Achieving Sustainable and Inclusive Artisanal and Small-Scale Mining (ASM): A Renewed Framework for World Bank Engagement Table of Contents Executive Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3 Background . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8 Rationale . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11 Methodology . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13 Literature Review and Program Analysis Deep Dives and Miner Engagement Outputs What Is ASM and How Does It Contribute to Development? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16 Constraints Facing the ASM Sector . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21 Responding to the Challenges Over the Decades: Formalization . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 29 The Missing Middle: Why Sustainability and Scale Seem Elusive . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 37 Acknowledgments What Do Miners Say? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 41 The team would like to first acknowledge the core authors who made this paper possible, in alphabetical order: Toward a New Vision of ASM Support: Sustainability and Inclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 44 Dr. Rachel Perks, Dr. Sven Renner, Nathan Schneck, Gabriel Pillar 1: Legitimacy Seth Sidman, Justine Sylvester, and Kate Zhou. Several experts contributed valuable inputs through background Intervention Area 1: Ensure Responsive and papers, project evaluations, administration of the miners’ Appropriate Regulatory Frameworks survey, peer reviews, and content contribution, namely Intervention Area 2: Expand Application of (in alphabetical order): Maria Laura Barreto, Edward Progressive Mine Site Standards Bickham (World Gold Council), Felix Conteh, Terah DeJong, Daniela Fabel (SECO Switzerland), Dr. Terry Garde, Kristine Intervention Area 3: Enable Gender Equality Gotera, Professor Gavin Hilson (University of Surrey), Across the Value Chain Dr. Jennifer Hinton, Marcena Hunter (Global Initiative Intervention Area 4: Support Appropriate Against Transnational Crime), Susan Keane (Natural Decentralization and Local Governance Models Resource Development Council), Dr. Jocelyn Kelly, Henrietta Kolb and her team at the International Finance Intervention Area 5: Advance Environmental Corporation, Nataliya Kulichenko, Morten Larsen, Estelle Stewardship and Security Levin-Nally, Susannah McClaren (Cobalt Institute), Hiroaki Pillar 2: Professionalization Machii, Louis Marechal (Organisation for Economic Co-operation and Development), Itai Mutemeri, Professor Intervention Area 6: Facilitate Financial Inclusion Nellie Mutemeri, Mitsunori Mutohashi, Josh Read, Tapas Intervention Area 7: Support Infrastructure to Paul, Sebastien Pennes, Linus Pott, Dr. Kevin Telmer, Tony Access Legal Markets Verheijen, and Juliette Wilson. The team would like to thank the Delve Exchange team at the University of Queensland Intervention Area 8: Build Organizational and Regional Knowledge Exchange Coordinators (RKEC), Capacity of ASM Actors who supported deployment of the miners’ survey: Dr. Intervention Area 9: Deliver Extension Services Lynda Lawson and Professor Daniel Franks (University for Miners of Queensland); Urica Primus (RKEC, Caribbean), Aida Tamboura (RKEC, Africa-French), Blessing Hungwe (RKEC, Partnerships and Global Public Goods . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 74 Africa-English), Dian Anggraeni (RKEC, Southeast Asia and Pacific), Rana Sengupta (RKEC, South and Central Conclusion: Creating a New, Unifying Narrative for ASM . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 78 Asia), and Manuel Reinoso (RKEC, Latin America). Finally, the team would especially like to thank Dr. Demetrios End Notes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 80 Papathanasiou for his continued support, encouragement, and engagement over the last 18 months along with Robert Bibliography . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 82 Schlotterer, who, despite joining the unit quite late into the paper’s drafting, understood quite quickly the importance Annex 1 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 86 of the ASM agenda for the World Bank’s development goals. Achieving Sustainable and Inclusive Artisanal and Small-Scale Mining (ASM): A Renewed Framework for World Bank Engagement 1 EXECUTIVE SUMMARY Artisanal and small-scale mining (ASM)1 has played an increasingly active role in national development and international trade over the decades. As of 2024, those engaged directly and indirectly in the sector’s labor value chain make up more than 225 million people working across Latin and South America, Africa, and Asia. Studies estimate that women account for between 18 percent (World Bank 2020, 91)2 and 50 percent (IGF 2018) of the 45 million people who work directly in ASM. Artisanal and small-scale miners work in diverse mineral supply chains—ranging from well-known minerals and metals such as gold, cobalt, copper, and semiprecious and precious gemstones to lesser-known materials such as salt, gravel, and quarry rock. Growth in the share of artisanal or small-scale mined material has grown significantly. Take, for instance, gold: in the 1990s, ASM contributed 4 percent of total global supply and now represents 20 percent. Or cobalt: in the late 2000s, ASM contributed 5 percent of total global supply and now represents upward of 12 percent. Or sapphires and diamonds: the ASM supply makes up 80 percent and 20 percent of global supply, respectively. Lastly, ASM-mined tantalum and tin make up 25 percent and 25 percent of global supply, respectively (IISD 2017). Growth is explained by multiple factors. Findings from the various consultations and Internationally, ASM growth is driven by continued interviews suggest stakeholder appetite for a new strong demand for a variety of minerals, including approach to support ASM: one that focuses on gold and technology-dependent minerals such as the professionalization of the sector in service of tantalum and coltan as well as diamonds, precious national development targets such as employment and semiprecious stones for the jewelry industry. creation, well-being, and revenue generation. Nationally, across many parts of the world, ASM Whereas commitment remains to market-linked growth is explained by domestic economic, standards, there is recognition that efforts to build environmental, and social drivers, including limited domestic infrastructure for a well-regulated and job opportunities in rural environments and more legal ASM sector deserve more sustained and recently climate change impacts on farming and concerted focus. Specifically, interventions such other nature-based livelihoods. These factors lead as environmental and social performance at mine to increased migration into into nonfarm economic sites, financial inclusion, and domestic trade and opportunities. In fact, today ASM is the predominant commercialization. Emphasis should be on the nonfarm rural income in many parts of the world. central role played by government in regulating, monitoring, and fostering the sector’s development. Strong demand presents opportunity to scale Consideration toward incentivizing miners and up ASM support efforts. Stakeholders are governments to develop, own, and apply standards eager to see how support to the sector can be designed to improve mine performance and better coordinated, scaled up, and sustained. governance are important. Fostering sustainable Roseline Nyambu at her mine in Kenya. Credit: World Bank. Achieving Sustainable and Inclusive Artisanal and Small-Scale Mining (ASM): A Renewed Framework for World Bank Engagement 3 Executive Summary and inclusive ASM is possible, but it will require or so, on “piloting” approaches without a plan for To achieve a scaled-up approach of investment leverage digital solutions for improved earnings a new way of working, one with a sharper medium-term scale-up. The donor community for our client countries, the World Bank’s and access to regulated finance; (iii) progressively understanding of the objectives at hand. As this could significantly improve impact by pledging engagement with the sector requires a more improve working conditions on sites; and (iv) paper argues, a general shift in perception is commitments to longer-term programming with forward-looking approach: from risk mitigation create realistic governance models that account required: moving from viewing ASM as a risk to much more ambitious scales of financing. to development opportunity. In particular, a for multistakeholder involvement and promote acknowledging its potential for wealth creation and forward-looking approach to ASM development sustainable solutions to security of tenure. The national development. For that, better data and The past 20 years have seen increasing efforts opens opportunities to (i) marry climate and ASM World Bank will continue its support to regulatory research will continue to be required alongside for market compliance and due diligence development agendas through strategies of reforms in line with the above. A new framework reforms to how interventions are conceived. processes to ensure ASM minerals continue to decarbonizing operations, introducing circularity (Figure ES1) for engagement outlines these areas of comply with standards that allow sourcing in where appropriate, and regenerative mining; (ii) intervention (and more). It is important to take stock of lessons learned global supply chains. The need of downstream from decades of investment support to the end-user and manufacturing companies to mitigate sector in favor of sustainable and inclusive risk related to the sourcing of artisanally mined FIGURE ES1 World Bank Sustainable and Inclusive ASM Support Framework ASM in service of national development product for many communication and clean energy agendas of client countries. ASM creates jobs, technologies has significantly influenced ASM but in its present state it also leaves significant support in the last two decades. Over this period environmental and social legacies that are too just over 50 percent of all donor investments into costly for governments and mining communities the ASM sector have gone to supporting “mine- to bear. Concerted efforts to scale and deepen to-market” programs with a variety of traceability engagements will require a laser focus on topics and certification systems tracking flows of ASM prioritized by ASM actors and governments: material to the end user.3 Some mine-to-market environmental stewardship, occupational health programs have also focused on environmental and and safety, productivity, and domestic revenue social performance at sites—but not all. There is mobilization. Of utmost priority will be sustained a current need, as expressed by ASM actors and support to governments to lead and coordinate governments, to create better complementarity technical and financial partner efforts under a between international market objectives and coherent policy umbrella including national ASM those of domestic actors whose objectives are strategies and plans. to professionalize the sector for greater national development impact. Since the 1980s, the international community has invested over US$1 billion in support of ASM. Supporting well-regulated and developed The World Bank has financed just over a third of ASM will contribute to the World Bank’s goal this total investment, with a focus on regulatory of a world free of poverty on a livable planet. reforms and government capacity building. The A new approach to supporting ASM will require remaining sum has been spread across a range of partnerships to de-risk investment into the building donors and topics, including mercury abatement, blocks necessary to improve access for miners and gender empowerment, child labor prevention, other ASM actors—namely, mine site performance and community engagement. Whereas many standards, investments in domestic legal markets stakeholders concede important results have and regulated finance, and other governance emerged from these hundreds of projects, a priorities. Fundamental to a new vision of support sentiment remains that long-term impacts are to the sector is a shared understanding of impacts difficult to identify. Scale and sustainability of ASM and how to support governments and ASM actors programming has been hampered by a variety to address them at the domestic level. There is of issues, including short project durations with an important role for the World Bank to play in small sums of money, the complex operating convening partners around a shared vision of ASM environment characterized by vested interests sector improvement—both at the global level and at and poor governance, the near absence of the country level—in a way that creates the platform government involvement in many programs, and for investments to be made and for government to the heavy emphasis, particularly in the last decade play its central role in sector management. Source: World Bank. 4 Achieving Sustainable and Inclusive Artisanal and Small-Scale Mining (ASM): A Renewed Framework for World Bank Engagement 5 Many ASM intervention areas in the framework promoting knowledge and data, spearheading are familiar to the World Bank, but others new investments in specific technologies or are relatively new. The World Bank will remain approaches, or scaling up proven pilot models. committed to improving the regulatory environment for ASM (Intervention Area 1), capacity building of To maximize its full capabilities, the World Bank government and ASM actors (Intervention Area 8), will foster deeper internal collaboration across provision of extension services (Intervention Area the International Bank for Reconstruction and 9), and gender (Intervention Area 3). The World Development (IBRD), International Development Bank will also significantly scale up its support to Association (IDA), International Finance Corporation domestic financial inclusion (Intervention Area 6), (IFC), and Multilateral Investment Guarantee commercialization (Intervention Area 7) alongside Agency (MIGA) to promote financial inclusion, improving mine site standards (Intervention Area advance gender equality, support the development 2), environmental stewardship (Intervention Area 5), of small and medium enterprises, and enhance and local governance (Intervention Area 4). domestic commercialization across the ASM sector. These partnerships will leverage the World Bank’s The recently released One World Bank Group comprehensive development expertise, IFC’s Partnership Charter provides the foundation private sector investment capabilities, and MIGA’s for thinking big about partnerships. Building on guarantees (political risk insurance and credit the charter’s principles, the World Bank seeks to enhancement) to investors and lenders to create be a valued partner across national, regional, and a robust suite of activities aligned with the ASM global ASM spaces. Through its commitment to support framework put forth. partnership, the World Bank respects the pivotal role of countries and their governments in leading In short, ASM is vital to global prosperity and national development strategies and programs poverty reduction, but the sector must also lead in while also seeking to leverage the unique strengths environmental stewardship. As heard from miners of a diverse array of development actors, including and other stakeholders, safety and well-being multilateral institutions, the private sector, civil along with environmental stewardship, increased society, and NGOs. Given the scale of resources domestic revenues, and improved productivity will and commitment required to really make a be important outcomes to judge success. These are sustainable impact on the sector’s development, the incentives that will help development efforts be that multistakeholder partnerships will be critical taken up more readily and widely by ASM actors for unlocking, leveraging, and coordinating a and governments themselves. World Bank support variety of support sources. The World Bank to country clients will need to be more adaptive in believes by fostering harmonization and alignment their funding timelines, with a view to scaling from across institutions and creating a culture of mutual the start to achieve outcomes in the most effective learning, development solutions that achieve and lean way possible. Importantly, World Bank greater efficiency, innovation, replicability, and interventions should be more participatory and ASM scale can be found. Partnerships may take multiple actor-centered, given time and resources to build Roseline Nyambu, artisanal miner in Kenya, presents her mined gemstone. Credit: World Bank. forms and consider a range of interventions: the trust and create incentives for behavior change. 6 Background BACKGROUND generally results in low productivity, the sector represents an important livelihood and income source for poverty-affected local populations. approach to de-risking has focused on traceability and certification schemes driven by market interests to allow “clean” and “conflict- With more than 45 million people directly employed free” ASM product into international mineral in ASM on all habitable continents (with up to 50 markets. But the pilot nature of many of these The World Bank has engaged in the artisanal and small-scale (ASM) sector since percent of them women), ASM serves to diversify projects has inhibited them from catalyzing the early 1980s, providing at least US$320 million in financing to governments, household incomes to the benefit of upward of significant resources to address structural barriers miners, and a range of support partners in more than 31 countries. Most financing 225 million people. It also further creates economic to the sector’s development. Fundamental to a ecosystems in otherwise marginalized and isolated new vision of support to the sector is a shared has been through lending and grants financing to government entities, with a environments by employing an estimated 270 understanding of impacts and how to address smaller proportion from trust funds in support of analytic and capacity-building work. million in indirect and downstream activities them—namely, to view them as consequences (Hilson and McQuilken 2014). By way of these of the sector’s informality, and thus work on the Over the course of the same period, the World Bank has also championed several sheer numbers alone, the World Bank’s mandate structural challenges preventing the sector from important global ASM initiatives, starting with the Communities and Small-Scale to end extreme poverty and boost shared developing sustainably and in a manner that is Mining (CASM), Delve, an ASM Emergency Response Window during COVID, and prosperity on a livable planet could be aided by inclusive and cost-effective. There is an important a more concerted, coordinated, and scaled up role for the World Bank to play in convening more recently the launch of a new trust fund dedicated to ASM in West Africa and support program to the sector. partners around a shared vision of ASM sector the Sahel region of Africa. The World Bank has also been an important interlocutor improvement—both at the global level and at the Given the scale of support envisaged to tackle country level—in a way that creates the platform and adviser to various international initiatives concerned with ASM, including the the key structural challenges facing the sector’s for investments to be made and for government Kimberley Process Certification Scheme (KPCS), ITSCi, the OECD Due Diligence development, the World Bank has an important to play its central role in sector management. To Guidelines, and the CRAFT Code. Lastly, it has supported and participated in various role to play in de-risking large-scale partnership achieve a scaled-up approach of investment for investments. While ASM is garnering recognition our client countries, the World Bank’s engagement public-private efforts to address important environmental and social impacts in for its wealth creation potential, it also receives with the sector requires a more forward-looking mining jurisdictions worldwide. significant attention for the environmental and approach to risk: from mitigation to prevention. In social impacts it engenders when left unorganized the area of environmental impacts, in particular, and unregulated. For decades, a large amount of a forward-looking approach opens opportunities Despite its impressive support and thought last decade, in capacity-building support to civil support has focused on addressing these impacts to marry climate and ASM development agendas leadership, the World Bank has never articulated society and mining-related interest groups such through remediation works, abatement strategies, through strategies of decarbonizing operations, its position on the sector. The closest it came as small-scale mining networks and federations, or pure banning of ASM—with few sustainable introducing circularity where appropriate, and to doing so was in 1995, when the World Bank and Women in Mining chapters that serve ASM results to show for it. In more recent decades, the regenerative mining. hosted one of the first global roundtables membership. Diversification of support signals on ASM, in Washington, DC. The conference broader development trends for partnership and proceedings paper that emerged, “Regularizing multistakeholder alliances to improve general Informal Mining,” articulated the World Bank’s mining sector performance. understanding at that time of the sector’s challenges and the ways in which support could Support to a well-regulated and developed ASM be organized. Since then, the World Bank’s sector could help the World Bank and its client approach to supporting ASM has largely followed countries meet the World Bank’s goal of a world the paper’s conclusions: (i) regulatory reforms to free of poverty on a livable planet. Over the last increase legalization of the sector, (ii) capacity 50 years, ASM has boosted the economic standing building to government to strengthen its role in of millions of rural nonfarming communities around regulating and monitoring ASM activities, and the globe. Significant research now shows ASM (iii) advisory work to government and nonstate does so by way of its wealth creation. Across actors on environmental and social best practices, the globe, individuals end up in ASM because of including the important topic of gender. Whereas constrained livelihood opportunities in areas that historically the World Bank has focused most typically have already higher than average poverty of its investment support toward government levels relative to the rest of the country. Though clients, it has modestly invested, especially in the the informal nature and unmechanized operation 8 Achieving Sustainable and Inclusive Artisanal and Small-Scale Mining (ASM): A Renewed Framework for World Bank Engagement 9 RATIONALE The impetus for this artisanal and small-scale (ASM) position paper comes as the World Bank’s Extractives Unit rethinks its mining for development strategy. The paper is part of a larger reflective process ongoing in the unit to take stock of interventions and approaches applied over the years, to adapt according to emerging global development agendas, and to refine our offerings to client countries. Practically, the paper dives into several areas of ASM intervention applied across World Bank programs over the last five decades to understand what has and has not worked well. These reflections, however, cannot happen in a vacuum of efforts by other international actors to support the sector. Nor can an internal reflection process disengage from important, ongoing debates about ASM’s future. For these reasons, the work to define a World Bank position on ASM development took stock of the literature and debates on ASM and reviewed development efforts of other key partners in support of ASM. Most importantly, our research engaged directly with ASM miners and their governments—our two primary beneficiaries—through quantitative and qualitative surveys to understand needs. Therefore, the paper builds on candid assessments of past World Bank lending and Advisory Services and Analytics, analysis of key ASM debates, findings from in-depth case studies, and outcomes of qualitative and quantitative interviews with a wide variety of stakeholders involved in supporting ASM. The intent of the paper is to articulate the World in ASM who are critical for helping to build a Bank’s vision for support to ASM and how new culture of scaled partnership to the sector.4 this translates into a typology of interventions A new framework of support toward ASM that for clients. In this sense, the paper’s principal is intentionally global and non-mineral specific audiences are World Bank Country Management synthesizes the breadth of data and findings that Units and government clients. But given the emerged from the research.5 The framework offers paper’s important findings on support to the sector, a simple visualization of World Bank intervention secondary audiences include bilateral partners areas and describes how partnerships will be key (donors) and the network of stakeholders involved to leveraging resources in favor of scale. Credit: Shutterstock/rickyd. Achieving Sustainable and Inclusive Artisanal and Small-Scale Mining (ASM): A Renewed Framework for World Bank Engagement 11 METHODOLOGY The World Bank task team explored the context of artisanal and small-scale mining (ASM) as it stands. This included an inventory and assessment of past practices and support provided to ASM over a 50-year time frame (both internal and external), with a view to discussing avenues for World Bank financing and technical assistance in the future. To achieve this research goal, the team posed two research questions: What lessons can we learn from the last 50 years of support to ASM? What can be the most strategic support offered by the World Bank in support of a new era of ASM development? Research took place over one year and included the following methods. Literature Review and Method 1: Literature review on ASM formalization Program Analysis The team performed a rigorous database search The focus was on understanding why investments to identify and compile a comprehensive in ASM interventions have not brought scalable bibliography of literature on ASM formalization from results. The analysis looked at nine priority the 1980s to the present. Literature was sourced areas of interventions: (i) legal and regulatory from available online databases, stakeholder reforms with focus on security of tenure, (ii) websites, and academic literature to identify relevant access to finance and markets, (iii) mine services academic, white paper, and gray literature on ASM and decentralization, (iv) access to geological formalization. Cataloged literature was reviewed and information, (v) occupational health and safety analyzed for integration into the phase 1 report. and environment, (vi) organizational capacity; (vii) gender equality, (viii) ASM–large-scale mining (LSM) Method 2: International program scan cohabitation, and (ix) public administration of the sector. From the analysis of literature and programs, The team completed a desktop and/or web-based a phase 1 summary report was developed that research on international programs supporting ASM formalization since 1990. The catalog provided details Summarized the key debates on the on 248 projects associated with the ASM sector. specific formalization topics; Information found in the catalog includes program Noted where thinking diverges on scope, funding envelope, beneficiaries, geographic approaches to each topic; areas of intervention, and implementing partners. Summarized elements of success (in brief) with citation of concrete examples to support; Method 3: Evaluation of World Bank ASM lending Described why failures in approaches The team compiled a database of all World Bank have occurred; and lending operations since the 1980s that have had a Developed, for deeper investigation in phase component on ASM formalization.6 As with method 2, a working hypothesis on why formalization 2, the details included scope of lending activities, efforts have not led to impact at scale. recipient country, total financing, results frameworks, Women miners hauling bags of waste rock from underground tunnels to the surface and depositing on the spoil heap at 3T mine in Rwanda. Credit: James McQuilken/Pact. Achieving Sustainable and Inclusive Artisanal and Small-Scale Mining (ASM): A Renewed Framework for World Bank Engagement 13 and evaluations through available activity comment by external and internal stakeholders. Peer completion reports and IEG reports, among others. reviewers included external development institutions, The purpose will be to do follow-up interviews sector experts from academia and mining with select World Bank task team leaders in phase consultancies, industry associations, and World Bank 2 below. A World Bank project evaluation was colleagues from relevant Country Management Units performed using two main sources of evidence: (i) a and the International Finance Corporation. portfolio-level document review of past and current World Bank ASM projects, and (ii) interviews with task team leaders who led ASM-related projects Deep Dives and Miner Engagement and possessed good knowledge of the sector in at least one geography. In total, 55 project reviews Phase 2 built on the literature and program were carried out, capturing ASM intervention catalogs with the intention to explore more and stakeholder types included in the project, intensely key topics within a working ASM ASM-related outcomes achieved, challenges faced, development framework. Analysis of the World and lessons learned. Interviews were held with task Bank and external project catalog applied the team leaders to further understand project-specific development framework to understand historical successes, challenges, and lessons along with intervention efforts across geographies, funders, views on the World Bank’s future work in the sector. targeted beneficiaries, and implementing entities. The analysis also pursued understanding the lived Method 4: Stakeholder mapping, experience of miners and their future priorities. interviews, and public consultations Method 1: Miners’ survey Based on the literature and program review and historical efforts through the World Bank’s Delve A mixed methods survey instrument was developed program, the team developed a stakeholder map to solicit miners’ perspectives from the Delve to codify the network of entities for engagement Exchange program, with 281 respondents across in the consultation and refinement stage. A series three different consultation formats (WhatsApp of external consultations were conducted through discussions, web-based survey, virtual/in-person bilateral discussions as well as structured sessions forums). Participants represented 34 countries, with at prominent mining forums (the World Bank about half being women and half being men. conference “Business Unusual: What Future for ASM Communities Post Covid-19?,” Mining Indaba Method 2: Deep dives 2023, OECD Forum on Responsible Mineral Supply Chains 2023, Mining Indaba 2024, the London Experts were asked to develop deep dives on Bullion Market Association and World Gold Council– specific topics as background papers. The topics sponsored Sustainability Summit 2024, and the were (i) extension services, (ii) land tenure and 2024 Cobalt Congress) to socialize, validate, and regulatory frameworks, (iii) access to finance, (iv) refine emerging findings and the support framework. digital technologies and gender, and (v) ASM- ASM gold miner in Zimbabwe. Credit: Maggie Dougherty/Pact. External engagement was held with over 350 LSM coexistence. individuals from across government, development institutions, LSM organizations, financial institutions, mineral supply chain stakeholders, civil society, Outputs academia, and miner groups. In addition to the main report, research outputs Method 5: Peer review process included (i) the ASM literature review, (ii) an international program catalog, (iii) a World Bank In accordance with World Bank protocols, a project evaluation, (iv) a stakeholder map, (v) the structured peer review process was undertaken miners’ survey findings, and (vi) five stand-alone to subject the draft paper to formal review and deep-dive papers. 14 What Is ASM and How Does It Contribute to Development? WHAT IS ASM AND HOW production; salt (Uganda) for domestic and international consumption; and stone aggregate for tantalum and tin make up 25 percent and 25 percent of global supply, respectively (IISD 2017). DOES IT CONTRIBUTE TO road construction and housing (World Bank 2020). Despite the sector’s significance to domestic Women make up a significant portion of the and international economies, ASM remains DEVELOPMENT? global ASM workforce. Studies estimate that largely misunderstood and underrepresented women account for between 18 percent (World in development debates. Unlike large-scale Bank 2020a, 91)8 and 50 percent (IGF 2018) of mining (LSM)—which benefits from decades of the 45 million people who work in ASM. The industry efforts to build the evidence base for its large range indicates the dearth of gender- contribution to sustainability9 —ASM’s importance Artisanal and small-scale mining (ASM) is a term used to define a range of disaggregated data, which partly obscures women’s has yet to be communicated. Take, for instance, mining activities that employ basic tools for extraction and processing with a visibility in the sector. Women’s contributions to jobs, where the international community concerned the sector are largely overshadowed by the act with ASM has for decades relied on old, recycled tendency toward high labor intensity. ASM can include men and women working of extraction, such as digging, which is almost data sets (World Bank 2019a). Or consider fiscal on an individual basis as well as those working in family groups, in partnership, or as exclusively undertaken by men. As such, women’s revenues, where most ASM-produced minerals work has been relegated to the periphery both exit countries unofficially, or are underreported, members of cooperatives (OECD 2016, 65). ASM operations can employ as little as a literally and metaphorically—even though they making revenues largely impossible to quantify. few people to several thousands. Most ASM, due to constraints in effective regulation, often perform strenuous and sometimes dangerous Little recorded evidence exists in literature on the occurs informally; or when in protected environmental areas such as national parks manual tasks, such as sorting, crushing, grinding, contributions ASM operators make to infrastructure milling, washing, sieving, sluicing, sieving, panning, development—though anecdotal and observational or preserved ecosystems, illegally; and when supporting armed groups, illicitly. concentrating gold (which often requires the use of data from site visits record how ASM operators Though methods used to mine tend to result in low productivity, the sector represents mercury or other toxic chemicals), and transporting. play a central role in infrastructure development Women also provide cleaning services and sell (clinics, schools, and so on) in areas otherwise an important livelihood and income source for poverty-affected populations. With food and other goods on site (Jenkins 2014; IGF largely not accessed by government services. the effects of climate change on farming and other nature-based livelihoods, and the 2018). Increasingly, women are assuming roles A few dedicated research projects have also subsequent increase in migration to other economic opportunities, ASM has become more upstream in the value chain, such as pit shown how ASM catalyzes an entire ecosystem bosses, mine owners, and financiers, but their of new small businesses in mining areas. But the the predominant nonfarm rural income in many parts of the world. percentage remains small compared with their male research on these various topics remains too little counterparts (Gouby 2024). to paint a comprehensive global picture on ASM’s contribution to national development. Artisanal and small-scale miners make up the used in major international supply chains and ASM has only increased over the decades. world’s largest mining workforce. Industrial important end products, though it should be noted ASM has played a central role in rural economic Instead, public reporting and perceptions of ASM mining employs about 7 million people worldwide, that ASM equally plays a very important role in development for decades, and its role is only tend to emphasize the sector’s disproportionate whereas ASM is the primary source of employment “development” minerals. In fact, artisanal and small- growing larger as the world’s economies become negative impacts. As summarized in the 2019 for at least 45 million people across 80 countries, scale miners are vital in providing raw minerals more interconnected. In the late 1990s, the State of the ASM Sector report (World Bank with regional employment as share of global for modern-day communications, low-carbon International Labour Organization (ILO) estimated 2019a), ASM was initially considered a “dirty, estimates as follows: South Asia, 15.9 million (36 and clean energy technologies, construction that upward of 13 million people worldwide were destructive and illegal” activity, and the scant percent); East Asia and Pacific, 13.9 million (31 materials, and luxury jewelry goods. Illustrative engaged directly in the sector (ILO 1999). Today, early scholarship on the sector echoed these percent); Sub-Saharan Africa, 13.2 million (29 examples include gold and gemstones found in that figure is estimated to be at least 45 million sentiments (Noetstaller 1995). Since ASM first percent); and Latin America and the Caribbean, jewelry (Ghana, Indonesia, Malawi, Myanmar, the direct laborers. As highlighted above, ASM product attracted academic scholarship in the 1980s, the 1.7 million (4 percent) (World Bank 2020). When Philippines, Tanzania, and Zambia, to name but a is notable in many important supply chains and its sector has remained marginalized on the periphery combining ASM’s direct labor figure with its indirect few); tin and tantalum for laptops, smartphones, contribution continues to rise. Take, for instance, of international development agendas (Hilson one—at least a further 134 million and perhaps and electronic devices (Democratic Republic of gold: in the 1990s, ASM contributed 4 percent of and McQuilken 2014), largely because of the lack as many as 270 million people (depending on Congo and Uganda); cobalt (Democratic Republic total global supply and now represents 20 percent. of complete, accurate, and reliable data (World the multiplier used) are supported in service and of Congo), lithium (Zimbabwe and Nigeria), rare Or cobalt: in the late 2000s, ASM contributed 5 Bank 2019a). Instead, the negative environmental downstream industries (World Bank 2019a, 71)—the earths (Burundi and Myanmar), mica (Madagascar), percent of total global supply and now represents impacts (Meech, Veiga, and Tromans 1998; Veiga scale and possibility of ASM’s contribution to and manganese (Indonesia) used in the batteries upward of 12 percent. Or sapphires and diamonds: and Hinton 2002; Chenje 2000; Guenther 2019), economic growth takes on greater significance. of electric vehicles; phosphates for fertilizers vital ASM supply makes up 80 percent and 20 percent poor working conditions (World Bank 2020; ILO Attention has traditionally focused on minerals to agriculture; coal (India) essential for energy of global supply, respectively. Lastly, ASM-mined 1999), child labor (Hilson 2012; Pact 2016; HRW 16 Achieving Sustainable and Inclusive Artisanal and Small-Scale Mining (ASM): A Renewed Framework for World Bank Engagement 17 What Is ASM and How Does It Contribute to Development? 2015), and adverse health and safety effects (Bose- aggregate jobs numbers could be made available A third approach has been the use of qualitative work of academics, mining associations, and O’Reilly et al. 2008; WHO 2016; van Straaten 2000) with transparent sources coming from fieldwork and and quantitative methods to establish ASM development practitioners from 22 different have captured the greatest media and academic publications. Furthermore, indirect labor statistics miners’ earnings and spending patterns. One countries since 2019. Case studies profile countries attention. As a result, the narrative surrounding are also more reliable with work done to agree on notable methodology, that of Financial Diaries, and showcase the work of organizations to achieve ASM has tended to focus on its negative impacts the multiplier used to calculate indirect jobs in ASM has been applied to several ASM contexts decent work (SDG 8) and gender equality (SDG 5). rather than its positive development potential (de (World Bank 2019a; Philipps et al. 2001). During in Africa (Ghana, Liberia, Malawi, Mali, Sierra Together these works form both a record of ASM’s Haan, Dales, and McQuilken 2020). the COVID-19 pandemic, Delve trialed a global Leone,11 and Mozambique).12 Appealing for ASM development importance and a call to action to data collection exercise in over 30 ASM countries research has been the method’s ability to track, improve its performance in relation to the SDGs. For these reasons, the World Bank founded to understand the constraints miners and mining longitudinally, income earned from miners, and Delve in 2016 with the objective of shining a light communities were facing. Most recently, the 2023 equally importantly, to gain understanding of how A major policy conclusion drawn from these on ASM’s contribution to global development. State of the ASM Sector report collected primary miners choose to spend their earnings. With a various research methods is that ASM creates Delve (www.delvedatabase.org) has led the way in data on the topic of gender (World Bank 2023a). similar goal in mind, the life histories methodology wealth in service of miners, their families, facilitating the collection and exchange of data on Through these types of exercises, a clearer picture has been used to create a picture of how ASM has and the ecosystem that supports the trade of ASM hitherto unavailable in the public domain and/ of ASM is slowly emerging—one that recognizes lifted people out of poverty and the way miners ASM-produced minerals to the international or accessible electronically. Its launch has inspired how dynamic and resilient the sector really is. choose to redistribute their earnings into livelihood markets. It does so in three principal ways. First, researchers and development practitioners to diversification and wealth creation (Perks 2019; mounting evidence shows how miners reinvest conduct surveys, and to gather and share the A second approach to improving ASM data Hilson 2016; Hilson and Maconachie 2019; Hilson profits from mining back into their operations to economic, social, and environmental data collected. has been a steady application of in-depth and Hu 2022). Based on a wide variety of site-level increase productivity. This, in turn, sees earnings Users have access to a centralized gateway of surveys in mining communities to understand surveys, it is possible to claim that ASM provides rise. Second, miners prioritize human development aggregated data on the sector’s contribution to the economic relationships underpinning the well above any rural income alternative (Banchirigah needs in their families, and often do this despite global development with transparent sources. sector’s operations and their contribution to fiscal 2008; Hilson and Banchirigah 2009; Barreto et al. not having been afforded the same opportunity The initiative’s biannual flagship report, the State revenues. Country case studies now elucidate the 2018c; Carson et al. 2005; Cartier and Bürge 2011; as children. Schooling beyond basic primary of the ASM Sector, provides a detailed analysis of value ASM brings to local economies. In a study of Hilson 2011; Perks 2011a; Perks 2019; Tschakert education is one of the biggest investments miners the sector’s contributions to specific Sustainable Kenya, for example, Alliance for Responsible Mining 2009) with earnings ranging from US$70 a month make, and it is not gender discriminated (Perks Development Goals (SDGs).10 Through partnerships (2017) concludes that ASM gold in the mining village to over US$1,000 a month in countries such as 2019; Barreto et al. 2018c; Dales and Ramasamy with national practitioners, a series of country profiles of Osiri alone injected US$1.9 million per year into Burkina Faso (Luning 2008), Côte d’Ivoire (Helbig 2019; Stylo, de Haan, and Davis 2020; Zolnikov have been developed. These profiles provide a the local economy. Whereas, in the same study, at de Balzac 2023), Democratic Republic of Congo 2020). Other investments are in assets such as succinct introduction to ASM in specific national the district and national levels, ASM gold mining (Perks 2011a; Geenen 2014; IPIS 2014; Radley 2019; brick houses, vehicles to improve mobility, and contexts and showcase available data sources. generated US$37 million and US$225 million per de Brier et al. 2020; Radley 2020), Ghana (Bansah, “luxury” consumption items like beer, sugar, bread, year, respectively. Gemstone mining in Taita Taveta Yallah, and Dumakor-Dupey 2016; Bansah 2019; and so on added to the household diet on a regular Because of dedicated academic research generates a production value of US$120 million Owusu, Bansah, and Mensah 2019), Rwanda (Perks basis (Phillips et al. 2001; Walsh 2003, as cited programs and data initiatives like Delve, a per year, of which roughly US$50 million per year 2019), Tanzania (Phillips et al. 2001; Fisher et al. in Hilson and Maconachie 2019; Dondeyne and collective picture of ASM’s contribution to is spent locally. It is estimated that ASM gold and 2009; Bryceson and Jønsson 2010), and Uganda Ndunguru 2014; Perks 2019; Hilson and Hu 2022). development is slowly emerging. The most gemstone mining nationwide together generate a (Barreto et al. 2018b). Additionally, a variety of Third, miners use proceeds from mining to diversify important being realistic employment statistics. foreign exchange influx into the country in the range studies suggest that miners perceive themselves their household income. Agriculture (Maconachie Delve’s first task was to shed light on the of US$500 million per year. In Uganda, clay brick more well off than farmers (Geenen, Stoop, and and Hilson 2011; Perks 2019; Harris 2019) and small “recycling” of ASM data that had plagued the production and gold production in the Karamoja Verpoorten 2021) and believe themselves to earn businesses are the two most common alongside sector for decades. As the first State of the ASM region alone inject US$500 million and over US$15 more (de Brier et al. 2020; Barreto et al. 2018c; purchasing of land. Instances are common where Sector report declared, “the ASM sector faces million, respectively, into local economies annually. Hilson 2011; Tschakert 2009; Perks 2019). miners will put their spouses in charge of these a wide-ranging global data gap…defined by the In the Central African Republic, as much as US$144.7 secondary income streams, and miners will often near total absence of national and subnational million may be injected into the economy from A fourth approach has been the use of case also provide capital for their sons and daughters baseline exercises that collect qualitative and/ informal artisanal diamond mining revenues and studies to illustrate the relationship between to start businesses of their own after they or quantitative data, and the corresponding lack spin-off economic enterprises (Barreto et al. 2018c). ASM and key SDG indicators. Building on graduate from school. If better supported, ASM’s of data shared collectively in the public domain” Lastly, in Mongolia, more than 60,000 artisanal the recognition of ASM’s complex and diverse contribution—particularly to domestic resource (World Bank 2019a, 1). Based on a call to action in miners of gold, coal, fluorspar, and other minerals ecosystems, targeted case studies generate mobilization—could be even greater. 2019, Delve was able to update ASM employment are estimated to contribute more than US$811 million practical context-specific insights to inform and statistics by soliciting contributions from recent per year to the country’s GDP, with an additional inspire broader development policy and practice. research onto the site. Acknowledging that gaps estimated US$505 million spent in local economies As a core feature of the State of the ASM Sector continue to persist, it was nonetheless the first time near mining activities (World Bank 2012, 4). reports, 42 case studies have highlighted the 18 Achieving Sustainable and Inclusive Artisanal and Small-Scale Mining (ASM): A Renewed Framework for World Bank Engagement 19 CONSTRAINTS FACING THE ASM SECTOR Core to the development challenge facing the artisanal and small-scale mining (ASM) sector is the failure to find appropriate space—both literally and figuratively—for it to flourish in a well-regulated manner. A policy tension has historically existed for mineral-rich host governments: finding the right degree of support toward both large-scale mining (LSM) and ASM activity. Except for a few countries, the international community and host governments have over the last five decades tended to prioritize the former—given the tangible benefits LSM investment can offer in terms of employment, revenues, and foreign direct investment (FDI)—resulting in timid policy responses and limited program interventions for ASM. Regrettably, and as this paper outlines, most of these policy and programming responses have been incapable of legitimizing and legalizing ASM in domestic mining economies. As discussed in more detail below, major barriers to achieving a formal ASM economy have been, but not limited to, (i) onerous and unrealistic processes required for ASM operators to gain security of tenure and be in compliant, (ii) under-capacitated government services, and (iii) lack of geological data to identify suitable mineralized deposits. Despite these barriers, however, ASM has only grown in scope and scale: from an estimated 13 million miners in 1999 (ILO 1999, 80) to 45 million in 2024. Today, it has assumed the position of top nonfarm rural income in many parts of the world. A chief constraint facing the sector’s “‘The right of everyone to have the formalization is geological knowledge on, and opportunity to exploit’ does not availability of, mineralized lands that can be exist because many industrial mines tenured for ASM actors. This constraint has concessions occupy large territories [even] several underlying factors—including ineffective when they are not [actively] working.” policies and regulatory frameworks,13 lack of support toward geological works on suitable One of the most disturbing consequences of a areas, and underperformed or failed attempts at lack of tenured ASM areas has been increasing creating ASM spaces. Another important factor is conflicts between ASM and LSM actors across the perceived overabundance of mineral claims jurisdictions in Africa, Asia, and Latin and South resting in the hands of foreign industrial mining America. These conflicts, often on industrial companies where mineralization is perceived concessions or directly adjacent to them,14 can to be exceptional. A surveyed Peruvian miner manifest as vandalism to property, sabotaging underscores this point with his response to how of LSM operations, stealing of mineral product, licensing processed could be improved: and demonstrations blocking road access. Artisanal miner panning for gold in Ghana. Credit: Morten Larsen/World Bank. Achieving Sustainable and Inclusive Artisanal and Small-Scale Mining (ASM): A Renewed Framework for World Bank Engagement 21 Constraints Facing the ASM Sector The worst forms of violence are intimidations The paper’s findings point to the excessively resume old practices. In order to to widen alternative are likely undocumented and underrepresented targeted at industrial mining employees on sites, complex administrative and bureaucratic financing options, significant volumes of public and in national and international statistics. Consider personal attacks (sometimes resulting in death) on procedures for licensing that are often out of private sector financing instruments need to engage research published by the World Bank in 2020 that employees, and arson. Governments, industrial reach for the average miner. Eighty-one percent with the domestic markets to facilitate two things: quantified for the first time the relative safety of the companies, and international partners have tried of miners surveyed for this position paper cited (i) investments in sustainable ASM operations, and ASM sector, estimating a fatality frequency rate many different ASM-LSM solutions but with limited processes taking too long as the most common (ii) domestic buying capacities by both private and (FFR) of 0.47–0.64. This rate is 10 times higher than results to date (Perks 2011a; Mutemeri and Perks, difficulty encountered with obtaining or renewing public sector actors that can facilitate sale into legal current-day LSM but is comparable to LSM FFR forthcoming). The World Bank and the International a license. In fact, after access to finance, obtaining international markets. But the scale of investment rates in the 1960s as well as with many modern Finance Corporation (2009) and the World Gold a license was the most frequently cited barrier required necessitates quite a concerted effort at the occupations like fishing and logging in the United Council (2022) have published lessons learned miners experienced, with most respondents from national level to de-risk the sector. States today (World Bank 2020, 27). on pilots to create viable coexistence models all regions surveyed characterizing the licensing that provide a glimpse of potential pathways for process as difficult or very difficult because of Artisanal and small-scale miners face The gendered division of labor, anatomical and future work. As ASM grows in scale and demand, the overabundance of steps along with the costs. disproportionate health and safety risks biological differences, employment patterns, it is increasingly caught in direct competition with Licenses are usually issued in a centralized manner resulting from regulatory inattention and a cultural beliefs, societal roles, expectations, and LSM interests for political and geographic space. involving multiple agencies, with miners’ having deficit of capacity support. Informality, poverty, responsibilities contribute to gender-specific Because of the rise in conflicts, and the poor to travel great distances to navigate multiple and a lack of technical and financial support are patterns of OHS hazards and risk. Often these results achieved through heavily focused police ministerial offices to complete paperwork. In the key underlying factors that drive injuries, differences result in differentiated, and sometimes and military responses, several LSM industry addition to licenses, many mining jurisdictions fatalities, and recurring illness in mining areas higher, risks of negative OHS impacts in ASM associations (and their members) are increasingly require miners and buyers to get separate identity (Hilson and McQuilken 2014; Singo et al. 2022). In for women. Such health and safety risks extend prepared to engage more proactively on ASM cards, which must be renewed on an annual basis. fact, beyond efforts to eliminate the use of mercury beyond OHS to include social protection where coexistence approaches should the right legal use in artisanal gold mining, few efforts have been rates of sexual and gender-based violence (SGBV) frameworks be in place to support their efforts. Without security of tenure, and a clear made to address occupational health and safety are increasingly well documented but remain understanding of the geological potential, ASM (OHS) associated with ASM comprehensively.17 overall unaddressed (World Bank 2023a). The Even if appropriate areas are available for ASM operators cannot mobilize sufficient regulated As a result, informal ASM operations often use International Labour Organization’s conventions actors, the categories of permitting along with financing to run viable operations, nor are they materials and methods that put the health and on workers’ rights and elimination of child and the provisions for legalization are simply too incentivized to be compliant. In the absence of safety of the miners and those around them in force labor (ILO 1998), along with its mining sector- onerous and restricting to make compliance regulated financing, miners rely on cash sponsors danger. Worse still, many countries do not have specific conventions (ILO 1995) and guidance on possible. Most mining legislations foresee at and illicit financing sources to carry out their established compliance mechanisms and reporting health and safety in mines (ILO 2001), are often least one ASM category, but some have two, activities. Many miners have financier relationships systems for miners, and few if any facilities or cited as standards, but in reality these forms of differentiating between “artisanal” and “small that they have built up over time. Overturning these resources exist to address health and safety guidance for governments lack specificity when it scale” using a combination of the criteria.15 ASM in the absence of viable domestic buying and problems in the ASM sector. Therefore, many comes to their actual application. licenses are exclusive and limited in duration, but financing solutions is simply not realistic, and trying ASM-related accidents, fatalities, and ailments the duration is much shorter than for an industrial to do so can often cause further conflict in mining operation. Most artisanal licenses are granted on a communities in the short term. With these types of yearly basis, and small-scale licenses are perhaps financing arrangements, miners and government TABLE 1 Internal and External Factors that Influence the Severity and Character of Impacts granted for up to three years. The division between lose out. Miners continue down paths of short-term artisanal and small scale also creates impediments mining investments with few insights into building External Factors Internal Factors to “upgrading” and introducing improved mining a fully sustainable operation that adheres to high techniques. By defining artisanal licenses as environmental and social standards. Environmental Fragility of the ecosystem Size and scale of the operation nonmechanized, mining codes essentially condemn and social legacies accumulate, making it more miners to practicing illegally or practicing with difficult for governments and miners alike to Prevalence of extreme natural events (e.g., floods, droughts) Stage of the mining life cycle rudimentary techniques, which given the activity contemplate addressing them in a holistic, cost- Vulnerability of surrounding communities to reduction or Level of mechanization remains largely unmonitored, leads to significant effective fashion. As time goes by and negative degradation of key ecosystem services impacted by environmental degradation,16 with enormous impacts accumulate, governments are forced to artisanal and small-scale mining (e.g., water scarce regions) resource wastage through “high grading,” which choose more drastic solutions—repressions, raids, can render otherwise payable ground unpayable, and violence—which may temporarily halt negative Political interference, corruption, instability, conflict Appropriateness of technology in use or perpetually mined. Such practices also violate practices but not resolve the underlying structural Degree of regulatory oversight and enforcement Level of professionalism of the organization circular economy principles and thus are a barrier problems in a meaningful way. Once governments (as a factor of organization, formalization, and capacity) to resource efficiency. have turned their attention elsewhere, miners Source: World Bank. 22 Achieving Sustainable and Inclusive Artisanal and Small-Scale Mining (ASM): A Renewed Framework for World Bank Engagement 23 Constraints Facing the ASM Sector When poorly managed, ASM can have wide- small-scale gold mining area of over 447 hectares populations that consume them. Additionally, mine the right incentives for miners to change behaviors ranging and severe environmental impacts with in April 2021 increased to over 6,834 hectares by sites can continue to contaminate well beyond at site. This is particularly true for environmental local and global consequences. Such impacts August 2022—an estimated increase of more than their productive life, as ASM miners rarely have performance, where most environmental standards include water contamination, deforestation, and 1,500 percent in eight months (World Bank Group the motivation or financial and technical means applied to ASM are derived directly from industrial other habitat destruction, hydromorphological 2023). In the Peruvian Amazon, artisanal alluvial to secure or rehabilitate sites to diminish their mining and are simply too cumbersome and costly change, and air pollution. An ASM rush in some miners cleared around 40,000 hectares of forest environmental impact after they leave. As a result, for miners to comply with. Vested interests and geographies can completely denude a forest or between 2001 and 2014 alone, in many cases within the mines can prevent nearby communities from poor governance of mines and the surrounding productive agricultural land, causing an almost protected areas or in their buffer zones (Álvarez- using the land for productive agriculture or other communities also make regulating the sector irreversible land-use change. On the other hand, Berríos, L’Roe, and Naughton 2021). Deforestation livelihood means and reduce environmental security extremely difficult. research by the World Bank (2019b) found that is particularly impactful in its scale, as it is driven by and health by exposing them to contaminated soil against a backdrop of rapid environmental change, the need to clear land to reach subsurface minerals and water well after miners are gone. Digital solutions and information technology the presence of ASM in forest ecosystems can in alluvial mining and to obtain both mine support (IT) infrastructure have not been sufficiently slow the pace of change as it can inhibit other and housing materials in the adjacent communities Environmental impacts frequently lead to applied (and studied) to assess their ability to natural resource–dependent livelihoods (for that expand with mining rushes.19 Miners typically new or the intensification of adverse impacts solve ASM constraints. Increasingly over the last example, charcoal making, logging). The research employ uncontrolled felling of all types of tree on people and thereby poverty. When ASM decade, there has been a rise in piloting of various also found that the types of impacts and their species (Ouattara et al. 2022). All these actions changes the environment, it often affects local digital solutions to the ASM sector, including, severity (that is, scale, scope, and degree of lead to loss of vegetation and ecosystem communities’ access to the ecosystem services to name but a few, (i) the use of mobile phone remediation) and character (that is, permanence, damage. Water-related impacts include increased they depend on, which in turn affects food security, technologies to reach miners with knowledge frequency, acuteness, direct/indirect/cumulative) sedimentation from river dredging and inadequate access to clean water, exposure to health hazards, and best practice at ASM sites, (ii) investment in differ according to a range of internal and external solid byproduct and wastewater management livelihood, business viability, and more, resulting in communication infrastructure and digitization of factors, such as those in table 1. practices in land-based mine sites. Wastewater elevated risks of social and economic impacts and permitting processes to facilitate remote licensing, after mineral processing is typically discharged into conflict. Women and children, already vulnerable (iii) one-stop-shop approaches to registration, (iv) Land degradation is often the most visible the soil or directly into water bodies (rivers, lakes, to severe social risks in ASM communities, are access to finance through mobile banking, and environmental impact of ASM, especially when ocean). Such disturbances of the hydrographic typically disproportionately adversely affected by (v) remote sensing technologies for monitoring resulting in tropical deforestation. Broadly network result in the loss of biodiversity of these environmental degradation. sites.20 While it is believed that the adoption and speaking, ASM’s impacts are broken down into aquatic environments and pollution of community implementation of digital technologies within three categories: land, water, and air (table 2). These water sources. The latter occurs as unregulated While most mining jurisdictions have institutional the ASM sector potentially presents a significant first-order impacts can have additional impacts on ASM activities release overburden material, structures dedicated to ASM regulation and opportunity to elevate the productivity and ecosystems and the services they provide nearby wastewater (which may contain heavy metals, and in support, these services typically lack capacity incomes of ASM operators, little applied research communities. ASM rushes tend to trigger the most the case of gold mining, mercury and cyanide), and and appropriate tools to truly monitor and has accompanied these small pilots to know how rapid land degradation. For instance, as recently sewage into nearby streams and rivers. Mercury improve the sector’s performance. Constraints effective and scalable these solutions might be. documented in Côte d’Ivoire, an artisanal and can also accumulate in fish, poisoning downstream to government capacity include (i) a lack of trained personnel and equipment to conduct fieldwork and Gender inequality remains a major challenge. provide training and education to ASM communities; Although women constitute a significant portion of TABLE 2 Summary of Typical First-Order Environmental Impacts from ASM (ii) limited infrastructure to support extension the ASM labor force and meaningfully contribute to services in rural settings, such as transportation and the productivity of the sector, there is a serious lack Land Water Air communication networks; (iii) limited capacity by of recognition of their value, ultimately hindering government agents to provide effective extension gender equality. SGBV, modern slavery, forced Land degradation including Blocking, diverting or damming Diesel and other fossil fuel emissions services, including the ability to develop and labor, and indebtedness are all commonplace deforestation and forest degradation riverways implement policies and programs, and to monitor in ASM, with gender inequality and GBV in a and evaluate the effectiveness of those programs; complex by-causal relationship. Operating under Top soil removal Disturbance of riverbanks and the Particle dust pollution substrate, leading to increase of (iv) lack of communication and consultation on the cloak of invisibility, women have been left sediment in waterways extension service design, which means many out of policy discussions, national legislation, programs are not tailored to the specific needs of development interventions, and research agendas Sediments and erosion Contamination of water through Pollution due to burning of heavy miners; (v) training and education materials often (Hinton 2011). To this end, researchers caution that mining waste, such as mercury and metals and gaseous pollutants in a written form that may not work well for illiterate policies seeking to realize the sector’s potential cyanide use mining populations to manage ASM on their own, may unintentionally further marginalize women if Soil contamination Noise pollution especially considering the disperse and rural gendered dimensions are not considered (Hilson nature of many ASM operations; and (vi) building et al. 2018; Buss et al. 2019; Bashwira Nyenyezi and Source: World Bank. 24 Achieving Sustainable and Inclusive Artisanal and Small-Scale Mining (ASM): A Renewed Framework for World Bank Engagement 25 Constraints Facing the ASM Sector Akilimali 2023). The 2023 State of the ASM Sector minerals across borders to designated terrorist operating taxes only cripple development of coordinated, scaled up, and sustained. Findings from report goes even further to provide analysis of groups directly engaging in ASM or extorting ASM the sector and drive ASM actors into informal the various consultations and interviews suggest select national mining codes and land ownership operators (GI-TOC 2017). It is therefore extremely and illicit trade channels. It is also important to stakeholder appetite for a new approach to support frameworks; it finds that, respectively, 67 percent difficult to track and value IFFs linked to ASM. consider benchmarking against neighboring mining ASM: one that focuses on the professionalization of and 80 percent of these frameworks are gender- jurisdictions to reduce competition for cross-border the sector in service of national development targets blind or gender-neutral (World Bank 2023a). More data and research are required to capture. Regarding the second topic, points have such as employment creation, well-being, and Encouragingly, the same report provides emerging understand the full extent of the link between been made above about the potential relationship revenue generation. Whereas commitment remains evidence of government’s inclusion of women armed groups and ASM illicit flows. Whether between armed groups, terrorism, and other to market-linked standards, there is recognition in development of formalization interventions,21 to do with gold and West Africa and the Sahel violent extremism and mining in fragile border that efforts to build domestic infrastructure for though it cites concerns regarding institutional or the 3Ts in the eastern Democratic Republic of areas. Governments that wish to capture more a well-regulated and legal ASM sector deserve and financial capacity to advance gender equality Congo once again, the international community domestic resource mobilization will equally need more sustained and concerted focus—specifically, through policy and programs. Beyond government still struggles to fully identify and understand the to address security imperatives and tackle vested interventions such as environmental and social efforts, it is critical to recognize the voice and problem of (in)security and ASM (Mavrellis 2021). interests in established trade chains. As concerns performance at mine sites, financial inclusion, agency of women who choose to work in the ASM For instance, the United Nations Environment the third topic, as discussed in the preceding and domestic trade and commercialization. sector. Mining organizing structures representing Programme (UNEP) and Interpol estimate the illegal chapter, wealth creation is an important outcome Emphasis should be on the central role played by women’s interests, whether at a national or exploitation and trade of mineral resources at of ASM activity. With rural landscapes shifting government in regulating, monitoring, and fostering subnational level, have proven to be an important US$12 billion to US$48 billion annually (Nellemann because of climate change and the increasingly the sector’s development. Consideration toward vehicle for improving women’s visibility in ASM and et al. 2016, 20), but these are thought to be gross fragile role of agriculture in rural economies, incentivizing miners and governments to develop, enhancing voice and agency (World Bank 2020). underestimates. Gold has received the most ASM presents an important income alternative own, and apply standards designed to improve attention in seeking to value IFFs from the sector, or diversifier. But to ensure that jobs created are mine performance and governance are important. Increased discussion over potential penetration especially from ASM. For example, the Global meaningful, governments will need to focus on Fostering sustainable and inclusive ASM is possible, of ASM economies by illicit financial flows Initiative against Transnational Organized Crime creating a professional cadre of ASM actors and but it will require a new way of working, one with a (IFFs) has drawn attention to the security valued illicit gold mining in nine Latin American investors who can champion environmental and sharper understanding of the objectives at hand. dimension of ASM once again. Armed conflict countries alone at roughly US$7 billion a year social standards on mine sites in compliance with As this paper argues, a general shift in perception and its relationship to ASM has influenced ASM (GI-TOC 2016). A more recent report by SwissAid international mine standards and best practice. is required: moving from viewing ASM as a risk to development responses over time, starting with (2024) suggests that more than 435 tons of gold acknowledging its potential for wealth creation and the “blood diamonds” crisis in West Africa in the was smuggled out of Africa in 2022—equivalent Strong demand presents opportunity to scale national development. For that, better data and 1990s followed by the two wars in the Democratic to more than a ton day—which, at the price of gold up ASM support efforts. Stakeholders are eager research will continue to be required alongside Republic of Congo. Of late, attention has turned on May 1, 2024, corresponds to a value of US$29.6 to see how support to the sector can be better reforms to how interventions are conceived. to West Africa and the Sahel—particularly the billion effectively being lost to African countries. relationship between violent extremist groups and Furthermore, as stated above, it is difficult to jihadists and illicit ASM gold. Bilateral donor action differentiate between small-time smuggling to to address the concern has risen in the last few extremist capture. It is clear that the issue of years. For instance, in 2023 the US government IFFs and the potential link to security requires issued its latest gold directive, signaling concern considerably more dedication for data collection about IFFs in the global gold trade. Alongside and research, including, as SwissAid (2024) points these types of political measures, some bilateral out, agreeing on methods for quantifying ASM donors are drawing funds from security and production and trade. stability departments to fund ASM interventions in bordering states around Burkina Faso, Mali, and Governments’ interest in developing ASM Niger. But understanding (and then tackling) the is rising again. The motivations lies in three problem is complex. IFFs are multidimensional, key topics: (i) domestic resource mobilization, comprising several different kinds of activities, (ii) border stabilization, and (iii) job creation. As blurring appropriate courses of action (UNODC concerns the first, careful consideration must be and UNCTAD 2020). In fact, IFFs linked to the ASM given to establishing an attractive fiscal regime sector can take on many different forms and there (both for mining and for small businesses) that is a vast assortment of actors exploiting the ASM incentivizes ASM actors to mine and sell legally sector, both in degree and culpability. These actors into the domestic market. Considerable evidence range from small-time buyers illegally smuggling demonstrates that high ad valorem rates and 26 Achieving Sustainable and Inclusive Artisanal and Small-Scale Mining (ASM): A Renewed Framework for World Bank Engagement 27 RESPONDING TO THE CHALLENGES OVER THE DECADES: FORMALIZATION Since 1982, the international community has invested at least US$1 billion in supporting the artisanal and small-scale mining (ASM) sector. Even then, this is a modest estimate given data limitations. The research for this paper identified 318 projects as implemented between the 1980s and 2020s—248 of them implemented by international partners and 70 through the World Bank. But of the 248 projects implemented by international partners, only 32 percent had available financial data, totaling US$726 million over the period. Gold has been the main mineral of international partner support. The World Bank’s support over a similar period totaled another US$320 million. Therefore, given that only a third of international partner support can be quantified, it is quite likely that total support has exceeded well over US$1 billion since the 1980s. Whereas the World Bank has focused support primarily on governments (80 percent of projects supported government institutions and reforms), other donors focused more on miners (63 percent of projects worked directly with miners). FIGURE 1 Geographical Distribution of ASM Projects Implemented by All Donors, 1982-2024 ASM projects, all donors 22-35 12-21 6-11 2-5 1 0 Source: IBRD 47723, December 2023. Artisanal miners in Ghana. Credit: Morten Larsen/World Bank. Achieving Sustainable and Inclusive Artisanal and Small-Scale Mining (ASM): A Renewed Framework for World Bank Engagement 29 Responding to the Challenges Over the Decades: Formalization Whether World Bank or other donors, geographic Overall support to the ASM sector has increased of the term’s use, there remains no consensus on of focus. Compared with these other donors, the focus has predominantly been Africa. In fact, 53 over time. For non–World Bank projects, the what formalization actually means. For instance, World Bank had little focus on market access and percent (160 projects) of all World Bank and other trajectory of project growth has been impressive, during stakeholder consultations, 35 ASM connecting miners to service providers. Among all donor projects cataloged have been directed to rising from only two funded projects in the 1980s to “formalization experts” were asked to define the donors’ projects, integrating market access along Africa over the last five decades. The World Bank 128 in the 2010s. The World Bank similarly ramped term. Thirty-five different definitions were given, with gender in ASM have increased over time, has worked on ASM in at least 17 African countries up funding from only two projects in the 1980s to expressed by variations in approaches, themes, demonstrating the international shifts in the sector and other donors have worked in at least 29 37 in the 2010s. However, for the World Bank, since and narratives.22 However, despite the lack of a (as explored in the paragraphs below). Notably, (figure 1). Beyond Africa, other donors have worked 2020, no more than two ASM projects have been universal definition, most practitioners and policy the percentage of all donors’ projects focusing extensively in Latin America and the Caribbean approved in any year, whereas the 2010s saw six makers agree on a broad set of interventions to on environmental protection has dropped over (31 percent of non–World Bank projects), while the years with three or more ASM projects approved govern support to ASM (see figure 3). Broadly time as donors have integrated a wider range of World Bank focused on global projects (18 percent (figure 2). speaking, these are summarized through various formalization interventions into their projects. of World Bank ASM projects) and East Asia and the approaches to supporting ASM as outlined below. Pacific (13 percent of World Bank ASM projects). Whereas formalization is by far the most Formalization interventions applied in projects Low coverage of South Asia by all donors should popular term used to describe efforts to support World Bank ASM projects integrated on average have reflected broader development policy be seen as a missed opportunity, given the region ASM, it does not have a universally agreed four distinct formalization interventions into their influences over time. The broader development hosts roughly 15.9 million artisanal and small-scale definition. The term has come to capture a range projects. In general, World Bank projects showed paradigms in place at any given time have miners, representing 36 percent of the estimated of interventions to support and develop a well- a more holistic project design compared with other largely influenced the extent to which certain global ASM working population (Delve 2024). regulated ASM sector. But despite the decades donors—integrating four formalization interventions interventions (and not others) have been prioritized into a given project compared with on average in ASM programming (see figure 5 and annex). only two formalization interventions into a given Early days of support—which emerged largely project by other donors. Other donors focused out of the World Bank and some United Nations’ FIGURE 2 World Bank and Non–World Bank ASM Projects Approved by Start Year mostly on organizational capacity development23 agencies in the late 1970s and 1980s—privileged (36 percent), improving and enforcing mine site entrepreneurship development, the notion being 30 standards24 (30 percent), market access25 (26 that small-scale miners could be assisted in growing percent), and operational capacity development26 their activities through investments in technology Non–World Bank World Bank (25 percent). Figure 4 summarizes these areas and improvements to site operations. It was a “mine 25 FIGURE 3 15 Most Common Formalization Interventions 20 Support for ESG Practices Legal Compliance Access to Services Capacity Building 1 ASM-LSM 10 Access to finance 15 cohabitation and relationships 7 Legal & regulatory 14 Organizational reforms capacity building 11 Access to legal & 2 Decent work equitable markets 10 3 Gender equality 8 Decentralization 12 Access to land and 4 Occupational health of legal controls mining permits/ and safety licenses 15 Operational (mining 5 and processing) 5 Child labor capacity building 9 Extension 13 Access to services geological and 6 Environmental technical support care – 1980 1985 1990 1995 2000 2005 2010 2015 2020 Source: World Bank. Source: World Bank. 30 Achieving Sustainable and Inclusive Artisanal and Small-Scale Mining (ASM): A Renewed Framework for World Bank Engagement 31 Responding to the Challenges Over the Decades: Formalization FIGURE 4 Percentage of ASM Projects by Formalization Intervention, 1980s-2024 development” approach that mimicked conventional, private sector–led approaches to mining writ BOX 1  World Bank Project Focus: large. For this reason, ASM formalization was first Addressing Environmental Damage and Technical articulated as a process consisting of actions that Miner Health in Ghana Markets Non–World Bank would progressively bring informal mining activities World Bank into the fold of statutory regulation (Davidson 1993; The Mining Sector Development and Decentralization Barry 1996; Hinton, Veiga, and Veiga 2003; World Environment Project (MSDEP; P000966) Bank and IFC 2009). Securing tenure—through was an example of a 1990s–2000s Gender appropriate mining permits or titles—has traditionally artisanal and small-scale (ASM) project Finance been considered the first, and most important, step that focused narrowly on environmental in formalizing ASM. Other activities under a process and social concerns within the sector. The Operational CD of formalization would typically include geological project, implemented 1995–2001, aimed information support, environmental and social to build capacity of Ghana’s government Mine Standards standard setting and compliance, mining techniques, to encourage environmentally sound Environment and basic organizational development of small-scale investments in the sector and support ASM mining entities (Barry 1996). techniques to improve productivity and Organizational CD reduce environmental impact. As assessed Land Tenure Past formalization efforts reviewed for this paper by the project’s Implementation Completion confirm this early-days approach centered on Report (ICR) at completion and the Project Regulatory Framework security of tenure and legalization. An analysis of Performance Assessment Report (PPAR) the World Bank portfolio showed that 63 percent (completed post-completion in 2003), the – 10% 20% 30% 40% 50% 60% of its past ASM lending operations focused on government capacity-building activities reforms to regulatory frameworks, with 54 percent providing equipment and geophysical Source: World Bank. of the same lending operations also focused on surveys were quite successful, with the PPAR FIGURE 5 ASM Formalization Approaches Over Time mining tenure and 59 percent of project focused finding improved capacity in the Ministry on capacity building for mining organizations of Mines to “police and enforce” mining to legalize. In this sense, most World Bank past regulations. However, technical support to Macro Small Mine- Systemic support was on legalization of the sector, and such miners was largely unsuccessful, as miners Trends: Enterprise Legalist Human Rights to-Market Solutions an approach aligned well with the World Bank’s found introduced ore processing equipment, position at the time (Barry 1996). But it did lead to glass retorts, and facemasks designed to 1980s 1990s 2000s 2010s 2020s siloed responses in projects, with the example of reduce use and exposure to mercury to be the Mining Sector Development and Environment too expensive, fragile, and difficult to use in Project highlighted in box 1. their local conditions. The PPAR noted that a Entrepreneurship Legalization Mercury Market Multistakeholder more holistic approach could have been more Development • Security of Reduction Compliance Solutions By the 1990s, however, global debates successful, especially focusing on access • Investments in tenure • Global Mercury • Conflict minerals Centrality of on poverty reduction gained prominence, to financing as a model for encouraging technology & • Compliance Project • Child labor Government influencing a formalization approach focused sustainable uptake of non-mercury operations with regulations Themes by Human Rights • Due diligence Professionalism less on entrepreneurship and more on livelihood equipment, noting that “successful adoption Decade: Livelihood Development diversification and economic transition. This of the machinery would have required either diversification Minerals Finance and economic formalization approach assumed that most miners some form of credit scheme for the sale transition had “fallen” into ASM because of poverty, and that of the equipment, or the setting up of a by extension, if alternatives were proposed, miners service provider to own, operate and rent would simply transition out. What practitioners the equipment out for a fee.” Under- Poor Farmers Polluter and Risk to Global Wealth Creation Resourced Seeking At Risk of Abuse Supply Chains Potential failed to realize was that “mining itself [was] the Entrepreneur Alternative but Need to alternative livelihood,” in that it was the most Miner As: Income Address ESG accessible, lucrative opportunity for many in the face of failing economies, expanding populations, and rising poverty. Efforts to redirect miners into other livelihoods have failed to appreciate Source: World Bank team. Note: ASM = artisanal and small-scale mining; ESG = environmental, social, and governance. 32 Achieving Sustainable and Inclusive Artisanal and Small-Scale Mining (ASM): A Renewed Framework for World Bank Engagement 33 Responding to the Challenges Over the Decades: Formalization the level of infrastructure, capital, and market product for many communication and clean energy In the mid-2000s, an important program working during the pandemic, improve a range of access required to outcompete ASM’s livelihood technologies has significantly influenced ASM attempted to draw attention away from organizational and site practices, and build long- appeal (Siegel and Veiga 2010). In fact, the sheer support in the last two decades. Over this period “conflict,” semiprecious, and precious minerals. term resilience to shocks. Results from the two-year multiplication of ASM workers across the globe roughly 50 percent of all donor investments into Launched in 2015, the ACP-EU Development response period were considerable, but what stood from the 1990s to the late 2000s complicated such the ASM sector have gone to supporting “mine- Minerals Programme, financed by the European out was the untapped benefit of technology to truly a formalization approach, as ASM cemented itself to-market” and “mine site standard” programs with Commission and the United Nations Development transform the lives of miners, particularly women. as the dominant nonfarm income source in rural a variety of traceability and certification systems Programme (UNDP), marked another shift in the Of note were the economic benefits miners settings around the globe. tracking flows of ASM material to the end user ASM development agenda with its recognition experienced as a result of digital trade platforms (see figure 6).27 Some programs have incorporated and focus on development minerals, domestically introduced in Malawi, Tanzania, and Zambia for The past 20 years have seen increasing efforts environmental and social performance at sites—but mined and consumed minerals, and materials the sale of gemstones,30 and the establishment for market compliance and due diligence not all. There is a current need, as expressed by critical for infrastructure development that are of the first global network for miners powered by processes to ensure ASM minerals continue to ASM actors and governments, to create better dominated by informal artisanal and small-scale social media.31 A second important lesson was comply with standards that allow sourcing in complementarity between international market quarry workers. For example, in Uganda the the demonstrated effectiveness of working with global supply chains. The need of downstream objectives and those of domestic actors whose economic contribution of the ASM development local organizations, especially Women in Mining end-user and manufacturing companies to mitigate objectives are to professionalize the sector for minerals is seven times the value of official chapters, which played a critical humanitarian risk related to the sourcing of artisanally mined greater national development impact. production of all minerals and 4.2 times the value role on the front lines of ASM communities during of unofficial artisanal gold production (Barreto et COVID. The success stories that emerged out of al. 2018b). Development minerals have long been the pandemic became an important inspiration for FIGURE 6 Known ASM Project Funding by Donor (US$, millions) and Primary Intervention Area, 2010-2024 obscured by a focus on metals, energy minerals, the World Bank to think differently about support to and precious gemstones, which represent a the sector. minority of global mineral production. The ACP-EU USDOL Market Access program mobilized partnerships and organizations Today discussions around formalization ITA Regulatory Framework to raise awareness of the development mineral are moving back to those early days of Environmental Protection sector, produced a collection of valuable national professionalization, but with much more $40 Mine Site Standards baselines assessments, and contributed to a deliberate integration of regulated financing $85.4 significant uptick in policy reform across several and market access. Based on stakeholder countries (Franks 2020). While the ACP-EU consultations, emphasis once again is on how best GEF Development Minerals Programme continues to incentivize miners and governments to develop, with the launch of a third phase in 2024, further own, and apply standards designed to improve $123.8 research, resources, and actions are needed mine performance, with third parties bringing to elevate the sector’s importance on the ASM services to ASM operators to build capacity and USAID formalization agenda. open trade opportunities. Findings from the various $84.6 consultations, interviews, and project reviews The COVID-19 pandemic lockdown proved an suggest appetite for a new approach to support important testing ground for new approaches ASM: one that combines several components of to support ASM communities. At the height of approaches championed during past decades the initial lockdown, as mineral prices dropped with emphasis once again on the central role to and mining sites closed, artisanal and small-scale be played by government in de-risking investment $40 miners, their families, and their communities into the sector, facilitating the domestic ecosystem suffered significant declines in income and rising required to market ASM products and finance $6.4 GAC food insecurity, as surveyed by the World Bank the sector. It is anticipated, given the scale of $40 and partners.28 The World Bank responded rapidly resources and commitment required to really make $153.5 with the only global emergency response effort for a sustainable impact on the sector’s development, $17.1 $12 Netherland Government ASM communities during COVID.29 The emergency that multistakeholder partnerships will be critical for response supported the efforts of 33 international, unlocking, leveraging, and coordinating a variety of World DFID/UK regional, national, and local organizations to assist support sources. Bank JustGOLD ASM communities in 22 countries in four regions. Swiss Agency for Development and Cooperation Support provided to partner organizations allowed artisanal and small-scale miners to continue Source: World Bank. 34 Achieving Sustainable and Inclusive Artisanal and Small-Scale Mining (ASM): A Renewed Framework for World Bank Engagement 35 THE MISSING MIDDLE: WHY SUSTAINABILITY AND SCALE SEEM ELUSIVE The “missing middle” refers to factors that have impeded the ability of the international community to scale up artisanal and small-scale mining (ASM) interventions and observe sustained outcomes over the last 50 years. Over the course of the research, interviewees and project records confirmed that there is no shortage of positive examples of ASM interventions achieving genuine success across of variety of intervention areas. At the same time, many stakeholders observed that project success was often limited to a small sphere of influence. Repeatedly, stakeholders expressed frustration that while ASM projects delivered good results, formalization efforts were unable to move beyond pilots. Many stakeholders expressed a desire to see much more scaled-up interventions in ASM communities commensurate with both the size of the problems being addressed and the potential of the sector to contribute to development. Therefore, it was important to gain an understanding from stakeholders on the major factors leading to limited scalability and sustainability of interventions over time. The five most recurring factors cited by stakeholders over the course of the research: 1 2 3 4 5 The relative Lack of well- Lack of long- Absence of The complexity infancy of calibrated term vision to government of the sector, formalization incentives for graduate out at the center including vested interventions behavior change of pilots of many interests, which formalization are difficult to efforts address in a project context Credit: Shutterstock/lialina. Achieving Sustainable and Inclusive Artisanal and Small-Scale Mining (ASM): A Renewed Framework for World Bank Engagement 37 The Missing Middle: Why Sustainability and Scale Seem Elusive First, despite five decades of investment, In this sense, the cost for miners to engage with also conceded that government is not brought Fifth, external factors often contribute to formalization remains in its infancy. Several formalization interventions has often outweighed in early enough to the formalization processes. challenging project implementation conditions. individuals interviewed during the research said the benefits of doing so because compliance and This has particularly been the case in the Project assessments commonly cited external how development of the ASM sector is in its reforms have a price that does not always solve last two decades, when more and more ASM factors that were considered beyond project infancy compared with other rural development the commercialization challenges they are facing. formalization interventions have relied on market control as significant limiters to success and activities such as small-scale farming or forestry. Not only does the disconnect in understanding the forces and measures to create domestic pressure sustainability. ASM is a complex sector with many Such infancy has engendered the following: (i) purpose of formalization stifle miners’ motivation for reforms—whether through traceability or stakeholders and cultural and political differences a high level of competition among intervention to engage; it can in some cases be unaffordable. transparency of supply chain schemes. The subject significantly to a variety of forces beyond practitioners who are figuring out their core The heavy focus over the last few decades on exception to this observation is the OECD the control of major stakeholders. Such forces competencies; (ii) a high level of risk aversion standards, due diligence, and market compliance Minerals Guidance, where host governments both include frequent government turnover and among funders to engage with a sector they criteria has fundamentally faced this challenge negotiated protocols and introduced policies to administration change, poor governance, vested do not have experience with, which therefore where projects to improve traceability of mineral embed the guidance at the national level. Though interests, political maneuvering and disagreement, leads to (iii) the funding of small pilot projects supply chains come at a high cost of doing working with government may seem more difficult, changes in commodity prices, conflict, fragile with short time frames and disconnected from business for miners but is not accompanied by government can, if properly engaged, play an situations, and the disperse nature of ASM—all of many other institutional processes; (iv) a high measures to improve business and operational extremely important influencing role, as highlighted which challenged projects by the World Bank and degree of ill-informed interventions resulting constraints of mining operations. repeatedly by World Bank staff interviewed for other donors. Successful projects demonstrated from a superficial understanding of the drivers this paper—everything from reforms of policies pre-implementation investments in policy research and constraints to ASM in specific intervention Third, formalization interventions are not and legislation to setting the tone for formalization and stakeholder consultation to understand how locations; (v) a lack of cohesive narrative on designed with scale in mind. For most of the to take place. As noted by many stakeholders different actors benefit from the status quo and ASM that connects projects across a common last 50 years, the ASM formalization community consulted, national frameworks for formalization if the implementing institutions have sufficient understanding of formalization; and (vi) little well- has been in a learning phase, attempting to led by governments are critical to sustainability, leverage to overcome entrenched power dynamics documented best practice that practitioners can establish a “winning formula” for formalization. yet few exist in practice. For these reasons, one to benefit the poorest and most vulnerable then build on for replication effect. Such experimentation requires rapid, low-cost of the key principles for future support to ASM by stakeholders. Ensuring political will at the start, micro-interventions where organizations isolate and the World Bank will be ensuring the “centrality” flexibility during implementation, and long-term Second, the incentives for miners to formalize test a set of strategies and tactics. Whereas the of government alongside miners in meaningful engagement all appeared as mitigation measures are not well calibrated. In several intervention pilot approach has merit within a larger trajectory creation of development programming. to counteract, to a degree, these challenges. types studied—such as regulatory frameworks of medium-to-long-term interventions, today related to mining and land tenure, mine site pilots have become the norm in many instances standards, safeguarding the environment, and for formalization efforts. The result has been a geological and technical support—evidence series of one-off interventions that are funded shows that attempted improvements failed to and last one to three years. Usually, these have scale up or could not be sustained because they been costly and not necessarily fit for scaling up. lacked sufficient buy-in from artisanal and small- Some stakeholders went further, arguing that pilots scale miners. As highlighted earlier, for instance, should only be allowed if nestled within a longer- regulatory frameworks created systems that were term commitment framework to build learning and too onerous and expensive for miners to comply relationships with government, ASM communities, with, permitting offices were not close enough and other interventions. Many stakeholders to mine locations, mine site and environmental remarked that the large-scale mining industry standards were too complex, and interpretation employs a long-term commitment trajectory, so of geological data was too difficult to access and why should ASM be any different? understand. With most governments unable to fully monitor ASM and enforce stringent policies, Fourth, a good number of projects over the last informal miners had little incentive to comply. decades have failed to engage substantively This is not to say that reform of the sector is with the actor most critical for ASM success: not important, nor that miners are not keen to government. Most stakeholders consulted, even improve practices. Rather, there has been less miners themselves, conceded that despite the engagement on the fundamentals of ASM as a fraught political economy of ASM, government business with results that demonstrate profitability remains the most critical actor who can make is possible while also being legal and compliant.32 the sector succeed in the long term. Yet, they 38 Achieving Sustainable and Inclusive Artisanal and Small-Scale Mining (ASM): A Renewed Framework for World Bank Engagement 39 WHAT DO MINERS SAY? Hearing the voices of artisanal and small-scale miners is critical for understanding past formalization measures and reimagining support to the sector in the future. Miners’ perspectives were captured through a global survey across 34 countries that explored experiences, perceptions, barriers, and future priorities. Notwithstanding inherent limitations in respondent biases (due to access, literacy, and language) and the rich diversity of experiences across this global sector, the survey findings provide a snapshot of lived experiences and evidence to further research into the real challenges facing miners. Protecting miners’ health, managing processes and complex requirements associated environmental impacts, and increasing with formal finance. Despite barriers, the demand productivity are consistently voiced as priorities for improved access to finance exists among by miners. Ranking the most important changes miners. Greater access to financing was the most miners wanted to see in their lives, these three popular change respondents desired to see in themes were the most cited across all regions, their external environment. Government and age groups, and gender.33 The emphasis on mining associations were found to provide several environment, safety, and productivity counters supports to miners, but support related to access global stigmas against miners as purely profit to finance was the least frequently cited form driven, operating with disregard for the local of support from both entities. Only 4 percent of environmental degradation and worker safety. respondents globally had received support related It also supports a reframing of miners as agents to access to finance from government, and only of sustainable development—not to be scaled 13 percent of respondents had received financing out by industrial operators or reoriented to support from mining associations. This clear alternative livelihoods but to be invested in as misalignment between needs and support being allies in natural resource management, enhanced provided remains an open opportunity for formal safety management systems, and increasingly financial institutions engagement. productive operators. Dissatisfaction with government support to Access to finance is a critical barrier for artisanal ASM is widespread among miners surveyed. and small-scale mining (ASM) operators. Findings Most respondents indicated dissatisfaction with from the miner survey emphasize how access to the government’s support to the sector, evidenced finance is the most significant and frequently cited both globally and at a regional level.35 Discontent barrier for sector operators.34 This finding echoes was focused across three key themes. First, the with recent survey work with women miners lack of engagement by government with miners (World Bank 2023). Put clearly by one female mine at the mine site was commonly cited and paired owner from Lesotho, “No funding, no operations.” with a perception of decision-making taken at Barriers for miners to access finance fall into three the national level without local consultation. One areas: (i) lack of legal recognition of operations, Burkinabe female miner said, “The State forgets (ii) lack of assets to serve as collateral, and (iii) about us, doesn’t consult us when it makes lack of knowledge to complete the bureaucratic decisions to regulate the mining sector. Most of the Credit: Shutterstock/mehmet ali poyraz. Achieving Sustainable and Inclusive Artisanal and Small-Scale Mining (ASM): A Renewed Framework for World Bank Engagement 41 government’s texts and decisions on the sector Mining associations and other forms of are out of step with our realities.” The second key representation of miners are recognized as theme was the perception of a state bias toward valuable platforms for ASM actors to come large-scale mining with limited political will to together, share knowledge and experiences, and recognize and support the ASM sector: advocate for their interests. Encouragingly, miners highlighted the important role mining associations “There [is] very little political will in provide in supporting and promoting sector supporting SMEs. No training, no development. As advocates for miners’ interests, awareness, no finance facility. The associations function as strategic interlocutors with whole country concessions [are] government, addressing specific challenges at the given to large-scale miners.”36 regulatory interface, like licensing operating times and administrative complexity; voicing the needs of Finally, miners called out the lack of support miners to various institutional actors; and instilling services to accompany them in the process a belief that change and greater recognition of the to become legal, citing specific deficiencies sector is possible. The miners provided numerous with regard to licensing, including protracted examples of technical training, recognizing how processing times and prohibitive complexity. associations have given them new skills, increased Miners’ expectations for government engagement women’s participation in the sector, and improved and support focused on (i) greater engagement access to productive assets like machinery and dialogue in general with ASM actors, (ii) more or mining tools. Strengthening the financial capable institutions to provide services, and (iii) management capacity of these often self-funded reduced administrative complexity for accessing institutions remains a critical priority in their ability permits and maintaining them thereafter. to sustain and expand support to miners. Gold prospectors grind rock, North Sudan. Credit: iStock/Maciek67. 42 Toward a New Vision of ASM Support: Sustainability and Inclusion TOWARD A NEW VISION that need to be well considered. For these reasons, a descriptive, holistic, and positive vision of the by consequence it contributes significantly to the issues that have emerged as most important for OF ASM SUPPORT: future could inspire stakeholders to act in a joint ASM stakeholders: improved incomes, health and manner toward a common and long-term goal. It is safety, and environmental stewardship. The use timely to consider this new framing of ASM sector of the term sustainable also reflects the ambition SUSTAINABILITY AND support, given what many stakeholders shared of other international institutions concerned with during this paper’s consultations: ASM efforts have mining, such as the Intergovernmental Forum reached a crisis point where, as a community, we on Mining, Minerals, Metals and Sustainable INCLUSION face “a stagnating policy dialogue [on ASM] which Development (IGF) and in particular its adoption of no longer raises questions nor debates issues that the term sustainable ASM (IISD 2017). inspire governments [to act]” (Hilson and Yu 2022). The question thus arises: if we move beyond the There is strong alignment across various general concept of a formalization process, what stakeholders that improving ASM should lead to The previous sections conclude that to date artisanal and small-scale mining are the characteristics of the ideal state of ASM we better income for miners, improved security, and (ASM) support has focused on a general objective of “formalization,” which would like to work toward? environmental stewardship. For instance, during the initial literature review and interviews, those has made for a patchwork of good but limited and isolated results to date. The When imagining an ASM sector to strive toward, consulted all saw formalization leading to improved logic of the formalization agenda was that if ASM was brought into the mainstream, the concept of sustainable development is a occupational health and safety (OHS) and better many of the negative impacts associated with the sector could be better managed, good starting place. The United Nations defines incomes. Importantly, these aspirational outcomes sustainable development as “development correlated to findings from a larger quantitative and hopefully reduced. However, stakeholders consulted conceded that there is that meets the needs of the present without survey conducted with 281 miners during phase little shared understanding of what formalization means. Importantly, stakeholders compromising the ability of future generations 2 of the research, where miners identified two of to meet their own needs.” As our starting point their three top priorities as OHS and environmental pointed to the heavy focus of formalization to date on legalization, and the particular for adopting this definition for the ASM sector, stewardship.39 To quote one miner from Kenya: concern that a focus on legalization above any other intervention has detracted from we unpack the UN’s definition as focused on more holistic approaches toward supporting the sector’s development. Furthermore, three things: (i) building an inclusive, sustainable, “Most miners work to fulfill their family and resilient future for people and planet; (ii) and personal obligations. Their safety the piecemeal approach to addressing negative impacts of informality (such as harmonizing economic growth, social inclusion, and environmental safety ensure that gender, mercury, access to finance) has also, as argued in the section on the and environmental protection; and (iii) eradicating they go back to their families after the “missing middle” explained the lack of sustainability witnessed in the sector today. poverty. To this end, the UN states that in day’s work.”40 sustainable development: A recent Global Environment Facility (GEF) evaluation of its interventions in the Given widespread support by stakeholders artisanal and small-scale gold mining (ASGM) sector also concluded that scale-up “there must be promotion of sustainable, for a long-term approach to the sector’s inclusive and equitable economic development that leads to prosperity, security, and sustainability of interventions to ASM would only be possible if the GEF moved growth, creating greater opportunities and environmental stewardship, the World away from tackling mercury in isolation to other important formalization building for all, reducing inequalities, raising Bank’s support to ASM focuses on sustainability blocks, such as access to finance, occupational health and safety, and capacity basic standards of living, fostering and inclusion. The concept of sustainability equitable social development and implies a sector that can support both people and building (GEF IEO 2022).37 inclusion, and promoting integrated and surrounding ecosystems for long-term prosperity, sustainable management of natural offering a positive framing of the sector to work resources and ecosystems.”38 toward. In the theory of change for the World Concentration on the process of “formalization” from answering a far more important question: Bank’s support to the sector, the characteristics has missed an opportunity to define the what do we want the ASM sector to look like in The concept of sustainable and inclusive ASM of ASM proposed begin with security for miners characteristics of the ASM sector that the future? Without imagining and defining the development resonates with the World Bank’s and their communities but also identify the need stakeholders strive to create. Focus on an sector to work toward, interventions are likely to expanded mandate to reduce poverty and boost for sufficient resources and support to build a ambiguous formalization process has galvanized continue to focus on small, piecemeal priorities of prosperity while maintaining a livable planet. prosperous livelihood while protecting their health the international community to act in hundreds of donors and industry. And importantly, as proven Striving toward sustainable and inclusive ASM and strengthening the environment (figure 7). thousands of ASM communities across the globe; through engagement in this research, miners have also fulfills the triple bottom line integrated into however, it has detracted the same community strong views on priorities for ASM development the World Bank’s new expanded mandate, and 44 Achieving Sustainable and Inclusive Artisanal and Small-Scale Mining (ASM): A Renewed Framework for World Bank Engagement 45 Toward a New Vision of ASM Support: Sustainability and Inclusion FIGURE 7 Theory of Change for the World Bank’s Support to the ASM Sector The characteristics of sustainable and inclusive conveying of abilities to operate. Expectations ASM center around providing security, from miners was that government still held ultimate resources, and support to ASM actors and responsibility in matters of legalization, but quite Problems Actions to Sustainable and mining communities. The characteristics serious reforms were needed to reimagine how in ASM Improve ASM Inclusive ASM of sustainable and inclusive ASM mirror the security of tenure could be achieved. Discussions problems with the sector that exist today. First, around the concept of legitimacy also focused ASM should ensure security for ASM actors and on the expectation that with appropriate security Insecurity Promote Legitimacy Security mining communities. Lessons from previous ASM of tenure, ASM actors would be considered Hazardous working 1 Ensure responsive and Safe working conditions interventions show that if ASM actors (especially legitimate mining stakeholders by others in policy conditions appropriate regulatory vulnerable groups) and those who support and community-level circles. Implied in these Secure legality and tenure frameworks them do not have physical, economic, and legal findings is that perceptions of miners as “illegal” Tenuous legality and Expand application of Gender equality across security, convincing them to invest in improving or “disruptive” could change for the better. When tenure 2 ASM roles their operations to achieve increased formality or it came to professionalization, discussions evoked progressive mine site Women overrepresented standards Well governed mining environmental stewardship is extremely difficult. aspirations of investing in improved practices for in disadvantaged roles 3 Enable gender equality communities Second, ASM must provide ASM actors and ASM actors so that they could be seen as “serious” Connections with illicit mining communities with sufficient resources, professionals in the field of mining. Unlike the  he value chain across t Miners and government and illegal actors including access to financing and markets that emphasis in the past on government being the Support appropriate practicing good Environmental 4 environmental give them a fair price, technology and data for key provider of capacity and related services, decentralization and greater yields and efficiency, and knowledge to many discussions revealed greater roles and degradation stewardship at sites local governance use these resources to their potential while also expectations for private sector or third-party actors models strengthening environmental security. Last, ASM Lack of resources Sufficient resources to deliver professional services to miners. 5 Advance environmental should provide robust support to ASM actors and Insufficient knowledge: stewardship and Miners with sufficient mining communities to facilitate this security and To achieve sustainable and inclusive ASM, the technical and security knowledge to maximize access to resources. Governments must be willing support framework built on legitimacy and organizational profits, health and to take the sector seriously by allocating timely and professionalization requires addressing both at environmental protection Lack of access to legal adequate resources not only to support the sector the same time. Legitimacy is seen as the enabling financing and markets Access to legal financing but to monitor it. But governments cannot go at it environment for sustainable and inclusive ASM, and markets alone—the support ecosystem should include the whereas professionalization is considered the Lack of access to latest technology and data Access to latest private sector, civil society and nongovernmental process by which capacity is built. In this case, technology and data organizations (NGOs), miner associations, research capacity building applies both to miners, so they PARTNERSHIPS DIGITAL SCALE TECHNOLOGY institutions, and other groups with specific can utilize the resources available to them in expertise in the sector. the most sustainable manner, and government officials, so they can provide the best support Concepts of legitimacy and professionalization possible to the sector’s development. It is a Poor support Enhance Professionalization Robust support form the core of a new framework for support. pivot from past approaches by the World Bank To address the existing problems with the ASM to confer all responsibilities to the government Stigmatization of the 6 Facilitate financial Timely and appropriate sector and move toward sustainable and inclusive for regulation, service delivery, and capacity sector inclusion guidance and monitoring ASM, the World Bank proposes to carry out actions building of ASM actors. In this new approach, a Support infrastructure to from governments Governments lack staff, 7 within thematic intervention areas grouped together variety of services and responsibilities could be budget, and capacity access legal markets Diverse group of in a support framework in the theory of change performed by third-party actors in partnership with Build organizational legitimate stakeholders (figure 7) and detailed in figure 9. At both the government, leaving regulation as the prime focus Low involvement from 8 with miners interacting  Mining Indaba and OECD Forum on Responsible of government action. Going back to the illustrative other actors: private, of ASM actors capacity  CSO, donors Mineral Supply Chains 2023 conferences, example of the GEF ASGM evaluation, since 9 Deliver extension the World Bank asked participants to define scalability in ASM requires enabling improved to miners services  formalization; the two most common key words to practices, support for a range of interventions surface were legitimacy and professionalization. across legitimacy and professionalization should When the participants explained legitimacy, it be provided in tandem and be adapted to the frequently emerged to mean more than simply needs and motivations of ASM actors themselves. being legal. It meant genuine recognition and Critical is inclusion, to ensure that mining Source: World Bank. 46 Achieving Sustainable and Inclusive Artisanal and Small-Scale Mining (ASM): A Renewed Framework for World Bank Engagement 47 Toward a New Vision of ASM Support: Sustainability and Inclusion communities have participation in decision-making lasting improvements in the ASM sector require areas below; however, others require innovative making every intervention area in the support and avenues for redress as mining operations scaling up positive outcomes. Unfortunately, this project design and management. One idea is to framework easier and more cost-effective, from evolve in local environments. has been one of the greatest failures of World innovate in the project and funding modalities legal registration to organizational management, Bank and other donors’ ASM interventions—limited used. Most World Bank ASM interventions to from due diligence to service delivery. Achieving sustainable and inclusive ASM also success in a project area is common, but catalyzing date have been Investment Project Financing or requires careful attention to several themes transformational change across a country is much smaller Advisory Services and Analytics (ASA) Many intervention areas have been core to the cutting across the support framework, especially more difficult. For this reason, the proposed interventions. New interventions, especially those World Bank’s support to date, but others will ensuring interventions can be scaled up. In support framework aims to consider scale across all working heavily on legal frameworks, will consider be relatively new. The World Bank will remain addition to addressing multiple issues in the sector interventions. Some technical aspects of scaling up using Program-for-Results or Development Policy committed to improving the regulatory environment at once, reviewing past projects also shows that are discussed in sections on individual intervention Financing modalities, which have more success for ASM (Intervention Area 1), capacity building of in dealing with the long and complex political government and ASM actors (Intervention Area 8), process of changing mining code. Additionally, provision of extension services (Intervention Area FIGURE 8 World Bank Sustainable and Inclusive ASM Support Framework the World Bank will explore using longer duration 9), and gender (Intervention Area 3). The World interventions such as the Multiphase Programmatic Bank will also significantly scale up its support to Approach in specific geographies. This could domestic financial inclusion (Intervention Area 6), allow multiple modalities to be used in sequence commercialization (Intervention Area 7) alongside or in tandem, such as using an ASA to inform the improving mine site standards (Intervention Area design of a longer and larger project in the same 2), environmental stewardship (Intervention Area 5) geography. Longer commitments to countries and local governance (Intervention Area 4). or subnational regions could create a better environment for thorough stakeholder engagement, Despite the need for holistic and integrated build trust with clients, and give more time to interventions to achieve sustainable ASM, overcome hurdles and create lasting change. each intervention area within the support framework is complex and requires detailed Additional key cross-cutting themes include attention. As we have learned and discussed partnerships and digitization. One key lesson in previous sections, the “missing middle” may learned from past ASM projects is that a diverse be, in fact, as important as the interventions in set of partners offer value added in the ASM favor of sustainability itself. For these reasons, it sector. Private companies add technical innovation, is important to highlight how interventions and sustainable financing, and access to markets. their approaches found within the new framework Local NGOs facilitate trust and understanding of will differ from (or conversely will reinforce) past and access to mining communities and processes. efforts. Below we discuss the major ASM issues Miner associations create opportunities for scaling within each of the nine intervention areas and up and local ownership of interventions. Across the proposed World Bank strategy for future the support framework, the World Bank will seek activities within each. Much of the thinking is to work principally with miners, miner communities, based on findings from a series of deep-dive and governments, but also to integrate additional case studies solicited for this position paper along partnerships to maximize expertise and value with interviews, a literature review, and broad added. Digitization will also play a critical part in consultations over the course of the research. Source: World Bank. 48 Achieving Sustainable and Inclusive Artisanal and Small-Scale Mining (ASM): A Renewed Framework for World Bank Engagement 49 Toward a New Vision of ASM Support: Sustainability and Inclusion further in Intervention Area 2. The third area for has been placed on securing the formal, legal in cases where relocation to established ASM Pillar 1: Legitimacy regulatory review is the fiscal regime associated recognition of customary land rights, especially corridors is concerned, limited evidence would Intervention Area 1 with having small mining operations. This concerns for Indigenous peoples and local communities. suggest that providing incentives to relocate— Ensure Responsive and Appropriate not only ad valorem or other royalty taxes on It is noteworthy that as much as 65 percent of the through financial or capacity-building services— Regulatory Frameworks production but more importantly the fiscal regime world’s land area is under customary systems, can facilitate greater uptake. Regardless of the around maintaining ASM licenses. A review of the yet only a fraction of these areas are legally scenario, lessons from decades of support to Further work is required to refine the regulatory entire fiscal regime applied to ASM could yield recognized under statutory systems. regulatory compliance by the World Bank and other framework in favor of a sustainable and inclusive opportunities to incentivize further formalization stakeholders reveal that organizational capacity ASM sector underpinned by security of tenure. through reduction or simplification of the fiscal As industrial companies continue to manage building and financial support are essential for Many areas mentioned throughout this paper do regime. The fourth area of regulatory reforms is ASM-related incidences in and around their scaling up licensing uptake. Mining entities may not align with ASM realities. Furthermore, ample securing access for ASM actors to prospective concessions, interest has grown among various not have adequate skills to navigate licensing research has shown how several existing provisions mining areas. Critical is to review rules and criteria stakeholders to trial and adopt legal instruments paperwork and processes. Capacity support has in legislation impede, not support, the emergence around relinquishment and permit limitations for that could solve security of tenure challenges. proven particularly useful with women mining of a safe and well-managed sector. Four key areas industrial exploration and exploitation regimes Some offer promise, such as where a mining groups, but it need not be limited to women alone. for regulatory reforms are highlighted in ASM because they have increasingly become a source company may be willing to consider relinquishment Others may need financial support to travel to literature: (i) licensing categories and process, of social tension and conflict given the exponential of parts of its concession should the government relevant mining offices if at a distance from their (ii) operating standards, (iii) fiscal regime, and growth of ASM over the last few decades. A careful take on responsibility for it to be handed over home areas. For these reasons, some countries are (iv) securing access to mineralized deposits. As evaluation of past work to build ASM corridors or to local ASM groups. Relinquishment could also moving toward online licensing systems accessible concerns the first, consider that while depth limits zones,41 as well as community mining licenses,42 is entail a benefit-sharing-type agreement, with either through decentralized mining offices in the of 15–30 meters are set to avoid the horrific cases warranted given limited success to date. But in any technical support services provided by industrial most active mining regions (Tanzania) or through of miners being buried alive in landslides and of these models, without geological information companies to help the ASM entity develop its web-based applications that can be accessed on a tunnel collapses, this places limitations on the or work, the creation of new mining spaces is for mine, or at the very least to hand over geological mobile phone (Peru). Again, the need for a system- growth of a given mine site. Some argue that such naught, reinforcing the need for a system-wide data pertaining to that parcel of the concession. wide approach to supporting sustainable ASM is limitations assume that ASM entities are incapable approach to developing the sector. In other instances, a company may wish to retain required. As Hilson (2013) suggests, the success of financing and adopting more sophisticated its lease on the full concession but be willing to of certain countries to promote ASM inclusion in underground techniques that would allow for more Where mineralized deposits may be in short open it up to a responsible, well-organized ASM legislative frameworks is often not a product of recovery. While depth rules are vital for safety, supply, flexible, participatory, and collaborative entity to develop. Here, again, a specific legal definitions per se; rather, success is often more mining regulations make it difficult or impossible to governance arrangements could provide instrument is developed by the government to “a result of being fairly in tune with the sector’s tailor these rules to the specific site and capacity of tangible solutions to various land-access govern the flexible, collaborative arrangement development, implementing a series of appropriate the miners, and this rigidity impedes formalization. conflicts, especially between ASM and large- between the actors.44 Such governance policies in a timely fashion, and further refining One approach that has been successful in scale mining (LSM) actors. Conflicts in ASM arrangements, once tested successfully, could then regulations and mining ‘categories’ accordingly” (8). countries such as Uganda or Tanzania has been to are diverse, but many relate to land tenure and be adapted into relevant mining legislation. Such retain only one license category with, in the case access to land, and it is possible that conflicts collaborative arrangements also have potential to Responsive fiscal regimes could significantly of Uganda, a duration of 21 years for a small-scale will increase as the green energy transition fuels strengthen social sustainability in the ASM sector improve domestic resource mobilization capacity permit holder. mining booms and associated land pressures.43 if agreements are participatorily developed and for governments and ensure better regulation of Adding to the potential for land-related conflict designed through a socially legitimate process. ASM actors. Particularly since the proliferation of The second area is in ensuring that mine and is that many mineral-rich countries have large informal mining in many mineral-rich environments environment-related ministries adopt progressive tracts of land under customary or informal tenure Inherent to successful uptake of licenses by of Sub-Saharan Africa starting in the 1980s, mine site standards for ASM operations. These systems. Customary land ownership is largely artisanal or small-scale miners is that of access estimating the value of rents derived from ASM has standards should uphold environmental and not captured in official cadastres or data sources, to geological data, capacity building, digitizing been elusive. While some academics and policy social principles such as those found in industrial meaning that informal land use / land ownership licensing systems, and well-calibrated incentives circles maintain that the constraint to ASM taxation operations but consider simplification given the size practices—despite their prevalence—are not for miners to legalize. In general, it is more lies with the unwillingness of artisanal and small- of operations. Pilots have been done to develop accurately reflected. By the same token, the legal sustainable and scalable to use a demand-driven scale operators to legalize their operations, and and implement environmental and social impact and regulatory frameworks governing land use approach to legalization, where ASM individuals thus pay taxes, Hilson (2013) disputes these claims assessments (ESIAs) fit for ASM purpose that could and ownership then may not consider the realities and entities identify and apply for mining permits in as lacking in evidence. Similarly, De Sa et al. (2013) be adopted in regulatory frameworks for universal of land tenure arrangements surrounding ASM areas where they have identified mineral deposits propose that taxation should theoretically provide application. Mine site standards are elaborated sites. In recent years, growing attention and effort and have a track record in operating. However, symbiotic benefit to government and small-scale 50 Achieving Sustainable and Inclusive Artisanal and Small-Scale Mining (ASM): A Renewed Framework for World Bank Engagement 51 Toward a New Vision of ASM Support: Sustainability and Inclusion operators alike: for the former, it provides for a suggested and shown that a revenue collection Intervention Area 2 of other physical and environmental problems revenue base; for the latter, it should secure greater system that captures and distributes at source Expand Application of Progressive found at site. Moreover, the multiplication of mine- social protection and access to services. Though can in fact deliver more value and return it quite Mine Site Standards to-market due diligence systems since 2010 has this proposition may be lacking in substantial quickly to the affected mining area, increasing ushered in a culture of performance compliance evidence, given the extremely limited research into local authorities’ capacity to manage the sector The need to improve health and safety at ASM focused principally on material traceability for the application of taxation policies in small-scale more effectively. A symbiotic relationship between sites is paramount for achieving decent work for the markets. The track record of ASM standards mining, miners’ voices suggest some alignment domestic resource mobilization, decentralization, all miners. Miners and communities face multiple has been mixed, with notable achievements between theory and practice (see “What Do and mine governance emerges, which could unlock health and safety risks. Many of these originate in enhancing formal market access, increasing Miners Say?”). Ideally, in a given context, ASM fiscal solutions to a wide variety of governance issues from the common informality of ASM operations. investment from downstream supply chain provisions should be based on a sound analysis affecting better ASM regulation. Few models exist Poverty and general lack of technical and financial stakeholders in mine site improvements, and, in of the potential contribution ASM actors can make that have been recorded, suggesting consideration support and training for miners are also frequently specific cases, increasing miner well-being (Uribe to the mining economy against their costs and toward trialing new revenue regimes and collection suggested as further causes of injuries, fatalities, Martínez, Sanchez Gonzalez, and Pellegrini 2021). investments over time. Equally important, however, mechanisms in select ASM jurisdictions, with a and recurring illness in mining areas (Hilson and Conversely, advocates have countered with valid is the question of how domestic resources heavy methodological focus on action research McQuilken 2014; Singo et al. 2022). But it is worth critiques centered on unintended consequences— mobilized are then redistributed. It has been and learning. noting that gendered division of labor, anatomical disengagement because of overly onerous and biological differences, employment patterns, standards with benefits not matching costs can cultural beliefs, societal roles, expectations, and further marginalize informal miners and entrench Suggested activities under Intervention Area 1 for World Bank support: responsibilities equally contribute to gender- illicit actors (Parker and Vadheim 2017)—and narrow specific patterns of OHS hazards and risks, initiative parameters undermining effectiveness “Light touch” mining code reviews collaborative mining arrangements in resulting in differentiated, and sometimes higher, (KPCS 2019). (and other supporting legislation) to practice in each country to determine risks of negative OHS impacts in ASM for women. look again at licensing categories and their scalability and suitability for inclusion Of all the possible safety issues, only mercury use Effective standards for artisanal miners must criteria and ensure they are sufficiently in regulatory frameworks, and support in gold extraction and processing has received be sensitive to both ASM realities and external favorable for small-scale miners and arrangements to be underpinned by considerable academic and programmatic attention stakeholders’ expectations. One successful that they are gender sensitive.45 “process legitimacy” as a core element of over the years (Bose-O’Reilly et al. 2008; Hilson et approach is the use of progressive standards social sustainability (Barron et al. 2023). Analysis to accurately establish the al. 2018; Veiga and Fadina 2020), namely through that increase iteratively as the capacity and fiscal regime for ASM in a given country. Capacity support for miners to complete interventions over the last three decades funded capability of operators improve. This approach licensing processes. by the Global Environment Facility (GEF), including recognizes that ASM entities may have limited In conjunction with Intervention Area 4, the ongoing large, multiyear planetGOLD program resources and face challenges in meeting trial adaptive fiscal models for ASM. In conjunction with Intervention Area (GEF 2022). certain standards immediately, but that they are 4, provide support to participatory and committed to improving working conditions and Cross-sectoral reviews of proposed multistakeholder initiatives that can mining and land legislation to ensure ASM mining sector standards have become employment practices over time. This is achieved work toward new governance models in diverse and apply to various stakeholders at by setting targets or benchmarks with the direct coordination and harmonization. line with mining rights and their regimes. different points on the value chain, commonly involvement of ASM actors, who can then work Support “next generation” In conjunction with Intervention Area 4, with commodity, geographic, or market specific toward achieving them with support and technical modernization of interoperable and support capacity building, especially for focuses.46 In general, when discussing mine site assistance. At the same time, it is also important multipurpose cadastre systems, decentralized agencies (see Intervention performance, interventions can be categorized to consider what external stakeholders—such including ASM permit categories. Area 4), to understand and apply core into four main areas: (i) mine site stability and as governments, downstream consumers, concepts of land tenure security and technical design, (ii) OHS, (iii) environmental development organizations, and other formal In conjunction with Intervention Area social sustainability relevant to ASM. stewardship, and (iv) social protection. Certainly, institutions—consider to be important when setting 4, support digital systems for licensing in the last decade more work has been done expectations for decent work standards. These processes and digital land administration Support efforts of governments and to improve how mine sites operate (World Bank stakeholders’ different priorities and motivations processes, including sharing protocols to other development partners to promote 2020), though not always in a holistic fashion. may arise from concerns for human rights, strengthen digital data availability in both the recognition of customary tenure in One might find a mercury abatement program consumer pressures, or legal obligations. Standard- land and ASM sectors. jurisdictions where it is not yet legally intervening with few considerations for other OHS setting with and listening to these stakeholders’ In conjunction with Intervention Area recognized. issues on sites. Or considerable programming may perspectives ensures that decent work standards 4, support evaluations of flexible/ be found in SGBV prevention but in the absence are meaningful and relevant to a wide range of 52 Achieving Sustainable and Inclusive Artisanal and Small-Scale Mining (ASM): A Renewed Framework for World Bank Engagement 53 Toward a New Vision of ASM Support: Sustainability and Inclusion stakeholders and based on widely accepted the substance (that is, standards) as well as the Intervention Area 3 same report provides emerging evidence of principles and frameworks. delivery (extension services by government and Enable Gender Equality Across the Value Chain government’s inclusion of women in development third parties) of performance-based standards of formalization interventions,49 though it cites The CRAFT Code has emerged as one of the for actors. Reassuringly, considerable materials Women make up a significant portion of the concerns regarding institutional and financial most universally accepted tools for improving and standards exist today that could form the global ASM workforce. Studies estimate that capacity to advance gender equality through ASM site performance.47 Dually, the code basis of extension services to ASM operators women account for between 18 percent (World Bank policy and programs. Beyond government efforts, empowers both entities—to understand and and mining communities (World Bank 2020). 2020, 91)48 and 50 percent (IGF 2018) of the 45 it is critical to recognize the voice and agency of comply with market expectations and enhance Mining associations and other umbrella network million people who work in ASM. The large range women who choose to work in the ASM sector. formal market access—and downstream supply organizations have a significant role to play in is indicative of the dearth of gender-disaggregated Mining organizing structures representing women’s chain actors by facilitating engagement with encouraging attention to OHS and environmental data, which in part obscures women’s visibility in interests, whether at a national or subnational level, miners and standardizing risk management in and social performance at sites. For instance, the sector. Women’s contributions to the sector are have proven an important vehicle for improving their supply chains. Miners commit to prevent and during the COVID-19 pandemic, the World Bank largely overshadowed by the act of extraction such women’s visibility in the ASM sector and enhancing reduce risks associated with legal compliance, facilitated the establishment of a global network for as digging, which is almost exclusively undertaken voice and agency (World Bank 2020). human and worker rights, social welfare, ethics, miners to remain connected and provide solidarity. by men. As such, women’s work has been relegated and the environment. Operating as an open-source The network, Delve Exchange, played a vital role in to the periphery both literally and metaphorically— Gender-specific organizing structures in mining instrument, the CRAFT Code has expanded to exchanging techniques to prevent COVID in ASM even though they often perform strenuous and have strong potential to strengthen individual provide flexibility and a set of guiding principles communities, with miners using the WhatsApp sometimes dangerous manual tasks such as women’s standing in ASM. The role of Women in to enable adaptation into other standards or social media technology platform to connect. Since sorting, crushing, grinding, milling, washing, sieving, Mining and other professional mining groups as key programs, referred to as CRAFT schemes (CRAFT then, the Delve Exchange has expanded to include sluicing, sieving, panning, concentrating gold (which interlocutors for government in the development 2.1). Other progressive standards and approaches information-sharing on site techniques among its often requires the use of mercury or other toxic of interventions and as advocates to represent (mainly in the form of manuals or toolkits designed 1,000-plus members around the world. Currently chemicals), and transporting. Women also provide the interests of women in mining has been well for specific governments or project initiatives) do in its second phase, the Delve Exchange is now cleaning services and sell food and other goods on validated (World Bank 2020, 2023a). Previous exist. It is more a matter of revisiting the various developing open-source curriculum touching upon site (Jenkins 2014; IGF 2018). World Bank research has identified opportunities models, considering their applicability, and a variety of OHS and site performance topics to for the organizational strengthening within Women working with governments to ensure a progressive be disseminated through its existing channels. Although women constitute a significant in Mining structures to promote sustainability, approach toward mine site improvements. Whether the Delve Exchange, Women in Mining portion of the ASM labor force and meaningfully financial capacity, and leadership along with chapters, or ASM national organizations, working contribute to the productivity of the sector, expanding inclusion and representation of Required today is a systematic approach with and through these interests’ groups to compel there is a serious lack of recognition of their female artisanal and small-scale miners’ interests. to improving mine site performance that members to uphold safe and decent working value in ASM, ultimately hindering gender Additional efforts to elevate women into positions serves miners, mining communities, and the conditions is an effective approach to behavior equality. Operating under the cloak of invisibility, of leadership in mining associations, cooperatives, environment holistically. It will entail addressing change at sites. women have been left out of policy discussions, and other ASM organization structures are essential national legislation, development interventions, to expand gender considerations within these and research agendas (Hinton 2011). Gender-based influential structures. Suggested activities under Intervention Area 2 for World Bank support: violence (GBV), modern slavery, forced labor, and indebtedness are all commonplace in ASM, with Efforts to promote gender equality in the ASM Promote adoption and application in meaningful ways to improve site gender inequality and GBV in a complex by-causal sector begin with a shared understanding of key of existing open-source standards practices. relationship. To this end, researchers caution that gender dimensions defining male and female and where necessary support the policies seeking to realize the sector’s potential participation along the ASM value chain. The development of open-source “bolt-on Facilitate country participation in market-oriented initiatives that may unintentionally further marginalize women if conceptual “gender relations” framework put forth standards” (to avoid duplication to the promote key principles of progressive gendered dimensions are not considered (Hilson by Danielsen and Hinton (2020, 21) provides four extent possible). improvement and engagement with et al. 2018; Buss et al. 2019; Bashwira, Nyenyezi key areas of inquiry: (i) division of labor, (ii) gender Support concerted partnerships with ASM entities. and Akilimali 2023). The 2023 State of the ASM norms, (iii) access to and control over resources ASM associations to advance the Sector report provides analysis of select national and benefits, and (iv) decision-making. Rich gender decent work agenda. Support research and interventions mining codes and land ownership frameworks assessment tools provide a practical guide for that are sensitive and responsive to the and finds, respectively, 67 percent and 80 percent practitioners in this regard (World Bank 2012, Support governments to monitor gender differences at mine sites that of these frameworks are gender blind or gender IMPACT 2020). Formulating programmatic and and engage with ASM operators impact occupational health and safety. neutral (World Bank 2023). Encouragingly, the policy reforms in response to findings necessitates 54 Achieving Sustainable and Inclusive Artisanal and Small-Scale Mining (ASM): A Renewed Framework for World Bank Engagement 55 Toward a New Vision of ASM Support: Sustainability and Inclusion nuanced and context-specific interventions. and market access schemes for female gemstone short, a one-size-fits-all model for decentralization Various programmatic efforts to date have proven producers (Virtu Gem, Moyo Gems). Additionally, does not exist. BOX 2  World Bank Project Focus: promising, with efforts to increase women’s access fostering an inclusive and participatory approach Decentralizing Miner Support and to savings and financing (IMPACT 2019; World is paramount in effectively implementing gender Mining decentralization has not been Monitoring in Tanzania Bank 2020, 108), the creation of safe and culturally equality initiatives. Active engagement with local without pitfalls. As with other experiments in appropriate reporting mechanisms for abuses communities, including women miners and their decentralization, those to do with mine administration in mining areas (FCDO 2018), capacity building male counterparts, can provide valuable insights have encountered difficulties—namely, the cost A key component of the Sustainable on self-organization and association formation into the unique needs, aspirations, and obstacles of decentralization itself and its sustainability over Management of Mineral Resources Project (Alliance for Responsible Mining 2018, USAID 2018), faced by each gender within the ASM context. time. Supporting the setup of mining offices and (P096302 and P151124) was to decentralize their long-term functioning in mining regions has key portions of support and monitoring to significant budgetary implications for governments, artisanal and small-scale miners in Tanzania. Suggested activities under Intervention Area 3 for World Bank support: and in a sector that does not receive a large share The project addressed decentralization of national budget allocations compared with from multiple intervention areas, including Apply gender-mainstreaming to the Build government capacity to health or education sectors. In fact, supporting updates to regulatory reforms to facilitate design, implementation, monitoring, and implement gender-mainstreaming decentralization through brick-and-mortar registration of miners, simplifying procedures evaluation of all ASM-related activities. practices, policies, and programs into infrastructure (including building renovations, for acquiring mining licenses, shifting national contexts. vehicles, and broadband capabilities) has been an inspection and extension services to local Work with women’s mining organizations to increase sustainability of ASM Strengthen capacity and sustainability important part of World Bank lending operations and regional mining offices, digitizing the interventions, with a focus on inclusion. of women-specific mining groups to mine ministries over the decades. But it is mineral cadastre for easy access by these and associations through a variety of not uncommon to encounter mining offices in local permitting offices, and providing Focus on security of tenure and other mentoring, peer-to-peer learning, financial mining regions where buildings have fallen into financial assistance to miners to formalize economic rights of women to own and grants, and education programs. disrepair, vehicles are no longer operable, or their operations. The project also encouraged operate small-scale mines. computers no longer function after a World Bank financial sustainability of these efforts Make childcare at informal and formal project has closed. For these reasons, successful through grants to scale up ASM businesses Support national policy reform to ASM operations universal. decentralization must combine conferring of and a partnership with the Tanzania incorporate gender-sensitive language, administrative and fiscal responsibilities to ensure Development Bank to give loans to miners. address gender norms, and promote Expand use of digital solutions to report its outcomes are indeed delivering more effective The results included increased job creation gender equality in ASM practice. on SGBV in mining communities. services for local populations (Boex, Williamson, and in ASM businesses from an average of 5 to Yilmaz 2022; OECD 2020) and in ways that can be 30 employees per operation, a reduction in sustained beyond external support. average processing time for mining licenses Intervention Area 4 on the nature of government in countries, from 18 to 2 months, and an increase from Support Appropriate Decentralization and Local decentralization of mine-related competencies It is therefore important to consider carefully 4,000 to 35,000 miners holding licenses by Governance Models ranges from the deconcentrating of central mine appropriate interventions to pursue under a the end of the project. The project’s success ministries into mining areas to the devolution of decentralization scheme and the approach to was attributed to strong political support, Government presence in mining areas is critical regulatory responsibilities to local governments. apply. Whereas traditional decentralization sought especially in the first phase, for reform, a for ensuring sustainable and inclusive ASM. In Functions could include permitting and other to apply uniformity across all geographic areas, focus on simplifying the licensing process for general, there is consensus that decentralization approvals, information awareness on standards, today asymmetric decentralization is increasingly miners and inclusion of activities to ensure has its merits—namely, efficient, inclusive, and and monitoring of site compliance. In more recognized as potentially more appropriate. financial sustainability of ASM operations and responsive delivery of services to local populations decentralized models, revenue collection is also a Asymmetric decentralization implies differentiated their ability to access capital. (Boex, Williamson, and Yilmaz 2022). With respect core function. One strong example of successful support to subnational levels of government, based to ASM, empirical research suggests that locating decentralization is Guyana, where the mining on several criteria (OECD 2020). For ASM, this problem-solving capacities close to the mine sites licensing system relies on 100 offices spread out could prove a very useful approach where specific can enhance effective regulation of the sector. over the country’s small territory, many with satellite decentralization models could be applied in a few Various forms of mine decentralization have been connection to the headquarters in Georgetown mining areas. For instance, instead of rolling out observed over the decades in countries such (Hilson and Laing 2017). Another good case is the a uniform program across all ASM areas, which as Guyana, the Philippines, Rwanda, Tanzania Philippines, where local governments manage would have significant budgetary implications, (see box 2), and Zimbabwe.50 Depending ASM gold activities, including revenue collection. In a government could start with one area that has 56 Achieving Sustainable and Inclusive Artisanal and Small-Scale Mining (ASM): A Renewed Framework for World Bank Engagement 57 Toward a New Vision of ASM Support: Sustainability and Inclusion large and very active ASM activity and a track requires significant investment in building Suggested activities under Intervention Area 4 for World Bank support: record of subnational competencies. Asymmetric relationships between government, service decentralization could also allow for different providers, and miners, and in understanding Test with purpose and with appropriate Improve government presence in interventions to be applied in different contexts the incentives that will motivate ASM actors to monitoring for learning, asymmetric mining areas through infrastructure and of a country—for instance, targeting fragile border reform. At the same time, capacity of mine officials decentralization in select countries with upgrading of systems. areas with specific decentralization interventions is crucial to communicate expectations and high ASM populations. Capacity build to ensure quality and aimed at limiting the flow of illicit material outside standards. As mentioned in Intervention Area 2, Apply asymmetric decentralization caliber of mining officials in regional the country. Here, remote sensing and other simplified environmental and social frameworks and equally to fragile, remote border areas mining offices. digital-based technologies could be trialed at a progressive mine standards have proven useful to test specific measures related to low cost to government in one location to evaluate in establishing shared expectations of what an Support governments to effectively security and governance. results. The notion of differentiated approaches artisanal or small-scale mine should look like and budget over the long term for to decentralization has not been well applied or how it should operate. Capacity building for miners Invest in remote monitoring digital decentralization. documented in the context of ASM regulation and and government officials in these standards will applications that can improve government could be the subject of valuable experimentation. improve chances of successful outcomes. oversight of ASM activities, particularly In conjunction with Intervention Area in remote and/or fragile conflict areas. 1, where precedent exists, look toward Information technology can offer governments Beyond decentralization, local governance empowering and integrating local cost-effective solutions to scale up monitoring of structures can play an important role in Roll out mobile phone–based monitoring governance structures into the overall mine sites. As mentioned above, remote sensing governing ASM, building participatory revenue applications and other communication ASM management system. technologies offer potential to significantly improve management models, and creating greater platforms so ASM communities can management of the ASM sector,51 particularly in transparency around resource management participate actively in site monitoring. countries where (i) ASM activity is very spread out in general. Particularly in jurisdictions of West and difficult to physically monitor on a continuous Africa where historically traditional leadership has basis, often because of poor road infrastructure; (ii) played a very central role in governing resource Intervention Area 5 activities from several intervention areas, including the type of monitoring needed is clearly visible from exploitation, approaches to managing ASM activity Advance Environmental Stewardship and Security activities that reduce air and water contamination satellite sensors (chiefly deforestation caused by could be better pursued through other forms of while also improving occupational health and mining); (iii) fragility or conflict infringes on the state’s local governance. In Côte d’Ivoire, for instance, Environmental stewardship and security move safety; the introduction of more circular, efficient, ability to access these areas; or (iv) ASM activity is comites locale de suivi serve as an important beyond approaches solely focused on protecting, and cleaner mining equipment and techniques, and happening in protected parks and other off-limit one-stop shop to manage issues having to do with mitigating, and safeguarding communities provision of access to financing for miners to have areas. It is not uncommon that more than one factor how resources (land, mining, fishing, and forestry) against adverse environmental impacts from the means to adopt them; facilitation of access to may be occurring at the same time. In any of these are balanced and optimized. In such instances, ASM. Environmental stewardship means motivating markets that pay premiums for mining methods that instances, remote sensing tools can strengthen beyond ministries concerned with mining and the and enabling ASM miners and their communities to promote environmental stewardship; supporting other forms of government monitoring systems by environment, local governance structures could be take responsibility for environmental quality, while government monitoring and enforcement of mining providing a low-cost and quite scalable solution. empowered to play a greater role in the granting environmental security addresses the relationship bans in protected areas in tandem with giving Two pilots have been successful in applying remote of ASM licenses, the monitoring of performance, between environmental change, conflict, and miners secure mining tenure in areas deemed sensing technologies to monitoring: ASMSpotter and the flow of minerals. Such structures have human security. This approach recognizes lucrative and appropriate; and targeting support for and Charis UAS (Mutemeri and Perks, forthcoming). also, in some West African countries, played an that trying to prevent miners from mining or vulnerable populations in mining communities that important bridging role in security surveillance, using more environmentally destructive mining are most impacted by environmental degradation. But no amount of technology can replace especially in fragile, remote border areas. As stated methods without providing them with cleaner, Such interventions would also seek to improve the importance of regular mine site visits by in Intervention Area 1, flexible, participatory, and safer alternatives is unlikely to result in long-term environmental outcomes at all stages of the mining authorities. The ASM sector operates with a collaborative mine governance arrangements reductions in environmental degradation and may life cycle, including where mining is done (avoiding high degree of personal trust and interpersonal support resolution of land-access conflicts and simply displace or temporarily delay environmental key biodiversity areas, for example), how mining networks. Changing miners’ behaviors at site—in provide a structure to manage distribution and impacts. Environmental stewardship and security is done (cleaner technologies and environmental favor of safer, environmentally friendly practices— spending from mine-related revenues. thus include approaches to ASM practices that management systems), what is mined (maximizing encourage sound management of natural resources value and recycling byproducts), and post-mining in tandem with activities that address miners’ needs rehabilitation (improve environmental safety by and desires for personal, health, and financial reducing long-term exposure to pollution from security. Such interventions would combine closed mines). 58 Achieving Sustainable and Inclusive Artisanal and Small-Scale Mining (ASM): A Renewed Framework for World Bank Engagement 59 Toward a New Vision of ASM Support: Sustainability and Inclusion Lessons learned reveal that interventions to the legitimacy of ASM as a livelihood, clear from acid mine drainage and heavy metals, manage legacy and liability mines. Such activities mitigate the environmental damage caused by environmental policies and strong enforcement are exposure to unsafe tailings dams that are no longer include ecological restoration and reclamation ASM have better chances of success when they essential for reducing the environmental impacts of managed, and topsoil degradation making mined of abandoned sites. Reclaimed mine sites can are coupled with a greater focus on incentivizing ASM (World Bank Group 2019). areas difficult to farm. The World Bank can build be converted to land uses such as clean energy behavior change for miners, introducing new tools off expertise in mine closure and rehabilitation in development, productive agriculture, tourism, and technologies (Hook 2019), and improving Beyond mitigating the environmental impacts the LSM sector along with tested methodologies or natural landscape restoration (which could environmental governance. Clean and green of ASM, future ASM projects can help ASM play for rehabilitation in the ASM sector (World Bank be eligible for carbon crediting or payment for technology introduction is costly in a first instance a meaningful role in countries’ decarbonization Group 2019) to help government and communities ecosystem services schemes). when there is a small domestic market. In many plans. Within the framework of a just transition, developing countries, access to imported equipment the World Bank is already helping countries with is extremely challenging and high up-front costs important large-scale coal mining operations Suggested activities under Intervention Area 5 for World Bank support: and maintenance can prove a barrier to sustainable transition to cleaner economies while also use of such equipment. Therefore, miners must be minimizing legacy environmental impact, thus Include environmental stewardship as Engage with communities and given incentives to move toward these technologies, improving environmental health and security. Such part of holistic interventions alongside governments to rehabilitate and including building confidence that the investment activities could be applied to the ASM sector, activities in other intervention areas, repurpose mine land for low-carbon, will be sound over the longer term. Guyana recently too. Activities can include reemployment support such as access to legal markets and economically viable, and ecologically launched an effort with Inter-American Development (especially to avoid associated livelihood activities financial inclusion. beneficial land uses. Bank (IADB) assistance to “green” its gold sector, that unduly impact the environment, such as Support coordinated and Convene cross-sectoral roundtables and the GEF, along with Conservation International, wildlife trafficking), mine closure with careful focus interdisciplinary governance of ASM to design interventions that improve is leading an effort to brand and market jewelry on reducing tailings runoff, methane emissions, both to craft balanced policy and financial security for miners alongside made with mercury-free gold from Guyana’s artisanal and other environmental impacts and activities to improve monitoring using, among other environmental stewardship and miners.52 These efforts could offer up a learning repurpose mining land for new economic use as techniques, innovative technologies. environmental security for nearby model for other jurisdictions on how to address described in the paragraph below. Furthermore, communities. environmental stewardship in a way that incentivizes work on current mine sites includes traditional Support small-scale mining entities artisanal miners though benefits in other intervention environmental protection activities, such as tailings to reduce their carbon footprint by areas, such as improving financial inclusion and and waste management and water protection and incorporating renewable energy access to legal markets. Technological advances recycling, but goes beyond to reduce emissions by in their operations. can also help—for instance, remote sensing imagery transitioning away from diesel-powered machinery can aid in tracking deforestation and water damage toward renewable energy and encouraging to identify scale and areas of intervention. For resource efficiency (particularly use of non-wood sensitive actors, with some using the commodities Pillar 2: Professionalization example, faculties in Ivoirian universities and the sources for mine construction) along with circular that ASM produces—gold, 3Ts, and diamonds, United States Geological Survey (USGS) have used economy principles, such as innovative ways Intervention Area 6 for example—in manufacturing or incorporating satellite imagery to track deforestation and other of recycling tailings waste for other uses (such Facilitate Financial Inclusion them directly into products. The concept of environmental impacts from gold and diamond ASM as minerals for batteries to store clean energy). mine-to-market sourcing, whereby global brands activities in Côte d’Ivoire over the last 20 years.53 For The growing global focus on climate change has Access to finance is an essential need of the (manufacturers, jewelers, or otherwise) meaningfully gold, results from two gold mining areas of central reinvigorated debates not only on how ASM can global ASM sector. Finance has become a central source gold, gemstones, 3Ts, or cobalt from rural Côte d’Ivoire—Dimbokro and Yamoussoukro—reveal improve its environmental stewardship but also on tenet of various efforts to assist ASM in improving miners, has been greatly encouraged over the marked temporal evolution from 2012 to today how ASM fits into the broader effort to transition to its environmental and social performance and in last two decades but so far has led to vanishingly with respect to soil erosion caused by the removal clean energy. entering the formal economy. However, the sector’s small flows of material or improvements in socio- of canopy plant at artisanal gold sites (Dibal et al. complexity creates barriers to investment that environmental impacts at the mine site level. 2016; Tchindjang et al. 2016). Technologies such as Focusing on environmental stewardship and are then exacerbated by the slim risk tolerance Rather, regulatory barriers for accessing finance ASMSpotter can also help governments allocate security also includes interventions that improve of many well-intentioned supporters: banks and seem to mount. monitoring resources for mines based on changes communities’ environmental security after financial institutions, development programs, in forest cover, such as in Guyana.54 Underpinning mines cease to be productive. Environmental civil society organizations, development banks, Additional regulatory developments have enhanced monitoring through innovative security can be reduced in communities near mining companies, refineries, jewelry companies, increased the costs and complexity of financing technologies is the need for strong environmental legacy mines through a variety of mechanisms, semiconductor manufacturers, and numerous other ASM actors. Section 1502 of the 2010 Dodd- governance. While governments must recognize including continued water and soil contamination downstream businesses. These are reputationally Frank Act, while well intentioned to help reduce 60 Achieving Sustainable and Inclusive Artisanal and Small-Scale Mining (ASM): A Renewed Framework for World Bank Engagement 61 Toward a New Vision of ASM Support: Sustainability and Inclusion the amount of minerals mined under conflict and Therefore, in thinking of new models of scalable their mercury abatement efforts, responding Another objective of guarantees could be duress, has certainly made it increasingly difficult finance, the principal concern is de-risking. to the challenge often evoked by miners that in support of government domestic buying for legitimate ASM actors and investors to support uptake of mercury-free technology is impossible programs. Here, guarantees would be the legal trade of ASM-mined material emerging World Bank financial support to complex without readily available outside financing. But structured toward central banks to establish out of fragile and conflict areas such as Central development challenges in other sectors the difficulty with these programs is the high cost a commercialization capability in-country. In Africa—and increasingly West Africa, the Sahel provides ideas on de-risking strategies for ASM of doing business. And despite laudable results such cases, based on past lessons, key to a region, and parts of Latin and South America. The financial inclusion. Examples include (i) investment over the decades, particularly in closing specific government buying program is cash flow. Ample OECD’s guidance on due diligence is an excellent lending (IPF, P4R, DPO), whereby funding goes to gender gaps, there remains considerable debate lessons can be drawn from the gold space to compromise and the first to elaborate a progressive governments in tranches based on achieved and about such schemes’ ability to transform artisanal inform new models. Already, actors like the World improvement approach that allows essentially for defined milestones; (ii) guarantees with domestic, operations into truly viable small-scale ones. Gold Council are reengaging in this sector and immediate entry into markets based on relatively regional, and international financial institutions; and partnerships could be imagined across many simple criteria. But even then, the commitment to (iii) financial inclusion and access programs targeted Guarantees offer a promising means for the active ASGM jurisdictions (World Gold Council continuous upgrading of operational conditions directly to miners and administered by third parties. World Bank to scale up financing to ASM actors 2022). As stated through the Tanzania case study ultimately meeting high standards has never been Each solution has its merits. Whereas direct while promoting sustainable ASM principles. (box 2), any guarantee would have to address heavily enforced, leading to ASM material entering investment lending reduces the risk of large sums In Tanzania, the World Bank implemented a ESG: improved practices at sites and assist with the markets at a slow rate because of the costs of being misdirected or misused, it depends heavily successful guarantee mechanism with the Tanzania technology adoption for better environmental and compliance and with little environmental, social, or on an effective government monitoring system Development Bank to facilitate small business social outcomes. In this way, guarantees can foster governance (ESG) improvements. As well-meaning with clear and achievable results. Working with loans to ASM operators (see box 2). The loan the development of a responsible ASM market by as the plethora of due diligence and certification domestic, regional, or other financial institutions program had a built-in advisory window to assist supporting responsible ASM operators. schemes are, their implementation has inevitably in support of loan guarantees for ASM actors has applicants with minimum requirements, including, led to a cost-and-effort asymmetry for sourcing been a limited but very positive experience for the among other things, possession of a primary mining Yet the World Bank need not always be a lender. ASM product. World Bank. Specific to ASM, guarantees overcome license. The program succeeded in supporting Sometimes the private capital is there, but what is commercial lenders’ risk aversion (in this case, site improvements through technology acquisition, required is a framework for shared risk management. Magnitude and risk are critical for deploying government or domestic commercial banks). There upgrading of environmental protection, and ensuring Take the emerging example of the World Bank finance in support of sustainable and inclusive is also an intangible positive messaging that occurs OHS standards. Such a model could be considered and the World Gold Council’s Multi-Stakeholder ASM. As explored in earlier sections, a key through the influence and education that World on a much larger scale in ASM active client countries Partnership Initiative for Sustainable Small-Scale constraint to realizing scaled and sustainable Bank guarantees bring to client countries and where access to finance is married to improving ESG Gold Mining. Here, LSM companies as well as ASM is the low appetite for risk, which has often miners, as the World Bank is considered a credible at site. Certainly, in other sectors, the World Bank has impact investors are eager to support improved translated into the “piloting” of solutions but never actor with a legitimate, respected mission. This a strong track record of establishing guarantees with practices for ASM but do not wish to work directly giving enough attention to how such solutions helps reenforce the positive reasons to support domestic central banks and domestic commercial with small ASM entities. Furthermore, they seek would be scaled up after completing the pilot. ASM by other interested development partners. banks in support of SME development. Similar to participate in processes where there is a large Learning through these decades of piloting shows lessons can be drawn from the Asian Development degree of shared risks. The World Bank and the that too little financing cannot significantly move More traditional financial inclusion strategies Bank microfinance model for ASM communities World Gold Council have established a partnership the needle on sustainability of ASM practices. have been deployed by various NGOs and other in Papua New Guinea, the Fundo de Fomento framework that outlines principles and develops In fact, hardly any finance has been deployed donors to encourage access to finance through Mineiro in Mozambique, and the MEDMIN-CEPAS a strategy of risk mitigation that is then agreed to successfully where desirable improvements village savings schemes, digital banking, and Credit Scheme for Bolivian ASM miners. Such by all parties. In such a scenario, the World Bank continue post project and spread to neighboring small loan programs. One of the first village guarantee schemes need not be exclusive to ASM can function as a catalytic body, bringing relatively sites. Finding ways to de-risk the deployment savings schemes offered to miners was in the operators—they could extend to in-country traders modest sums of technical assistance financing to the of capital is therefore essential for scaling up. Democratic Republic of Congo in the late 2000s and aggregators as well, providing a leg up to much table very upstream to mobilize quite considerable The rationale should certainly be there: to tackle by Pact. It worked from a successful women badly needed infrastructure for domestic ASM amounts of private capital further downstream in large development challenges like ASM with entrepreneur model built in Myanmar, aimed at markets to legalize for export. aggregation and export. its 45 million-plus people in 80-plus countries, increasing female agency in general. Since then, significant financing needs to be put on the many NGOs have followed suit, intertwining table. Yet—as continues to be argued by many village schemes or revolving schemes into ASM development partners, including the World Bank—it programming, many of which are still largely is challenging to distribute large sums into a sector aimed at women miners.55 PlanetGOLD has also where the perception of unmitigated risks is high. successfully built in a financing component to 62 Achieving Sustainable and Inclusive Artisanal and Small-Scale Mining (ASM): A Renewed Framework for World Bank Engagement 63 Toward a New Vision of ASM Support: Sustainability and Inclusion Suggested activities under Intervention Area 6 for World Bank In government-controlled buying schemes for traders could not travel to mine sites to purchase in partnership with IFC and MIGA support: gold, the final buyer and exporter is the country’s gemstones during the COVID-19 pandemic, the national bank. In Ethiopia, artisanal and small- World Bank financed the establishment of online Establish financing facilities (and provide Provide guarantees to central banks to scale miners can deliver their processed ore to sales platforms for women miners in Zambia and the guarantees) within commercial buy domestic ASM product. licensed gold dealers or specific cooperatives Malawi. This gave birth to a whole new way for or central banks to provide loans to that have the legal authority to carry out gold women miners to sell to the international jewelry registered ASM operators, traders, Establish technical assistance transactions on behalf of the government; the market. Coupled with the online platform came and aggregators, according to specific entities within local mining schools or licensed gold dealers or cooperatives then sell the technical assistance to improve OHS on sites and performance criteria. universities to help ASM loan recipients gold directly to the National Bank of Ethiopia, which implement environmental and social standards meet due diligence requirements and to has branches in most rural areas. Zimbabwe has a at sites (World Bank 2023b). In another COVID Pioneer multistakeholder partnerships build site performance capacity. very similar model, though with a commercial bank example, following the opening up of physical that share risks of investing in ASM Sponsor a challenge fund for innovative intervening at the rural interface; in Cameroon, a travel, the World Bank financed trade forums in operations. and scalable solutions to ASM financing. semiautonomous institution acts on behalf of the Kenya and Tanzania that brought together female government. As stated earlier, the World Gold miners to sell their gems to international buyers. Council has reengaged on this topic in recent years, In addition, women received gemstone valuation with a working group now established to coordinate training from the Gemological Institute of America. Intervention Area 7 addressing illicit domestic or cross-border mineral efforts across seven central banks that have gold- In both cases, minimal investments in digital Support Infrastructure to Access Legal Markets trade but also for creating a vibrant domestic ASM buying programs to facilitate the entry of legitimate technologies and physical marketplaces led sector. Central to the debate on commercialization at ASM gold product into the bullion market. to women gaining three to five times more for Access to legal and equitable markets is present is the role of government—whether through their stones than if they sold them directly at the important for ASM actors and governments alike. national mining companies or through domestic For many types of minerals, aggregation centers mine site to domestic traders (World Bank 2023; For ASM actors, it allows them to sell their product purchasing and refining structures. Whereas the can be an important domestic infrastructure tool, World Bank 2022). at a fair price. For governments, it ensures that role of government is certainly not a new topic of providing a type of “hub and spoke” service for a revenue from domestic production is captured and conversation when discussing commercialization, wide variety of ASM actors. An aggregation center As with other efforts outlined in this section, put toward the country’s development objectives. it is timely, particularly for the gold sector, given can take on many roles, from purely processing access to markets must leverage social and Many barriers impede access to legitimate and the alarming rates of illicitly traded gold entering to prefinancing to service delivery (geological environmental standards to raise the bar on ASM equitable markets for miners. Some barriers have to markets and financing terrorism and armed groups or site improvements) to equipment provider. In performance and ensure alignment with market- do with international market standards (particularly across the Sahel and parts of South America. Here, Peru, Dynacor runs a very comprehensive model, recognized standards. With every potential input those mentioned earlier around “conflict-free” we can observe for the gold sector the reinstating processing upward of 448 tons of gold material per offered to mine operators (finance, equipment, material); others have to do with the limited domestic of government-run mineral purchasing facilities in day, with a quarterly gold production in Q2-2023 technical assistance, and so on), an important infrastructure to facilitate commercialization to the Bolivia, Cameroon, Ethiopia, Ghana, Peru, and the of 32,693 AuEq ounces.56 In Rwanda, domestic reform should be improvement in how mining takes outside. Barriers vary in importance from mineral Philippines, to name but a few countries. We can also exporters run similar services for the 3Ts. place—that is, safety, OHS, and environmental to mineral as well. But at the heart of most market observe the intense proliferation of government- and social protection. We come back to the need challenges are capacity and financing. And whereas owned and government-operated refineries across Digital technologies and physical buying for system-wide solutions in ASM communities, over the last two decades significant piloting West Africa and into the Sahel, sometimes coupled forums have helped certain miners leapfrog breaking past approaches focused on one of the has taken place to bring “clean” material to the with a gold-buying program. The message in all traditional commercialization structures in favor myriad problems. Partnerships in such a system international market, these initiatives are costly, these cases is clear: governments are keen to play of better returns and more direct access to the approach become even more critical but obviously heavily subsidized by international donors, and a very active role in the commercialization of their markets. Such strategies have proved particularly require much longer lead times to put the right require a minimum threshold to participate, leaving countries’ gold production. It is an understandable valuable in the gemstone space. When domestic frameworks in place. many smaller ASM entities excluded. If sustainable position for several security and development ASM is to be achieved, then finding cost-effective imperatives. Indeed, government-controlled buying solutions to the barriers facing miners to enter schemes for gold can provide considerable control legitimate markets is critical. over what is otherwise a very difficult mineral economy to control. Because of gold’s easy Domestic commercialization is key. The transportability and value as a trading currency, it is organization of the domestic buying and selling viewed as more susceptible to predation and illicit environment is of prime importance, not only for involvement by criminal networks. 64 Achieving Sustainable and Inclusive Artisanal and Small-Scale Mining (ASM): A Renewed Framework for World Bank Engagement 65 Toward a New Vision of ASM Support: Sustainability and Inclusion Suggested activities under Intervention Area 7 for World Bank mechanized operations do not require cooperative in partnership with IFC and MIGA support: structures to be formed—rather, small businesses— BOX 3 World Bank Project Focus: the constraints of organizational capacity still apply. Supporting Mining Associations in Uganda Improve domestic commercialization Work with international markets to infrastructure that can absorb and provide assurance on country efforts Organizational strategies that privilege export ASM product in much larger to create market access according to institutionalization of small-scale miners’ The Sustainable Management of Mineral volumes. international standards. participation can provide miners with meaningful Resources Project (P079925 and P111097) social protection and economic capacity to targeted mining cooperatives in Uganda for Provide technical assistance to miners Work to reform a variety of enabling grow their operations. Such institutionalization organizational capacity building in several to meet minimum compliance standards elements for effective trade to the has inherent social and economic values, as it ways. First, the project helped miners form on certain mineral products requiring so international markets (insurance, can facilitate dignified employment. Thus, while cooperatives from individual operations, for export purposes. shipping, export, import and the choice by governments to allow for a higher with 50 associations formed during the international sales document, tax Encourage aggregation mechanisms number of operators inevitably engenders cost project. These associations were given compliance and chain of custody). where it makes sense to build more implications such as increased administrative training in operational and organizational volume of minerals in the domestic Reform, where necessary, regulatory capacity to process larger volumes of permits, and topics, including mining methods, legal and market and offer a variety of services to frameworks to facilitate entry of infrastructure necessary for field monitoring, the regulatory issues, business skills, OHS, and miners at reasonable costs. domestic commercialization actors into social benefits deserve equal consideration. community development. Training of about the local trading market. 1,000 association-affiliated miners were carried Link governments to peers who have The World Bank’s internal project review out by 180 project-capacitated professionals in built vibrant ASM commercialization Support marketing campaigns focused on demonstrated the importance of working a newly established Social and Environmental infrastructure for lessons learned. consumers to improve the image of ASM. with NGOs or mining associations (including Unit in the Geological Survey and Mining women’s) in relation to capacity building for Department. The training of trainers included mining operations and for advocacy within the providing postgraduate degrees, study tours, sector writ large. One of the reasons given for and provision of computers and modern office Intervention Area 8 require government-issued identification for national the importance is that these organizations have equipment. Additionally, the majority of small Build Organizational Capacity of ASM Actors mining participation. Rather, its legislation dictates more on the ground and valuable sociocultural grants given by the project were directed to that permits allocated for small-scale and artisanal knowledge of the region where they work than associations—18 grants in total—which were Capacity building for ASM actors is critical for sites are accorded to mining cooperatives, which international institutions. The World Bank– used to finance both mining and non-mining sustainability of the sector. Considering the scale must demonstrate their capacity to adhere to labor financed Mining Governance and Development related businesses, including brick making, of individuals involved in the ASM value chain, and laws and enforce regulation of labor activity at site Project (P149277) in Togo had a very positive tree planting, and equipment for a women-led the limitations of government to effectively monitor (Perks 2014). These cooperatives are then knitted experience working with NGOs that provided party supply rental business (41 percent of all persons, most governments have moved away together by a federative cooperative structure that, capacity building in basic business skills to ASM grant recipients were women). The project’s from models of monitoring individuals to models in return for membership adherence, provides its operators. As highlighted in the discussion on aim of focusing support on associations of monitoring entities, making the predominant cooperatives with technical and financial assistance. access to legal markets (Intervention Area 7), was designed to help increase the number vehicle for miners to register and operate a mine What stands out as a successful model in Rwanda working with NGOs, cooperatives, and women’s of miners receiving licenses, thinking that site a cooperative. But given the relatively new push is the capacity of its federation to commercialize associations to deliver capacity building to miners organized miners would more easily gain by governments to enforce cooperative formation, minerals. In effect, by allowing the federation to showed great success during the COVID pandemic. capacity and willingness to apply for licenses. there are understandably needs on a capacity front be an exporter, it ensures that cooperatives are The World Bank is also demonstrating how to scale In fact, the project increased the number that have to be met to ensure these entities operate further incentivized to be federation members up capacity-building efforts for ASM actors by way of miners receiving ASM licenses from 100 according to their obligations under the law (see because they have a guaranteed domestic sales of digital platforms. per year before the project to over 900 in box 3 for an example of how World Bank projects market. Furthermore, exporting capacity allows the last year of the project. Focusing on have successfully supported ASM associations). for profit generation that can then be reinvested in Through the Delve Exchange, miners have associations was also a strategy for the project When linked with appropriate incentives—such as the structure’s functioning, including the services leveraged the free and nearly ubiquitous messaging to improve sustainability of ASM reform—by technical and financial support through regional it can provide to its cooperative members. This app WhatsApp to establish six regional peer-to-peer supporting ASM businesses affiliated with the associations or national federations—such a model again illustrates how a system-solution approach knowledge exchange networks. With more than associations, the miners had more financial of organizing the sector can prove compelling. For to supporting the development of sustainable ASM 1,000 miners participating to date, the exchange stability and ownership over their operations. instance, in Rwanda, the government does not is important. Whereas semi-industrial or semi- groups, led by expert regional coordinators, 66 Achieving Sustainable and Inclusive Artisanal and Small-Scale Mining (ASM): A Renewed Framework for World Bank Engagement 67 Toward a New Vision of ASM Support: Sustainability and Inclusion many of whom are miners themselves, have transformation activities. Lastly, the World Bank’s should emphasize aspects such as communication (v) Limited political will from government proved a model for sustained engagement and 2023 State of the ASM Sector report demonstrated skills, the ability to work independently, the ability to invest resources and prioritize the stimulated demand among participants for greater how professional mining groups like Women in to solve complex problems, negotiation skills, and needs of ASM communities. capacity-building opportunities. In response, the Mining serve as key interlocutors for government in leadership skills. In other words, the extension (vi) Mode of delivery is not suitable to exchange is developing a series of open-access the development of interventions and as advocates service agents do not necessarily need to have miners’ profiles. Many miners are learning modules to guide miners in site-based to represent the interests of their members. prior technical experience with the mining sector. illiterate and until recently extension The important thing is that miners receive technical services commonly produced large training according to their needs. Thus, training the handbooks or guidance notes in writing. Suggested activities under Intervention Area 8 for World Bank support: providers of extension services and stakeholder engagement to understand miners’ needs are two For these reasons, extension services today are Work directly with miners’ associations, Provide grant financing to miners’ of the most important dimensions of implementing discussed in a hybrid fashion: conferring some federations, and other interest associations and interest groups that any extension service system. responsibilities to government while opening organizations related to mining to target actions on the ground in mining opportunity for well-suited private sector actors develop and carry out outreach and communities. Historically, government agencies have provided to come in as well. Efficiency, effectiveness, and capacity-building programs for miners. extension services, but at a high price for adaptability to local needs are key concepts in any delivery. In reviewing efforts over the decades economic sector intervention; however, they are Invest in capacity building for miners’ associations and federations themselves. by government agencies to deliver successful particularly important for ASM extension services. extension service programs, the following The issues are linked to several characteristics challenges emerge time and time again: specific to ASM, with the following standing out: (i) the diversity of operations and minerals extracted Intervention Area 9 is that extension services for the mining sector (i) Limited human and financial resources. and processed (the sector is made up of hundreds Deliver Extension Services for Miners would basically be limited to technical support, This includes a lack of trained personnel of mining operations spread throughout many based on technology transfer to improve mining and equipment to conduct fieldwork countries and it extracts and processes a large The concept of extension services is evolving practices with the goal of increasing production and provide training and education to diversity of minerals); (ii) the majority of mining today toward approaches that focus on the and productivity. Consequently, the extension ASM communities. operations and activities are informal, but there grassroots, bottom-up practices that nurture service agent would be a mining technician, and is a need for activities and operations to become (ii) Limited infrastructure to support sustainability and agency of actors in local training would be delivered by geologists and extension services in rural settings, such licensed to operate (through mining titles and communities (Muyanga and Jayne 2006). The term mining engineers. In the new concept of extension as transportation and communication licenses); and (iii) different levels of development extension services is used in various economic services, the providers of these services must networks. This makes it difficult for and capacity among of mining operations. These sectors,57 but the oldest and most common use of have a much more multidisciplinary and versatile government officials to reach mining characteristics, in practice (see box 4), mean that the term is linked to agriculture (Demiryürek 2014). profile than that of a technician who provides communities and provide services. extension services need to be based on a hybrid Part of this approach aims to reach a larger group specialized services. Certainly, the technical system that allows for different sources of financial of beneficiaries, making implementation much dimension of their profile must be covered, and (iii) Limited capacity by government agents support and permits several networks of extension more cost-effective. This has implied redefining this type of training must be provided as needed. to provide effective extension services, agents from a variety of organizations to create the who are the providers of extension services: the But the concept of rural development introduces a including the ability to develop and conditions for delivering services in a sustainable need to include private agents, such as NGOs, role for the extension service agent to go beyond implement policies and programs, way and that will enable the services to cover arrangements and alliances with producers and technical mine solutions to addressing challenges and to monitor and evaluate the most of the ASM operations that need assistance. traders, national and international development of a socioeconomic dimension as well, including effectiveness of those programs. As mentioned in the discussion on access to partners. More recently, this concept has also those related to health aspects of the miners and (iv) Lack of communication and consultation legal markets (Intervention Area 7), new models referred to the technical training of ASM miners to their families, access to sanitary conditions, access on extension service design, which are working well in some contexts that provide improve their operations (Hoadley and Limpitlaw to drinking water and electricity, the resolution means many programs are not a one-stop shop or “hub and spoke” system to 2004; Hentschel, Hruschka, and Priester 2002).58 of tensions and conflicts within mine sites, tailored to the specific needs of buy and process minerals and offer extension commercialization, and export. These are all new the communities and therefore not services to their ASM clients. This is but one type There is a misconception today about the nature dimensions to extension services in addition to accepted or utilized fully by the miners. of extension service model in operation today. of extension services and therefore who is apt traditional areas of improving production practices to deliver them. Like the origin of the concept of and productivity in extraction and processing. extension services for agriculture, the perception Thus, the profile of extension services providers 68 Achieving Sustainable and Inclusive Artisanal and Small-Scale Mining (ASM): A Renewed Framework for World Bank Engagement 69 Toward a New Vision of ASM Support: Sustainability and Inclusion In a hybrid system, several networks can Communities and Small-Scale Mining (CASM) BOX 4  Extension Services for ASM in Mozambique intervene to deliver complementary knowledge initiative now reimagined with advancement in and training: community agents, extension digital connectivity through the Delve Exchange. service agents, professional and technical Though a hybrid system may seem vast in actor The implementation of artisanal and small-scale mining (ASM) extension services in Mozambique institutions, and private sector actors. participation, and therefore costly to establish, the illustrates an evolving approach to addressing the sector’s needs. Mozambique was a pioneer Community agents support extension activities diversity in such a system can provide invaluable in offering support systems for ASM with the creation of the Mining Development Fund (FFM) at the local level; they include traditional and expertise that cannot otherwise be found within in 1988. The fund succeeded in giving financial assistance to small-scale mine exploration, community leaders and community organizations government resources. supporting use of mining equipment, and forming associations. However, it faced challenges in and associations, among others. These agents issuing mining titles and diversifying support to non-gold miners, in part because of the nomadic would be trained as needed by extension Geological works are a priority extension nature of some ASM segments and the lack of a national ASM formalization strategy. service agents and, when necessary, with the service if successful small-scale mines are to support of technicians. Extension service agents be developed. The lack of geological knowledge After the Mining Development Fund closed in 2013, the Geological and Mining Institute and provide direct support to mining operations in on permits granted to ASM entities has been a later the National Institute of Mines (INAMI) took over some of its functions, focusing on forming the location where they are appointed to work. major constraint to the sector’s development. associations and delivering training on health, safety, and social aspects. The support targeted They are part of the local extension service Traditionally, macro-level, country-wide geological members of associations and, often, left out host communities. In parallel, and sometimes in network and may be hired as employees of information is expected to be paid for through coordination with INAMI’s efforts, the Provincial Directorates of Mineral Resources and Energy the government or be contracted for a fixed public funding such as extension departments and the Department of Artisanal and Small-Scale Mining (DEMAPE) continued to provide period for other projects and programs. They within relevant government departments (for technical and organizational support to mining groups, addressing specific issues like work must be trained by technicians. Professional and example, ministries of geology, mining, and accidents, conflicts, and child labor. Other government entities, including Environment and technical institutions carry out some specific metallurgy, or through university faculties and Health, carried out their work in mining communities but lacked coordination between their technical interventions of greater complexity. departments). Sometimes these departments activities and the interventions of the Ministry of Mineral Resources and Energy (MIREME). National universities, research institutes, and enter partnerships with international organizations laboratories are well placed to deliver short such as the United Nations Environment These assistance actions to miners involving the provinces suffered a significant reduction with courses on specific topics. The Mining Centres Programme (UNEP), Germany’s Federal Institute the transformation of the provincial directorates of mineral resources into departments and a of Excellence network across Francophone West for Geosciences and Natural Resources (BGR), subsequent reduction in human and financial resources. Reduced assistance to artisanal miners Africa and the Sahel is an excellent example.59 France’s Geological Survey (BRGM), or the United was further compounded by INAMI technicians’ dual responsibility to assist, upon request, large Private sector actors, the fourth key group, Nations Development Programme (UNDP) to and medium-size mining companies. can intervene at the request of government to implement technical solutions. For example, in deliver training as well. Actors in this category 2005, the United Nations Industrial Development In 2017, Mozambique developed a strategy for ASM, recognizing the need for a systematic could include (i) consultancy companies and Organization (UNIDO) worked with the Zimbabwe extension service system. The Formalization of Artisanal and Small-Scale Mining Project worked individual consultants of national or international Ministry of Mines and Mining Development and the in three provinces covering four pilot mining areas, with the vision for the government to learn, origin who may build the infrastructure for an University of Zimbabwe to develop a “train-the- replicate, and scale the systems to the entire country. The project produced a terms of reference extension service system and may also provide trainer” program in gold mining communities within for implementing extension services, outlining different stages of providing extension services training to new technicians at universities, through an ASM area. The World Bank has also financed (rationale, methodologies, instruments, and actors), and identified the components of a national courses aimed at this sector; (ii) associations geological works for ASM sites in Tanzania and the system of extension services (institutional, informational, monitoring, and evaluation). The second and federations of ASM cooperatives that have Democratic Republic of Congo. But private sector document provided recommendations for the creation of an institutional system to operationalize existing relationships with mine sites and have consulting firms could also meet the demand for extension services and to incorporate experiences from agriculture and fisheries extension an interest in seeing their performance improve; site-specific geological works, and some argue services, creating a structured approach to support ASM, and acknowledging the sector’s need and (iii) NGOs or civil society organizations that that a demand-driven approach to geological for stability, rights, and formal recognition. can, based on specific projects, provide support services could be more cost-effective and to the extension worker, or implement a series rational because a miner will seek services for of activities based on agreements or contracts. an area they have permitted. In addition, satellite NGOs can also have a role in empowering local imagery, drone-based spectroscopy, and other mining networks. Additionally, the model for miner- cost-effective technologies have emerged that to-miner knowledge exchange remains a proven can perform powerful analysis for specific format, with historical roots in the World Bank’s mineralized areas. 70 Achieving Sustainable and Inclusive Artisanal and Small-Scale Mining (ASM): A Renewed Framework for World Bank Engagement 71 Suggested activities under Intervention Area 9 for World Bank support: Upgrade information delivery ensure adequate long-term financing systems—for example, through mobile is built into their design. apps and websites or by using social media platforms—to deliver extension Build government, academic, NGO, services. and civil society capacity to deliver on extension service systems. Develop appropriate handbooks, tools, and guides based on miners’ literacy Execute geological research on and capacity. strategic and priority ASM areas in a country. Design and implement hybrid extension service systems to operate across Bring new technologies to service major ASM areas in a country and ASM exploration. 72 Artisanal miners in Ghana. Credit: Morten Larsen/World Bank. Partnerships PARTNERSHIPS membership associations that can organize and assemble on behalf of a large constituency. The emerging partnership with the World Gold Council The World Bank could consider partnerships with these leading programs and facilitate new mine- to-market programs through twinning programs for the West Africa and Sahel Multi-Stakeholder facilitated by trade associations, ASM federations, Partnership Initiative for Sustainable Small-Scale Women in Mining chapters, or jewelry-specific If sustainable artisanal and small-scale mining (ASM) is to be achieved at a scale Gold Mining is a good example that could potentially initiatives such as the Chicago Responsible that delivers impact for ASM actors, mining communities, and client countries, be replicated to other minerals facing similar Conference and Initiatives in Art and Culture. Where partnerships will be essential. Building on the principles of the World Bank’s challenges, like ASM cobalt mining in the Democratic applicable, work with the OECD to complement Republic of Congo with the Cobalt Institute. the scope of its “conflict-free” guidance. recently released One World Bank Group Partnership Charter, the World Bank seeks to be a valued partner across national, regional, and global ASM spaces. To maximize support to country clients on To continue to mature data-informed operations, national ASM development agendas, the World the World Bank will remain institutionally committed Through its commitment to partnership, the World Bank respects the pivotal role Bank will endeavor to work in clearly defined to the success of Delve and its sister initiative, the of countries and their governments in leading national development strategies manners with other large institutions that support Delve Exchange. This could be through targeted and programs while also seeking to leverage the unique strengths of a diverse line ministries concerned with mining. This could partnerships to address data gaps on critical and include the Intergovernmental Forum on Mining, understudied ASM themes (gender participation, array of development actors, including multilateral institutions, the private sector, Minerals, Metals, and Sustainable Development illicit financial flows, informal trade and mineral civil society, and nongovernmental organizations. The World Bank believes that by (IGF), the African Minerals Development Centre traders, tax leakage, access to finance), minerals, (AMDC), and regional multilateral development or geographies. These partnerships with industry, fostering harmonization and alignment across institutions and creating a culture of banks (MDBs). In a similar fashion, the Extractives academia, governments, and civil society can mutual learning, development solutions that achieve greater efficiency, innovation, Unit of the World Bank will seek out a more involve the formation of discrete working groups, replicability, and scale can be found. Partnerships may take multiple forms and strategic role in country-level dialogues within the aggregation of existing yet undisclosed data, the Country Management Units (CMUs) to ensure the development of new approaches for data consider a range of interventions: promoting knowledge and data, spearheading maximum linkages between ASM and other modeling, and investment in new research, all with new investments in specific technologies or approaches, or scaling up proven pilot relevant development sectors supported by the the intent to create public knowledge products World Bank in a given client country. (reports, fact sheets, webinars, journal articles) that models. The World Bank draws from recent implementation experiences to outline can be used by policy makers and practitioners potential partnership models with select stakeholders. To continue pioneering excellence in the ASM to develop scalable and sustainable solutions. research agenda, the World Bank will reflect on Delve is positioned to expand platform content ways to collaborate on a more strategic and long- through this targeted partnership using existing To maximize the full capabilities offered by the To reach more miners and work more effectively term basis with a range of academic programs formats (country profiles, State of the ASM Sector World Bank, the World Bank will foster deeper in mining areas, the World Bank will explore a seeking to answer important development reports, blogs) and new formats and mediums internal collaboration across the International strategic approach to supporting ASM-focused questions facing ASM. This could be through a (videos, podcasts, case studies, interactive Bank for Reconstruction and Development (IBRD), networks and associations that have significant large research program spanning several years content, contributed columns, and so on) that International Development Association (IDA), reach and relationships in existing mining or in-depth country analysis on a more short-term target nonspecialist ASM audiences. The Delve International Finance Corporation (IFC), and communities. Examples may include but not be basis. Continuing to build the case for ASM’s Exchange will continue to build partnerships with Multilateral Investment Guarantee Agency (MIGA) limited to Women in Mining chapters and small- contribution to development will remain a priority. mining groups to expand access to the network’s to promote financial inclusion, advance gender scale mining federations and/or associations. A Research could also be nurtured through Delve community for miner-to-miner knowledge exchange equality, support the development of small and new addition has been the establishment of the and the State of the ASM Sector report series. and the forthcoming ASM Academy.60 medium enterprises (SMEs), and enhance domestic Delve Exchange, which has widened outreach by commercialization across the ASM sector. These way of digital technology and presents an entirely To expand on proven models and approaches To advance data collection and monitoring in partnerships will leverage the World Bank’s new way of transferring capacity and knowledge to for mine-to-market programs, the World Bank will ASM jurisdictions, the World Bank will continue comprehensive development expertise, IFC’s the mine site. continue to support innovations that have worked to invest in capacity-building programs that work private sector investment capabilities, and MIGA’s well, especially those efforts made during and after with governments and civil society to improve data guarantees (political risk insurance and credit To reach scale on important topics of global the COVID-19 pandemic that have significantly management and monitoring practices related to enhancement) to investors and lenders, to create relevance to the mining industry writ large, the improved earnings for miners. Partnerships with ASM. Through Delve and its network of partners, a robust suite of activities aligned with the ASM World Bank will seek out, on a selective basis, Virtu Gem, Moyo Gem, and GemFair are excellent the development of an ASM data management support framework put forth. development partnerships with mineral-specific examples that have delivered meaningful results, guidance is considered. This work could build on the industry associations and other types of wide mining especially for improving women miners’ livelihoods. Extractive Industries Transparency Initiative (EITI) and 74 Achieving Sustainable and Inclusive Artisanal and Small-Scale Mining (ASM): A Renewed Framework for World Bank Engagement 75 other organizations working on data collection, such coordination and hosting of an annual or biannual as SwissAid. In recognition of the sector’s relative conference wholly dedicated to ASM as a space infancy in the development sphere, the World Bank is for knowledge exchange and coordinated action committed to enhancing the facilitation of knowledge from practitioners, governments, and the broader exchange forums and platforms (in-person development community to advance the sustainable and virtual) to promote greater transparency, ASM agenda. With Delve’s forthcoming ASM project accountability, and learning from interventions catalog, the World Bank is committed to maintaining and initiatives supporting sustainable ASM. an open crowdsourced record of historical and ongoing ASM interventions and leveraging To facilitate the global exchange of knowledge this resource to highlight lessons learned, best and best practices, the World Bank will pursue the practices, and shortfalls across the sector. A man washing diamonds in a mine in Kono, Sierra Leone. Credit: iStock/Abenaa. 76 CONCLUSION: CREATING A NEW, UNIFYING NARRATIVE FOR ASM Artisanal and small-scale mining (ASM) is vital to global prosperity. ASM is an important part of many mineral, metal, and precious stones supply chains without which the world would be less functional and less prosperous. These include the “green revolution” (cobalt and rare earths), luxury fashion (gemstones), and tech revolution (gold) supply chains, to name but a few. ASM is key to poverty reduction. ASM is an Sustainability of ASM, as the World Bank positions important part of the rural economies in which it the end goal of the sector’s development, will operates, providing direct livelihoods to over 225 require scaling through partnerships. If ASM is million of the world’s most disadvantaged citizens, to achieve a recognized space in mining sector and it has the potential, through investment, to development strategies of governments, it will need create long-term livelihoods that will create a targeted and strategic support from public and private brighter future for mining communities. sector partners. The reach and impact of ASM in rural communities and the global mineral trade economy ASM must also be a leader in environmental are such that support cannot afford to be limited in stewardship. If the World Bank is to support time or resources. Scaling up and scaling out are its goals of reducing poverty and increasing required to translate the sector’s potential into a shared prosperity, doing so must include building development reality. It is anticipated, given the scale foundations on a livable planet. The World Bank of resources and commitment required to really make believes that environmental stewardship for ASM a sustainable impact on the sector’s development, is important not only for the planet but also for the that multistakeholder partnerships will be critical for ASM communities and actors themselves. unlocking, leveraging, and coordinating a variety of support sources. Findings from the various consultations, interviews, and project reviews suggest appetite As heard from miners and other stakeholders, for a new approach to support ASM. Discussions safety and well-being along with environmental around formalization are moving back to those stewardship and raised earnings will be important early days of professionalization, but with much outcomes to judge success. These are the incentives more deliberate integration of regulated financing that will help development efforts be taken up more and market access. Emphasis once again is on how readily and widely by ASM actors themselves. World best to incentivize ASM actors and governments Bank support to country clients will need to be more to develop, own, and apply standards designed adaptive in their funding timelines, with a view to scaling to improve mine performance, with third parties from the start in order to achieve outcomes in the bringing services to ASM operators to build most effective and lean way possible. And World capacity and opening up trade opportunities. Bank interventions should be more participatory and miner-centered, given time and resources to build the trust and create incentives for behavior change. 78 Large sapphire mine in Madagascar. Credit: iStock/dennisvdw. End Notes End Notes (ii) fiscal revenues, (iii) infrastructure GOLD and GOLD+ programs, which 25 Interventions that address miner’s ability to 38 United Nations Sustainable 47 CRAFT stands for “Code of Risk-mitigation for ASM engaging in Formal Trade.” investments, (iv) downstream economic support 25 countries with direct funding sell minerals through legal and equitable Development Goals 2023: https:// 1 ASM is a term used to define a range linkages, and, more recently, (v) net-zero of US$119 million (cofinancing US$477 channels. www.un.org/sustainabledevelopment/ of mining activities that employ basic and decarbonization commitments. million) to implement their respective development-agenda/. 48 This estimate from the 2020 report is tools for extraction and processing with commitments under the Minamata 26 Efforts to improve the operational based on a review of 25 countries for 10 See the Delve website at https://www. Convention on Mercury: GOLD (10 capabilities and efficiencies of mining 39 Yet curiously, despite a seemingly which there is a data point in Delve on the a tendency toward high labor intensity. delvedatabase.org (accessed March 21, countries, US$45.2 million, cofinancing companies, including training programs, resounding sense of the importance of number of women in ASM. ASM can include men and women working on an individual basis as well as those 2024). US$135 million), GOLD+ (15 countries, process optimization, and technological improved outcomes for miners’ well-being, U$74 million, cofinancing US$342 million); advancements to enhance productivity rarely have the topics of OHS, income, or 49 Most government officials (83 percent, or working in family groups, in partnership, 11 For the first five countries listed, the see the planetGOLD website at https:// and performance. even environmental stewardship (beyond 10 out of 12) stated that they considered or as members of cooperatives (OECD Financial Diaries exercise was sponsored www.planetgold.org/planetgold-phase-2. mercury abatement) received the focus or included women in the development of 2016, 65). ASM operations can employ as by the World Bank through its COVID and 27 The reduction of “conflict” diamonds they deserve. their formalization interventions. little as a few people to several thousands. Most ASM, due to constraints in effective ASM Emergency Window (World Bank 18 This includes methods such as (i) pit and through the Kimberley Process was the 2023b). tunnel mining that are not well secured most well-known campaign; a decade later, 40 Survey response from male Kenyan head 50 Decentralization is defined as “the transfer regulation, occurs informally; or when in or do not have proper safety guidelines, the United States Dodd-Frank Act, section of gold mining team. of authorities and responsibility for public protected environmental areas such as 12 Pioneered by development practitioner (ii) inconsistent use of proper personal 1502, provided a similar template for the functions from central government to national parks or preserved ecosystems, Stuart Rutherford, Financial Diaries protective equipment, and (iii) use of “3Ts” (tin, tungsten, and tantalum) and gold 41 Artisanal mining zones or zones subordinates or quasi-independent illegally; and when supporting armed compiles economic data on poor hazardous chemicals, such as mercury in the Great Lakes region of Central Africa. d’exploitation artisanale (ZEA) could be a government organizations or private sector” groups, illicitly. households, specifically through tracking in gold mining, which are detrimental to way to formalize miners en masse without (Boex, Williamson, and Yilmaz 2022, 9). 2 The estimate from the 2020 report is daily tracking of cash inflows and cash human health and water contamination 28 The World Bank and partners executed requiring individual licenses; they could outflows of poor households, compiled downstream. two periods of surveys (2020, 2022) become forms of community-based natural 51 Some of the most common remote sensing based on a review of 25 countries for at set intervals over a designated period, concerning the pandemic’s impact on resource management (CBNRM), they technologies are satellite imagery, aerial which there is a data point in Delve on the with a view toward recording their financial 19 Wood production is necessary for the ASM communities. 2020: https://www. could provide more flexible management photography, light detection and ranging number of women in ASM. (LIDAR), thermal infrared sensors, radar transactions. See Kamath and Ramanathan extractive activity (support of galleries, delvedatabase.org/covid-19-impact- arrangements, and they could provide (2016) for more information. construction of ladders, diversion of rivers) on-asm/covid-data; 2022: https://www. mineral tenure security for local miners. imaging, hyperspectral imaging, and 3 The reduction of “conflict” diamonds and household needs on the sites (wood Countries cases include the Central global positioning system (GPS). through the Kimberley Process was the delvedatabase.org/covid-19-impact-on- most well-known campaign; a decade later, 13 Regulatory frameworks include mining for the construction of habitats, production asm/2022-covid-asm-global-survey. African Republic, Côte d’Ivoire, the codes, regulations, other legal instruments, Democratic Republic of Congo, Ghana, 52 “Guyana: Converting to Mercury Free by the United States Dodd-Frank Act, section of wood coal, firewood). and the infrastructure required to regulate 2025,” Countries, planetGOLD, https:// 1502, provided a similar template for the 29 “Emergency Response for Artisanal and Mali, and the Philippines. and monitor ASM activity. 20 Some of the most common remote sensing www.planetgold.org/guyana. “3Ts” (tin, tungsten, and tantalum) and gold Small-Scale Mining Communities Impacted in the Great Lakes region of Central Africa. technologies are satellite imagery, aerial by COVID-19,” EGPS brief, World Bank, 42 Ghana and the Philippines are the two 14 In some cases, the conflict can be over 53 See, for example, Chirico and Malpeli photography, light detection and ranging https://www.worldbank.org/en/programs/ most prominent examples of successful different mineral resources. This has (2013) and Ouattara et al. (2022). 4 The network of stakeholders involved (LIDAR), thermal infrared sensors, radar egps/brief/emergency-relief-response- community mining. in ASM is broad. It includes ASM been observed with exploitation by imaging, hyperspectral imaging, and global for-artisanal-and-small-scale-mining- 54 See “How ASMSPotter Helped associations and networks, large-scale ASM of a construction material like sand positioning system (GPS). Technologies communities-impacted-by-covid-19. 43 For example, Owen et al. (2023) estimate the Guyana Government Identify mining companies, downstream supply when its occurrence geologically and can offer potential to significantly that more than half of the resource base ASM Site Developments,” Projects, chain actors linked to ASM-produced geographically overlaps with another improve management of the ASM sector, 30 VirtuGem: https://virtugem.com; Moyo for energy transition minerals and metals Levin Sources, accessed May 15, minerals (processors, refiners, traders, commodity like gold or platinum being particularly in countries where (i) ASM Gems: https://moyogems.com. are located on or near the locations of 2024, https://www.levinsources. manufactures, brands), academic exploited by LSM. activity is very spread out and difficult to Indigenous peoples and peasant groups. com/what-we-do/case-studies/ researchers, financial institutions physically monitor on a continuous basis, 31 See the Delve Exchange webpage asmspotter-guyana-asm-developments. (formal and informal), service providers 15 A third category, the semi-industrial, is often because of poor road infrastructure; at https://www.delvedatabase.org/ 44 Some mining laws, like those in Burkina and consulting firms, and civil increasingly being used to overcome (ii) the type of monitoring needed can delve-exchange-en. Faso and Mali, allow overlap between 55 See the World Bank’s 2023 State of the society (international and national constraints found in the former two be clearly visible from satellite sensors ASM and LSM research permits under Sector Report on Sustainable Development nongovernmental organizations). categories in terms of ceiling on (chiefly deforestation caused by mining); 32 See Levin-Nally and Tufo (2024). certain conditions, such as permission Goal 5 for several case studies. investment, types of equipment that can (iii) fragility or conflict may infringe on the from the LSM holder. While this does not 5 The authors recognize the critical be used, depth of operation, or caps on state’s ability to access these areas; or (iv) 33 Other response options were (i) easy in itself solve all ASM-LSM issues, it does 56 Dynacor Fact Sheet Q2-2023, available at importance of sensitivity to context volumes of production. The semi-industrial ASM activity is happening in protected to secure license, (ii) increased use of create the option for formalizing ad hoc https://www.dynacor.com/fact-sheet/. and mineral commodity to any mineral category of license has particularly taken parks and other off-limit areas. machines, (iii) securing rights to mine, and coexistence practices. In addition, Burkina development strategy but note that off in the last two decades in Sub-Saharan (iv) better income. Faso created an unusual but intriguing 57 Sectors include fisheries, rural articulating these distinctions is beyond Africa, where foreign investors have 21 Most government officials (83 percent, or instrument called the intermédiaire agréé, development, sustainable management of the scope of this global position paper. acquired the license and “partnered” with 10 out of 12) stated that they considered 34 Over three-quarters of respondents whereby the ASM regulatory agency resources and the environment, and public local miners to exploit. The rise in use or included women in the development of rated access to external funds for their (ANEEMAS) brokers an agreement health. 6 Programmatic review dated back to of the semi-industrial license has raised their formalization interventions. operations as difficult or very difficult, between an entity like a cooperative, a the World Bank Small-Scale Mining considerable concern both in the literature while over 60 percent of all respondents customary site manager, or site financier 58 Hoadley and Limpitlaw (2004) use the term Development Project in Bolivia (Loan 1331) and with domestic actors on the grounds 22 Survey conducted at the World Bank for each region identified access to finance and the government. extension services in the context of help approved in 1976, with implementation of environmental degradation and labor conference “Business Unusual: What as difficult or very difficult. to build social capital (by involving ASM 1978–1982. misuse. The criteria could be the size of Future for ASM Post Covid-19?” December 45 See World Bank (2023a). in networks), human capital (by making it the mining claim, the depth of the ore, the 2022, Nairobi, Kenya. 35 Greater than 50 percent of respondents possible to access training to skills and 7 ASM employment in Europe and Central level of mechanization, the nationality of globally and at all regional levels were 46 For example: Diamonds: Maendeleo information relevant to the sector), and Asia, the Middle East and North Africa, the miner, and the level of production. 23 Activities and processes aimed at unsatisfied or very unsatisfied with Diamond Standards, Kimberley Process physical capital (by improving access to and North America is less than 25,000 enhancing the skills, knowledge, and government’s support to the ASM sector. Certification Scheme; Gold: Fairtrade, appropriate technology). (<0.05 percent). Global employment 16 ASM operations are done haphazardly capabilities of organizations involved in Fairmined; Tin, tantalum, and tungsten: is based on Delve database figures and can be in riparian corridors, causing mining, such as training, mentoring, and 36 A quote from a female colored gemstone ITSCi Programme for Responsible Mineral 59 This initiative, originally funded by the (https://www.delvedatabase.org). environmental damage such as land institutional development. mine owner from Malawi. Supply Chains; Jewelry: Responsible World Bank and now cofinanced by degradation and deforestation leading. Jewellery Council; International Conference the African Development Bank and the 8 The estimate from the 2020 report is Such effects are associated with 24 Establishment and implementation of 37 For these reasons, the newest round on the Great Lakes Region (ICGLR): World Bank, brings together university based on a review of 25 countries for increased greenhouse gas emissions, guidelines, procedures, and specifications of the GEF planetGOLD ASGM funding Regional Certification Mechanism; Smelter/ departments in six countries. which there is a data point in Delve on the loss of biodiversity, soil erosion, and that define the acceptable practices and takes a very comprehensive approach refiner: Responsible Minerals Assurance number of women in ASM. sedimentation of water bodies. safety measures for mining operations, toward support to artisanal gold mining. Process; OECD Due Diligence Guidance 60 The ASM Academy is a suite of miner- including equipment, processes, no worst It is an illustration of where, as a whole, the for Responsible Supply Chains of Minerals generated online learning modules for 9 Among others, key indicators tracked 17 The largest investment being the Global forms of child labor, and worker health community concerned with ASM should from Conflict-Affected and High-Risk Areas; mine site transformation to be made typically include (i) jobs (direct and indirect), Environment Facility–funded multiphased and safety. be heading. CRAFT Code; Forest Smart ASM Standard. available in 2025 by the World Bank. 80 Achieving Sustainable and Inclusive Artisanal and Small-Scale Mining (ASM): A Renewed Framework for World Bank Engagement 81 Bibliography Bibliography Barreto, M. L., P. Schein, J. 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Journal of Development Studies 56 (10): 1964–79. 84 Achieving Sustainable and Inclusive Artisanal and Small-Scale Mining (ASM): A Renewed Framework for World Bank Engagement 85 ANNEX 1 Timeline of ASM Formalization Approaches and Events Period Approaches to ASM formalization Prominent events and declarations 1980s Support to “entrepreneurial 1988 – Ankara: Interregional Seminar on Small Scale Mining in small-scale miners” Developing Countries Early Toward integration of technical, 1991 – Kolkata: National Institute for Small Mines 1990s environmental, legal, social, 1993 – Harare: United Nations, Interregional Seminar on Guidelines for and economic issues the Development of Small and Medium-Scale Mining 1990s Special attention on legalization 1995 – Washington, DC: World Bank, International Roundtable on of ASM sectors Artisanal Mining Mid Relation between large mining 1997 – Vienna: UNIDO, Global Mercury Pollution Deriving from Artisanal to late companies and ASM Gold Mining 1990s Gender and child labor issues 1999 – Geneva: ILO, Tripartite Meeting on Social and Labor Issues in Small-Scale Mines 2000s Community-related issues and 2001 – Communities and Small-scale Mining (CASM) initiative launch sustainable livelihoods 2002 – Yaoundé: Seminar on Artisanal and Small-Scale Mining in Africa Human rights 2002 – UNIDO, Global Mercury Project launch Mercury reduction 2003 – Kimberley Process Certification Scheme Fair trade 2009 – African Mining Vision Fair mined 2010s Responsible mineral supply chains 2010 – Lusaka Declaration: ICGLR Special Summit to Fight Illegal Mine-to-market Exploitation of Natural Resources in the Great Lakes Region 2010 – US Dodd-Frank Act, Section 1502 2011 – OECD Due Diligence Guidance for Responsible Supply Chains of Minerals 2013 – Minamata Convention on Mercury 2015 – ACP-EU Development Minerals Programme 2017 – European Union Conflict Minerals Regulation 2018 – Global Environment Facility (GEF) planetGOLD program, Phase 1 2018 – Mosi-ao-Tunya Declaration 2020s Systemic and 2020 – GEF planetGOLD program, Phase 2 multistakeholder solutions 2023 – World Bank and World Gold Council Multi-Stakeholder Partnership Initiative for Sahel and West Africa Source: Adapted from Hentschel, Hruschka, and Priester (2002); Mosi-ao-Tunya Declaration 2018. 86