Toward Inclusive, Sustainable Artisanal and Small-Scale Mining (ASM)

IIED ASM Knowledge Programme, 2013-2018

Overview: IIED is planning to establish a 5-year knowledge programme for the artisanal and small-scale mining (ASM) sector. The goal is to create a better enabling environment for the ASM sector, which supports more secure, dignified livelihoods for miners and enables their empowerment, promotes increased collaboration among sector actors, and addresses other social and environmental challenges. The core components are: 6 country learning groups and ASM outlook reports; multi-stakeholder dialogues on contentious issues; an online ASM resource centre and virtual network; and global policy engagement and communications. IIED will co-ordinate the programme, with in-country activities led by Southern partner – and with potential for additional countries and partnerships. Funding prospects are positive and we anticipate full operations to start in the first half of 2014 –with the ambition to initiate smaller components this year.

1. Summary

This is a 5 year knowledge programme for the artisanal and small-scale mining (ASM) sector, co-ordinated by

the International Institute for Environment and Development (IIED) and delivered with our partners, which

currently include Pact, Alliance for Responsible Mining (ARM) and Development Alternatives (DA). Operating

at global and national levels, it will work in at least 6 countries, including Tanzania and Ethiopia (Pact),

Colombia, Peru and/or Bolivia (ARM) and India (Development Alternatives), with potential to expand to

other countries and partners.

The goal is to achieve an improved enabling environment for the ASM sector, which provides more secure

dignified livelihoods for vulnerable people involved in ASM and enables their appropriate empowerment,

promotes increased collaboration among sector actors, and improve other sustainable development

outcomes. The objective is to improve the knowledge, policy and practice of key actors whose role it is to

support the ASM sector, or whose activities impact on it - including governments, large-scale mining

companies, global mining initiatives, ASM representative organisations, donors, technical experts and NGOs.

The initiative targets 3 linked needs: lack of knowledge about the ASM sector or effective solutions; a lack of

connection, trust or collaboration between sector stakeholders; and poor representation of miners’ and ‘on-

the ground voices’ in higher level decision-making. While the precise issues to address will be determined by

during Year 1 national scoping, likely priority areas we have identified are:

Integrated, inclusive governance: legal frameworks for ASM, formalisation, miner representation

Economics and Markets: market access for ASM enterprises, supply chain transparency, standards and

due diligence, access to finance, enterprise development and livelihood diversification

Risk, Conflict and Collaboration: relations between large-scale mining, ASM and government, security,

managing operational risks.

Addressing Social and Environmental Impacts: women’s rights, legal compliance, health and safety, land-

use, deforestation, ASM in protected areas.

Target subsectors for the 6 countries include gold, gemstones, construction materials (sand, stone, clay) and

salt. The immediate outcomes of programme activities will be:

Establishment of new cross-sector networks (learning groups) of ASM policy champions in 6+ countries,

who have the knowledge, tools and links to improve their organisations’ practices and influence policy.

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Strengthened knowledge among officials in key government departments about ASM, miners’

perspectives and effective interventions

Greater visibility and representation of ASM miners’ views in policy-making and public discourse.

Increased understanding, dialogue and co-operation amongst disconnected actors – between ASM and

governments, ASM and large companies, and across the local-national-global level.

Vastly improved online access to information on ASM for a wide range of stakeholders globally and

increased cross-country and South-South learning among programme participants

The long-term outcomes at the end of 5 years:

National governments in 6 countries are progressively improving national ASM policy design and/or

implementation (e.g. mining regulations, standards and oversight, strengthened institutional capacity,

consultative processes, policy support on economic opportunities for ASM)

International public and private sector actors are progressively improving their policy frameworks and

practices (e.g. public and private voluntary standards, regional mining frameworks, new business-NGO or

multi-stakeholder collaborations)

Programme participants and wider ASM stakeholders use their improved access to knowledge, networks

and tools to strengthen the effectiveness of their own interventions.

The direct beneficiaries are ASM stakeholders who participate in learning group and dialogues, or use the

knowledge products and services. ASM miners benefit indirectly from an improved enabling environment,

and from programme initiatives which increase their capacity to engage with policy-makers and companies. 1

2. Rationale

Artisanal and small-scale mining has long been recognised as challenge for the mining sector, and far less

progress has been made compared with other aspects of mining’s sustainable development agenda

(transparency, environmental management processes). ASM involves some of the world’s poorest people and

frequently operates in regions which are remote, ecologically sensitive and where institutions are weak. ASM

is estimated to provide livelihoods for 20-30 million people worldwide, with 3-5 times that number indirectly

supported (compared to only 3-4 million employed directly in large-scale mining). ASM has significant

potential to support poor people’s livelihood, but also carries series social and environmental risks – from

mercury pollution, to local conflicts with large-scale mining operations, corruption and exploitation. Such

risks may increase as the demand for minerals grow. Long ignored by many governments, there is now

emergent interest to address ASM. National governments want to realise the potential of their natural

resources for poverty reduction and a number have initiated formalisation processes. The international

community is concerned about mercury pollution (UN Minamata Convention) and ASM’s links to conflict (US

Dodd Frank legislation, OECD guidance on Conflict Minerals). Large-scale miners (LSM) want to avoid

disruption to local operations from ASM on their fenceline, while some ASM organisations are working to

increase market access through ethical labelling schemes (Fair Trade and Fair Mined Gold).

However, governments, companies and ASM organisations face huge challenges to implement effective ASM

policy and practice. This initiative targets:

1 The term “ASM miners” is used throughout as a short-hand to refer to vulnerable women, men and children directly

involved in mining and ancillary activities of panning, processing or transportation. The term ‘stakeholder’ follows the World Bank definition of “an entity with a declared or conceivable interest or stake in a policy concern” about ASM.

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Knowledge gaps and poor information-sharing. Policy-makers, local officials or NGOs often have little

understanding of the sector or local realities. There is good technical experience and pilot programmes,

but interventions are usually localised and there has been underinvestment in lesson-sharing, which

prohibits scale-up and replication. There is currently no online facility specifically focused on ASM (as

opposed to mining in general) where practitioners can access ASM resources (tools, guidance, analysis).

Poor communication and relations among ASM stakeholders: Collaborations are needed, yet the sector

itself is marked by conflict, distrust and non-communication among different actors.

ASM miners having little voice in policy-making, with a lack of collective organisation (particularly

outside Latin America) or effective representation. Local actors are unaware of new global initiatives that

may affect their operations. Improving dialogue and the increasing the visibility of ASM miners’

perspectives in public mining debates (which is an aim of this initiative) is crucial a first step.

The programme has been co-designed with existing national partners, who see the initiative as strategic and

timely in the countries proposed. For example, in Ethiopia (c.500,000 miners) the government is making

progress in organising the ASM sector, the Ministry of Mines is planning a national ASM conference in 2014

and a large World Bank project is underway. In Colombia (> 15,000 miners ) – where conflicts around access

to land/minerals are increasing - the government is revising its Mining Code and ASM policy, and new

dialogue spaces on mining are being created. While in India (c. 500,000 miners) a construction boom is

driving the growth of ASM in gravel, clay, sand and building stone sectors – yet the sector is virtually

unregulated or supported. This knowledge programme would play a key role in engaging and supporting

national processes, and finding solutions to specific challenges. It will also share experience between

countries. For instance, across Latin America there are significant recent experiences of artisanal miners

working to influence policy (see Annex 1 for country overview).

3. Incorporating lessons learned

We have been working closely with our partners to design the programmes and consulted extensively with

sector stakeholders. The latter includes a roundtable at the Indaba Mining conference in February 2013, a

background paper and online consultation (http://pubs.iied.org/16532IIED.html), and on-going discussion

with ASM experts. We have drawn on the experience of similar initiatives, including the UNEP Global

Mercury Partnership and CASM2 . Key ways we plan to incorporate these lessons-learned are through:

Having the prime focus on national action for specific outcomes over sustained period, led by partners

with in-country presence (rather than occasional international conferences of CASM)

Properly resourcing key activities by having a dedicated IIED co-ordinating unit with 4 staff and covering

the costs of country co-ordinators. (CASM relied on 1 part-time co-ordinator and voluntary efforts).

Having a targeted mandate focused on knowledge, network and policy activities – rather than also

supporting technical interventions– and on a defined set common priorities in the countries we work in.

Establishing effective methods to assess progress and impacts - including setting a national ASM baseline

(‘Outlook Report’), annual learning event, advisory and donor panel meetings.

Involving a mix of organisations in programme participation and delivery, including ASM experts with on-

the-ground activities (e.g. PACT, ARM), specialists in sustainable development, policy engagement and

knowledge networks (e.g. IIED, DA), and the large-scale private sector (for dialogues)

2 CASM (“Communities and Small-Scale Mining”) was a global networking and co-ordination facility for ASM, housed by

the World Bank and recently closed after 10 years’ operation

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The methodology also draws heavily on IIED’s long experience in running virtual networks and web platforms,

in-country learning groups, and multi-stakeholder dialogues (see section 10).

4. Programme activities and outcomes

Table 1 (overleaf) sets out the key activities and outcomes the programme seeks to achieve. This is a

simplified model focusing on process and types of activity rather specific on issues or policy/practice changes.

Not being specific now is deliberate: it reflects the decentralised, partner-led approach to learning groups,

who will define priorities, workplans and impact chains in line with their context, needs and strategic

opportunities; and the need for deeper consultation before finalising appropriate issues for the dialogues.

Year 1 of the programme is therefore focused on crucial preparatory work (forming learning groups, starting

to prepare national ASM outlooks, designing dialogues and the website). Particularly important for Learning

Groups and Dialogues will be to tease out innovative ways the programme can connect people, particularly

ASM miners and national/international policy-makers and companies, and identifying the most strategic

thematic issues and interventions. This will mean looking at questions of who is best placed to represent

miners and build capacity with them, and identifying lessons from the past, political barriers to change, how

local policy implementation occurs, and pressure points for leverage.

The logic model is organised around three spheres of action and outcomes i) improving national-level ASM

policy, implementation and practice ii) improving international-level ASM policy and practice among key

public and private sector actors and iii) promoting better sector-wide knowledge sharing. The activities

across the 3 strands are linked. For instance, the outputs from country learning groups and dialogues will be

shared with relevant international and regional initiatives and fora (IGF, Indaba and PDAC mining conferences,

AU Mining Vision process, Africa Minerals Development Centre). The programme seeks to engage large-scale

mining firms and industry groups (e.g. ICMM, WGC, WBCSD) in all three spaces, and particularly the dialogues.

a. National Learning Groups

These will be groups of 10-15 ASM leaders and practitioners within a country who meet regularly to exchange

ideas and information, and undertake specific research, policy analysis and engagement activities. Members

put their knowledge into action both in their own working environment and through targeted

communications and engagement of policy-makers and the media. They are policy-connected individuals

from different parts of the sector, selected for their capacity to effect change. They may include, for example:

government officials (mining, environment, health, women, local government); ASM mining organisations;

supply chain actors (processors, traders, buyers); CSR managers in large-scale mining firms; donors with in-

country technical assistance programmes; NGOs, academic or technical experts involved in supporting ASM.

The learning groups will identify how best to involve ASM representatives given the logistical challenges,

highly imbalanced power relations and questions around how far ASM organisations or co-operatives actually

represent the miners, particularly women. This might entail involving grassroots CSOs or practitioners who

work with vulnerable miners or holding separate discussion spaces for miners.

Table 1: Simplified Logic Model

Activities / Outputs

Short-term outcome (as a result of activities)

Medium-term outcomes (at end of 5 years) Ultimate outcome

Learning Groups (National & cross-country)

6 Country Learning Groups (LGs): Do situation analysis and scoping Form learning groups with agreed priorities,

approach and workplan Design and use process to link ASM miners to

policy processes Hold meetings for peer-to-peer exchange on

ideas, knowledge, practice Produce ‘ASM outlook’ reports Produce policy briefs and guidance Hold advocacy meetings and events with

decision-makers Disseminate LG reports and findings to media

and SD aware audiences Do multi-media work to share miners’ stories

(blogs, videos, media trips) Hold annual international learning event

6 active groups of cross-sector experts and champions exist, with improved knowledge, capacities, tools and links to shape and support public policy, and improve their own organisations’ effectiveness.

Officials in key government departments have a better understanding of ASM miners’ perspectives and are designing effective policy and interventions

Increased visibility and representation of ASM miners’

perspective in national discourse and media

ASM mining representatives / advocates involved in LG activities have better access to policy-making

Members of LGs have improved opportunity for South-South exchange of ideas & strategies

National governments in 6 countries are progressively improving national ASM policy design and/ or implementation (depending on context), so these are inclusive, support miners’ livelihoods and other sustainable development outcomes.

Wider consensus exists that supports a livelihoods and sustainable development approach to ASM (companies, communities)

ASM mining representatives (including women) involved in LG activities have improved confidence and capacity for policy engagement

An improved enabling environment for the ASM sector which supports livelihoods, empowerment, collaboration and sustainable development i.e.: Increased economic

opportunities for poor people involved in ASM enterprises and co-ops

Improved working conditions and reduced negative social / environmental impacts

Reduced conflict and more constructive relations between stakeholders (ASM , LSM, communities, government)

ASM miners, especially women, are better organized and have increased ability to influence policy-makers

Dialogues (national, regional & global)

3 Dialogue Series on contentious issues (e.g. LSM-ASM-govt relations, ASM in protected areas) are held in several countries Design & use process to involve miners Produce Background paper Hold Technical workshop Hold national dialogues (50 participants, field &

in-person meeting) Hold International dialogue Produce and disseminate synthesis report &

recommendations Support follow-up initiatives Follow-up advocacy in key regional/global fora

Diverse and disparate ASM stakeholders have

improved trust, better understanding of others’ views, and identified options to address the issue

Individual participants and their wider networks start to work together (after dialogues) to define and enact solutions

National governments in host dialogue countries engage in dialogues and start taking positive steps on findings

Key international public and private sector actors are

improving their policies and practices to reflect findings and consensus of dialogues and learning groups (e.g. IGF, OECD, ICMM,WGC, large firms)

Specific practical initiatives or collaborations catalysed

by dialogues are addressing contentious issues Key national targets (govts, firms) identified in

dialogue are taking demonstrable action on issue

Website & Communications (Global)

Online resource centre, virtual network, global policy and communications Create ASM website with database of research,

tools, projects and case studies Build membership of virtual network Circulate regular sector updates for members Search and compile grey literature Disseminate & advocate key reports Multi-media story-telling to share miners’

perspectives Identify & enact options for online community

of practice

ASM stakeholders (e.g. academics, practitioners, business) get better access to relevant, well-organised information made available online, and to link/network with each other

ASM miners’ experiences more visible in online fora

and targeted global media

A wide range of organisations working on ASM have

vastly improved knowledge about the sector, which enhances the effectiveness of their own interventions.

Greater understanding of ASM as an development and sustainable business issue among wider media and SD-aware audiences

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Two common outputs are “National ASM Outlooks” and the annual "international learning event".

The ASM Outlooks will be a published research reports, describing the state and key characteristics

of the ASM sector in each country, using common metrics and descriptors. This research series has

several purposes: to address data gaps; to inform the LGs work plans; to help engage policy-makers,

the media and influential actors; to assess government progress over time and hold it to account; to

enable cross-country comparisons and learning; and to pilot a research methodology format that

others could replicate or build on. The International Learning Event is a 3-5 day annual workshop,

involving partners and 2-3 active LG members to review country plans and outputs, undertake

reflection exercises and peer-to-peer coaching, and provide training in specific skills (advocacy,

media) or issues. Other LG outputs will be defined by the groups, but typically would include short

policy briefs, policy seminars and journalist briefings.

It is anticipated that LG activities will have a strong focus on women’s rights issues. For instance, by

focusing on gender-specific policy issues (health and well-being, equitable incomes, representation,

managing domestic and economic roles), collecting gender-disaggregated data in ASM outlook

reports and finding ways to include women working in ASM in learning groups and dialogues.

b. Dialogue Series

The programme will set up a series of in-depth international and national dialogues that brings

diverse stakeholders around a table to discuss and address particularly contentious issue critical to

the ASM sector and relevant across many countries. The purpose is to build trust and

understanding, develop responses to the issue, and facilitate collaborative solutions by stakeholders

that achieve tangible changes in policy and practice.

Dialogues will be co-convened by IIED and 1 or more organisations, which could be the LG partners

or other expert organisations. Issues appropriate for dialogue will be decided in consultation with

partners, experts and the programme's International Advisory Panel. Opportunities have already

been identified for running or supporting a dialogue series on: “ASM in forests and protected areas”,

potentially co-convened with ‘The Forest Dialogues’ an initiative that has 10 years’ experience) and

linked with the ASM in Protected Areas and Critical Ecosystems (ASM-PACE) Programme co-founded

by WWF and Estelle Levin Limited; “LSM-ASM-government engagement”; and “Gold Dialogues” on

human rights, conflict and LSM-ASM relations in Colombia, Peru and Bolivia. (The latter is already

planned by our partner ARM, thus a potential pilot exercise to work with). The programme would

explore formally linking the Dialogue Series to complementary initiatives e.g. Global Mercury

Partnership, Supply Chain Standards (World Gold Council conflict-free gold standard, OECD due

diligence guidelines), or the Extractive Industries Transparency Initiative.

One dialogue series would typically involve an expert workshop, background scoping paper, 3

national dialogues and an international dialogue, each lasting 1- 4 days each. A single process on

one issue takes around 12 – 15 months and can be run sequentially or in parallel depending on

resourcing, so within 5 years at least 3 full series would be completed. Dialogues work through a

structured process of knowledge-synthesis, problem analysis, option identification, trust-building,

and consensus-building, combining field visits and in-person meetings. This model draws strongly on

IIED’s experience with The Forest Dialogues.

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c. Website, global policy and communications.

The programme will establish an online ‘ASM resource centre’ website, run by a full time

knowledge/website manager as a satellite site of IIED. This will serve as a virtual hub for accessing

up-to-date information and tools on ASM for use by technical experts, government officials,

researchers, CSR managers, journalists, NGOs and ASM representative organisations involved in

policy. Key functions will include: basic primer on the sector; a database of key research, policy

documents, toolkits, and projects; regular e-updates to network members on news items, events,

and publications; information about the programme and its outputs. The knowledge manager will

actively search and compile grey literature, including relevant material previously listed on the CASM

website but no longer available. (The World Bank is willing to transfer resources once a properly

resourced initiative is in place). The website will be in English, with some listing of research

documents in Spanish and French. The knowledge manager will also scope opportunities for

extending site functions in a second phase e.g. a tri-lingual site, an online community of practice (for

virtual discussion, training webinars), and collaboration with ICT companies to develop

communication platforms accessible by grassroots ASM organisations.

The programme will have a strong focus on international policy engagement, bringing national and

local-level experiences to inform and improve governance initiatives (see section 5). It will also

work to raising awareness more broadly - about what inclusive ASM is, how it can be supported, the

views of miners and the programmes outputs. This will be achieved through high-impact media

around key reports produced by the learning groups/dialogues; videos and a blog series (e.g. which

share miners’ own stories); press trips to cover key struggles and successes; and seminars and

events with key decision-makers and sector stakeholders. Target audiences for this wider

communications effort include the media (mining media, sustainable development media, major

national broadcasters or broadsheets), influential opinion formers (e.g. development or political

bloggers) and the wider ‘sustainable development’ community that are not aware of ASM but could

play a key role in supporting solutions (NGOs, business councils).

5. Linking with and supporting others

The programme will seek to support, add value and co-ordinate with other actors in three key ways:

Learn and share: The programme will reach out to a wide range of regional and global ASM,

mining and sustainable development actors for the purposes of mutual learning, helping

communicate other actors’ activities, raising awareness of the knowledge programme and its

outputs, and ensuring that IIED’s work is guided by international initiatives. This will be via the

ASM online resource centre and elist network, participation in relevant events and on-going

networking. Key entities may include knowledge programmes and platforms (Goxi website,

Canadian Institute for Extraction and Development, African Mineral Development Centre,

IM4DC) industry initiatives (WEF Fair Mines initiative, ITSCI), international and multi-stakeholder

initiatives (OECD, DDI, UNEP Global Mercury Partnership, EITI), bilateral and multi-lateral donors

(World Bank), and campaigning entities (Global Witness, PWYP); leading Sustainable

Development or Human Rights initiatives relevant to mining (WBCSD, Ruggie).

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Engage: The programme will directly involve ASM stakeholders in core programme activities

(Learning groups, Dialogues) as well as in the co-production of policy outputs and in the

programme’s governance bodies (see previous sections for information on ‘who’)

Influence: This includes key national and international public and private sector actors, which

govern the ASM sector and who are the ‘target’ of programme activities focused on policy

change. At an international level it may include, IGF, AU Mining Vision, OECD, UNECA and

industry bodies/events such as ICMM, WGC, PDAC, Indaba. Engagement is via targeted policy

briefs, presentations at key events, meetings on specific issues and media work.

6. Managing risks, assessing impact

Any ASM initiative carries risk in terms of achieving results because the sectors’ huge diversity,

complexity and the deep-rooted structural challenges (power asymmetries, poorly resource states,

informality, disenfranchisement of miners). IIED and partners have conducted a risk assessment

and identified mitigation measures. For instance, key issues for learning groups are around ensuring

these have the right membership, with a balance across stakeholder groups, and individuals with

sufficient time, capacity and commitment to achieve results - together with a strategic and properly-

resourced workplan. We address these via a range of measures, including careful selection of

partners, co-ordinators and members, an active process of trust-building and buy-in, allowing proper

time for scoping and consultation with ASM groups, and covering travel costs for local ASM

representatives. There are particular risks around achieving longer-term outcomes for policy change

and implementation by national governments and international actors that govern ASM. This is

typical to policy work and reflects the wide range of factors that can block change (power of vested

interests in status quo, crises events that divert attention and resources, government staff changes).

The programme will address these by, for example: undertaking a full power and policy analysis as

part of year 1 preparation activities to ensure policy change objectives are targeted and realistic;

including influential actors in the programme activities and governance; and having a specific focus

on media outreach and on improving the perceptions and discourse around ASM. The latter is part

of efforts to address the political will barrier and support a broader constituency for change. In

other words, we are addressing such risks at the level of our objectives.

A learning-based monitoring and evaluation (M&E) framework will be established in conjunction

with partners to agree appropriate targets and indicators, measure and assess impacts, and

continuously learn. This will be formulated through an inception workshop and the year 1 strategy

development by learning groups. Regular peer reviews of progress will take place via the annual

learning event, and meetings of the International Advisory Panel and Donor Panel (see below).

7. Programme Sustainability

Sustainability is built into the programme design through its core focus on building the capacity of

national ASM stakeholders in the learning groups and dialogues. Sustainability will also be a key

objective for the programme, and the Advisory Panel, in its last 18 months. As part of this, IIED will

commission an independent evaluation and work with partners to examine ongoing demand. It is

premature to say what the future options will involve. It could involve seeking funding for a second

phase, or supporting the establishment of a new ASM sector representative body(ies). In the event

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there is demand for a second phase, the funding strategy could examine options for a mixed funding

model (e.g. some paid for membership services). In the event there is not a second phase, IIED

would look to find an organisation with the appropriate mandate, capacity and credibility to transfer

major assets valued by stakeholders e.g. ASM online database, multi-media materials, publications.

8. Governance

The programme will be co-ordinated by a team of IIED staff (4 full-time equivalents), working in

partnership with country teams. Strategic leadership, advice and inputs will be provided by a 10-

person, multi-stakeholder International Advisory Panel (IAP) of national/international experts. In

addition to the IAP, IIED is proposing to establish a Donor Panel, made up of representatives from

the programme’s core funding institutions. The DP would ensure accountability between the

programme and donors, be a source of strategic advice, ensure the programme is demand-driven,

and enable learning and risk-sharing among donors. A more detailed overview of the IAP and DP

functions is available on request.

9. About IIED and ASM programme partners

The IIED is an independent policy research organisation and world leader in the field of sustainable

development. Our mission is to build a fairer, more sustainable world, using evidence, action and

influence, in partnership with others. We work with partners on four big issues: climate change,

urbanisation, the pressures on natural resources and the forces shaping sustainable markets. IIED

are specialists in linking local to global and work with some of the world's most vulnerable people to

ensure they have a say in the policy arenas that most closely affect them — from village councils to

international conventions. IIED advises governments, business and international development

agencies and publishes widely. We work to build bridges between policy and practice, local and

global, rich and poor, government and private sector, and diverse interest groups.

IIED has extensive experience in convening knowledge and dialogue programmes, and working with

multiple stakeholders as a neutral convenor, including in the mining sector. In 2000-2002 IIED ran

the landmark USD 10 million project, 'Mining Minerals and Sustainable Development' (MMSD)

(http://www.iied.org/mmsd-final-report). In 2013 IIED published MMSD+10, 10-year review to

assess progress since then, which identified ASM as a key area where progress had been more

limited (http://pubs.iied.org/16041IIED.html.) IIED has a strong record in organising: learning

groups, particularly in the forest sector where we 10 years’ experience across 11 countries (Forest

Governance Learning Group,); virtual networks and knowledge portals (e.g. Green Economy

Coalition, Poverty and Conservation Learning Group), and multi-stakeholder dialogue initiatives (the

Sustainable Paper Cycle initiative, which was followed up by The Forest Dialogues programme now

managed by Yale University). An IIED ASM programme will leverage this institutional knowledge.

Pact, Development Alternatives and ARM have been identified as national partners to convene a

first set of national learning groups on the basis of their: expertise in ASM issues and mining, or

environment and poverty more broadly; skills and credibility as convenors; presence of in-country

staff or strong local partner organisations; experience in policy, research and linking local

communities to policy processes; capacity to manage finances and reporting; their reputation as

ASM champions and support for the programme’s approach. They all have existing country

programmes, projects or partnerships in the countries proposed, which the LGs will build on.

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10. Next steps

The proposal has now been widely tested with stakeholders and prospective funders, and there

strong confidence that this initiative is required, fit-for-purpose and needs to go ahead. IIED is well

advanced in its engagement with one funder, and in good discussions with another, who would

support a significant core of this programme. As with any initiative of this size, we anticipate it will

take time to draw in the full funds and so expect the programme to start in its entirety in the first

half of 2014.

IIED is keen to maintain the momentum already generated, and have the team and core

partnerships in place. As such we are exploring options to kick-off earlier with smaller components

of the programme – such as one dialogue series, or national ASM outlook reports - and are

interested to enter into discussions with organisations wish to accelerate these.

Contacts

Abbi Buxton, ASM Programme Lead, Sustainable Markets Group abbi.buxton@iied.org

Sarah Best, Senior Researcher, Sustainable Markets Group sarah.best@iied.org

Steve Bass, Head, Sustainable Markets Group. steve.bass@iied.org

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Annex 1: Country selection criteria and overview

Criteria for LG country selection are listed below. It is acknowledged that not all criteria are likely to

be fulfilled before the start of a country process:

Significant ASM activity in-country and initial clarity on problems and potentials. ‘ASM activity’

may include a range of minerals (gold, gemstones, iron ore, coal, limestone, construction

materials), and be locally or globally traded, and include processing as well as mining.

An engaged or supportive government seeking to improve ASM policy and practice and ready to

support staff involvement in the learning group.

A live ‘change process’ underway or about to start – e.g. a new government policy, an

implementation challenge, a private sector initiative, an ASM formalisation processes

Presence of ASM representative organisations or strong CSOs working with such communities

Existence or potential for a functioning multi-stakeholder group, with common interests and

commitment to address ASM issues collaboratively, but divergent opinions e.g. an EITI group

A strong and well-connected partner to convene a learning group, plan and engage strategically

and leverage additional support or finance where required

Presence of IIED ‘institutional capital’, such as existing strong partners to enable quick start-ups

Some key attributes of the ASM sector in existing countries identified for LG groups are highlighted

below.

Ethiopia Significant ASM, c. 500,000 artisanal miners in gold, salt and gemstone mines as well as

quarries for construction materials. Recently Ethiopia has made real progress e.g. installing an

ASM unit in the Ministry of Mines, organizing cooperatives, and creating the

mechanisms/incentives for reducing illegal ASM gold trade. The Japan Social Development

Fund (JSDF) of the World Bank has funded a project with the Ethiopian government to support

the economic, social and environmental sustainability of ASM in Ethiopia (focusing on: women

in ASM; support to cooperatives; technical and business training; lapidary; access to finance;

social services in mining areas; and capacity-building of government agents and NGOs). Key

issues which are likely to concern stakeholders in the LLG in Ethiopia include: formalization;

business and markets development; women’s rights; social conditions in mining areas; and

environmental impacts.

Tanzania Approximately 680,000 artisanal miners, with primary activities in gold and gem stones. The

Government has developed policies to control and develop ASM, but with varying degrees of

success. Recent initiatives to improve ASM have focused on: designation of ASM areas,

formalization, access to equipment, and improved technologies. There are also several

important and knowledgeable in-country organizations, individuals and private sector actors

working on ASM (e.g. Tanzania Chamber of Minerals and Energy, Tanzania Women’s Miners

Association). The World Bank is playing a key role: it funding a major program for the

Government of Tanzania’s Sustainable Management of Mineral Resources Project (SMMRP),

and is working with the Ministry of Mines and gold mining companies to develop a Public

Private Partnership (PPP) designed to foster collaboration and address conflict between LSM

and ASM. The Tanzania Chamber of Minerals and Energy has been very involved in addressing

ASM issues in recent years. Key issues facing the sector in Tanzania which are likely to be the

focus of the LLG’s attention include: child labour; conflict between ASM and Large Scale

Mining (LSM); mercury reduction; finance.

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India Small-scale miners constitute about 90% of all mines and 3000 small-scale mines account for a

workforce of 500,000 people. ASM mainly comprises gemstones, gold, coal and low value

products. A construction boom is driving the growth of ASM in gravel, clay, sand and building

stone sectors. There are significant environmental, technical and social challenges

(inappropriate technology, unsafe practices, low efficiency, local pollution, local conflicts over

resource use). Yet the sector is virtually unregulated or supported and recent sustainable

development initiatives have focused on large-scale mining (e.g. Sustainable Mining Initiative

of the Federation of Indian Mineral Industries, Confederation of Indian Industries’ Skill

Mapping report). The Government is interested to address sector challenges and learning

groups and dialogues would play a key role in supporting these emerging efforts.

Colombia Significant and long-standing ASM, at least 15,000 families, mainly operating under unsafe

conditions, lacking permits and with high rates of informality (85% of gold mining lack official

legal rights). Since 2008 – and as the security situation has improved - the government has

started to focus on the large-scale mining sector as a growth strategy and is expanding

issuance of licenses. It is seeking to implement a new mining code offering untitled miners

incentives to formalize operations. Existing conflicts between large and small-scale mining

have been exacerbated as a result of this process, and new issues emerged. New research

initiatives from large universities, and multi-stakeholder discussion groups, on mining are

underway (e.g. Mesa de Diálogo Permanente de Minería). ARM has been leading on, and

participating in these efforts. The Knowledge Programme will therefore target and involve

these actors and processes. While not all ASM miners are organised, they are eager to

participate in spaces to gain visibility and influence policy. Key actors include FENAMICOL

(Colombian Federation of Small Miners), communities involved in fairmined initiatives (Oro

Verde) and miners in Nariño (South Colombia), who organised around the new Mining Code.

Peru Significant ASM (at least 30,000 miners in 2002, and growing) and a long mining tradition.

Many ASM organisations are community-based, permanent, with legal titles and the capacity

to become formalized, while others are illegal and operate with serious negative impacts.

There is a lot to learn from the Peruvian experience within the region and globally. Several

initiatives have been implemented to improve environmental and social performance and

facilitate formalization. Peru is currently running a formalization process and ASM miners

played a key role in organising and influencing legislation to recognise ASM. There are

organised mining organisations, such as SONAMIPE and FENAMARPE, and experienced

women leaders too. There are also initiatives such as El Grupo de Diálogo Minería y

Desarrollo Sostenible which have been promoting sustainability sector wide dialogue, and

efforts in mining regions to create multi-stakeholder dialogue spaces.

Bolivia ASM in Bolivia is underground and aboveground and often involves very rudimentary

equipment. Key issues include improper use and management of mercury in gold recovery

and poor environmental management. Many ASM miners are also women, who migrate

frequently and lack stable housing, running water and electricity. 10-20% of mines are

informal. There are organisations representing ASM miners at the local and national level,

such as FERRECO, and most mining organisations are co-operatives (as a result of government

efforts to organise the sector). There are also regional level efforts in Latin America – such as

the GOMIAM research project on ASM mining and local communities in the Amazon – which

will be important to link with.