,
individually.

6. The
contribution
of
the
Guidance
6
The Guidance offers advice about how to make ASM
management:
• Strategic. It advises how governments can best pursue their
objectives
• Context-specific. It offers different advice to governments
under different circumstances.
• Cohesive. Instruments and initiatives that a government
employs in a strategy should be designed to have different
and complementary roles.
• Realistic. It repeatedly offers advice intended to ensure
governments only attempt what is feasible.

7. Differentiating
strategy
7
Form a Vision.
ASM is an umbrella
category.
Treating ASM
operations as the
same leads to a
‘blunt’ strategy.
Divide ASM into
subtypes to
sharpen ASM
management.
Develop sub-
strategies.

8. Develop
two
approaches
to
ASM
management
8

9. Choosing
a
License
and
Regulate
Approach
9
If a government decides that it has sufficient monitoring and
enforcement capacity, it should employ a License and Regulate
Approach.
Legalization: administer a licensing system, and close down
ASM operations that do not acquire licenses.
Formalization: set regulations for ASM operations, and sets
sanctions for those that do not, which end in revoking licenses.
Regulation: Regulation can be used to make ASM operations
improve their practices. Set regulations to balance incentives
Other instruments and initiatives can be used to improve ASM
practices further.

10. Alternatives
to
a
License
and
Regulate
Approach
10

11. Choosing
a
Promote
Good
Practices
Approach
11
A Promote Good Practices Approach is what a government does
when it has no way of making ASM operations to improve.
A government encourage or incentivize ASM operations to adopt
good practices, without forcing them to.
Education and training: teach practices that are in the interests
of ASM operations, ASM workers, or ASM stakeholders.
Clean processing plants. Technical assistance and services.
These techniques can all be used under a License and Regulate
Approach, but they are more important when they are
substitutes for, not complements to monitoring and enforcement.

12. Choosing
a
Promote
Good
Practices
Approach
12
The advice offered is realistic, context-specific and strategic.
The Guidance helps governments choose instruments and
initiatives as part of a cohesive package.
We hope that by following this advice, government can
overcome challenges of strategy and implementation.

13. Choosing
a
Promote
Good
Practices
Approach
13
This presentation does not tell you everything about the
Guidance. Please download it and read it.
This Guidance is a draft, and we expect there to be
improvements that we can make
We welcome suggestions and contributions that can further
improve this document.

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14
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