Annual Work Plan For the period: April 1, 2017 March 31, 2018 … · 408-6190 Agronomy Road...

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20172018

Annual Work Plan For the period: April 1, 2017 – March 31, 2018

Submitted: June 2, 2017 Project No. S-065811

CIRDI Annual Work Plan: April 1, 2017 to March 31, 2018 / 2

LIST OF ACRONYMS

AMDC African Mineral Development Centre

ANA APMS

Autoridad Nacional de Agua Action Planning and Monitoring System

APROPLASMIN Association of Owners of Plants of Ore Reduction, Smelting and Refining of Mineral Substances of El Oro Province (Ecuador)

ASGM Artisanal and small-scale gold mining

ASM Artisanal and small-scale mining

ASSIT Agency for the Assessment and Implementation of Technology (Indonesia)

CA CADEP

Contribution Agreement Centro Andino de Educación y Promoción

CCAIJO Asociación Jesús Obrero3

CEO Chief executive officer

CIES Consorcio de Investigación Económica y Social

CIMAS CIRDI

CIRDI Information Management System Canadian International Resources and Development Institute

Co-Lab Peru Collaboratory

DDH Département du Développement Humain (Mali)

DFATD Department of Foreign Affairs, Trade and Development, Canada

DNGM Direction Nationale de la Géologie et des Mines (Mali)

DSAME Département de la Sécurité Alimentaire, de l’Agriculture, des Mines et de l’Environnement (Burkina Faso)

EIA Environmental Impact Assessment

EITI Extractive Industries Transparency Initiative

Ethiopia SUMM Supporting the Ministry of Mines (SUMM) in Ethiopia

EWB Engineers Without Borders

FARC FCM

Revolutionary Armed Forces of Colombia Federation of Canadian Municipalities

FEMIMA Fédération des femmes minières du Mali

FPIC FAC

Free prior and informed consent Finance and Audit Committee

FY Fiscal year

GAA Graduate academic assistants

GAC Global Affairs Canada

GDMDS Grupo de Diálogo, Minería y Desarrollo Sostenible

GEMM Global Energy, Minerals and Markets Dialogue

GIZ German Development Cooperation

GRADE Group for the Analysis of Development

Hg Mercury


HIA Health Impact Assessment

ICF International Cooperation Fund

ICIRD Institut canadien international des ressources et du développement

ICMM International Council for Mining and Metals

IDB Inter-American Development Bank

IGF Intergovernmental Forum on Mining, Minerals, Metals and Sustainable Development

ILEAP International Learning Engagement and Awards Program

IMAGinE Integrated management and governance in extractives Mongolia

INCAM International centre for artisanal mining

INGEMMET El Instituto Geológico Minero y Metalúrgico (Peru)

INIGEMM Instituto Nacional de Investigación Geológico Minero y Metalurgico (Ecuador)

ISID Institute for the Study of International Development (McGill University)

ITCAM International Training Centre for Artisanal Miners

ITT-LLDC UN International Think Tank for Landlocked Countries

IWRM Integrated Water Resource Management

LC Local content

LC/LP Local content/local procurement

LP Local procurement

MANFORS Mancomunidad and Independencia

MASc Master of applied science degree

MGS Mexican Geological Survey

MoSS Ministry of Strategic Sectors (Ecuador)

MOU Memorandum of understanding

MSV Mining Shared Value

MUST Mongolian University of Science and Technology

N/A Not applicable

NBK Norman B. Keevil Institute of Mining Engineering

NGO Non-government organizations

PCQVD Payez ce que vous devez

PI PM

Principal Investigator Polytechnique Montréal

PMF PWIAS

Performance Measurement Framework Peter Wall Institute for Advanced Studies

Q1 April – June (CIRDI)

Q2 July – September (CIRDI)

Q3 October – December (CIRDI)

Q4 January – March (CIRDI)

RBM RID

Results-based management Resource Impact Dashboard


RMD Responsible Mineral Development

RRM Rapid response mechanism

SEIA National System of Environmental Impact Assessment (Peru)

SENA Servicio Nacional de Aprendizaje (Colombia)

SENACE Servicio Nacional de Certificación Ambiental Para Las Inversiones Sostenibles (National Service of Environmental Certification for Sustainable Investments) (Peru)

SFU Simon Fraser University

SNGRH Sistema Nacional de Gestión de Recursos Hídricos (Peru)

TBC To be confirmed

UBC University of British Columbia

UEMOA West African Economic and Monetary Union

UNASAM Universidad Nacional Santiago Artunez de Mayolo (Peru)

UNEP United Nations Environment Program

UNIDO United Nations Industrial Development Organization

UNSAAC Universidad Nacional de San Antonio Abad del Cusco (Peru)

WUSC World University Service Canada

YTS Yayasan Tambuhka Sinta (Indonesia)


CONTENTS

List of Acronyms ........................................................................................................................................................................ 2

1 Executive Summary ....................................................................................................................................................... 6

2 Project Description and Context ............................................................................................................................... 6

3 Planned Work – Institutional Development and Operations ......................................................................... 7 3.1 Establishment and sustainability of the Institute ..................................................................................... 7 3.2 Governance .............................................................................................................................................................. 8 3.3 The coalition ........................................................................................................................................................... 9 3.4 Organizational structure and staffing ........................................................................................................... 9 3.5 Systems .................................................................................................................................................................. 10

3.5.1 Monitoring, Evaluation and Reporting Systems............................................................................................. 10 3.5.2 Administrative, Financial & Program Management Systems ................................................................... 10

3.6 Strategic activities towards building a Centre of Expertise ............................................................... 11 3.7 Communications ................................................................................................................................................. 11 3.8 Cross Cutting Strategies – Gender, Environmental Sustainability, and Governance ................ 12 3.9 Partnerships and Engagement ...................................................................................................................... 12

4 Planned Work – Program Delivery ....................................................................................................................... 13 4.1 Synopsis of approach ........................................................................................................................................ 13

4.1.1 Program development ............................................................................................................................................... 13 4.1.2 Rapid Response Mechanism ................................................................................................................................... 14 4.1.3 Learning Program ........................................................................................................................................................ 15 4.1.4 Artisanal and small-scale mining .......................................................................................................................... 16

4.2 Current operational projects ......................................................................................................................... 17 4.3 Integration of cross-cutting themes ............................................................................................................ 22

4.3.1 Gender ............................................................................................................................................................................... 22 4.3.2 Environment .................................................................................................................................................................. 24 4.3.3 Governance ..................................................................................................................................................................... 26

Appendices .............................................................................................................................................................................. 29 A) FY2017-18 Financial forecast ........................................................................................................................................... 30 B) CIRDI active project list ....................................................................................................................................................... 32 C) Annual Work Plan for Projects under the Contribution Agreement .................................................................. 38 Governance strengthening program of the extractive sector in West Africa [2014-009] ......................................... 39 Strengthening collaborative practice and enhancing the role of universities as development partners for inclusive growth in Peru [2014-017] ....................................................................................................................................... 46 Education and Research for Integrated Water Resources Management (IWRM) in Peru [2014-071] ....... 54 Supporting capacity-building and multi-level governance of small-scale gold mining: a collaborative project on mercury, deforestation and rural livelihoods in Indonesia [2014-077] ............................................ 58 Blazing the path to formalisation: artisanal mining, wealth creation and rural livelihoods in Ghana [2015-010] ........................................................................................................................................................................................... 62 Natural gas projects and local community development in East Africa [2015-013] .......................................... 66 Integrated Management and Governance in Extractives (IMAGinE) Mongolia [2015-022] ............................ 69 Educación para la transformacion del MAPE en el Ecuador/ Education for the Transformation of Artisanal and Small-scale Mining [2015-024B] ................................................................................................................... 72 Transformation of Artisanal and Small-Scale Mining in Colombia [2015-024A] ................................................. 77 Rapid Social Performance Review of the Ahafo Benefit Agreements [2016-004] ............................................... 84 CIRDI Learning programs [2015-learning] ............................................................................................................................ 87 Scholars and Fellows Program [2013-003] ........................................................................................................................... 92 D) Mission calendar ................................................................................................................................................................ 96 E) Organizational Chart .......................................................................................................................................................... 101 F) Revised Risk Register – Risk Management ............................................................................................................... 102


1 EXECUTIVE SUMMARY

This annual work plan, covering FY2017–18, sets out the work necessary to continue the implementation of CIRDI’s strategy, and to establish CIRDI’s long term effectiveness and institutional sustainability. Coming out of a significant year of transition, CIRDI has made considerable progress on establishing its direction and structure as a sustainable institute, as well as on its contributions to international development and its ultimate goal of poverty reduction. In FY2017-18, CIRDI will continue a number of strategic initiatives aimed at strengthening its current operations, and positioning the organization for stability and growth. Its full program of work is in implementation, integrated and aligned with a confirmed set of programmatic outcomes and monitoring framework. The CIRDI Strategic Plan (2016-2021) and Future Growth Plan (2016-2021) now guide all CIRDI’s strategic activities and program development. This year will be critical for CIRDI to establish its value proposition, and to secure new funding and work as CIRDI continues the transition away from the current main Global Affairs Canada Contribution Agreement, and onto a broader and more diverse funding base. The combination of these activities, together with the continued development of CIRDI’s team and institutional systems, will put CIRDI on the growth trajectory it needs for the Institute to be established and sustainable, and to contribute to developing countries drawing more benefits from their natural resource sectors. This year, CIRDI’s projects will continue to work towards achieving CIRDI’s immediate and intermediate outcomes in our three programmatic theme areas: fiscal and regulatory governance, integrated resource management, and livelihoods and employment. These outcomes will be achieved through knowledge mobilization, technical training, and the convening of workshops, conferences and other forums. Through this work, the capacity of leaders and decision-makers in developing countries will be enhanced for the improved formulation and implementation of extractive sector policies that are gender responsive and integrate environmental sustainability. Many of our projects will be completed in FY2017-18. Ensuring strong project closure with sound metrics and plans for dissemination is a key priority for CIRDI at this time.

2 PROJECT DESCRIPTION AND CONTEXT

CIRDI is a coalition of three leading universities: The University of British Columbia, Simon Fraser University and Polytechnique Montréal. We are an independent centre of expertise in natural resource-led development. We work at the request of developing country governments that seek to strengthen their capacity to govern and manage their natural resources for the benefit of their people. CIRDI was established in 2013 under a Contribution Agreement with Global Affairs Canada that provided $24.6 million over five years (2013-2018) to establish the Institute and to design and deliver an initial suite of projects. In early 2017, the Institute received approval from GAC for a one-year extension to July 2019, along with a budget reduction of 10 per cent. This reduction acknowledges a forecasted shortfall of coalition and partner in-kind contributions, which CIRDI had committed to in the original Contribution Agreement. Additional projects are supported


through partnerships with other funders such as the Inter-American Development Bank (IDB) or new project-specific funding from Global Affairs Canada, such as the Supporting the Ministry of Mines (SUMM) in Ethiopia project. With diverse Canadian and international partners, we provide leading-practice advice, technical support, training and applied research as well as a platform for innovative thinking, knowledge mobilization and shared learning. Our academic and operational independence enables us to act as a neutral convener in complex, multi-stakeholder environments. We concentrate our efforts in five areas:

Improving Public Sector Capacity and Governance

Strengthening Integrated Resource Management

Transforming Artisanal and Small-scale Mining

Engaging Communities and Sharing Benefits

Building Capacity through CIRDI Learning Programs Our work is guided by our values and incorporates three crosscutting themes: gender equality, environmental sustainability and good governance. All our decisions are informed by their potential measurable impact towards our ultimate goal of poverty alleviation. With our developing country partners, we aim to use sustainable natural resource management and governance as a driver to help achieve the Sustainable Development Goals (SDGs).

3 PLANNED WORK – INSTITUTIONAL DEVELOPMENT AND OPERATIONS

3.1 Establishment and sustainability of the Institute The FY16-17 year was one of significant progress in institute planning and progress for stability, success and future growth. In that year, the long term strategy and sustainability of CIRDI was identified as top priorities by the CIRDI Board and CEO, and the CIRDI Strategic Plan (2016-2021) and Future Growth Plan (2016-2021) were finalized. In FY17-18, CIRDI is moving into full implementation of these two forward looking plans. The four pillars of the Strategic Plan are:

I. Impact

II. Knowledge

III. Partnerships

IV. Future Growth

In FY17-18, institutional planning, priority setting and communications are organized around these four strategic pillars and CIRDI’s five areas of focus.


CIRDI’s top priorities for the year are:

Program Development and securing new funding (Future Growth & Partnerships)

Strong project implementation and results delivery (Impact & Partnerships)

Development and sharing of knowledge, research and lessons coming from CIRDI’s work (Knowledge & Partnerships)

Successful program development efforts, in particular, will be key to establishing CIRDI’s long term and sustainable contribution to sustainable natural resource development, and resultant poverty alleviation, in our partner countries. You can find details regarding CIRDI’s planned program development, program delivery, learning and knowledge sharing in the work plan following. Supporting CIRDI’s current work and funding under the Main Contribution Agreement (CA), an amended CA will be finalized in FY2017-18, revised to reflect the 10% reduction in Main CA GAC funding, announced in December 2016.

3.2 Governance The CIRDI Board approved a CIRDI Governance Manual in Q3 FY 2016-17. This Manual clearly lays out the roles and responsibilities of each CIRDI committee, including the Executive Committee, Finance and Audit Committee, Program Committee, and Governance Committee. This was a major step forward and has since enabled CIRDI to take a comprehensive look at its governance, to see where gaps remain in its oversight and decision-making processes. In FY 2017-18, one of CIRDI’s major emphases will be on Program Development—finding new programming opportunities with an eye to institutional sustainability. To this end, a Program Development Steering Committee will be established in Q1. This committee will guide and coordinate CIRDI activities aimed at securing new program funding. The committee will oversee CIRDI’s program development strategy and determine priorities for the investment of CIRDI staff time and resources. The committee will monitor progress on CIRDI’s future growth and serve as a clearinghouse to provide early assessment of emerging opportunities and determine required action. The committee will include regular communication with field personnel (before and after field missions) regarding program development opportunities and provide recommendations and intelligence to the Executive Committee. The CIRDI Board is continuing to explore alternate governance models for CIRDI, including the possibility of establishing the institute as its own legal entity. In Q1, a School of Public Policy and Global Affairs is being founded within UBC, and CIRDI will be affiliated with this new school. This new affiliation will provide CIRDI with new opportunities to network more broadly with those involved in policy discussions within and across all areas relevant to CIRDI’s work.


Also, the CIRDI Board will recruit 1 to 3 new at-large members between Q1 and Q2 of this year. As per the CIRDI Board profile matrix, the Board is seeking to fill gaps in the Board expertise in gender, commercial law, Spanish and First Nations representation.

3.3 The coalition The CIRDI Coalition is planning to amend the terms of its Governing Agreement in Q1 in order to clarify the legal structure of CIRDI. This is being done to allow UBC to provide a Power-of Attorney to CIRDI’s first field staff in support of the Ethiopia – Supporting the Ministry of Mines (SUMM) project. The Governing Agreement itself will not be re-opened for amendment. Instead, an amending agreement will be drafted to accompany the original Governing Agreement. This amending agreement will clearly identify CIRDI as being an institute within UBC. It will not have any material impact on CIRDI’s governance processes, and the coalition will continue to have representation on the CIRDI Advisory Board, Executive Committee (through the Academic Directorate), the Finance and Audit Committee, and the Program Committee.

3.4 Organizational structure and staffing In FY17-18, CIRDI will continue to refine its structure as CIRDI matures, and current and future staffing needs are identified or shift. In Q1, CIRDI Central will complete an assessment of current staff positions, vacancies, identified and anticipated need, and staffing budget available after the 10% CA reduction in FY16-17. As two CIRDI Central staff departed in FYQ4 and remain vacant, senior management expects to make slight modifications to the organizational structure in order to improve clarity and effectiveness of CIRDI Central roles and responsibilities, and distribution of workload. This will include an increased emphasis on Program Development functions, complementary to the newly established Program Development Steering Committee. The current CIRDI Organizational Chart (May 31st, 2017) can be found in Appendix E. Please note, however, that it is expected that this structure will be modified by end of Q1. As per modeling in the Future Growth Plan, and beginning already in FY16-17 (with signing of the Ethiopia SUMM project contribution Agreement) CIRDI staffing and resources are transitioning to programming and funding beyond the Main Contribution Agreement. The transition to new funding will continue in FY17-18, with anticipated new work expected in Q3-Q4. In FY18-19 this transition will accelerate as new major projects are secured and agreements in place – and the Main Contribution Agreement, and related programmatic work, draw to a close.


3.5 Systems

3.5.1 Monitoring, Evaluation and Reporting Systems CIRDI’s most recent year saw a concentrated effort to improve organizational capacity and systems for ensuring and measuring impact. This included building team capacity in Results Based Management (RBM), development and validation of project and institutional level Performance Measurement Frameworks (PMFs), and developing an in-house, online, project management system to support operationalizing and reporting against RBM tools. FY17-18 will continue a strong focus on effective project implementation, with continuously improved systems implemented to monitor, capture and report on programmatic outcomes. The CIRDI institutional PMF has been revised and targets modified to reflect the 10% reduction in Main CA funding. The CIRDI institutional PMF is expected to be approved by GAC in Q1. Operationalizing the PMF in early FY17-18 will be key, including the further development of common tools for improved assessment of beneficiaries’ capacity changes as a result of CIRDI activities. With the completion and launch of the CIRDI Information Management System (CIMAS) in Q1, CIRDI’s programmatic progress, outputs and outcomes will be more easily monitored and reported on, once all data is brought up to date. Related data entry and validation is a priority activity for Q1-Q2. It is expected that in early FY17-18, CIRDI will move to a semi-annual reporting schedule for its Main CA.

3.5.2 Administrative, Financial & Program Management Systems FY17-18 will see continued focus on improving CIRDI’s administrative, financial and program management systems to support implementation. CIMAS will improve both effectiveness and efficiency of multiple processes related to travel planning and approvals, vendor hiring, expense reconciliation, budget management, activity and personnel scheduling, contact and partner management, program development, the expert roster, and more. In Q1 CIRDI will complete an assessment of current administrative and financial processes in an effort to continuously streamline processes that are within CIRDI’s control. Changes to personnel roles and responsibilities may be made to improve and clarify systems, and will inform the organization structure assessment and any modifications to position descriptions, as per section 3.4 above. In FY17-18, Q1-Q2, an independent audit of CIRDI’s financial and administrative records will be conducted by audit firm Samson and Associates, on behalf of Global Affairs Canada. The primary


purpose of the audit will be to ensure that GAC funds have been administered in accordance with the terms and conditions of the Main CA.

3.6 Strategic activities towards building a Centre of Expertise In Q2 of FY2016-17, CIRDI’s Academic Directorate generated a plan intended to support CIRDI in becoming a global knowledge centre for resource governance and resource-led development. This document provided a vision and implementable steps to make CIRDI a thought-leader and central node in the global conversation around resource governance. By the end of FY2016-17, with the reduction in CIRDI’s financial resources, it became clear that the plan needed to be amended to be more consistent with CIRDI’s reduced budget and extended timeline in the Contribution Agreement. In Q1, the Academic Directorate will generate a revised strategic activities plan, the first priority of which is to identify and elevate knowledge products from CIRDI projects, encourage project leaders to think critically about opportunities for knowledge generation, and for CIRDI to disseminate those products to CIRDI’s stakeholders. This plan will help maximize the impact of CIRDI knowledge, and will lay a foundation for a future community of learning. Within the plan, strategic activities will be divided between activities to be implemented immediately (many of which are already under implementation), and those which are contingent on CIRDI acquiring additional resources in the future. The latter activities are intended to actively place CIRDI at the centre of global knowledge nodes on resource governance. Immediate strategic activities include seminars and conference participation, project knowledge workshops, website re-engineering, a working paper series, a university-driven fellows program, and a CIRDI newsletter and enhanced social media presence. Contingent components in the plan include “last-mile” grants used to translate policy work, company innovations, advising, and impact evaluations into working papers for a research audience. These components also include an expanded working paper series, a broader network of fellows, and strategic media partnerships.

3.7 Communications In 2017-18, CIRDI communications will continue to be guided by the Institute’s Strategic Plan and the communications analysis and planning done in preparation for the development of the new logo and website. Communications will continue to focus on building a stronger identity for the Institute; disseminating research, results and impact from the individual projects and learning initiatives; and publicizing public events, including the new CIRDI Seminar Series. Communications will also foster the Institute’s growth and sustainability with support to CIRDI’s program development initiatives. Introduction of new communications tools in 2017/18 includes:


New website in Q1: the website will be launched June 1, 2017. It will be bilingual, with additional project pages in Spanish and Mongolian. The website has room to expand the number and scope of projects, and will facilitate the dissemination of knowledge from CIRDI projects, research and learning initiatives.

Brand guidelines in Q1: these guidelines will equip CIRDI team members to provide consistent, accessible, transparent communications, and will include user-friendly guidelines for application of the new logo and other key elements (font, colour palette, report and PowerPoint template).

CIRDI video in Q2/3: the video will provide a 60-second introduction of CIRDI for use on the website, in presentations, meetings, workshops and conferences.

Social Media Strategy in Q2: the strategy is designed to enhance communications initiatives, attract visitors to the new website and amplify dissemination of research, presentations, learning products, project results and workshop activities.

Proactive media relations in Q2/3/4: the CIRDI Communications team will develop and implement a proactive media strategy to share CIRDI’s stories and impact with key national and international media outlets.

Throughout the year, CIRDI will continue to communicate proactively with key audiences via website updates and enhancements, bilingual e-newsletters, news alerts, media relations, social media and reports, brochures, signage and other collateral as required. CIRDI communications will also continue to respond to unforeseen requests and events as required throughout the year.

3.8 Cross Cutting Strategies – Gender, Environmental Sustainability, and Governance In FY17-18, CIRDI will be confirming and documenting its strategy on the cross-cutting themes of Gender, Environmental Sustainability, and Governance. Drawing on work and strategic approaches already established and in implementation, CIRDI will be documenting its Gender Equality Strategy in Q2 of this year. CIRDI’s strategies toward improved Environmental Sustainability, and Governance including Human Rights, will also be documented in Q2. You can find more information regarding CIRDI’s approach and plans in support of the cross-cutting themes in Section 4.3.

3.9 Partnerships and Engagement CIRDI has been very active in building partnerships with many different organizations and individuals across all of CIRDI’s programs and activities. More than 50 new partnerships have been established since CIRDI was formed and additional partnership development is in progress. These partners bring expertise, knowledge, materials, facilities and significant in-kind contributions to our work.


Some of the recent partnership development involves international development agencies, host government departments and agencies, industry, academia, non-governmental organizations, and associations. CIRDI is also undertaking outreach and ideas sharing events, organizing sessions at conferences (such as the IGF and PDAC), giving presentations at industry events and facilitating a university seminar series to increase our profile and recognition, and to connect with potential partners. During the next year we will continue to extend and deepen our partnerships and continue to build mutually beneficial relationships that support collaboration and sharing of expertise on CIRDI’s projects and to leverage and extend CIRDI funding. Specifically we will focus on continuing to build partnerships with:

Canadian and international industry, particularly companies working in our focus countries

Funding partners such as UN agencies, IFC, IDG, World Bank, and APEC and industry.

International development organizations and natural resources organizations including the IGF, Natural Resources Governance Institute (NRGI), Artisanal Gold Council (AGC), ECLAC, and ICMM

Host governments and Canadian embassy and trade staff in developing countries

Subject matter experts in order to grow and validate our roster of available experts

4 PLANNED WORK – PROGRAM DELIVERY

4.1 Synopsis of approach

4.1.1 Program development A new Director of Program Development has been identified within the CIRDI Central team – Kirsten Dales. Kirsten previously held the position of Associate Director, International Programs at CIRDI, where she provided strategic leadership to CIRDI’s ASM practice team and oversaw a portfolio of ASM projects in Latin America, Asia and Sub-Saharan Africa, as well as oversight of CIRDI’s projects more broadly. Working with the Program Development Steering Committee, and informed by CIRDI’s Strategic and Future Growth plans, Kirsten will lead the expansion of a long term program development strategy at CIRDI, which will focus on building through existing relationships, and capitalizing on relationships with major development assistance organizations such as UN entities and international finance institutions. Under this strategy, CIRDI will also pursue academic grant opportunities through the university and unsolicited proposals to GAC, the IDRC, and other funding organizations. CIRDI’s vision is to build strong partnerships to ensure the long-term sustainability of CIRDI to deliver its mandate and make a positive contribution to poverty


alleviation and resource governance in the global south. In Q2, a tactical plan with targets and milestones will be developed in support of the program development strategy.

4.1.2 Rapid Response Mechanism CIRDI’s rapid response program is designed to meet a current and timely need by a developing country government for an intervention in one or more of CIRDI’s keys areas of focus as outlined in our PMF. The aim of a rapid response is to initiate and complete a small intervention in under one year. The rapid response is not intended to be a scoping mission, but rather the completion of a key piece of capacity building work. However, opportunities to build upon the rapid response by defining future projects and funding potential will be incorporated into each rapid response project. In the coming year, CIRDI will complete a rapid response project on supporting the development of a national mine closure policy in Argentina, and initiate and complete a project on unlocking mineral potential and improving mine safety in the Dominican Republic’s artisanal and small-scale gemstone mining sector (see below for more information). CIRDI’s Executive continues to review a number of rapid response proposals and we will likely initiate at least one additional project in the 2017-18 fiscal year. Argentina: Argentina's new government is working to modernize and re-energize its mining sector. As part of this, the national government is working with its provincial counterparts to design and implement a new mine closure policy. Currently a nation-wide closure policy does not exist and closure plans have been developed on a case-by-case basis. As a result of this, the Argentine Government, through the Undersecretary of Mining Policies, requested support to provide recommendations for a new national mine closure policy on international best-practices and case studies, and to advise a multi-disciplinary National Technical Committee on mine closure. They also requested training related to mine closure and reclamation to help build knowledge and capacity within the government as there is currently a lack of expertise and experience in these topics. This rapid response mechanism will have three components: policy review recommendations and case studies report; a workshop in Argentina to present preliminary results and recommendations of the working group; and mine closure training. The mine closure training is will be facilitated in Q1. Dominican Republic: Gemstone resources in the Dominican Republic hold significant potential to increase income opportunities for artisanal and small-scale miners, but their mining has a significant cost to human health and the environment. The Ministry of Energy and Mines (MEM) of the Dominican Republic recently requested that CIRDI provide technical assistance in artisanal and small-scale gemstone mining. This assistance would address challenges in unlocking and understanding mineral potential of Larimar and Amber reserves in the Dominican Republic based on geological and mineralogical data; geo-technical assistance to enhance mine safety and mitigate risks to human health in active artisanal and small- scale Larimar mine site in Bahoruco; and strengthening relationships to facilitate scholarly exchange between CIRDI and the Geoscience Institute of the Dominican Republic on gemstone geology, minerology and future


prospects for value addition. Work on this Rapid Response will begin in Q1, with expected completion in Q2-Q3.

4.1.3 Learning Program The CIRDI Learning Program is focused on the delivery of training courses to developing country governments over the remaining life of the Contribution Agreement. Course content is concentrated on two main areas: an environmental package of training for the medium-to large-scale mining sector that includes environmental impact assessment (EIA), community engagement, tailings, water, reclamation and closure and; and an ASM package of training that will include gender and ASM, community engagement, environmental assessment, formalization and technical skills (geoscience, mining, processing). Some of the training will also focus on fiscal and financial aspects of mining such as financial assurance and mine closure cost estimating and mineral economics. In some cases, such as environmental impact assessment, there are overlaps and synergies between the large-scale and ASM sectors and CIRDI will focus on leading and realistically achievable EIA processes for developing countries for both large- and small-scale mining. Curriculum development will precede delivery and is currently complete or underway for mine closure, EIA, gender and ASM, and tailings. Delivery will focus on continuing to build capacity in countries where CIRDI training has already taken place, in particular in Ghana, Tanzania and Argentina. We will deepen and strengthen the capacity of these governments to implement their existing policies and to evaluate leading policies and practices in areas of mine closure, tailings and fiscal regimes. We will also expand our reach to other countries, particularly for our ASM training. This will likely include Peru, Papua New Guinea and Kenya. We plan to facilitate at minimum two 5-day training courses per quarter and expect to increase this number through training partnerships with other organizations (such as the IGF, UNEP, and APEC). CIRDI also continues to grow and deepen our partnerships with a range of organizations, governments, and industry to support our learning programs (e.g. IGF, APEC, IAMGold, AGC, UNDP, Tanzania Mining Association). Table 1: Anticipated CIRDI workshops in FY2017-2017.

Type of Course Date Location Estimated number of participants

5-day mine closure (with IGF) Q1 2017/18 Suriname 35

5-day mine closure policy development

Q2 2017/18 Argentina 20

Two 5-day training programs (EIA, mine closure, fiscal regimes)

Q3 2017/18 Ghana, Tanzania

60

Two 3-day gender and ASM courses with APEC and AGC

Q3 2017/18 Peru, Papua New Guinea (tentative)

40

One 5-day ASM course (formalization, gender and ASM, EIA)

Q4 2017/18 Kenya 25

Total 180


Learning and networking will also be reinforced through the establishment of a CIRDI Alumni Network. This year, CIRDI will continue to develop an alumni database which will include former participants of all CIRDI learning and training activities, as well as scholars and fellows. The establishment of this network and database will re-engage these alumni via continued learning, networking and engagement opportunities. Alumni will receive regular updates, articles of interest, best practices information, policy briefs, information on job opportunities and news with invitations to upcoming events and dialogues. CIRDI is currently exploring the technical and financial requirements to host an alumni portal on its website, which may include a resource library, news and events, discussion forums and webinars. This engagement will also be used as a strategy to follow up with participants on how they are applying the knowledge and skills acquired in their work. The development and implementation of the network and portal will take place throughout FY2017-18. Once operationalized this network will optimize mentoring, knowledge exchange/acquisition, mobilization, and capacity strengthening/building. Through all these components, the CIRDI Learning Program aims to increase access to information for program participants, and to enhance the capacity of participants to adapt and adopt leading global practices in the extractives sector related to their field of work.

4.1.4 Artisanal and small-scale mining CIRDI is emerging as one of Canada’s leading organizations delivering technical assistance, policy guidance and leading edge research to transform artisanal and small-scale mining (ASM) into safe, clean and sustainable livelihoods in the global south. We believe the ASM sector requires educated practitioners, governments and miners to manage and sustainably benefit from mineral resource endowments. At present, CIRDI is developing a program strategy (2017-2021) for the Artisanal and Small-scale Mining (ASM) program, as it is recognized as an important practice area for future growth. Our program views the education of miners and government as a critical entry point to improve the organization of the ASM sector to enable a well-regulated, equitable and productive form of employment for men and women. Based on emergent priorities as identified by CIRDI’s developing country government partners, ASM stakeholders, civil society and industry, three focal practice areas within ASM have been identified: (1) integrated resource management; (2) peaceful coexistence and conflict mitigation; and (3) equal benefit sharing. CIRDI’s ASM program targets conflict minerals (i.e. gold, tin, tantalum, tungsten) as these represent high-value mineral resources with untapped potential to reduce poverty and to generate local prosperity through decent, safe and inclusive employment.


ASM capacity development and training programs (in development) CIRDI is designing a series of ASM training courses that are customizable and can be combined for up to a 10-day training package delivered on site. Our curricula include coverage of major social, environmental and governance issues associated with conflict minerals and the artisanal gemstone sector. Training modules include community engagement in ASM, guidance on formalization, geoscience and exploration for ASM, environmental impact assessment and mine rehabilitation for ASM, gender and ASGM, business skills, and local value addition. The proposed platform for courses includes delivery through short-courses and blended online learning with field-based practicums to provide opportunities to apply skills and contribute to international development assistance programs targeted on ASM.

4.2 Current operational projects Project work plans for FY2017-18 have been adjusted to take into account GAC’s no-cost one-year extension of the Contribution Agreement, and CIRDI’s 10% budget reduction by GAC. To this end, the CIRDI Central office worked closely with all project teams throughout the redesign process to ensure that the projects continue to move forward and achieve positive development outcomes. While several projects will continue into FY 2018-19, many of our projects will be completed in FY2017-18. Ensuring strong project closure with sound metrics and plans for dissemination is a key priority for CIRDI at this time. This year, our projects will continue to work towards achieving CIRDI’s immediate and intermediate outcomes in our three programmatic theme areas:


Fiscal and Regulatory Governance: Support targeted developing countries to formulate and implement extractive sector fiscal policies, regulatory frameworks and revenue investment plans (Intermediate outcome 1100).

Integrated Resource Management: Support targeted developing country governments and relevant stakeholders to formulate and implement integrated resource management plans in the extractive sector (Intermediate outcome 1200).

Livelihoods and Employment: Support targeted developing countries to formulate and implement extractive sector policies and regulatory frameworks affecting employment and local content that integrate environmental sustainability and health and safety leading practices (Intermediate outcome 1300).

Through knowledge mobilization, technical training, and the convening of workshops, conferences and other forums, the capacity of key stakeholders in developing countries, including government, civil society, academia and industry, will be enhanced for the improved formulation and implementation of extractive sector policies that are gender responsive and integrate environmental sustainability. Below, please find further detail on how specific projects are working towards these outcomes. Additional detailed project plans can be found in Appendix C. Governance strengthening program of the extractive sector in West Africa [2014-009]: In December 2016, the strategy for the sustainable development of an integrated mining sector was endorsed and approved by the state members (8) of the West African Economic and Monetary Union (UEMOA). The adoption of this strategy will lead to a strengthened and integrated mining sector in Western Africa. In Q1 of this year, with the support of the project team, representatives of UEMOA and its member states will work to carry out the initiatives outlined in the implementation plan. In Senegal this project will enhance the knowledge and understanding of government stakeholders on mining sector issues and the management of the mining sector. This will be achieved through the operationalization of a responsible inclusive, expanded inter-ministerial steering and coordination committee in Senegal in Q1. This committee will validate and adopt a sectoral strategy of the mining sector by the Government of Senegal. The implementation of this strategy will be supported through the delivery of workshops on corporate social responsibility (CSR) and results-based management (RBM) to the various directors of the ministries involved in the management of the sectoral strategy. Furthermore, the study of the regional context of Kédougou (completed in FY2016-2017) will be provided to Senegalese authorities and other relevant stakeholders to enhance their ability for informed decision-making. The project team is also working in partnership with two universities – the Université Cheikh Anta Diop de Dakar in Senegal and the Université Ouaga I Pr Joseph Ki-Zerbo, Ouagadougou in Burkina Faso – to enhance their capacity to develop and implement a new multidisciplinary specialization in environment and management of mining waste. This year the team will work with the universities in a participatory manner to develop and implement curricula on mine waste management for each university (to be launched by October 2017); identify research


opportunities; develop a strategy for continuing studies courses and develop three courses per university accordingly; and support the development and implementation of an industry practicum program. Strengthening collaborative practice and enhancing the role of universities as development partners for inclusive growth in Peru [2014-017]: This project strengthens the capacity of universities to convene and engage in multi-stakeholder dialogue on resource development. It also focuses on engaging women leaders from mining regions to improve their capacity to participate in decision-making on resource development. Rooted in the belief that collaboration is key to sustainable governance, this project also advances CIRDI's desire to generate innovative approaches to capacity building. This year the project team will work on a number of ongoing activities related to collaborative and equitable governance and livelihoods, with project completion anticipated for March 2018. Over the year, the project team will complete assessments of impact benefit agreements/community benefit agreements, and collaborative governance and engagement practices in environmental impact assessments in Peru; identify and develop inclusive impact measurements in mining contexts; further promote, implement and develop the digital innovation for shared governance pilot; continue to enhance the skills of women leaders through interactive programming; and launch and implement the Arequipa Co-Lab program. The Arequipa Co-Lab program is designed to enable students to critically evaluate how specific groups within the Arequipa region are excluded from participating in markets, and how innovative, sustainable initiatives for more inclusive growth and shared governance can be created to address this problem. Through these initiatives and interventions this project will increase capacity to create resilient solutions to complex challenges through a new multi-stakeholder, cross-sectoral collaboration model (Co-Lab) approach by system stakeholders. It will also increase the number of men and women with the critical and creative skills to understand and implement gender responsive extractive sector fiscal policies and regulatory frameworks that integrate environmental sustainability and affect employment and local content.

Education and research for integrated water resource management (IWRM) in Peru [2014-071]: By the end of the Q1, 15 students will have completed the certificate in Water and Mining, which is an essential component of their Diploma in Water and Mining Program at Catolica University. The certificate is currently being delivered in partnership with Catolica University. Students will have enhanced knowledge on Integrated Water Resources Management with a particular focus on water and mining. Information and knowledge stemming from the Participatory Environmental Monitoring and Gender, Water and Mining components of the project will be disseminated through reports, papers and videos this year. Furthermore, the project team will complete and disseminate research (including case studies and an academic paper) on the role of women in participatory environmental monitoring committees. In Q4, in partnership with the UNDP, this project will facilitate a regional workshop on participatory environmental monitoring committees in Latin America. Through these initiatives, this project enhances the capacity of Peruvian actors for informed, evidence-based decision‐making in regards to their water resources. By enhancing the capacity of national and local government, civil society and academic actors to better understand and manage their water resources, this project promotes environmental sustainability and protection.


Supporting Capacity-Building and Multi-Level Governance of Small-Scale Gold Mining: A Collaborative Project on Mercury, Deforestation and Rural Livelihoods in Indonesia [2014-077]: This year this project will lead to deeper knowledge and increased institutional capacity at district, provincial and national levels in Indonesia to support the ASM and ASGM sector. Project activities will focus on capacity building via a workshop on visual-data collecting and policy implementation. Participation from local government and ASM and ASGM stakeholders is anticipated. One multi-authored peer-reviewed article, publication on the Minamata Convention on Mercury in Indonesia entitled, “Phasing Out Mercury? Ecological Economics and Indonesia’s Small-Scale Gold Mining Sector,” was drafted during the last fiscal year and is awaiting publication. In Q2 a workshop will be held for the collaborative design of strategies for implementing the Minamata Convention on Mercury and to seek buy-in for visual methods data-gathering. In Q3 a follow-up workshop will be held to review and validate the Minamata Implementation strategy documents, and to share and analyze collected visual data. In Q4, the Minamata Implementation Strategy and Capacity Development Plan documents will be jointly finalized, and a GIS map of the region will be produced using visual data.

Blazing the Path to Formalization: artisanal mining, wealth creation, and rural livelihoods in Ghana [2015-010]: This year this research project will generate critical baseline data on the financial well-being of artisanal and small-scale mining (ASM) communities in Ghana to increase understanding of how individuals engaged in ASM manage their personal resources. The final 6 months of data collection using the ‘financial-diaries’ methodology developed by this project will be completed in 3 ASM communities (Kobriso, Japa and Noyem). This data will be compiled, with research findings presented in a report providing recommendations and suggestions to the government and community stakeholders that might improve financial mechanisms and incentives for ASM sector formalization. The findings will also be disseminated in a closing workshop near the end of Q3, with participation of miners, government, and international funders. This project will be completed by Q4 FY 2017/18.

Natural gas projects and local community development in Tanzania [2015-013]: This research project assesses the objectives and practices of gas project proponents and regulators that address poverty reduction, specifically examining local communities in the gas-producing region of Mtwara in south-eastern Tanzania. Based on a baseline community survey in the rural Mtwara region, this project gives voice to vulnerable populations in impacted areas. Through the dissemination of these research results, Tanzanian decision-makers can access and address the concerns surrounding the displacement, dispossession, compensation and employment of those who have lost their land and livelihoods to the gas project. The submission of the final report for this project is anticipated in Q1 of this year. The final report submission was delayed due to illness within the project team. Integrated management and governance in extractives (IMAGinE) Mongolia [2015-022]: This year, this project will facilitate the final workshop in a three-part workshop series on resource governance in Q1. The primary Immediate Outcome targeted via the workshop series was to increase the number of men and women in Mongolia and ICF target countries with the critical and creative skills to understand and implement gender-responsive extractive sector fiscal policies, regulatory frameworks and revenue investment plans that integrate environmental sustainability leading practices. The upcoming workshop will specifically target young


professionals working on mining-governance issues in the federal government, industry and civil society. They will rreceive training on mine closure, community benefit agreements and the management of state-owned enterprises. Participants will visit Tavan Tolgoi, the largest coking coal deposit in Asia, and Nalaikh, an abandoned coalmine located 35-40 kilometers from Ulaanbaatar. Educación para la transformacion del MAPE en el Ecuador [2015-024B]: This year, project implementation will continue jointly with the Ecuador Ministry of Mines. Research on current technical, environmental, and social realities of ASGM in the target areas will continue, with 4 major reports anticipated for this year including a metallurgical analysis of ore bodies in target areas, with recommendations for improved processing; an assessment of tailings management practices, with recommendations for elimination of worst practices; and stakeholder analysis and educational needs assessment reports with recommendations for locally-appropriate educational interventions. Furthermore, government officials, community members, and local academics will build capacity for continued data collection. The aforementioned research findings will be used in the participatory development of an educational intervention model for ASGM in Ecuador. Development of this model will involve extensive participation from national and municipal government officials, mining communities, and academic and international experts in Education and in ASGM. By the end of FY-2017/18 it is anticipated that the core aspects of this educational model will be established; FY2018-19 will focus on implementation planning and pilot curriculum delivery. Transforming ASM in Colombia - [2015-024B]: This pilot project addresses issues impeding the formalization and the long-term viability of the ASGM sector, and aims to move all stakeholders, including vulnerable populations, towards the more responsible management of mining practices. In particular, the project will increase beneficiary access to key geologic information, enhance understandings of ASGM livelihoods and resource related issues regarding ancestral mining activities, and help regulators make informed decisions regarding land-use in former conflict zones. The project will enhance women’s participation in the ASGM sector, and will provide training and guidance in improved prospecting and processing techniques to reduce adverse environmental impacts and improve sustainability. Anthropologic and ethnobotanical research initiatives will be undertaken in Q2 to enhance knowledge in regards to gold mining livelihood and resource related issues, the results of which will be compiled and disseminated to ASGM stakeholders in Q4 via written publications and in-person workshops. Information gathered from geologic assessments will be integrated into course material for miners in regions surrounding Rio Bebara and Bebarama to be delivered in Q3 with the purpose of improving mineral exploration techniques in a way that mitigates environmental risks. By project completion, in Q4, a new ASGM Transition Committee will be established along with a 5-year Road-map to Formalization for the committee to implement at the local level. This Road-map will address current policies and regulations surrounding the Colombian ASM sector. Rapid Social Performance Review of the Ahafo Benefit Agreements in Ghana [2016-004]: The objectives of this research project are to conduct a formal social performance review of the Ahafo benefit agreements (BAs). Through desktop studies and one field mission, carried out in Q1, the project team will identify what is working well, and what could be working better with regards to the overall implementation of the agreement, including governance, consultation, environmental and social monitoring, revenue transfer, job creation, contracting opportunities,


and community ownership. In Q2, the research findings will be analysed and written up in a report which will include policy recommendations and identify relevant global leading practices. This report will be disseminated among local stakeholders in Ghana. This case study research will inform the design and implementation of a larger project on BAs that is currently being developed by CIRDI.

CIRDI Learning [2015-Learning]: To read about the Learning Program’s approach this fiscal year, please see section 4.1.3.

CIRDI scholars and fellows program [2013-003]: CIRDI scholarships and fellowships are intended to enhance the capacity and knowledge of developing country leaders and decision-makers within the development, management and governance of their country's extractive industries. To date, ten awards have been implemented or approved, with several awards currently underway. Three graduate scholarships (2 at UBC, 1 at SFU) are being implemented and will conclude by the end of Q1 2018. Selected from a recent call for applications, three fellowships are currently planned to take place, pending final acceptance. The fellowship awardees will come from Guyana, Mongolia, and Nigeria, and their work will focus on a) collaborative research and learning on comparative mining policy regulation and civil society engagement in different stages of the mining sector; b) development of a policy brief related to Nigeria’s National Action Plan on Artisanal and Small Scale Gold Mining and the Minamata Convention; and c) enhanced knowledge of governance and environmental practices of the Klondike Placer Miners Association in the Yukon applied towards recommendations for artisanal small scale mining activities in Guyana. Future calls for applications for fellowships are planned with further fellowships to take place this fiscal year. The total number of fellowships remains to be determined. A total of 18 fellowships are anticipated between now and the end of CIRDI’s Contribution Agreement in 2019. The anticipated impact of this program towards poverty alleviation and economic growth is that program participants will share their knowledge and skills through their in-country field work and/or upon their return from Canada with their home country institutions and organizations, ensuring ongoing knowledge transfer and institutional capacity building.

4.3 Integration of cross-cutting themes

4.3.1 Gender CIRDI’s Gender Equality Strategy sets out how we work to prevent gender discrimination, and to promote gender equality within our mandate. The strategy is underpinned by CIRDI’s commitment to Global Affairs Canada’s Policy on Gender Equality.1 For the purpose of this strategy, gender equality refers to the equal rights, responsibilities and opportunities of all people, regardless of their chosen gender identity. It implies that the interests, needs and priorities of all genders are taken into consideration, recognizing diversity and intersectionality across the gender spectrum (for example ethnicity, socio-economic status and ability).

1 See: http://www.international.gc.ca/development-developpement/priorities-priorites/ge-es/policy-politique.aspx?lang=eng


CIRDI’s specific goals in implementing the cross-cutting theme of gender equality are:

To ensure all people have the same rights and opportunities to access safe and sustainable livelihoods in the extractives sector

To advance equal participation by all stakeholders in sector-related governance and decision-making processes on issues that have an impact on long-term sustainability and individual or community well-being

To actively reduce gender-specific barriers for access and control over natural resources, as well as to socio-economic benefits derived from investments in the extractives sector.

To promote these goals, CIRDI relies on gender analysis as a tool to inform all phases of our program delivery cycle including project development, implementation, and monitoring and evaluation activities. For example, CIRDI’s projects integrate gender equality into their activities, including the collection of gender disaggregated data, the development of curriculum and workshops with gender as a focus, and the convening of forums of women community leaders in our priority countries. We will also aim to ensure that CIRDI has adequate internal capacity to effectively deploy gender analysis and to monitor our impact from a gender-responsive perspective.

To help local governments formulate policies that will help women access revenues generated by mining activities, CIRDI is working directly with women’s groups to formulate policy recommendations, is enhancing women’s decision-making capacity through relevant training, and is identifying best practices for women’s successful participation in formalized ASM for replication in other locations. CIRDI is also addressing gender-based violence, women’s rights and economic opportunities for women and girls by increasing women’s access to information, data and educational opportunities. Within the context of ASM, CIRDI is working with diverse stakeholders, including women, towards the enhanced formalization and regulation of the sector. Well-planned formalization and regulation reduces vulnerabilities for women and girls, such as gender-based violence, and enhances economic opportunities for women. Our projects also engage with women and men to better understand their differentiated needs. The dissemination of these findings will support evidence-based, gender-responsive decision-making at the government level, particularly at the local level. This coming year, CIRDI’s projects will continue to integrate gender equality into their activities. Below are some specific examples of how CIRDI’s projects will integrate this cross-cutting them. To read more on how projects are addressing this cross-cutting theme, see Appendix C, Active project work plans. Strengthening collaborative practice and enhancing the role of universities as development and innovation partner – for inclusive growth [2014-017]: The Co-Lab Peru project has gender as an integral theme throughout the project, including making women’s concerns and perspectives in mining contexts more visible, such as gender-based violence, women’s rights, women’s economic rights and women’s participation in decision-making. The project also


develops women leaders’ capacities to strategically plan and address social, economic, and environmental challenges in these contexts. Gender perspectives on mining impacts and priorities have also been integrated into all Co-Lab research projects. This includes evaluating the policy and institutional framework, governance structures and participatory practices as well as social and economic initiatives by government, civil society and resource companies in order to identify gaps and leading practices for improving gender equity and access to benefits in mining regions and related activities. Importantly, the approach ensures the inclusion of women’s own voices in the process. Education and research for integrated water resource management (IWRM) in Peru [2014-071]: Building on the work initiated last year as part of the Gender, Mining and Water Conference, the project team will complete and disseminate research (including case studies and an academic paper) on the important role of women in Peru’s participatory environmental monitoring committees. Natural gas projects and local community development in East Africa [2015-013]: Gender considerations were built into the planning and implementation of both the workshop and the household survey, and will be reflected in the final project report. The research has demonstrated that women categorically stated that the gas project in rural Mtwara has not empowered them, but has in fact neglected women. The survey results show that this is because the gas development projects failed to address women’s concerns and their livelihood situations. In this particular study area, many of the households in the gas-impacted villages are women-headed households in need of a reliable income, with many of the women landless, living as rural squatters. The research demonstrates that women are not accorded special consideration in decision-making forums on what needs to be done for people in the context of gas exploration. CIRDI Scholars and Fellows Program [2013-003]: Given the gendered barriers to equality of opportunity for women to gain employment in the sector, CIRDI strives to ensure our Scholars and Fellows Program achieve gender balance. Gender is a key consideration in the recruitment of participants in CIRDI's ongoing Scholars and Fellows Program, with an aim of equal representation of women and men amongst participants. CIRDI works to ensure that males and females are targeted equally in terms of outreach and that there are no barriers to participation from either gender. So far award recipients include six males and five females.

4.3.2 Environment CIRDI’s mandate is to further the sustainable management, development and governance of natural resources. Environmental sustainability is incorporated as a core value in CIRDI’s Strategic Plan, representing the institute’s core values. CIRDI’s programs are designed to foster social, economic and environmental sustainability, to contribute to the overall well-being of the communities they serve, and to meet the needs of present and future generations. Key areas of focus within CIRDI projects include land-use planning, public geoscience, sound chemicals management, clean water access, and environmental impact assessments.


All CIRDI projects are addressing environmental considerations through their implementation, and monitoring and evaluation phases to ensure compliance with the Canadian Environmental Assessment Act, 2012 (CEAA 2012). These strategies are based on GAC’s environmental sustainability integration principles – do no harm, mitigate environment-related risks, and capitalize on environmental opportunities. Each project has environmental sustainability integrated into its PMF, with indicators chosen based on needs assessments and consultation with local stakeholders. International conventions and standards, such as the Minamata Convention on Mercury, alongside the Sustainable Development Goals, serve as tools and guiding principles to ensure compliance with the CEAA. This year CIRDI will also continue to focus on using interactive, user-friendly learning approaches and methodologies that will reduce the carbon footprint of program delivery. Blended learning with strong online components, online platforms and the use of social technology are central to CIRDI’s program delivery. This will enhance access to our learning products and increase their sustainability. Research reports and policy papers will also be made available online, ensuring maximum outreach with minimal environmental impact. CIRDI’s projects continue to integrate environmental sustainability and stewardship into their activities, including research and training for enhanced data-based decision-making, design and execution of educational programming and training on integrated resource management, mine waste management and mine closure, and technical training on mercury reduction for ASM. This work is carried out in collaboration with diverse stakeholders, including Ministries of Environment, academia and communities where possible. CIRDI has made significant progress in identifying, measuring, monitoring and reporting on environmental sustainability within its projects, with some key examples detailed below. To read more on environment-related outcomes and progress on how the projects will integrate this cross-cutting theme, please see Appendix C, Active project work plans. Governance strengthening program of the extractive sector in West Africa [2014-009]: Environmental sustainability is an integral part of teaching units of the two new Master's degrees currently being developed through this project. At the Université Cheikh Anta Diop de Dakar in Senegal, the units will focus on interdisciplinary approaches to the sustainable management of mining waste. In the Université Ouaga I Pr Joseph Ki-Zerbo, Ouagadougou in Burkina Faso, the units will similarly focus on environmental engineering, science and management in relation to mining waste. Select professors will be trained in the teaching of this material, with courses anticipated to be offered by October 2017. In this manner, future leaders and decision-makers in Senegal and Burkina Faso will be trained in the skills and knowledge to implement plans and policies related to mine waste management in an environmentally sustainable manner. Education and research for integrated water resource management (IWRM) in Peru [2014-071]: By the end of the year, 15 students will have completed the diploma in Water and Mining that was developed under this project and is currently being delivered in partnership with Catolica University. Students will have enhanced knowledge on Integrated Water Resource Management, with a particular focus on water and mining. Through such training, this project


enhances the capacity of Peruvian actors for informed, evidence-based decision‐making in regards to their water resources. By enhancing the capacity of national and local government, civil society and academic actors to better understand and manage their water resources, this project promotes environmental sustainability and protection. ASM Program: Environmental sustainability remains central to CIRDI’S ASM projects. In an ongoing effort to support compliance of the Minamata Convention on Mercury, the ASM program prioritizes interventions to reduce mercury use as well as improve environmental management practices. CIRDI’s work in Indonesia specifically focuses on the identification of the environmental and social impacts of ASM activity. This research will allow CIRDI to increase access to information on the environmental and health impacts of mercury in Indonesia, thereby increasing stakeholders’ capacity for evidence-based decision-making. In Ghana, the collection of financial flow data will include information on the purchasing of mercury and other processing chemicals, mercury-gold counter trade, the selling of concentrate or amalgams, etc. The research generated from this project will support deliverables that will increase the number of Ghanaians with the critical and creative skills to better understand extractive sector policies and regulatory frameworks affecting employment and local content. In Colombia, CIRDI’s work on ASM will focus on improving environmental practices and raising awareness on how reducing, and where feasible, eliminating mercury use in gold processing can increase profits and minimize environmental harm. Mercury use in the ASGM sector represents one of the greatest threats to watersheds in Colombia due to its potential for bioaccumulation across food chains, infinite persistence and extremely toxic nature. This project seeks to better understand this issue and promote training to reduce mercury emissions for economic prosperity and environmental conservation.

4.3.3 Governance

Along with leading development assistance agencies, CIRDI views governance as the exercise of authority or power in order to manage a state’s economic, political and administrative affairs. CIRDI’s efforts towards improving the governance of natural resources and the extractive sector in developing countries (See Box 1) is implemented in line with the following principles:

2 Adapted from The Institute on Governance. See: http://iog.ca/defining-governance/

Box 1: UNDP Principles of Good Governance2 Key Principle Associated Principles

1. Legitimacy and Voice

Participation – all men and women should have a voice in decision-making, either directly or through legitimate intermediate institutions that represent their intention. Such broad participation is built on freedom of association and speech, as well as capacities to participate constructively.

Consensus orientation – good governance mediates differing interests to reach a broad consensus on what is in the best interest of the group and, where possible, on policies and procedures.

2. Direction Strategic vision – leaders and the public have a broad and long-term perspective on good governance and human development, along with a sense of what is needed for such development. There is also an


In the coming year, our specific goals towards improving natural resource governance will focus on the following:

1) Enhancing access and participation in decision-making processes on resource governance issues, especially for vulnerable populations (women and indigenous communities)

2) Improving institutional governance capacity through technical capacity building on replicable and contextually-relevant best-practices

3) Increasing uptake for revenue transparency measures in the extractives sector

To effectively support government and community stakeholders’ goals towards improved governance in the extractive sector, CIRDI’s activities in the year ahead will measure improvements across priority indicators including participation, consensus, strategic direction, responsiveness, effectiveness, accountability, transparency, equity and rule of law. For example, CIRDI is already working directly with a variety of stakeholders, including government, civil society, industry and academia, to improve leadership capacity for natural resource governance. Similarly, CIRDI is actively working to improve revenue transparency through formalization of the artisanal and small-scale mining sector. Other issues that CIRDI is championing include amplifying community concerns around natural gas projects, providing governance best practices for mine closure, and highlighting the role of multi-stakeholder environmental monitoring programs as a mechanism for improving consensus and participation in natural resource governance. In addition, CIRDI’s approach for the coming year will recognize the mutually-reinforcing effects of good governance, human rights and sustainable development, which have been well-established by the international community. For example, in relation to the United Nations Sustainable Development Goals (SDGs), the UN Human Rights Commission observes: “Effective

understanding of the historical, cultural and social complexities in which that perspective is grounded.

3. Performance Responsiveness – institutions and processes try to serve all stakeholders.

Effectiveness and efficiency – processes and institutions produce results that meet needs while making the best use of resources.

4. Accountability Accountability – decision-makers in government, the private sector and civil society organizations are accountable to the public, as well as to institutional stakeholders. This accountability differs depending on the organizations and whether the decision is internal or external.

Transparency – transparency is built on the free flow of information. Processes, institutions and information are directly accessible to those concerned with them, and enough information is provided to understand and monitor them.

5. Fairness Equity – all men and women have opportunities to improve or maintain their well- being.

Rule of Law – legal frameworks should be fair and enforced impartially, particularly the laws on human rights.


governance for sustainable development demands that public institutions in all countries at all levels conform to international human rights standards and principles, and thus that they be non-discriminatory, inclusive, participatory, and accountable to people. Laws and institutions must protect human rights under the rule of law, including in the economic sphere.” Over the next year, CIRDI will continue to integrate governance as a cross-cutting theme in our work. Below are some specific examples of how we are currently meeting this objective. To read more on how projects are addressing this cross-cutting theme, see Appendix C, Active project work plans. Governance strengthening program of the extractive sector in West Africa [2014-009]: In December 2016, the strategy for the sustainable development of an integrated mining sector was endorsed and approved by the state members (8) of the West African Economic and Monetary Union (UEMOA). The adoption of this strategy will lead to a strengthened and integrated mining sector in Western Africa. This year, with the support of the project team, representatives of UEMOA and its member states will work to carry out the initiatives outlined in the implementation plan. At a national level, in Senegal this project continues to increase the knowledge and understanding of government stakeholders on mining sector issues and the management of the sector. A responsible inclusive, expanded inter-ministerial steering and coordination committee in Senegal will become operationalization in Q1 of this year. This committee will validate and adopt a sectoral strategy of the mining sector by the Government of Senegal. The implementation of this strategy will be supported through the delivery of workshops on corporate social responsibility (CSR) and results-based management (RBM) to the various directors of the ministries involved in the management of the sectoral strategy. Integrated Management and Governance in Extractives (IMAGinE) Mongolia [2015-022]: The main objective of this workshop series is to strengthen the capacity of male and female government officials and other stakeholders of Mongolia and ICF target countries for informed decision-making to strengthen democracy through the sustainable development of the mining sector. Capacity will be enhanced through increased access to information and improved knowledge and understanding of leading global practices on mining governance, which will be facilitated through peer-to-peer learning and expert-led training. The upcoming workshop this June will specifically target young professionals working on mining-governance issues in the federal government, industry and civil society. The workshop will include a presentation on the newly released Natural Resource Governance Institute (NRGI) study on Erdenes Mongol (a state-owned enterprise), which will be followed by a tour of Erdenes Mongol LLC. The workshop will also feature a case study session on community benefit agreements with presentations on both Canadian and Mongolian leading practices and lessons learned. Educación para la transformacion del MAPE en el Ecuador [2015-024B]: This project is being implemented directly with the Ecuadorian Ministry of Mines, with the long-term objective of developing an Educational Model for the small-scale mining sector. Education is a critical entry point for organization and formalization of the small-scale mining sector. The training program is being designed and implemented in such a way that it can serve as a tool for formalization for both governments and miners. CIRDI’s work will position itself such that the Government of


Ecuador can carry recommendations and groundwork achieved through the project forward in the long term, with participation from other relevant Ministries under the Coordinating Ministry of Strategic Sectors, as well as the Coordinating Ministry of Human Talent. Blazing the Path to Formalization: artisanal mining, wealth creation, and rural livelihoods in Ghana [2015-010] – ASM financial flow data collected through this project will identify any taxes paid or unpaid (including informal taxes/bribes), which will provide insights for the governance and formalization of the sector. Financial data may also provide an indication of illicit or exploitative financial practices. This information will be made available to diverse stakeholders to enhance evidence-based decision-making for the sector.

APPENDICES

A. Financial forecast for 2017-2018

B. CIRDI active project list

C. Active project work plans

D. CIRDI mission calendar

E. Organizational Chart

F. Risk Registry


A) FY2017-18 Financial forecast


B) CIRDI active project list Last revised May 31st, 2017

Project #

Country Project Name Description Duration Status Approved Budget -

2013 contribution agreement -

(CAD)

Other Funding

(does not include in-

kind)

Comments

2014-009

West African

Monetary Union

(Regional), Senegal, Burkina

Faso

Governance strengthening

program of the extractive sector

in West Africa

The strategic objective of the Program is to support efforts for a transparent, integrated and environmentally, socially and socially responsible extractive sector that provides sustainable benefits to the community, country and region. The WAEMU and contributes to the reduction of poverty. The specific objective is to strengthen the capacity of UEMOA and its Member States for improved governance of the extractive sector in order to maximize its contribution to sustainable development and poverty reduction. The ultimate outcome of the Program is that identified by the CIRDI, i.e. the capacities of sub-regional and national institutions to optimize the benefits of the extractive sector in order to stimulate sustainable economic growth and reduce poverty are strengthened.

September 2014 - March

2019

Operational

3,570,000

Adjusted Budget (Feb

2017): 3.213M

2014-017

Peru

Co-Laboratorio Peru:

Strengthening collaborative practice and

enhancing the role of

universities as development partners - for

inclusive growth in Peru

Co-Lab Peru support inclusive sustainable development from natural resources through advancing cross-sector and inter-agency learning, planning, governance and practices. The project accomplishes this by working collaboratively with stakeholders, and embedding our activities in local universities. The project has three themes: inclusive collaborative governance; inclusive economy; inclusive universities.

September 2014 - March

2018

Operational

1,370,839

Adjusted Budget (Feb

2017): 1.234M

2014-071

Peru

Education and Research for

Integrated Water Resource

The overall objective of this project is to contribute to the cohesive and integrated management of Peru’s water and mining resources. Specifically, this project will raise the level of education in Peru about integrated water resource management

July 2015 - March

2018

Operational

640,000

Adjusted

Budget (Feb 2017): 609K


Management (IWRM)

(IWRM), and will build capacity within Peruvian universities, government bodies and community organizations to gather and manage related data. Education and research programs will target national, municipal and community actors with a focus on areas of mining activity including all water-users. There are four key components: certificate in integrated water resources management; national workshop on environmental participatory monitoring committees; Gender, Water and Mining event; Cerro Verde case study for scalability.

2014-077

Indonesia

Supporting Capacity-Building and Multi-Level Governance of

Small-Scale Gold Mining: A

Collaborative Project on Mercury,

Deforestation and Rural

Livelihoods in Indonesia

This project will assist the Indonesian government to optimize the implementation of its ASM-relevant mercury policies in order to address poverty reduction and environmental protection objectives. The initiative will strengthen knowledge and build institutional capacity at district, provincial and national levels. Aspects of this project have developed through a series of collaborations, beginning in 2005, among international experts within the project team, a local development foundation in Central Kalimantan (Yayasan Tambuhak Sinta - YTS) and the national, provincial and district governments. The project team gained experience in the region during the UNIDO/UNDP/GEF Global Mercury Project. A scoping mission was conducted in November 2014 to inform the design of this project. The Indonesian government has made requests to support the project.

March 2016 - March 2018

Operational

200K

180K

2014-078

Ethiopia

Ethiopia - Supporting the

Ministry of Mines (SUMM)

This five-year project will support the Ethiopian Ministry of Mines by enhancing Ethiopian federal and regional capacity to issue and manage mineral licenses in a transparent manner; by supporting the federal and regional mining authorities to monitor the financial, environmental and corporate social responsibility aspects of mineral licenses; by strengthening the Geological Survey of Ethiopia’s (GSE) capacity to generate, manage and use geosciences data; and by improving organizational structure and human resource management practices in the ministry and GSE to promote retention and gender sensitive professional development.

2016 - 2021

Operational

15,000,000

2015-010

Ghana

Blazing the Path to Formalization: artisanal mining, wealth creation,

Focusing on Ghana, the location of West Africa’s largest and most dynamic ASM sector, and where the investigators have well-established networks, this research will generate critical baseline data on the financial landscapes in ASM communities. It


Operational

199,856

Adjusted



and rural livelihoods in

Ghana

will inform policy mechanisms that aim to support a formalized ASM sector in sub-Saharan Africa. For a formalized system to make a meaningful difference in the lives of impoverished miners and their households, a richer and more nuanced understanding of the socially-embedded nature of ‘informal’ economic systems is first required.

2015-013

Tanzania

Natural Gas Projects and

Local Community Development in

East Africa

This study, and the broader project fits with the core mandate of stimulating sustainable economic growth and reducing poverty through improving East African countries and in particular Tanzania’s ability to use, and benefit from their emerging natural gas sector. The Institute can help mobilize expertise in the field of Anthropology and community- level development to better understand the perspective of the various stakeholders as it relates to poverty reduction in communities along production and transportation sides, and to maximize benefits for local communities while reducing the risks of detrimental conflicts between communities, companies, and local authorities.

June 2015 – June 2017

Operational

49,905

Final reporting in progress

2015-022

Mongolia

IMAGinE Mongolia

(Integrated Management and

Governance in Extractives Mongolia)

For resource‐rich developing countries, effective natural resource governance is crucial for economic development and poverty alleviation. Peer‐to‐peer learning convened by organizations such as CIRDI and the ICF plays an important role in knowledge mobilization and in the sharing of real experience by creating learning opportunities between countries at similar stages of resource development. The knowledge transfer among peers equips them to determine their own path to the effective governance and development of natural resources, and to build lasting national and international networks for the continued transfer of ideas. CIRDI in particular, given its academic affiliations, is in a unique position to offer neutral forums for learning and the exchange of ideas. The emphasis on international peer‐to‐peer learning helps in detaching and overcoming partisanship, enabling richer discussion on otherwise politicized topics. Participants seek to teach and share, rather than defend. This workshop series mobilizes domestic and international knowledge, creates new connections between stakeholders, and encourages transparency in

October 2015 -

September 2017

Operational

$660,000 Adjusted



discussions on resource governance. Workshop evaluations indicate that Mongolian participants want increased dialogue with other countries facing similar concerns in order to enhance domestic discussions and create regional networks.

2015-24A

Colombia

Transformation of Artisanal and

Small-Scale Miners in

Ecuador and Colombia

A well‐regulated ASGM sector can play an important role in Colombia’s transition to peace. The department of Choco is one of the most important small‐scale mining regions in the country, with large parts of the population dependent on revenues generated by mining. This post‐conflict project will work with national government institutions, local authorities, and FARC leadership to address issues impeding the formalization and long‐term viability of the sector. The government, FARC and target communities have all indicated their interest in participating in this pilot project, which will produce a road‐map to formalization replicable in similar communities of the region. In addition, the United Nations Industrial Development Organization has submitted a proposal to work in the same region on a project aimed at finding alternatives to ASM, and have indicated their desire to streamline project activities with CIRDI. In particular, they have identified the value of CIRDI’s sectoral and technical expertise as being of value to their project. Ultimately, project activities will support the long‐term sustainability of the ASM and its eventual formalization.

August 2016 - March 2018

Operational

$300,000

2015-24B

Ecuador

Educación para la transformacion del MAPE en el

Ecuador (Education for the transformation of ASM in Ecuador)

TransMAPE focuses on education of miners and government as a key entry point to enable improved organization and support the political process of formalization. Through consultative dialogue, data collection, and pilot training modules, the project will work collaboratively with Ecuadorian counterparts to develop a locally appropriate ASM training program, and an inter‐ministerial action plan to scale up pilot training activities. The project includes four components of (1) applied research; (2) multi‐stakeholder consultation; (3) pilot training; and (4) design and implementation of a sustainable training program, aimed toward improving the capacity of miners to use environmentally sound, safe, and economically efficient practices in Ecuador’s

August 2016 - March 2019

Operational

$700,000


ASGM sector (Ultimate Outcome 1000). The project is expected to reach >40 government officials across 3 ministries for capacity building; 200 miners through pilot training modules; and, past the life of the project, over 4,000 miners through the implementation of the long‐term training program. At the regional level, 12 national geoscience institutions will be sensitized to governance issues with ASGM in Southern Ecuador.

2016-004

Ghana

Rapid social performance review of the Ahafo Benefit Agreements

The objectives of this project are to conduct a formal social performance review of the Ahafo benefit agreements (BAs). Through desktop studies and one field mission, the project team will identify what is working well, and what could be working better with regards to the overall implementation of the agreement, including governance, consultation, environmental and social monitoring, revenue transfer, job creation, contracting opportunities, and community ownership. The research findings will be analysed and written up in a report which will include policy recommendations and identify relevant global leading practices. This report will be disseminated among local stakeholders in Ghana. This case study research will inform the design and implementation of a larger project on BAs that is being developed by CIRDI.

March 2017 to August 2017

Operational

$67,034

2015- LEARNING CIRDI LEARNING PROGRAM - List of Sub-Projects

2013-003

International

Scholars and Fellows Program

The Scholars and Fellows program will target a cross-section of client country stakeholders and be designed in a way that ensures that the program directly benefit in- country long term capacity-building. It focuses on developing country government personnel, academics and graduate students to study and undertake learning activities in Canada. The aim is to engage ‘fellows’ (broadly defined as all program participants) across a wide range of Institute activities – needs analysis, applied research, education delivery, advice and communications – while at the same time target a cross-section of beneficiaries from government, communities and university partners. Recipients of fellowships or scholarships are key connectors, boundary-spanners and change agents that will enable ongoing and self-sustained transformation and knowledge transfer far beyond the duration of any particular project, course or provision of targeted technical assistance.


Operational

700,000

EPM's Scholars &

Fellows budget is captured

within Project 2014-009.

This budget covers UBC &

SFU only.

Adjusted Budget (Feb 2017): 411K


CIRDI-Learning

International

CIRDI Learning Program

CIRDI Learning projects, such as Summer Institute, ILEAP, and others to be determined, are currently under review in efforts to create a comprehensive and coordinated Learning Program for CIRDI. Late Q3 CIRDI partnered with the Peter Wall Institute of Advanced Studies (PWIAS) to deliver the successful Miners, Minerals and Minamata: Interdisciplinary Perspectives on Artisanal Gold Mining and Sustainable Development Roundtable and reported will be completed in Q4. New Director of Partnerships and Learning to be recruited in Q1 2017 and to determine future learning strategies for CIRDI. CIRDI is applying for funding to hold a second Peter Wall international research roundtable, focusing on the theme Extracting Equality: Women and Children’s Rights in Mining. This funding proposal will be submitted in Q1 of 2017.

October 2015 - March 2019

Operational

900,000 Adjusted

Budget (Feb 2017): 750K.


C) Annual Work Plan for Projects under the Contribution Agreement

Project Number

Project Name Country(s)

2014-009 Governance strengthening program of the extractive sector in West Africa

UEMOA, Burkina Faso, Senegal

2014-017 Strengthening collaborative practice and enhancing the role of universities as development partners for inclusive growth in Peru (Peru Collaboratory)

Peru

2014-071 Education and research for integrated water resource (IWRM) management in Peru

Peru

2014-077 Supporting capacity-building and multi-level governance of small-scale gold mining: a collaborative project on mercury, deforestation and rural livelihoods in Indonesia

Indonesia

2015-010 Blazing the path to formalization: artisanal mining, wealth creation, and rural livelihoods in Ghana

Ghana

2015-013 Natural gas projects and local community development in East Africa Tanzania

2015-022 IMAGinE Mongolia (integrated management and governance in extractives Mongolia)

Mongolia

2015-024B Education for the transformation of artisanal and small-scale mining (ASM)

Ecuador

2015-024A Transformation of artisanal and small-scale mining (ASM) in Colombia Colombia

2016-004 Rapid social performance review of the Ahafo Benefit Agreements (*larger proposal on Community Benefit Agreements is currently being designed)

Ghana

Other CIRDI Programs

2015-Learning

CIRDI learning programs

Global

2013-003 CIRDI scholars & fellows program Global


Governance strengthening program of the extractive sector in West Africa [2014-009]

Statut du projet : En cours

Date de démarrage : Septembre 2014

Date de fin : Juillet 2018

Pays : Burkina Faso, Mali et Sénégal (Arrêt des activités au Mali en décembre 2015 pour raison de sécurité)

Budget total: $3,213,000

Dépenses au 31 mars 2017 : $2,495,380

Prévision budgétaire 2017/18: $654,731

Partenaires :

Union Économique Monétaire Ouest Africaine (UÉMOA),

Ministère de l’Industrie et des Mines du Sénégal,

Université Cheikh Anta Diop, Dakar et

Université Ouaga I Pr Joseph Ki-Zerbo, Ouagadougou

Rôles des gouvernements locaux ou de l’institution régionale dans le programme : Assure le leadership du Programme.

Thèmes & CIRDI outcome (s):

Gouvernance 75%

Gestion des ressources intégrées 25%

RÉSULTATS IMMEDIATS, INTERMEDIARES ET EXTRANTS 2017/18 :

TRIMESTRE Q1 Q2 Q3 Q4

RÉSULTATS INTERMÉDIARES :

100 : Les capacités de l’UÉMOA dans la mise en valeur d’un secteur minier intégré sont renforcées

Intégration renforcée du secteur minier au développement

200 : Une gestion intégrée et responsable du secteur minier par les gouvernements des pays ciblés (Sénégal) est mise en place

Cellule de pilotage / concertation responsable de la gestion du secteur minier en place

Stratégie sectorielle du secteur minier adoptée par le gouvernement du Sénégal

300 : Une participation des acteurs locaux à la concertation concernant le développement intégré du secteur minier est accrue

Aucune activité en 2017/2018 à l’exception de la remise de l’étude sur la région de Kédougou au Sénégal

400 : Les capacités des universités sélectionnées à élaborer et mettre en place des programmes de formation et de recherche pour offrir au pays des professionnels spécialisés dans le domaine

Les 2 universités auront chacune élaboré et mis en place un programme (Master) de formation en Environnement et Gestion des rejets miniers et renforcé ainsi leurs capacités dans ce


de l’environnement minier sont renforcées

domaine. Des projets de recherche appliquée auront été identifiés


RÉSULTATS IMMÉDIATS :

110 : Élaboration d’une stratégie

L’ensemble des représentants des départements de la Commission de l’UÉMOA, les hautes instances et les États membres comprennent et endossent la stratégie

120 : Opérationnalisation de la stratégie

Participation des États membres aux rencontres annuelles de la Table et mise en oeuvre d’initiatives prévues à la feuille de route

210 : Réflexion stratégique interministérielle

Une politique / stratégie élaborée de manière participative et validée par les instances gouvernementales

Un programme de formation est élaboré et réalisé (RSE et GAR)

230 : Opérationnalisation de la stratégie

Un plan d’action est rattaché à la politique sectorielle et la rédaction d’une stratégie de suivi et d’évaluation des programmes (mines)

310 : Renforcement du dialogue

Le programme a permis d’appuyer le partenaire seulement au niveau national et aucune activité n’est planifié en 2017/18 au niveau local

410. Appui au renforcement des curricula (Burkina Faso et Sénégal)

Les universités sélectionnées ont développé leurs compétences pour offrir une nouvelle spécialisation multidisciplinaire en environnement et gestion des rejets miniers

420. Appui à l’établissement d’un programme de stages industriels

Les universités sélectionnées ont mis en place un programme de stages industriels

430. Appui à la réalisation de projets de recherche appliquée

Les universités sélectionnées auront démarré la mise en œuvre de projets de recherche appliquée sur des problématiques concernant les entreprises minières du pays

440. Appui à la Mise en place des formations continues

Les universités sélectionnées auront démarré la mise en place


d’offres de formations continues qui répondent aux besoins du secteur minier, des ministères et de la société civile


Extrant 120 : Opérationnalisation de la stratégie UÉMOA

120.2 La stratégie pour le développement durable d’un secteur minier (extractif) intégré au sein de l’UÉMOA est validée par les États membres

Elle a été validée par les états membres en décembre 2016

120.3 Une feuille de route pour l’opérationnalisation de la stratégie est validée

La stratégie élaborée, proposée et acceptée par l’UÉMOA

Extrant 210 : Réflexion stratégique interministérielle

210.2 Les connaissances des acteurs gouvernementaux sur les enjeux du secteur minier sont améliorées

Le renforcement des capacités avec atelier RSE et GAR est offert aux différents directeurs des ministères impliqués dans la gestion de la LPSD

Extrant 220 : Concertation

220.1 Un mécanisme de pilotage interministériel est mis en place

Un comité interministériel représentatif inclusif, élargi opérationel

Extrant 230 : Opérationnalisation de la Lette de Politique Sectorielle de Développement (LPSD)

230.1 Un plan d’action de la stratégie (LPSD) est disponible

Le plan d’action est adopté

Extrant 310 : Renforcement du dialogue

310.1 Une plateforme sectorielle régionale au Sénégal est mise en place

Une étude du contexte régional de Kédougou au Sénégal a été remise aux autorités du Sénégal

Extrant 410 : Appui au renforcement des curricula (Burkina Faso et Sénégal)

410.2 Des nouveaux curricula sont élaborés et validés

Un nouveau curriculum est validé dans chaque université sélectionnée

410.3 Le matériel pédagogique est préparé et les professeurs sélectionnés sont formés

Le matériel pédagogique pour les nouveaux curricula est complété et la formation des professeurs sélectionnés est complétée (mai 2017)

410.4 Les nouveaux curricula sont implantés

Les cours du nouveau curriculum sont offerts dans les deux universités.

Lancement du nouveau programme en Oct. 2017

Extrant 420 : Appui à l’établissement d’un programme de stages industriels (Burkina Faso et Sénégal)

420.1 La stratégie est élaborée et les partenaires industriels identifiés

Une stratégie est élaborée et complétée de façon participative avec les acteurs.


2-3 partenaires industriels par université

420.2 Un programme de stages est développé

Un programme de stages est développé dans chaque université

420.3 Des stages sont préparés et réalisés

8-10 stages par programme dans chaque université sont préparés et réalisés

Extrant 430 : Appui à la réalisation des projets de recherche appliquée (Burkina Faso et Sénégal)

430.1 La stratégie est élaborée et les partenaires industriels identifiés

Une stratégie est élaborée de manière participative dans les deux universités

430.2 Des projets de recherche appliquée sont identifiés

Des projets de recherche sont identifiés

Extrant 440. Appui à la mise en place de formations continues (Burkina Faso et Sénégal)

440.1 La stratégie est élaborée

Stratégie élaborée répondant aux besoins prioritaires de l’industrie et autres acteurs

440.2 Les besoins de formation continue sont identifiés

Trois cours identifiés dans chaque université en réponse aux besoins prioritaires des acteurs du secteur

PLANNED MISSIONS AND CONSULTATIONS (country and name of party[s] to be consulted):

Q1 Q2 Q3 Q4

Burkina Faso :

S. Courtemanche

Burkina Faso / Senegal :

R. Simon


R. Simon


R. Simon

Mali / Burkina Faso :

G. Rivard


G. Larouche


G. Larouche


G. Larouche

Côte d’Ivoire :

G. Rivard


G. Rivard


G. Rivard

Sénégal :

H. Laplante

Sénégal :

P. Beauchemin


PLANNED PROGRESS ON CROSS-CUTTING THEMES:

Genre : Pour la Composante 400, cette dimension sera intégrée dans les critères d’admission des étudiants du nouveau Master. Au Sénégal sur les 20 étudiants pour le nouveau programme, un quota à cet effet sera fixé à l’interne. Au Burkina Faso il est prévu que 2-3 sur 5 candidats seront des femmes. Pour les stages industriels et les projets de recherche appliquée, les discussions avec les partenaires industriels et les décisions finales prises pourront permettre de mesurer les avancements accomplis pour cette dimension.

Environnement : Pour la Composante 400, cette dimension fait déjà partie intégrante des propositions d’unités d’enseignement (UE) pour les deux nouveaux Master en Environnement et Gestion des Rejets miniers dans l’université au Sénégal et au Burkina Faso. Ceci tant au niveau des nouvelles UE sous la responsabilité des universités que les nouveaux modules suggérés par l’ÉPM. Plus de détails sont disponibles dans les maquettes de chaque université ainsi que dans les syllabus et les supports pédagogiques. Gouvernance : Pour la Composante 400, les deux universités et leurs nouvelles unités d’enseignement (UE) ainsi que celles déjà existantes, intègrent des dimensions relatives à ces deux aspects. Ceci fait également partie des supports pédagogiques développés.

NAMES AND ROLES OF IN-COUNTRY PARTNERS (if different from client/beneficiary):

Partner Role

Même nomenclatures pour les bénéficiaires

REGISTRE DES RISQUES 2017/18 :

RISKS PROBABILITY OF OCCURRENCE (1-

5)

IMPACT IF 0CCURRED (1-

5)

RISK MITIGATION MEASURES DESIGNED INTO THE PROJECT

Opérationnel 1. L’incapacité pour les

institutions et les gouvernements à fournir les ressources humaines nécessaires pour l’avancement du programme et le développement des politiques du secteur

2

3

- Une collaboration étroite entre les intervenants sur le terrain et le maintien d’un dialogue continu auprès des partenaires.

- La détermination des objectifs / réalistes qui prennent en compte les modalités de gestion du programme et le contexte d’intervention.

- L’identification de personnes ressources à ciblés à qui l’on donne le mandat d’assurer la liaison entre l’ICIRD/EPM et les partenaires sur le terrain.

- L’équipe de programme détermine avec soin des activités très ciblées, ponctuelles et porteuses.


- La fréquence des missions terrains est maintenue tout au long du programme.

2. La répartition des ressources humaines du programme affecte la cohérence régionale du programme. 2 3

- Le recours à des approches et des outils communs et leur utilisation dans tous les pays et à l’UÉMOA assure la cohérence du programme.

- L’utilisation transversale des experts est favorisée.

3. Les capacités de planification, de mise en œuvre et de suivi ainsi que le niveau d’appropriation limités des gouvernements et organisations partenaires du programme entravent l’atteinte des résultats

2 3

- Une analyse des capacités des partenaires et l’adaptation de la nature et de la cadence des activités à leurs capacités et charge de travail/contraintes institutionnelles.

- La détermination d’objectifs réalistes qui reflètent les capacités opérationnelles des partenaires.

- L’emploi de méthodes participatives et le renforcement des capacités favorisent l’engagement, la participation éclairée et l’appropriation.

- La mise en place de mesures d’accompagnement qui favorisent la responsabilisation des partenaires et l’appropriation.

- La définition, avec les partenaires, des rôles et responsabilités des différents intervenants

Finance 1. Le risque que les fonds ne

soient pas utilisés aux fins pour lesquelles ils sont prévus, qu'il n'y ait pas une reddition de comptes adéquate et/ou que des biens et des services obtenus ne soient pas en rapport avec les fonds transférés.

2 3

- Le recrutement d’un Conseiller senior qui est spécialisé en gestion de projet.

- Le renforcement des systèmes de contrôle et de suivi du programme.

- La mise en œuvre des directives de l’ICIRD et AmC en ce qui concerne les modalités d’approbation des dépenses et des décaissements.

- La mise en place d’un budget de dépenses annuelles selon le plan de travail du Programme.

2. Incapacité des futurs bénéficiaires à financer ou poursuivre la pérennisation des activités créées par le programme

2

3

- Identification et mise en place de mécanismes d’appui aux activités prévues (rencontres/ comités) pour le suivi des politiques élaborées.

- Rencontre et sensibilisation des parties prenantes (ministères, organisations et institutions privées)

Développement 1. L’absence de volonté

politique de l’UÉMOA et des pays à inscrire leurs politiques minières à celles du développement et/ou à collaborer avec le programme.

2 3

- Le programme intervient là où le secteur minier est une priorité de développement des pays ciblés.

- La signature d’un protocole d’entente incluant les priorités de collaboration est une condition préalable à l’accompagnement d’un pays.

- Là où la volonté politique est mitigée, un dialogue est mené avec l’appui des représentants d’AmC sur le terrain, afin de bâtir le consensus. À défaut le


programme se retire pour agir dans un autre pays de la sous-région.

2. L’instabilité politique et l’insécurité compromettent les possibilités d’actions dans les pays, régions ou localités ciblés par le Programme.

2 3

- L’analyse du contexte et une veille de la situation par le suivi de l’actualité et le recours à des sources d’informations fiables au Canada, dont l’AmC, et sur le terrain notamment les ambassades du Canada dans les pays où le programme inter=vient.

- Une approche régionale qui permet le redéploiement des activités dans un pays stable de la région.

3. La réticence et les contraintes des autorités gouvernementales, des ministères de mines ou département minier à l’UÉMOA (partenaires principaux) à inscrire leurs actions dans une dynamique interministérielle ou interdépartementale (UÉMOA)

2 3

- Un dialogue des politiques sur l’importance d’une telle approche préconisée par le VMA et essentiel à sa mise en œuvre.

- La mise en place d’activités de formation qui traitent de la coordination interministérielle.

- La création de comité interdépartemental à l’UÉMOA et de comités interministériels pour mener la planification de stratégie ou politiques sectorielles mines offre une expérience de travail en concertation qui jette les bases d’une collaboration sur le moyen et long terme.

Réputation 1. Le programme de

l’EPM/ICIRD est perçu comme répondant aux intérêts des minières canadiennes et non à ceux des pays ou de la région ciblés

2 3

- Une stratégie de communication qui favorise la transparence et le partage d’informations sur le secteur et l’approche axée sur le développement durable retenue par le Programme.

- Un appui à ICIRD dans l’élaboration d’outils de communication et le maintien d’un dialogue constructif avec les détracteurs de l’ICIRD.


Strengthening collaborative practice and enhancing the role of universities as development partners for inclusive growth in Peru [2014-017]

Project status: Approved – operational

Start date: Sept 2014

End date: March 2018

Country(s): Peru

Total budget: $1,233,756 (includes 10% reduction)

Actual spending to date: $627,823

Actual spending during reporting period: $605,933

Client/Beneficiary:

Direct: SENACE, (MIMP); stakeholders and citizens in target influence corridor of Apurimac, Cusco and Arequipa (government officials, community leaders, youth, students, faculty members, entrepreneurs, women and indigenous groups).

Indirect: citizens in targeted extractive regions and mining affected communities (Arequipa)

Role of local government or regional institution in the project: Collaborator

Theme & CIRDI outcome(s):

1100 - Fiscal and Regulatory Governance (50%)

1300 – Livelihoods and Employment (50%)

Core Activities:

Applied Research (25%),

Education and Training (35% and

Convening (40%)

PLANNED IMMEDIATE AND INTERMEDIATE OUTCOMES (FY 2017-18): Planned results for 2017-18

Co-Lab Peru supports inclusive sustainable development from natural resources through advancing cross-sector and inter-agency learning, planning, governance and practices. The project accomplishes this by working innovatively and collaboratively with stakeholders, and embedding our activities in local universities.

We will be working toward achieving all final project outputs and outcomes over the coming year with the cumulative results reported at the end of the program in 2018. For outputs such as 1115 - producing knowledge products –work will continue on each with the resulting knowledge products to be completed no later than March 2018.

QUARTER Q1 Q2 Q3 Q4

Intermediate outcomes

1100 – Continue progress towards increased resilient solutions to complex extractive sector governance challenges through the Peru

1100 – Continue progress towards increased resilient solutions to complex extractive sector governance challenges through the Peru

1100 – Continue progress towards increased resilient solutions to complex extractive sector governance challenges through the Peru Collaboratory (Co-Lab)

1100 – Increased resilient solutions to complex extractive sector governance challenges through the Peru Collaboratory (Co-


Collaboratory (Co-Lab) approach by system stakeholders.

1200 Continue progress towards increased opportunities for collaborative, gender-responsive, inclusive governance by system stakeholders

1300 Continue progress towards increased sustainable livelihood and inclusive market opportunities in the target communities created by system stakeholders.

Collaboratory (Co-Lab) approach by system stakeholders.



approach by system stakeholders.



Lab) approach by system stakeholders.

1200 Increased opportunities for collaborative, gender-responsive, inclusive governance by system stakeholders

1300 Increased sustainable livelihood and inclusive market opportunities in the target communities created by system stakeholders.

Immediate outcomes

1110 – Increase capacity to create resilient solutions to complex challenges through a new multi-stakeholder, cross-sectoral collaboration model (Co-Lab) approach by system stakeholders.

1120 – Increase number of individuals, particularly women, with the critical and creative skills to understand and implement gender responsive extractive sector fiscal policies, regulatory frameworks and revenue investment plans that integrate environmental

sustainability.

1320 – Increase number of individuals, particularly women, with the critical and creative skills to understand and



sustainability.

1320 – Increase number of individuals, particularly women, with the critical and creative skills to understand and implement gender responsive extractive



sustainability.

1320 – Increase number of individuals, particularly women, with the critical and creative skills to understand and implement gender responsive extractive sector policies and regulatory frameworks

1110 – Increased capacity to create resilient solutions to complex challenges through a new multi-stakeholder, cross-sectoral collaboration model (Co-Lab) approach by system stakeholders.

1120 – Increased number of individuals, particularly women, with the critical and creative skills to understand and implement gender responsive extractive sector fiscal policies, regulatory frameworks and revenue investment plans that integrate environmental

sustainability.

1320 – Increased number of individuals, particularly women, with the critical and creative skills to understand and implement gender responsive extractive sector policies and regulatory frameworks


implement gender responsive extractive sector policies and regulatory frameworks affecting employment and local content, and that incorporate environmental sustainability and health and safety best practices.

sector policies and regulatory frameworks affecting employment and local content, and that incorporate environmental sustainability and health and safety best practices.

affecting employment and local content, and that incorporate environmental sustainability and health and safety best practices.

affecting employment and local content, and that incorporate environmental sustainability and health and safety best practices.

Outputs Work on outputs below is on-going throughout the final year

1112 – System stakeholders engaged in Co-Lab events to plan / learn about collaboratory/ innovative approaches to governance, research and inclusive sustainable economic growth (on-going)

1115 – Work continues on case studies, policy briefs, toolkits and other knowledge products prepared with ten (10) Peruvian collaborators that include recommendations to advance collaboration and innovation in governance and enterprise.

1211– Work continues on development and implementation of Cross-sectoral Co-Lab interventions (projects) related to collaborative / equitable governance

Work on outputs below is on-going throughout the final year

1112 –System stakeholders engaged in Co-Lab events to plan / learn about collaboratory/ innovative approaches to governance, research and inclusive sustainable economic growth (on-going)

1115 – Work continues on case studies, policy briefs, toolkits and other knowledge products prepared with ten (10) Peruvian collaborators that include recommendations to advance collaboration and innovation in governance and enterprise.


1212 –Course / expanded learning activity on leadership for collaborative governance co-

Work on outputs below is on-going throughout the final year

1112 – System stakeholders engaged in Co-Lab events to plan / learn about collaboratory/ innovative approaches to governance, research and inclusive sustainable economic growth (on-going)

1115 Work continues on case studies, policy briefs, toolkits and other knowledge products prepared with ten (10) Peruvian collaborators that include recommendations to advance collaboration and innovation in governance and enterprise.


1213– People from government, universities, industry, community, NGOs participate in leadership learning activities/ courses

1311 – Work continues on development and implementation of

Final cumulative numbers reported on outputs below at end of program Mar 2018

1112 – By end of program, at least 260 system stakeholders engaged in Co-Lab events to plan / learn about collaboratory/ innovative approaches to governance, research and inclusive sustainable economic growth

1113 – By end of program, at least thirty (30) Peruvian and Canadian researchers & system stakeholders participated in an online platform for collaboration and learning

1114 - By end of program, Co-Lab approach documented and assessed for potential adaptation to other contexts/ countries

1115 – By end of program, produced ten (10) case studies, policy briefs, toolkits and other knowledge products prepared with ten (10) Peruvian collaborators that include recommendations to advance collaboration and innovation in


1311 – Work continues on development and implementation of Cross-sectoral Co-Lab interventions (projects) related to sustainable livelihoods

developed and offered with Peruvian university

1213– People from government, universities, industry, community, NGOs participate in leadership learning activities/ courses

1311 – Work continues on development and implementation of Cross-sectoral Co-Lab interventions (projects) related to sustainable livelihoods

1313 – People from government, university, industry, community, NGOs participate in livelihoods-related learning activities/ courses

Cross-sectoral Co-Lab interventions (projects) related to sustainable livelihoods

1312 - One (1) course / expanded learning activity on topic of inclusive and sustainable livelihoods co-developed and offered with Peruvian university

1313 – People from government, university, industry, community, NGOs participate in livelihoods-related learning activities/ courses

governance and enterprise.

1116 - By end of program, repository of relevant knowledge resources populated and disseminated (with case studies, knowledge products, and policy briefs).

1211– By end of program, two (2) cross-sectoral Co-Lab interventions (projects) related to collaborative / equitable governance developed and implemented

1212 – By end of program, one (1) course / expanded learning activity on leadership for collaborative governance co-developed and offered with Peruvian university

1213– By end of program, at least fifty (50) people from government, universities, industry, community, NGOs participated in leadership learning activities/ courses

1214– By end of program, one (1) Peruvian fellowship/internship implemented -'collaborative research/ learning related to collaborative governance.

1311 – By end of program, one (1) cross-sectoral Co-Lab interventions (projects) related to sustainable livelihoods developed and implemented

1312 - By end of program, one (1) course / expanded learning activity on


topic of inclusive and sustainable livelihoods co-developed and offered with Peruvian university

1313 – By end of program, at least thirty (30) people from government, university, industry, community, NGOs participated in livelihoods-related learning activities/ courses

1314 – By end of program, one (1) Peruvian fellowship/internship implemented - collaborative research/ learning related to sustainable livelihoods

PLANNED MISSIONS (country and name of party[s]):

Q1 Apr-Jun Q2 Jul-Sep Q3 Oct-Dec Q4 Jan-Mar

Peru Peru Peru Peru

Assessment of IBAs/CBAs + Collaborative Governance and Engagement Practices in EIs in Peru +CoLab AQP program implementation

-KHenriksson, JFrancis, KDilworth, Insight GE

Identifying and Developing Inclusive Impact Measurements in Mining Contexts + Digital Innovation for Shared Governance pilot + Women and Mining +CoLab AQP + Leadership and Collaborative Governance program

-Insight GE, HMcTavish, GHernandez, KDilworth, Ulula

Research cont., CoLab AQP; + Leadership and Collaborative Governance program

K Henriksson, C Mendez, JAlonso, KDilworth

Completion of programs, wrap-up with assessments and results analysis

J Francis, KHenriksson, CMendez



Gender: The Co-Lab Peru project has gender as an integral theme throughout the project, including making women’s concerns and perspectives in mining contexts more visible, such as gender-based violence; women’s rights; women’s economic rights and women’s participation in decision-making. It also develops women leaders’ capacities to strategically plan and address social, economic, and environmental challenges in these contexts.

Gender perspectives on mining impacts and priorities have also been integrated into all Co-Lab research projects. This includes evaluating the policy and institutional framework, governance structures and participatory practices as well as social and economic initiatives by government, civil society and resource companies in order to identify gaps and leading practices for improving gender equity and access to benefits in mining regions and related activities. Importantly, the approach ensures the inclusion of women’s own voices in the process.

Environment: Improving the governance and implementation of Environmental Impact Assessment is a key focus of CIRDI’s Co-Lab Peru project. The project works with SENACE, the newly constituted public agency, part of the Peruvian Ministry of Environment, responsible for the revision and approval of Environmental Impact Assessments (EIAs) for all nationwide public, private and mixed investment projects, including mining. Research streams all examine the relevant environmental components. The project also has a specific focus on innovative community-building approaches/methodologies that will reduce the carbon footprint of program delivery, such as online engagement platforms, use of mobile technology etc.

Governance: Co-Lab Peru’s research streams examine a number of rights-based issues as it affects the resource sector in Peru - including Consulta Previa, biodiversity, traditional knowledge, and industry practices around human rights assessment. All Co-Lab training programs and action area around improving EIAs promote content and methods that are inclusive of community stakeholders, sensitive to vulnerable populations and focused on the rights of communities to secure the future that they desire.

NAMES AND ROLES OF IN-COUNTRY PARTNERS:

Partner Role

Universidad Catolica San Pablo (UCSP) – partners and beneficiaries

The CoLab AQP will be embedded in the curriculum at the Universidad Catolica San Pablo (UCSP), which represents a significant change to their pedagogical approach towards more engaged development partnerships.

Universidad del Pacifico (UP) – partners and beneficiaries

Universidad del Pacifico faculty and staff are contributing to a comparative analysis of the Canadian and Peruvian experience - Review of lessons learned and evaluation of new governance mechanisms, specifically Negotiated Agreements (“IBAs/CBAs”) that are used to manage project development in collaboration with indigenous populations


and other stakeholders, to ensure an equitable distribution of project - with a comparative perspective between Peru and Canada, for improved policy and practice.

SENACE (client and partner), ULULA and Pontificia Universidad Católica del Perú (PUCP)

Collaboration with partners SENACE and ULULA (ulula.com) continues to identify baseline engagement and pilot project parameters through a co-design process Digital Innovation for Shared Governance - The high level goal of this pilot project is to validate whether participatory engagement processes can foster dialogue and align stakeholders in order to prevent socio‐environmental conflicts in communities impacted by mining operations.

The Pontifical Catholic University Centre for Analysis and Conflict Resolution (CARC-PUCP) is expected to conduct initial baseline studies for the pilot project prior to the EIA workshop pilot launch. CARC-PUCP has 17 years of experience in the design and implementation of projects and consulting services requested by state and private entities, as well as civil society organizations focused on empowering and supporting local social actors in extractives influence areas.

RISK REGISTER FY17-FY18 (with minimum top 3 risks):

Risk Probability of occurrence (1-5)

Impact if it occurred (1-5)

Risk mitigation measures designed into the project

Participants leave jobs, champions within institutions are lost

2 4

Multiple relationships are being formed with institutions to ensure that the program will continue in the event certain individuals leave or are no longer able to participate in the program

Insufficient support for Collaboratory participants to take forward Co-Lab

3 4 Stakeholders at all levels are being engaged in order to solidify the support of implementing collaborative innovations and solutions brought forward


projects, implement innovations and solutions

Political climate changes in Peru that impact the program

2 2 This program is focussed on non-partisan initiatives and solutions in order to circumvent any ties to one political party or ideology

Economic changes lead to negative exchange rate impact on the program budget

2 2 Budget has flexibility in order to compensate for exchange rate fluctuations

Impact on program of budget reduction of 10% and additional reduction to Program Support

5 3 Negative impact of 10% cut to budget being mitigated; may impact program activities and assessment as capacity and resources have been reduced


Education and Research for Integrated Water Resources Management (IWRM) in Peru [2014-071]

Project status: Approved Operational

Start date: July 2015


Country(s): Peru

Total budget: 608,902

Actual spending to date: 370,659.91

Budget forecast for FY2017-18: 201,495

Client/Beneficiary: National Water Authority / Autoridad Nacional del Agua (ANA)

Role of local government or regional institution in the project: The National Water Authority (ANA) is the main beneficiary of the education and training activities, the core activities of this project. ANA is also a partner in the convening and research initiatives.



1200 – Integrated Resource Management (65%)


Core activities:

Deliver Advisory Services (5%)

Apply Research (15%)

Educate and Train (65%)

Convene (15%)

PLANNED IMMEDIATE AND INTERMEDIATE OUTCOMES (FY 2017-18):

QUARTER Q1 Q2 Q3 Q4


1100 – Increased use of participatory environmental monitoring data by government and industry in mining regions in Peru

Immediate outcomes

1120 – Improved understanding and awareness of the roles, leading practices and resources of participatory environmental monitoring groups

1130 –Increased dialogue and collaboration through a network of participatory environmental monitoring groups

Outputs Peru and other 4 countries selected in LAC to be part of a series of case study exercises on Participatory Environmental Monitoring

Participatory Environmental Monitoring Committees Case study methodology developed

Participatory Environmental Monitoring Committees Case studies completed

- Participatory Environmental Monitoring Committees Case studies report finalized and disseminated

- Regional workshop/meeting on


Committees conducted by CIRDI and UNDP.

Participatory Environmental Monitoring Committees held in Latin America

Some of the 1100 activities are being supported through a new collaboration with the UNDP, and are beyond the scope of the original project. These activities, however, build on existing project outcomes and are therefore being supported by this project. The research produced by these activities will also inform the outputs focused on women and mining (project PMF pillar 1400).

QUARTER Q1 Q2 Q3 Q4


1200 – Improved application of integrated water resource management practices, and opportunities for collaboration therein, among relevant government employees and communities

Immediate outcomes

1210 – Enhanced knowledge of IWRM and its application demonstrated by programs participants in their work

1220 – Enhanced knowledge on IWRM among government and community decision makers through applied research

Outputs 1211 – IWRM Certificate pilot program designed and delivered

- Delivery of three UBC Certificate courses as part of the UBC-CIRDI-Catolica Water and Mining Diploma

PWP results disseminated at the PERUMIN (Sep 2017)

- Research workshop in Ancash

- Participatory Environmental Monitoring Committee case studies completed in 4 LAC countries + Mongolia (UNDP partnership)

- Participatory Environmental Monitoring Committee case studies completed in 4 LAC countries + Mongolia (UNDP partnership)

QUARTER Q1 Q2 Q3 Q4


1400 – Increased number of women participating in governance decision-making in relation to water and environmental sustainability

Immediate outcomes

1420 – Improved access to information by governments and the mining industry on the perceptions and expectations of the role of women in water resources management

Outputs Designed research methodology on the role of Women in Participatory Environmental

Field work on the research on Women in Participatory Environmental Monitoring initiatives completed

Finalized academic paper / report on the role of women in Participatory Environmental Monitoring initiatives

Research findings disseminated


Monitoring initiatives


Q1 Q2 Q3 Q4

Delivery Course 1 (Apr) Gender Field Research Peru-Canada (Jul, Aug, Sep)

PWP Dissemination and Program Development

Research activities (Peru)

Delivery Course 2 (May) LATAM Water and Mining (Aug) Dissemination/Program Development

Ancash Research workshop

Workshop Participatory Monitoring (UNDP/CIRDI partnership)

Delivery Course 3 (Jun) PWP Dissemination –PERUMIN (Sep)

Research activities (Peru)

PWP Dissemination China (Jun)


Gender: A research will be developed and fieldwork conducted (Q1-Q2) with the objective of understanding the distinct roles performed by man and women related to participatory environmental monitoring. Furthermore the UNDP/CIRDI partnership conducting case studies in Peru and other Latin American countries will also focus on understanding women’s role in participatory environmental monitoring committees. These researches will enhance knowledge on the role of women in integrated water resources management (IWRM) in Peru and in Latin America.

Environment: This project enhances the capacity of Peruvian actors for informed, evidence-based decision‐making in regards to their water resources. By enhancing the capacity of national and local government, civil society and academic actors to better understand and manage their water resources, this project promotes environmental sustainability and protection.

Governance: All activities under this project focus on enhancing the governance capacity at ANA, other government organizations (local and regional), Peruvian universities and civil society organizations such as participatory environmental monitoring committees. Capacity building, equal participation, community engagement all reflected in this project, are important elements for strengthening governance institutions and participation.


Partner Role

National Water Authority (ANA) The National Water Authority (ANA) is the main beneficiary of the education and training activities, the core activities of this project. ANA is also a partner in the convening and research initiatives.

Catolica University Co-delivering the Water and Mining diploma program


Futuro Sostenible Contributing to the participatory monitoring case studies

UNDP-HQ Developing the case studies methodology as well as providing financial support to the implementation of this study


RISK PROBABILITY OF OCCURRENCE (1-5)

IMPACT IF OCCURRED (1-5)


Course schedule being delayed

2 2 There is flexibility in the program to reschedule the courses if required

Limited financial resources to carry out the UNDP / CIRDI Participatory Environmental Monitoring case studies project

3 1 PWP project will not be impacted as this activity is additional and beyond the initial scope of the project. Reducing the number of countries and the scope of the project could be considered if necessary

Gender research scheduled being delayed

2 2 There is flexibility in the program to reschedule fieldwork activities and/or select different location and subjects to participate in the research


Supporting capacity-building and multi-level governance of small-scale gold mining: a collaborative project on mercury, deforestation and rural livelihoods in Indonesia [2014-077]

Project status: Approved operational

Start date: Contract signed: March 23rd, 2016

Kick-off Meeting: April 14th, 2016

End date: December 31st, 2018.

Country(s): Indonesia

Total budget: $179,669

Actual spending to date: $30,749.66

Budget forecast for FY2017-18: $103,779.00

Client/Beneficiary: Provincial Government of Central Kalimantan, and district governmental authorities involved in implementing the Minamata Convention on Mercury in the small-scale gold mining sector; ASM communities in Central Kalimantan districts: Gunung Mas, Murung Raya, Katingan.

Role of local government or regional institution in the project: Government authorities will implement the Minamata Convention on Mercury in the artisanal and small-scale mining sector and the project will feed into the strategies for this.


1100 - Fiscal and Regulatory Governance (12.5%)


1300 – Livelihoods and Employment (37.5%)

Core activities:




Convene (25%)


QUARTER Q1 Q2 Q3 Q4


Improved ability of ASM stakeholders to make coordinated and data-based decisions regarding effective ASM sector policy in Central Kalimantan


Improved formulation and implementation of effective, data-based ASM sector policy in Central Kalimatan for the implementation of Minamata Convention on Mercury






Immediate outcomes

Improved access to information on socio-economic, political, technical and environmental dimensions of gold mining in 3 districts in Central Kalimantan:

- local knowledge increased through participation in paper development and review

- access to information improved through publication of information

Improved access to information on socio-economic, political, technical and environmental dimensions of gold mining in 3 districts in Central Kalimantan

- local community members have skills to collect data

Policymakers, larger companies and other stakeholders have improved connectivity and communication for improved and coordinated decision making regarding ASM

- policy makers better equipped to receive and interpret information from community members directly


- visual data shared, analyzed and compiled

Strategies developed for collaboratively implementing the Minamata Convention on Mercury, identifying how treaty implementation could be a pathway for Indonesian authorities and communities organizations to address locally identified challenges while strengthening rural livelihoods

- strategy drafted and discussed


- GIS map produced and delivered to government officials to use as a tool for decision making

Strategies developed for collaboratively implementing the Minamata Convention on Mercury, identifying how treaty implementation could be a pathway for Indonesian authorities and communities organizations to address locally identified challenges while strengthening rural livelihoods

- strategy finalized

OUTPUTS Multi-authored peer-reviewed international publication on the Minamata Convention on Mercury in Indonesia: “Phasing Out Mercury? Ecological Economics and Indonesia’s Small-Scale Gold Mining Sector”

Workshop with dual purpose:

- collaboratively design strategies for implementing the Minamata Convention on Mercury

- seeking buy-in for visual methods data-gathering

Follow up workshop for:

- review and validation of Minamata Implementation strategy documents

- collection, sharing, analysis of visual data

Minamata Implementation strategy and Capacity Development Plan documents jointly finalized.

GIS map of the region produced using visual data, identifying location of key variables.



Q1 Q2 Q3 Q4

Principal Investigator in Vancouver and Montreal May/June 2017

Principal Investigator in Gunung Maas, Indonesia for Workshop (Dates TBD)

Principal Investigator in Gunung Maas, Indonesia for Workshop (Dates TBD)

N/A


Gender: In data gathering and knowledge production, the project team ensuring to include gender sensitive interviews and inputs. This includes women’s life histories and their engagement in the mining area. In strategy and policy development for Minamata implementation, the PI is ensuring women’s participation and specifically facilitating consideration of gender inequities that must be addressed.

Environment: Project data-gathering is specifically focused on identification of environmental (and social) impacts of ASM activity. Addressing environmental and health impacts of Mercury is a key project priority.

Governance: The data-gathering phase of the project looks specifically at social (and environmental) impacts of ASM. By then targeting Community Development Planning as a strategy for Minamata implementation, there is opportunity to address social and health impacts of ASM on vulnerable populations.


Partner Role

Yayasan Tambuhak Sinta (YTS) Project Implementation Partners joint implementation, shared accountability.

University of Palangkaraya Collaborating partner is visual-data gathering.

Indonesian Community Miners Association (APRI) Community partners, key stakeholders for analysis phase as well as project implementation (including capacity development planning, Minamata compliance strategy development, and technical capacity building activities).





Personnel/travel: e.g., travel advisories and

1 4 There are no reasons to suspect that this will become problematic


measures to address

Implementation partners lose interest, resulting in lower capacity to implement and less in-kind contributions to project.

1 3 The partnership and relationship at the moment is very strong; this is being maintained by ensuring YTS is a full partner in planning and decision making – there is joint accountability. Thus far, the only challenges have been delays in funds transfers – this has been remedied and the relationship continues to be very strong.

Government turn-over at national or regional level results in lost support to project.

1 4 Because the project is working mostly at the provincial level, government partners are from the provincial level. There is no election scheduled during the lifetime of this project, therefore turn-over risks are relatively low. However, an election is scheduled for 2019, shortly after project completion. Project proponents are tracking the political pulse in order to be responsive to upcoming shifts.


Blazing the path to formalisation: artisanal mining, wealth creation and rural livelihoods in Ghana [2015-010]


Start date: April 1st, 2016 End date: December 31, 2017

Country(s): Ghana

Total budget: $189, 870 (combined budget for University of Bath and University of Surrey)


Budget forecast for FY2017-18: $77,116

Client/Beneficiary: Ghana Minerals Commission, small-scale miners and mining communities in Ghana

Role of local government or regional institution in the project: The local project partner in Ghana is the University of Mines and Technology (UMaT), which is coordinating the collection of the financial diary data. Staff members at UMaT will also be involved in the first and second workshops.

Theme & CIRDI outcome(s): 1300 – Livelihoods and employment

Core activities:

Advisory services

Apply research


QUARTER Q1 Q2 Q3 Q4


N/A N/A Delivery of recommendations regarding policy for microfinance and financial support mechanisms for small-scale mining.

Mobilization of key microfinance institutions, including partnerships/agreements between microfinance institutions, small-scale miners, and the Minerals Commission.

Immediate outcomes

Improved understandings of how different individuals engaged in ASM manage their finances and the financial relations in the social and informal regulatory processes of ASM, to inform

Improved understandings of how different individuals engaged in ASM manage their finances and the financial relations in the social and informal regulatory processes of ASM, to inform

Specially tailored government assistance developed for ASM, which also assists with formalization processes and the design of poverty alleviation measures that better taking into


improvements to financial extension services for ASM stakeholders.

improvements to financial extension services for ASM stakeholders.

account the needs of impoverished ASM families.

Outputs Mid-project report regarding:

early observations on financial flows

review of financial diaries data collection methodology

Final Report and recommendations to Ghanaian Government and community stakeholders, providing a detailed data analysis on 12 months of financial flow data for 36 mining households; recommendations for economic policy and financial mechanisms and incentives for sector formalization

Solutions-oriented closing workshop with participation from government, miners and community.


Q1 Q2 Q3 Q4

Continued data collection by field researchers

Roy Machonacie (co-PI) in Vancouver for other research activities, will engage with UBC researchers on BP2F Research on the periphery.

Co-PIs to Ghana (all 3 communities) for closing workshops.


Gender – Both men and women will be surveyed and data will be gender disaggregated to allow analysis on gendered trends; financial policy recommendations will include consideration of the differential needs of each gender.

Environment – Financial flow data includes purchasing of mercury and other processing chemicals, mercury-gold counter trade, selling of concentrate or amalgams, etc. The collection and analysis of this data will allow the drawing of environment-related conclusions. Financial data will also illuminate any current spending on environmental stewardship (of which it is anticipated there will be little to none).

Governance – Financial data flow will give indication of any taxes paid or unpaid (including informal taxes [bribes]), etc. which will provide insights on the governance and formalization of the sector; financial data may also give indication of illicit or exploitative financial practices. Data-based policy recommendations will be provided as a result.



Partner Role

University of Mines and Technology, Twarka (UMaT)

UMAT is the primary local project partner. UMAT Researchers are collecting the bulk of financial diary data. Staff members at UMaT will also be involved in the first and second workshops

Diamond Development Initiative (DDI) Partner in knowledge/results dissemination





Unwillingness of miners to participate in financial diaries process

1 5 Stakeholders were identified with assistance from local partners including the Ghana Minerals Commission and local miners associations (connected through the ASM African Network), willingness and ability to participate will be carefully assessed; researchers are Ghanaian academics with good understanding of local cultural nuances, therefore trust is higher than with foreign researchers; these measures have proven effective – miners have been cooperative (recommendation for future research: budget for gestures of thanks)

Logistical challenges (rainy season, transport, access to site) with collecting data

3 3 Logistical considerations were taken into account through discussion with local partners and field visits have been planned and executed accordingly. However, one of the biggest challenges to date has been transportation which, due to budgetary constraints, more complex and arduous options have had to be chosen. This has affect some data collection, but is being worked around.

Local authorities preventing access to sites

1 4 The investigators have a strong working relationships with the CEO of the Ghana Minerals Commission and the Director ASM Africa Network;


these ties have been maintained and drawn upon for assistance and intelligence as necessary, however this has not been a concern to date and is not viewed as a likely risk moving forward.

Government intervention 1 3 The government partners have been collaborative to date; investigators have a strong working relationships with the CEO of the Ghana Minerals Commission and the Director ASM Africa Network; these ties will be maintained and drawn upon for assistance and intelligence as necessary.


Natural gas projects and local community development in East Africa [2015-013]


Start date: June 2015

End date: June 2017

Country(s): Tanzania



Budget forecast for FY2017-18: $847.66

Client/Beneficiary: Government of Tanzania (government agencies in charge of gas development project management); local municipalities in the region of Mtwara

Role of local government or regional institution in the project: Facilitation, communication of information



Core activities:


Convene (50%)


QUARTER Q1 Q2 Q3 Q4


Increased number of decision-makers participating in the analysis and application of global leading practices for extractive sector policies and regulatory frameworks.

Immediate outcomes

Improved information on community-level development in gas producing regions available for decision-makers and other stakeholders.

Outputs Final report completed.



Q1 Q2 Q3 Q4

N/A N/A N/A N/A


Gender: Gender considerations were built into the planning and implementation of both the workshop and the household survey, and will be reflected in the final project report. The research has demonstrated that women categorically stated that the gas project in rural Mtwara has not empowered them, but has in fact neglected women. The survey results show that this is because the gas development projects failed to address women’s concerns and their livelihood situations. In this particular study area, many of the households in the gas-impacted villages are women-headed households in need of a reliable income, with many of the women landless, living as rural squatters. The research demonstrates that women are not accorded special consideration in decision-making forums on what needs to be done for people in the context of gas exploration.

Environment: The final report will explore the meanings people individually and collectively give to their experiences of environmental dispossession. In the case of the gas project development in Mtwara, those who lost their farmland and intergenerational trees to the gas project were not only concerned about the economic loss they incurred, but also how the project permanently damaged their landscape. There is a persistent feeling among many residents that instead of creating opportunities for local employment, the gas project will push the people of coastal Mtwara toward more hardships and insecurities. Documenting these experiences and/or perceptions of dispossession will raise awareness of them among decision-makers.

Governance: Improving the governance of Tanzania’s natural gas industry, especially in the context of plans to upscale the Mnazi Bay gas project in rural Mtwara, significantly, continues to be the central research question motivating this project. It is anticipated that improving governance, with a focus on communities directly affected by the gas development projects, results in tangible benefits to the affected population in terms of poverty reduction and improvement in livelihoods. The extractive industry’s economic and social impact on local communities has re-emerged as an important component of corporate social responsibility and national policy documents. It is imperative that the Tanzanian government adheres to some of the laudable provisions it has made in its revised National Gas Policy and Draft Petroleum Policy to increase transparency, engage with local-level actors in a meaningful manner, and mitigate the harms that the gas development activities have brought to the people of Mtwara. Among the first steps toward ensuring distributive justice it is imperative that accountability mechanisms are instituted to ensure that equitable compensation is provided to those who have lost their farmlands and other livelihood assets to the gas project. Ultimately those at the helm of policy making and governing actions must be fully convinced that the concerns surrounding displacement, dispossession, compensation and employment of those who have lost their land and livelihoods to the gas project are real and must be urgently addressed. Through this research, this project seeks to address this need by giving voice to vulnerable populations in impacted areas.



Partner Role

University of Dar es Salaam Dr. Rosemarie Mwaipopo, Local Research Lead and Gender Specialist


*Note that the project is currently finalizing the final project report. Risks are therefore minimal.




Delay in submission of final report (due to the illness of one of the team members).

2 1 Project Lead is in direct communication with Program Manager regarding status of the report. Project Lead has requested funds to be released to hire assistance for data analysis.


Integrated Management and Governance in Extractives (IMAGinE) Mongolia [2015-022]


Start date: October 2015

End date: August 2017

Country(s): Mongolia




Client/Beneficiary: National government officials, Mongolian Ministry of Foreign Affairs (through the International Cooperation Fund, ICF), government representatives from ICF target countries (e.g. Kyrgyzstan and Myanmar).

Role of local government or regional institution in the project: The Ministry of Foreign Affairs of Mongolia supports the organization of the workshop series by inviting and communicating with delegates in Mongolia and ICF target countries, and providing facilities and support for workshops hosted in Mongolia.



Core activities:


Convene (50%)


QUARTER Q1 Q2


Improved capacity of Mongolian and ICF target country mining sector stakeholders to actively engage in improving governance practices for the sustainable development of the mining sector.3

Immediate outcomes

Increased number of Mongolian and ICF target country government staff and strategic partners who possess enhanced knowledge of, and have increased access to, leading natural resource governance practices in Mongolia and internationally.

Outputs Workshop on natural resource governance topics facilitated with strategic partners to mobilize knowledge, disseminate leading practices, and support dialogue and knowledge transfer.

Finalized and disseminated learning products addressing key challenges, themes and/or global leading practices identified through the workshop series.

3 ICF target countries include Afghanistan, Bhutan, Cambodia, East Timor, Kyrgyz Republic, Laos, Myanmar, Nepal, North Korea and Sri Lanka.



Q1 Q2 Q3 Q4

Mongolia (Ministry of Foreign Affairs of Mongolia, Ministry of Mining and Heavy Industry of Mongolia, Natural Resource Governance Institute)


Gender: To promote equitable access to information and resources to increase women’s capacity for decision-making, organizers ensure female participation in all workshops both as participants and presenters. While Mongolian women enjoy a higher status than women in many other Asian countries, much remains to be done to incorporate women into Mongolia’s natural resource sector in a visible manner.

Environment: The workshop series promotes enhanced environmental stewardship by increasing access to information and mobilizing knowledge among stakeholders and change-makers for improved governance practices that account for environmental safeguarding. In particular, peer-to-peer discussions focused on policy development are relevant to environmental protection as one of the pillars for sustainable development. One of the sessions of the upcoming workshop will focus on mine closure.

Governance: The main objective of this workshop series is to strengthen the capacity of male and female government officials and other stakeholders of Mongolia and ICF target countries for informed decision-making to strengthen democracy through the sustainable development of the mining sector. The upcoming workshop will specifically target young professionals working on mining-governance issues in the federal government, industry and civil society. The workshop will include a presentation on the newly released Natural Resource Governance Institute (NRGI) study on Erdenes Mongol (a state-owned enterprise), which will be followed by a tour of Erdenes Mongol LLC. The workshop will also feature a case study session on community benefit agreements with presentations on both Canadian and Mongolian leading practices and lessons learned.


Partner Role

Ministry of Foreign Affairs of Mongolia Inviting and communicating with participants from ICF target countries, and ensuring their visas are in place.


Ministry of Mining and Heavy Industry of Mongolia

Liaison with the mine site to be visited through this mine site; identification of participants

Natural Resource Governance Institute (NRGI) Supporting in-country logistics and content development.





Workshop participants refuse to participate in discussions

2 3 Distrust can be high among workshop delegates. International peer-to-peer learning helps in detaching and overcoming partisanship, and enables richer discussion on otherwise politicized topics. In such settings, participants seek to teach and share, rather than defend.

Traffic accident 2 5 We are using a reputable bus rental company that is also supplying a driver and includes a repair fee; one of the participants has emergency medical training; the project team will have cell phones and will know the emergency number in Mongolia. All program participants will sign a liability release before long distance travel.

Natural disaster 2 2 Although subject to harsh winter conditions and in an earthquake zone, the project will be able to adjust the schedule and locations of its training in light of local circumstances.


Educación para la transformacion del MAPE en el Ecuador/ Education for the Transformation of Artisanal and Small-scale Mining [2015-024B]


Start date: April 1, 2016 End date: September 30, 2018

Country(s): Ecuador




Client/Beneficiary: Ecuador Ministry of Mines (client), beneficiaries include listed partners as well as miners and mining communities in Portovelo-Zaruma and Ponce Enriquez

Role of local government or regional institution in the project: Government counterparts are key partners in implementation (bi-laterally implemented), and the beneficiaries of advisory services, research outcomes, and pilot training activities.





Core activities:





QUARTER Q1 Q2 Q3 Q4


1100 (Increased collection and use of ASGM data for decision making regarding ASGM training interventions in target areas)




Immediate outcomes

1110 (Increased access to information on the realities of ASGM operations and impacts in target areas)

1220 (appropriate authorities have improved ability and commitment to implementing a locally appropriate and sustainable ASGM training program)


1120 (increased understanding of the requirements for a locally appropriate ASGM training program)

1120 (increased understanding of the requirements for a locally appropriate ASGM training program)


1210 (increased ability to design training curriculum for improved ASGM)

1120 (increased understanding of the requirements for a locally appropriate


ASGM training program)

Outputs OUTPUT 1111:

Two Ecuadorian Geological Survey Technicians trained in Metallurgical Analysis

OUTPUT 1113:

Geoscience Institutions & ASM Workshop

- 30 participants [20% f; 100% government officials];

- 12 LAC countries participating, 5 non-LAC participant countries

Regional Declaration for Collaboration on ASM across Geo-science Institutions

OUTPUT 1114:

- Formal recognition of Research Network by Ecuador’s Ministry of Human Talent

OUTPUT 1111:

Equipped Lab

Preliminary Report on Metallurgical Analysis of major ore bodies in target areas (will inform 1211 course curriculum)

OUTPUT 1112:

Preliminary Report on Tailings Management Practices in target areas (will inform 1211 course curriculum)

OUTPUT 1113:

INIGEMM Strategy Completed

OUTPUT 1121:

Draft Stakeholder Analysis and Supply Chain Mapping Report

OUTOUT 1121:

Stakeholder Analysis Report Finalized

OUTPUT 1122:

Draft Educational Needs Assessment Report

Educational Needs Assessment Report Finalized

OUTPUT 1123:

Workshop 1 (of 2) for participatory design of appropriate Educational Model for ASM in Ecuador

- 44 participants

- 40% female;

- 20% experts, 30% miners/ community members; 30% government officials; 10% NGOs; 10% international institutions

Preliminary Report on recommendations for appropriate educational model

OUPUT 1111:

Final Report

OUTPUT 1112:

Final Report

OUTPUT 1211 + 1212:

Pilot curriculum developed (course materials, course outline) x 2

OUTPUT 1123:


Revised Report on recommendations for appropriate educational model


Q1 Q2 Q3 Q4

April/May 2017, Canada

Two INIGEMM fellows to Vancouver for training

April/May 2017, Ecuador:

Geoscience Institutions & ASM Workshop (Quito, Consultations with Geoscience Institutions from across LAC)

Continued collaboration with steering committee (Quito, consultations with

July 2017, Ecuador

Dr. Bern Klein to Quito and El Oro to provide Research Support to INIGEMM technicians

August 2017, Ecuador

Dr. Van Zyl to El Oro to provide Research Support for tailings research

September 2017, Canada

Dr. Velasquez (Technical Lead) in Vancouver working

October 2017, Ecuador


Nov/Dec 2017, Ecuador (TBC)

Feb/Mar 2018, Ecuador



Ministry of Mines, INIGEMM, ARCOM);

Kick-off of Stakeholder Analysis via community-level consultation workshops (Machala, consultations with Municipal Governments, and Mining Associations

June 2017, El Oro

Alliance for Responsible Mining conducting interviews in mining communities

on data analysis with Canadian Researchers


Gender – Evidence has shown that increasing mechanization and formalization of ASGM activity corresponds with decreasing direct involvement of women miners. Although Southern Ecuador’s small-scale mining sector is relatively advanced in terms of mechanization and regulation compared to other ASM sectors globally, it remains a largely informal sector, with women playing a defined and distinct role. Within the stakeholder analysis and needs assessment, special considerations of vulnerable groups such as women and children are being specifically investigated and considered. Research for the determination of mercury alternatives for small-batch ore processing will make special consideration of subsistence women miners groups known as Jancheras.

Environment – Improving environmental performance of Ecuador’s small-scale mining sector is a major component of project objectives. In particular, the project aims to enable and empower local and national level actors to manage mercury and other heavy metal pollution, through reduced (and where possible eliminated) mercury use, as well as improved tailings and waste management. Outputs that focus primarily on environmental issues include Hg-free gold processing research, tailings management research, pilot training module on improved (“greener”) processing and tailings management, and the design of a long-term training program to address – amongst other things – environmental impacts of ASM in Ecuador. The Ecuadorian Ministry of the Environment is a project partner, sitting on the project’s Technical Working Group.

Governance – This project is being implemented directly with the Ecuadorian Ministry of Mines, with the long-term objective of developing an Educational Model for the small-scale mining sector. Education is a critical entry point for organization and formalization of the small-scale mining sector. The training program is being designed and implemented in such a way that it can serve as a tool for formalization for both governments and miners. The project is working to position itself such that the Government of Ecuador can carry recommendations and groundwork achieved through the project forward in the long term, with participation from other relevant Ministries under the Coordinating Ministry of Strategic Sectors as well as the Coordinating Ministry of Human Talent. This project works at both the local and national level government levels (at the local level, the project partners with municipal governments and local mining associations).


Partner Role

Ministry of Mines and its institutions: INIGEMM, ARCOM

The Ministry of Mines is the primary project partner in decision making; INIGEMM is the primary project partner in implementation; ARCOM is a critical partner for providing information


University of Machala, Red de Investigación Geológica Minera

Through the project we are working to develop a strong research network with Academics from Ecuador and internationally, in order to strengthen data-based policy design and government decision making

Municipal Governments (Zaruma, Portovelo, Ponce-Enriquez), Small-Scale Mining Associations

As Zaruma, Portovelo, Ponce-Enriquez have been the areas chosen for pilot implementation of the project, local leaders are important stakeholders to provide access to the community, provide input on activity design, support activity implementation, and are the ultimate recipients of much of the project work.





Government turn over or unforeseen events lead to changed priorities for Ecuadorian government

2 3 (E.g. Feb 2017 Ecuador presidential election); This program is non-partisan and addresses long-standing priorities for the target mining regions. However, as this project is working directly with the Ministry of Mines as the primary partner, a change in government could have high impact. To mitigate this risk, we have been following the political situation closely, engaging multiple levels of government to enable continuity during turn-over or change at single level, and engaging the community so that the initiative can be advocated for at a local level if a change in government requires it. The Feb 2017 election resulted in a continuation of the same party, and indicators suggest that the Minister of Mines will stay the same, therefore perceived probability of turnover is low at the moment.

Participants leave jobs, champions within institutions are lost

3 3 We are pursuing formalized commitments through good documentation with institutions to ensure that the program will continue in the event certain individuals leave or are no longer able to participate in the program; Furthermore, we are working to engage community champions and local academic champions who are less likely to leave their positions within the life of the project and for some time afterwards.

Insufficient support for local partners to take forward

2 2 Continued activity post-project funding is a long-standing challenge for development projects. In Ecuador, this project aims to address this by


recommendations of feasibility study and inter-ministerial action plan

ensuring collaborative design of an action plan to be carried out after the completion of the project. Furthermore, CIRDI is coordinating activities with the UNDP, whose $8.5M National Program for the environmental Sound Management and Live Cycle Management of Chemical Substances will begin implementation as the CIRDI ASM Ecuador project draws to a close, and will be able to carry forward some of the project activities and recommendations


Transformation of Artisanal and Small-Scale Mining in Colombia [2015-024A]

Project status: Inception

Start date: September 2016

End date: March 31, 2018

Country(s): Colombia




Client/Beneficiary: Government of Colombia, Miners, and citizens of Choco region

Role of local government or regional institution in the project: Implementing partner





Core activities:




Convene (25%)


QUARTER Q1 Q2 Q3 Q4


1100 - Improved use of information for decision-making on implementation of “substraccion” policies in ancestral gold mining areas in former conflict zones.

1200 - Increased trust and confidence between government, miners and communities on resource governance issues to support formalized and responsible mining practices.

Immediate outcomes

1110 - Improved knowledge of livelihood and resource issues related to gold mining for vulnerable populations (i.e. Afro-Colombian, Indigenous and women)

1120 - Improved access to geologic information to better inform exploration and environmental management practices in protected areas.


1210 - Improved willingness of stakeholders to engage (particularly vulnerable populations) in participatory decision-making processes that facilitate formalization and regulation of the ASGM sector.

1220 - Strengthened processes for engagement and dialogue between government, miners and communities on mineral resource governance and geologic information.

Outputs 1111 - Dialogue facilitated to engage stakeholders in Choco on key resource governance and resource management issues for the ASGM sector.

1112 - Anthropology research undertaken on traditional gold mining practices adopted by Afro-Colombian and indigenous communities, including ethno-historic antecedents of miners.

1113 - Ethnobotany research undertaken on


mercury-free gold recovery practices using native plant material.

1114 - Ethics review drafted, proposed and approved in accordance with tri-council requirements.

1121 - Assessments conducted for improved mineral exploration to reduce environmental footprints of mine operations in protected areas.

1122 - Short-course (5-day) developed on improved mineral exploration techniques to reduce environmental impacts from ASGM in community Rio Bebara and Bebarama.

1123 - Training delivered to local miners and authorities on the geologic province (i.e. minerology, surficial geology) of the region surrounding Rio Bebara and Bebarama.

1211 - Facilitate dialogue on policies and regulatory instruments to support environmentally sound, safe, and economically efficient mining


practices in “subtraccion” zones.

1212 - Research dissemination workshop facilitated for ASGM stakeholders sharing all local data collected and major research findings planned for publication.

1213 - Peer reviewed article published in academic journal on major research outcomes from Output 1112.

1221 - Terms of Reference (TOR) for ASGM Transition Committee drafted and agreed upon to address local implications of the Peace Process and strategies to facilitate formalization at the local level.

1222 - ASGM Transition Committee established (based on already existent organizational structures) to address local implications of the Peace Process and formalization policies at the local level.

1223 - Road-map to Formalization for the ASGM Transition Committee developed and endorsed with plan to implement over


the next 5 years at the local level.


Q1 Q2 Q3 Q4

Colombia, (Project Inception), National Mining Agency, Geological Survey, Ministry of Environment, Choco Miners Association

Colombia, (Anthropological Study, Geology, Transition Committee TORS) National Mining Agency, Geological Survey, Ministry of Environment, Choco Miners Association, Local and regional government, miners

Colombia, (Processing, Mineral Exploration course) National Mining Agency, Geological Survey, Ministry of Environment, Choco Miners Association, Miners, local and regional government

Colombia, (research dissemination workshop, Roadmap to formalization), National Mining Agency, Geological Survey, Ministry of Environment, Choco Miners Association


Progress on integration of cross-cutting themes:

Progress has been made on all cross-cutting themes within the project design.

Gender – Through meetings with a variety of organizations in Colombia on the topic of ASM in remote areas, a common and pressing concern emerged: the negative impact of boom/bust cycles in ASM on families and, in particular, on women. Hence, gender-responsive project design is a priority for CIRDI in order to ensure our interventions are strategic and impactful. For instance, due to the prevalent use of mercury to extract gold from whole and concentrated ore, women are particularly vulnerable to mercury poisoning. This suggests that maternal health and child welfare will be priorities for community engagement and project implementation. The project logic model includes outputs specifically aimed at better understanding gender issues in ASM in the pilot community, and working with women on addressing these issues.

Environment – Due to the informal nature of the ASGM sector in Colombia, it is estimated that 97% of all small-scale gold mines operate without environmental permits. Miners lack access to secure land tenure, basic geologic data and formal markets, which deepen social inequalities and results in deforestation, biodiversity loss, chemical contamination and river siltation, endangering human and ecosystem health. A large portion of the project will be aimed at improved environmental practices and awareness raising on how reducing, and where feasible, eliminating mercury use in gold processing can increase profits and minimize environmental harm. Mercury use in the ASGM sector represents one of the greatest threats to watersheds in Colombia due to its potential for bioaccumulation across food chains, infinite persistence and extremely toxic nature. This project will aim to better understand this issue and promote training to reduce mercury emissions for economic prosperity and environmental conservation.

The project logic model includes outputs specifically aimed at understanding environmental impacts of ASM in the pilot region. This information will be useful to both the Ministries of Environment and Mining of Colombia when evaluating ancestral rights of Afro-Colombian and indigenous populations for possible changes to the Forestry Reserve. As well, this project aims to reduce impact on the environment at the exploration level by improving the capacity of miners to conduct exploration activities that have less negative impact on forestry resources.

Governance – The project aims to bring together the government, the FARC and communities in a project aimed at understanding and transforming natural resource governance in the ASM sector. Peace agreements achieved through four years of negotiations between the Government and the FARC reflect a historic turning point, particularly for rural communities where the guerillas maintain strong social, economic and physical presence.


While the FARC’s acceptance of democracy and the market economy represents enormous progress, negotiations continue and create new challenges for supporting peaceful FARC demobilization and transition to formalized economic activities. Ultimately, CIRD’s project activities aim to create an enabling environment for formalization through the education of miners and government on topics related to improved resource management and land-use planning at the pilot scale.

In addition to addressing gender issues in the pilot area, this project will also address issues around improving women’s participation in the governance of gold panning associations as well as in community governance structures. Increased participation of women in governance structures, particularly in leadership roles, is believed to enhance the efficacy of efforts to formalize the sector in the pilot project location.


Partner Role

National Mining Agency Partner, Mine Policy, Substraccion, Roadmap to Formalization

Ministry of Environment Partner, Forestry Reserve Policy, Substraccion

Geological Survey of Colombia Partner, Geological Information for improved Prospecting

Choco Miners Association Partner, Nexus for Community buy-in, trust and confidence building, Training, information dissemination

Regional Government of Choco Partner, Trust and confidence building, training, dissemination of information





Upcoming federal election of 2018, reduces will of government offices to engage in the project

3 2-4 depending on how it impacts will to work in Choco

Maintain close communication with all federal departments and continued work to ensure that project objectives are not seen to bring any risk to departments from a political perspective. Work with executing level of federal Agencies on issues that are not seen to bring impact on national political level.

ELN conflict with Paramilitaries and or armed Narco-traffickers

2 4-5 depending on extent of conflict and proximity to project region

Maintain close communication with Canadian Mission in Colombia, Federal Departments, UN organizations, and Security advisor on issues related to conflict between ELN and others. Plan missions to the field with federal agencies, UN


reaches project region

organizations with access to reliable and current information on conflict in the region. Be prepared to postpone or cancel any activity due to any indication that there may be a security risk.

Competition or disagreement between government departments slows progress

1-2 2-4 depending on depth of disagreement or competition

Maintain close and regular contact with all departments. Identify any indication of possible disagreement early. Work together with partners to ensure that project activities are not seen to contribute to the disagreement.


Rapid Social Performance Review of the Ahafo Benefit Agreements [2016-004]

Project status: Active

Start date: March 2017

End date: August 2017

Country(s): Ghana


Actual spending to date: 0


Client/Beneficiary: National and sub-national government agencies of Ghana; local stakeholders and mining-affected communities that are currently or potentially signatories to BAs.

Role of local government or regional institution in the project: The Ghana Minerals Commission and other national stakeholders will support the project through interviews.




Core activities:



This research case study is part of a larger project on community benefit agreements which is currently under development.

QUARTER Q1 Q2 Q3 Q4


Improved formulation and implementation of Benefit Agreements (BAs) in Ghana to enhance the environmental and social impacts of BAs for the target communities.

Improved formulation and implementation of Benefit Agreements (BAs) in Ghana to enhance the environmental and social impacts of BAs for the target communities.

Immediate outcomes

Increased number of Ghanaian national and local government staff, community leaders and other relevant stakeholders who possess enhanced knowledge of, and ability to access information on, BA


implementation in Ghana, as well as global leading practices.

Outputs Completed community consultations and stakeholder interviews, including with national and local government, community representatives and other relevant stakeholders, identifying opportunities and challenges with implementation of current Ahafo BAs to enhance the societal benefits of the agreements.

Finalized report evaluating the implementation of the Ahafo BAs, including policy recommendations and identification of global leading practices.

Disseminated final report evaluating the implementation of the Ahafo BAs through the project team, local partners and online platforms


Q1 Q2 Q3 Q4

Travel to Ghana for approximately 8 days of interviews and community consultations in the Ahafo region and 2 full days in Accra for meetings with the Minerals Commission and other national stakeholders.


Gender: Ineffective benefit agreements (BAs), whether by ineffective negotiation and design, or by insufficient implementation, tend to aggravate gender inequalities by exacerbating income inequality and reducing overall revenues and benefits flowing to effected communities. By contrast, strengthening the BA development and implementation process can ensure more equitable distribution of revenue and benefits flowing to the community, thus empowering women and children, as well as men and the full community. Interviews carried out during the field research will identify and engage with male and female stakeholders in order to gain a full range of community perspectives, and ensure equal participation and benefit in training and advising activities.

Environment: Environmental protection is a direct output of an effective BA process, preventing resource over-exploitation and the degradation of land, water and ecological resources. By targeting the BA process,


this project will generate new knowledge on how to create and execute BAs that are effective from both a social and ecological perspective. It will provide national governments and communities with the resources they need to effectively advocate for their interests throughout the BA process, be it economic, social, or environmental.

Governance: Resource extraction in developing nations can be rife with conflict between companies, communities, and government. While BAs can and have been an effective mechanism to mitigate that conflict, they can themselves become hotbeds of controversy where the BA formulation and implementation processes have fallen short of sufficient. Through desktop studies and one field mission, the project team plans to identify what is working well with the Ahafo BAs, and what could be working better with regards to the overall implementation of the agreements, including governance, consultation, environmental and social monitoring, revenue transfer, job creation, contracting opportunities, and community ownership. This research will contribute to the improvement of BA implementation by working with stakeholders to ensure that BAs will provide positive outcomes to agreement signatories and developing nations as a whole.

The project will be managed in a transparent and accountable way, and ensure the utmost respect and collaboration with country partners.


Partner Role

Africa Centre for Energy Policy, Accra, Ghana Co-authors of report; in charge of dissemination in Ghana





Permission to undertake interviews and consultations is revoked

1 5 Team members have been in follow-up communication (from the scoping study) with the Ghana Minerals Commission and other stakeholders.

Key stakeholder(s) refuse to meet with team

3 2 Team leads conducted a scoping study in 2016 to determine level of interest; all stakeholders were enthusiastic. Team members have continued to build trust and provide a venue for open communication.

Member(s) of team do not complete their promised work on report or dissemination

1 2 The team lead has been in regular contact with team members and all are enthusiastic about the project and passionate about the mission. The design and content of the deliverables has been discussed with team members, ensuring buy-in from all.


CIRDI Learning programs [2015-learning]


Start date: Initiative Specific


Country(s): Ghana, Tanzania, Suriname, Argentina, Global (CIRDI priority countries)



Budget forecast for FY2017-18:

Client/Beneficiary: Developing country governments, post-secondary institutions and communities

Role of local government or regional institution in the project:


1100 – Fiscal & regulatory governance – 33.33%

1200 – Integrated resource management – 33.33%

1300 – Livelihoods & employment – 33.33%

Core activities:

Educate & train – 40%

Convene – 40%

Apply Research – 20%


QUARTER Q1 Q2 Q3 Q4


1100 – Improved formulation and implementation of gender-responsive extractive sector policies, regulatory frameworks and revenue investment plans that integrate environmental sustainability leading practices.



1300 – Improved formulation and implementation of gender-responsive extractive sector policies and

affecting employment and local content that integrate environmental sustainability and


1300 – Improved formulation and implementation of gender-responsive extractive sector policies and

affecting employment and local content that integrate environmental sustainability and


health and safety leading practices.

regulatory frameworks

health and safety leading practices.

regulatory frameworks

Immediate outcomes

1110 – Improved ability of male and female targeted developing country government staff to innovate, adapt or adopt leading global practices for gender-responsive extractive sector policies, regulatory frameworks and revenue investment plans that integrate environmental sustainability leading practices.

1120 – Increased number of men and women with the critical and creative skills to understand and implement gender-responsive extractive sector fiscal policies, regulatory frameworks and revenue investment plans that integrate environmental sustainability leading practices.





1310 – Improved ability of male and female targeted developing country government staff to innovate, adapt or adopt global leading practices in gender-responsive extractive sector policies and regulatory frameworks affecting employment and local content that integrate environmental



1310 – Improved ability of male and female targeted developing country government staff to innovate, adapt or adopt global leading practices in gender-responsive extractive sector policies and regulatory frameworks affecting employment and local content that integrate environmental


sustainability and health and safety leading practices.

sustainability and health and safety leading practices.

Outputs 1111 – Advice about global practice on extractive sector policies, regulatory frameworks and revenue investment plans delivered in areas of mine closure and mineral economics.

1121 – Strategies and curricula to address skills gaps delivered in the environmental management of mine sites.

1111 – Advice about global practice on extractive sector policies, regulatory frameworks and revenue investment plans delivered in areas of mine closure and mineral economics.

1112 – Research and comparisons about policy gaps applied related to mine closure.

1121 – Strategies and curricula to address skills gaps delivered in environmental and gender aspects of ASM and large-scale mining.

1111 – Advice about global practice on extractive sector policies, regulatory frameworks and revenue investment plans delivered in areas of mine closure and mineral economics.

1121 – Strategies and curricula to address skills gaps delivered in environmental impact assessment.

1311 – Advice about leading global practice extractive sector policies and regulatory frameworks affecting employment and local content delivered in the formalization of ASM.

1111 – Advice about global practice on extractive sector policies, regulatory frameworks and revenue investment plans delivered.

1121 – Strategies and curricula to address skills gaps delivered in the environmental management of mines.

1311 – Advice about leading global practice extractive sector policies and regulatory frameworks affecting employment and local content delivered in ASM.


Q1 Q2 Q3 Q4

Suriname Argentina Ghana TBD

Peru Tanzania

Kenya


Gender: Gender inclusivity is an important element of CIRDI’s training and is incorporated into all our programs regardless of the focus of the training. One example is mine closure training. While these courses were primarily focused on technical aspects of mine closure, social engagement and gender inclusivity were part of the curriculum and group exercises. Participants were presented with leading practices from jurisdictions like Canada, but also guidance that large international mining companies are using at their operations and projects. As we develop other course, we will continue to include elements of gender equality, particular courses focused on community engagement and environmental assessment.


CIRDI is also developing a specific course on Gender and ASM that is designed for government, communities and industry. This training will be delivered this year.

Environment: A key element of the training plan is to address the environmental aspects of mine development and operation. This a core element of mine closure training as well as environmental training and community engagement courses for both the ASM and large-scale sectors that will be developed and delivered in the coming year.

Governance: All the training programs will have a technical and governance aspect. The technical focus will ensure that that government personnel and other trainees understand the science (physical and social science) and engineering behind mining before considering aspects of policy development, regulation and governance. Workshops that lead trainees from current policies to global-leading practices will be a key to our learning programs. This is demonstrated in the mine closure training.

From a curriculum development point of view, a team of experts and practitioners will oversee the development and delivery of material to ensure it meets the quality and focus on developing country governments.


The training programs will involve a number of number of different partners on a case-by-case basis. The role of the partner will be refined as training plans are finalized. At the start of this year we are in discussion with the following partner organizations.

Intergovernmental Forum on Mining, Metals and Sustainable Development (IGF): partner on mine closure training in Suriname as a follow-up to an IGF country assessment. We expect to partner with the IGF on other training as the year progresses

Asia-Pacific Economic Cooperation (APEC) and the Artisanal Gold Council (AGC): partner on gender and ASM training in Peru and Papua New Guinea (countries still to be confirmed).

Industry (IAMGold, Newmont, Goldcorp, Lundin mining): industry is supporting our training by providing case studies, mine site tours and guest speaking spots. We are also in discussion about supporting logistics for training programs in 2017-18.

Tanzania Mining Association: we are hoping to partner with the Tanzania mining association and local industry to support training at the mine site for government officials.





Course material is not prepared for training

2 2

Course development is scheduled well in advance of training and progress is monitored closely. It is possible that delivery may need to be delayed, or alternative experts will need to be retained for the development and training.


Expert(s) not available for planned training

2 2 CIRDI has established a network of experts available to support our work. In most cases alternative experts are available to support training if someone pulls out of the project.

Partnerships are not finalized

3 2 Course delivery and focus may need to change depending on the level of support from partners. The scope may need to be reduced if a cost-sharing partner are not finalized.

Security Risks in country increase

2 4 Training is currently planned in relatively low-risk countries and locations. However, some training may need to be rescheduled, moved or cancelled if the security situation changes.


Scholars and Fellows Program [2013-003]

NOTE: The scholars and fellows program is not a project in itself. It is a mechanism managed by the coalition partners and used to support other projects that deliver on the Institute’s expected outcomes. It also fits within CIRDI’s overall learning program [2015-Learning].


Start date: March 2015


Country(s): Global – CIRDI priority countries




(UBC & SFU only; EPM budget for scholars & fellows is included within project [2014-009]).

Client/Beneficiary: Project-specific

Role of local government or regional institution in the project:

Theme & CIRDI outcome(s): 1100 – Fiscal & regulatory governance

1200 – Integrated resource management

1300 – Livelihoods & employment

Core activities:

Educate & train


QUARTER Q1 Q2 Q3 Q4


Applications and expressions of interest received, and candidates selected for awards related to CIRDI projects and through associated faculty at coalition institutions.

Scholars/fellows/interns receive visas, are issued airfare, are placed in suitable accommodation, and gain admission to coalition universities.

Progress reports and end of program evaluations, as well as tracking of financial expenditures and TORs submitted.

Reports and evaluations as well as publications and communications pieces from first completed fellowships submitted.

Program alumni engaged and alumni follow up activities planned.

Immediate outcomes

Scholars, fellows and interns (women and men) recruited and trained from CIRDI priority countries in areas related to CIRDI program areas.

Scholars (women and men) trained and receive degrees from coalition institutions.

Trained scholars, fellows, interns and supervisors report satisfaction with training/learning received as high or very high (progress reports, final report, surveys)

Scholars, fellows, interns and supervisors report quality of scholarship/fellowship/internships as high or very high (progress reports, final report, surveys).

Scholars/fellows/interns and supervisors report knowledge enhancement and skill development as high or very high a result of scholarship/fellowship/internship


program (progress reports, final report, surveys)

Scholars/fellows/interns working on CIRDI projects demonstrate concrete examples of how their work contributes to achievement of CIRDI outcomes and mandate. (job descriptions or TORs)

Tools created or case studies / papers published based on scholarship/fellowship/internship learnings by alumni. (follow up survey)

Program alumni indicate use of skills and knowledge gained in current job in home country.

Scholars/fellows/interns occupy positions in home country that correspond to level of training received through scholarship program (follow up survey)

Outputs Enhanced capacity and knowledge of developing country scholars/interns/fellows related to the development, management and governance of their country’s extractive industries in order to stimulate economic growth and reduce poverty.

Opportunities provided for selected government officials, community leaders and academic faculty to take part in in-Canada immersion programs.

International postgraduate students from client countries enabled and encouraged to study at Canadian Universities to engage in Institute projects that benefit their home-nation.

Faculty from client-country Universities provided opportunities to both observe and as colleagues also take part in teaching graduate programs and research.

Fellows supported in their own learning, research and curriculum development activities.

Enduring relationships and a network of CIRDI-alumni developed


Q1 Q2 Q3 Q4

N/A


Gender –– Gender is a consideration in recruitment of participants, with an aim of equal representation of women and men amongst participants. CIRDI works to ensure that males and females are targeted equally in terms of outreach and that there are no barriers to participation from either gender. CIRDI has also been involving fellows in development of case studies and training curriculum as well as panel presentations on gender and mining and will continue to seek opportunities for such involvement in CIRDI’s gender work.

Environment – While the implementation of the program does not have a direct impact on the environment, mitigating and managing environmental impacts of the extractive sector and sustainable development are encouraged as a focus of research for scholarships, fellowship and internships. For example, fellowships may focus on mitigating the effects of mercury and other pollutants related to gold mining and processing in artisanal and small scale mining.

Governance – A key component of CIRDI’s mandate is a focus on integrating economics, community, environment and governance related to the extractive sectors and enhancing responsibility and transparency standards in the governance of the sector. Participants (fellows) may drawn from government agencies in developing countries related to the extractive sector including Health, Environment, Mining and so forth who are seeking to enhance their capacity to define laws, policies and standards related to the management of the extractive sector in their countries. Mining’s impact on the human rights of employees and surrounding communities is a serious and important issue that may be addressed by sponsorship of fellows from civil society and community organizations


working to address these at the local level or who are lobbying for policy and legislative changes at provincial and federal levels.

NAMES AND ROLES OF IN-COUNTRY PARTNERS (if different from client/beneficiary): Project specific.

Partner Role

University of British Columbia Implementing partner

Simon Fraser University Implementing partner





Total amount of budget for scholarships program will not be disbursed by the end of the current contribution agreement.

4 3 The program budget is actively being monitored and outreach activities are occurring on an ongoing basis. Within the two-year period remaining, the more smaller awards for fellowships will be implemented.

Difficulty in promoting the program and opportunity more widely in target developing countries.

4 3 CIRDI has reconsidered its outreach strategy and is more actively promoting calls for fellowships applications among project and academic partners in order to ensure that not only a small pool of candidates are aware of the program and that it is reaching its intended beneficiaries.

Current monthly living allowances may make it difficult for senior academics or government officials from

4 3 CIRDI has consulted with Global Affairs Canada but an increase in the monthly living allowance was not approved. CIRDI has found creative solutions such as low-cost shared accommodation and has also made the monthly budget and the fact that it may not cover all living expenses during fellowships clear to prospective applicants.


developing countries to participate in the program.

Award recipients may not implement learnings back to home country institutions or may stay in Canada.

3 3 Make efforts to recruit applicants that show a strong potential of transferring their learning inputs back to their home country institutions. CIRDI to implement follow up surveys to ascertain how learnings are being implemented by past awardees upon their return to their home country/institution.


D) Mission calendar *Additional missions are anticipated this year that have not yet been planned.

COUNTRY ACTIVITY PROJECT PARTICIPANTS

Projected Q1 (April – June, 2017) Activities

Colombia Project Inception Transformation of Artisanal and Small-Scale Mining in Colombia [2015-024A]

M. Ellerbeck, National Mining Agency, Geological Survey, Ministry of Environment, Choco Miners Association

Dominican Republic Inception Visit Unlocking Mineral Potential and Improving Mine Safety in the Dominican Republic’s Artisanal and Small-Scale Gemstone Mining Sector [RRM2017-002]

M. Ellerbeck, Ministry of Mines

Dominican Republic Geotechnical mine safety analysis

Unlocking Mineral Potential and Improving Mine Safety in the Dominican Republic’s Artisanal and Small-Scale Gemstone Mining Sector [RRM2017-002]

BGC, Ministry of Energy and Mines

Ghana Continued data collection by field researchers

Blazing the Path to Formalization: Artisanal Mining, Wealth Creation and Rural Livelihoods in Ghana [2015-010]

G. Hilson, R. Maconachie

Vancouver / Montreal Project support Supporting Capacity-Building and Multi-Level Governance of Small-Scale Gold Mining: A Collaborative Project on Mercury, Deforestation and Rural Livelihoods in Indonesia [2014-077]

S. Spiegel

Suriname Mine Closure Training Partnerships and Learning Portfolio [2016-005]

R. Stevens

Peru Assessment of IBAs/CBAs + Collaborative Governance and Engagement Practices in EIs in Peru +Co-Lab AQP program implementation

Strengthening Collaborative Practice and Enhancing the Role of Universities as Development Partners – for Inclusive Growth in Peru [2014-017]

K. Henriksson, J. Francis, K. Dilworth, Insight GE

Peru Delivery Course 1 – April Education and Research for Integrated Water Resource Management in Peru [2014-071]

N. Kunz, H. Schreier

Peru Delivery Course 2 – May Education and Research for Integrated Water



Resource Management in Peru [2014-071]

Peru Delivery Course 3 – June Education and Research for Integrated Water Resource Management in Peru [2014-071]


China Peru Water knowledge dissemination

Education and Research for Integrated Water Resource Management in Peru [2014-071]

A. Xavier

Colombia IFC Sustainability Exchange 2017

Program Support and Development

E. Pura, A. Xavier, B. Klein

Kenya European Environmental Bureau, UNEP and Zero Mercury Working Group conference on ASGM

Program Support and Development

K. Dales

Burkina Faso Project support Governance Strengthening Program of the Extractive Sector in West Africa [2014-009]

S. Courtemanche

Mali / Burkina Faso Project support Governance Strengthening Program of the Extractive Sector in West Africa [2014-009]

G. Rivard

Côte d’Ivoire Project support Governance Strengthening Program of the Extractive Sector in West Africa [2014-009]

G. Rivard

Senegal Project support Governance Strengthening Program of the Extractive Sector in West Africa [2014-009]

H. Laplante; P. Beauchemin

Projected Q2 (July – September, 2017) Activities

Colombia Anthropological study, geology, transition committee TORS


M. Ellerbeck, National Mining Agency, Geological Survey, Ministry of Environment, Choco Miners Association, Local and regional government, miners

Dominican Republic Continued project work on geology

Unlocking Mineral Potential and Improving Mine Safety in the Dominican Republic’s Artisanal and Small-Scale Gemstone Mining Sector [RRM2017-002]

M. Ellerbeck, National Mining Office, Geological Survey

Dominican Republic Continued analysis of geotechnical mine safety and training

Unlocking Mineral Potential and Improving Mine Safety in the

M. Ellerbeck, BGC, Ministry of Energy and Mines


Dominican Republic’s Artisanal and Small-Scale Gemstone Mining Sector [RRM2017-002]

Vancouver Research activities, engaging with UBC researchers on BP2F Research on the periphery

Blazing the Path to Formalization: Artisanal Mining, Wealth Creation and Rural Livelihoods in Ghana [2015-010]

R. Machonacie

Indonesia Workshop Supporting Capacity-Building and Multi-Level Governance of Small-Scale Gold Mining: A Collaborative Project on Mercury, Deforestation and Rural Livelihoods in Indonesia [2014-077]

S. Spiegel

Argentina Workshop Partnerships and Learning Portfolio [2016-005]

R. Stevens

Peru Training Partnerships and Learning Portfolio [2016-005]

R. Stevens

Peru Identifying and Developing Inclusive Impact Measurements in Mining Contexts + Digital Innovation for Shared Governance pilot + Women and Mining +Co-Lab AQP + Leadership and Collaborative Governance program


Insight GE, H. McTavish, G. Hernandez, K. Dilworth, U. Lula

Peru / Canada Gender Field Research Education and Research for Integrated Water Resource Management in Peru [2014-071]

A. Carlier

Peru LATAM Water and Mining Dissemination / Program Development – August


A. Xavier

Peru Peru Water project knowledge dissemination PERUMIN – September


A. Xavier

Burkina Faso / Senegal In support of university project component

Governance Strengthening Program of the Extractive Sector in West Africa [2014-009]

R. Simon; G Larouche

Projected Q3 (October – December, 2017) Activities

Geneva IGF 2017 Partnerships and Learning Portfolio [2016-005]; Program Support & Development

TBD


Colombia Processing, Mineral Exploration course


M. Ellerbeck, National Mining Agency, Geological Survey, Ministry of Environment, Choco Miners Association, Miners, local and regional government

Dominican Republic Project Closure meeting Unlocking Mineral Potential and Improving Mine Safety in the Dominican Republic’s Artisanal and Small-Scale Gemstone Mining Sector [RRM2017-002]

M. Ellerbeck, Ministry of Energy and Mines

Ghana Closing workshops Blazing the Path to Formalization: Artisanal Mining, Wealth Creation and Rural Livelihoods in Ghana [2015-010]

G. Hilson, R. Maconachie

Indonesia Workshop Supporting Capacity-Building and Multi-Level Governance of Small-Scale Gold Mining: A Collaborative Project on Mercury, Deforestation and Rural Livelihoods in Indonesia [2014-077]

S. Spiegel

Ghana Training Partnerships and Learning Portfolio [2016-005]

R. Stevens

Tanzania Training Partnerships and Learning Portfolio [2016-005]

R. Stevens

Kenya Training Partnerships and Learning Portfolio [2016-005]

R. Stevens

Peru Research cont., Co-Lab AQP; + Leadership and Collaborative Governance program


K. Henriksson, C. Mendez, J. Alonso, K. Dilworth

Peru PWP Dissemination and Program Development


A. Xavier

Peru Ancash Research Workshop


A. Xavier

Peru Research activities Education and Research for Integrated Water Resource Management in Peru [2014-071]

A. Xavier




R. Simon; G. Larouche; G. Rivard

Projected Q4 (January – March, 2018) Activities

Peru Research activities Education and Research for Integrated Water Resource Management in Peru [2014-071]

A. Xavier

Peru Participatory Monitoring Workshop


A. Xavier, UNDP



R. Simon; G. Larouche; G. Rivard

South Africa 2018 Investing in African Mining Indaba

CIRDI Ethiopia SUMM Project; Program Support and Development

I. Vilandre, TBD

Toronto PDAC 2018 Partnerships and Learning Portfolio [2016-005]; CIRDI Ethiopia SUMM Project; Program Support & Development

C. Doyle, K. Dales, R. Stevens, I. Vilandre, TBD

Peru Completion of programs, wrap-up with assessments and results analysis


K. Henriksson, J. Francis, C. Mendez

Colombia Research dissemination workshop, roadmap to formalization


M. Ellerbeck, National Mining Agency, Geological Survey, Ministry of Environment, Choco Miners Association


E) Organizational Chart


F) Revised Risk Register – Risk Management

Risk Definition Risk Response Investment LM Result Statement

Residual Risk Level – Very Low/ Low/Medium/High/Very High

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OPERATIONAL RISKS

OP1

Difficulty maintaining qualified staff and staff structure necessary to deliver on Institute’s mandate given the diminishing time left in CIRDI’s partnership grant.

Planned activities to engage and develop staff in order to support the team and issues related to high work load. Inspire and motivate staff with the vision of their potential contribution to improving the quality of life and reducing poverty in developing countries, and fully involve them in decision-making about the Institute’s priorities and activities. Dedicate resources to staff and team development.

1100 1200 1300 1400

L = Low I = High

L = High I = High

L = Med I = Med

OP2 Strategic partners do not deliver on commitments to the Institute.

Activities underway to engage and encourage strategic partners in meeting their commitments on funding and/or in-kind. Identify new partners to contribute to CIRDI’s international program while maintaining a broad network of contacts. Careful targeting of practitioners and corporate partners for pro bono expert contributions.

1100 1200 1300 1400

L = Very Low

I = Very Low

L = Med I = High

L = Med I = High

OP3 Funders moving away from supporting development work in the area of “extractives”

Develop program opportunities that profile CIRDI’s broad competence in the areas of environmental assessment and management, integrated water and resource management, governance and community, public sector capacity building, and gender and natural resources.

1100 1200 1300

L= Low I = Low

L = Low I = Low

L = Low I = Low

OP4 Outcomes agreed upon are not delivered within schedule.

Program managers assigned to each CIRDI project with clear accountability for project management with realistic schedules and careful monitoring of outcomes. A dedicated position to provide support for strong M&E reporting and PMF implementation.

1100 1200 1300

L= Low I = Low

L = Low I = Low

L = Low I = Low




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OP5 Difficulty sustaining the initial level of full-time staff and other fixed costs beyond the funding term

Program development set as top priority for FY with new Director and steering committee to achieve results on Institute’s sustainability planning Careful budget control on staffing

1100 1200 1300 1400

L= Low I = Low

L = Low I = Med

L = Low I = High

FINANCIAL RISKS

FIN1 Loss of funding from significant strategic partners.

Focused engagement with strategic partners to secure funds and or in kind contributions. Concerted efforts to acquire additional funding for the institute. Close attention to ensuring all in-kind projections are realized at the project level. Continued effort to develop new strategic partner relationships, which will help offset any loss of funding from existing partners.

1100 1200 1300 1400

L = Low I = High

L = Med I = High

L = Med I = High

FIN2 Inability to stay within the budget approved by Global Affairs Canada.

Carefully and regular financial reporting and monitoring to diminish the likelihood of this risk. This oversight will be the responsibility of the Executive Committee and the Finance and Audit Committee with representatives of the Coalition.

1400 L = Low I = High

L = Low I = High

L = Low I = Low

FIN3 Funding provided to service providers (including strategic partners and coalition members) is improperly tracked.

Ensure that all activities provide a detailed budget that is managed centrally. Use efficient financial systems to track disbursements (advances & payments).

1100 1200 1300 1400

L = Low I = High

L = Low I = High

L = Low I = High

FIN4

Potential conflicts amongst various service providers (including strategic partners and coalition members) regarding tracking budget and finance.

Ensure all Institute finances are monitored, transparent, and audited annually. Make procedures and forms related to Institute initiatives available on the Institute website.

1100 1200 1300 1400

L = Low I = Low

L = Low I = Low

L = Low I = Low

FIN5 The Institute will not achieve financial self-sustainability within the five-year funding term.

An extension of one year to the contribution agreement secured to provide additional time to achieve sustainability, as outlined in CIRDI’s Future Growth plan. Strong management structure in place to push program development across all CIRDI programs. Business development opportunities identified (Development banks and

1400 L = Low I = Low

L = High I = Med

L =High I = High




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other donor agencies) building on relationships that CIRDI has established.

FIN6 Competing initiatives prevent the Institute from meeting its financial objectives and/or delivering its programs.

Identify other potential financial sources (extractive industries, financial institutions, other donor agencies, other government organizations). Modify programming and take competing initiatives into consideration.

1400 L = High I = High

L = Med I = Med

L = Med I = High

DEVELOPMENT RISKS

DEV1 Gender blindness and resistance to gender mainstreaming.

Gender inequality incorporated into all CIRDI program activities including activity performance management, design, and evaluation. Incorporate learnings from dedicated CIRDI activities on gender that have taken place. Seek new opportunities for CIRDI to lead on issues related to women and natural resources.

1100 1200 1300

L = Low I = High

L = Low I = High

L = Low I = High

DEV2

Major economic change and/or political turmoil in a developing country may cause governments to limit the continuation of successful programs.

Close monitoring of all program activities. Use lessons learned from previous experience to facilitate handling of conflict situations. Identify “work-arounds” in regions to allow programming to continue where there is security and stability.

1100 1200 1300

L = Low I = High

L = Med I = High

L = Med I = High

DEV3 Reluctance to adopt environmental standards.

Consistently connect the importance of environmental standards to long lasting economic development, improvements in standards of living, and real reduction in poverty Dedicated attention to environmental management within CIRDI’s learning program, and identify environmental expertise within project teams.

1100 1200 1300

L = Low I = High

L = Low I = High

L = Low I = High

DEV4

Opposition (usually by workers) to workplace safety regulations that could expose government or industry to legal repercussions due to prior working conditions.

Apply occupational safety as one of CIRDI’s top priorities and values to all initiatives. Adhere to the International Labour Organization (ILO) standards on occupational safety and health. Advise developing country governments on existing legislation and regulatory framework to

1300 L = Low I = High

L = Low I = High

L = Low I = High




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improve workplace safety. As part of the Institute selection process, assess the current extractive sector safety conditions and trend lines in the developing country. If safety conditions are unacceptable, require the government to commit to improving safety conditions before it can qualify for consideration for an Institute program. Reject initiatives if the Institute’s program is unlikely to be accompanied by an improvement in safety conditions.

DEV5 Violations of human rights/labour standards are associated with the Institute, its Institutes or its partners.

Establish human rights as a value to be incorporated in all CIRDI’s programs. Monitor and report any illegitimate practices regarding human rights/labour law violations. Clearly state, on website and in any agreement, the Institute’s policies regarding human rights and labour law.

1100 1200 1300

L = Low I = High

L = Low I = High

L = Low I = High

DEV6 Strategic direction of the Institute veers away from its mandate during the funding term.

Board of governors and upper management of coalition members will ensure regular monitoring of Institute activities. Select Institute executive board members to ensure broad representation and sound judgment. Monitor performance of members of the Institute executive board.

1100 1200 1300 1400

L = Low I = Low

L = Low I = Med

L = Low I = Med

DEV7 Non-equitable distribution of benefits.

Promote more effective resource revenue management; provide policy advice and technical assistance related to fair distribution of benefits. Advocate for the Sustainable Development Goals (SDGs), the Extractives Industries Transparency Initiatives (EITI) and the Revenue Watch Institute’s mandate.

1100 1200 1300

L = Low I = High

L = Low I = High

L = Low I = High

REPUTATION RISKS

REP1 Incidents occurring in developing countries may be unjustly linked to the Institute’s work.

Develop strong communications products to ensure understanding of CIRDI’s programs and impact, applicable to all reputation risks (REP1 to

1100 1200 1300

L = Low I = High

L = Low I = High

L = Low I = High




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REP4). Maintain transparency to directly respond to accusations levied by critics. In the event of a serious issue of perception regarding a negative impact of the Institute’s activities in a country, engage in public consultation on the matter of concern, and if appropriate support an independent review and analysis of the situation.

REP2 Unanticipated environmental consequences resulting from activities.

In the event of a serious issue of perception regarding a negative environmental incident associated in the public mind with the Institute’s activities in a country, engage in public consultation on the matter of concern, and if appropriate support an independent review and analysis of the situation. (The substance, as opposed to the reputational effects, of this point is covered in DEV3 and DEV4).

1100 1200 1300

L = Low I = High

L = Low I = High

L = Low I = High

REP3 Accusations of improper conduct within developing countries.

Clear standards and regulations established for staff, to hold individuals accountable, and accept Institute responsibility of failures alongside a commitment to procedural changes to avoid future problems. The process of refining regulatory and administrative procedures should be transparent and consult external expertise.

1100 1200 1300

L = Low I = High

L = Low I = High

L = Low I = High

REP4

The Institute is perceived as responding primarily to the needs of Canadian stakeholders rather than those of developing country actors.

Ensure that the Institute and its initiatives are responsive to governments of developing countries through priority consideration for the executive board and advisory council and management committee. Enlist support from the Canadian embassies and high commissions abroad to promote the Institute and its mandate.

1100 1200 1300

L = Low I = Low

L = Low I = Low

L = Low I = Low

OVERALL RISK LEVEL L = Low I = Low

L = Med I = High

L = Med I = High

Annual Work Plan For the period: April 1, 2017 March 31, 2018 … · 408-6190 Agronomy Road...

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