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Draft Guidance for Governments on Managing Artisanal and Small-scale Mining

9th ICGLR-OECD-UN GoE Joint Forum on

Responsible Mineral Supply Chains

5th May 2015

Dan Paget

Lead Author

daniel.paget@politics.ox.ac.uk

Introduction

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We developed a shared diagnosis of the

shortcomings of ASM Management

Governments usually knew what objectives

to set, but not how to achieve them in the

face of various obstacles

These included:

• Challenges of implementation

• Challenges of strategy

Scope of the Guidance

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This Guidance is comprehensive in scope.

It is not intended for governments in only one region.

It is not intended for management of some minerals and metals, but not

others.

It is intended to be used by governments, but also by other stakeholders in

ASM management.

Therefore, it is not primarily concerned with conflict minerals and supply

chain initiatives.

Structure of the Guidance

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The Guidance is organized into three phases:

Phase 1: Pre-ASM Management Strategy Development

Preparation to manage ASM by forming an ASM Taskforce, a

stakeholder forum and commissioning research on ASM

Phase 2: Development of an ASM Management Strategy

Deciding what instruments and initiatives to use and what purposes they

should have.

Phase 3: Implementation of the ASM Management Strategy

Deciding how to execute those instruments and initiatives

How to use the Guidance

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The purpose of the Guidance is to offer advice to users about

how a government can manage ASM.

Guidance is organized as a process that a government can

follow section by section to manage ASM from start to finish.

The Guidance can also be used as a reference manual.

The Guidance lists 19 instruments and initiatives that

governments can employ to manage ASM.

Phase 2 explains when each of them should be used.

Phase 3 explains how each of them should be implemented,

individually.

The contribution of the Guidance

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The Guidance offers advice about how to make ASM

management:

• Strategic. It advises how governments can best pursue their

objectives

• Context-specific. It offers different advice to governments

under different circumstances.

• Cohesive. Instruments and initiatives that a government

employs in a strategy should be designed to have different

and complementary roles.

• Realistic. It repeatedly offers advice intended to ensure

governments only attempt what is feasible.

Differentiating strategy

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Form a Vision.

ASM is an umbrella

category.

Treating ASM

operations as the

same leads to a

‘blunt’ strategy.

Divide ASM into

subtypes to

sharpen ASM

management.

Develop sub-

strategies.

Develop two approaches to ASM management

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Choosing a License and Regulate Approach

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If a government decides that it has sufficient monitoring and

enforcement capacity, it should employ a License and Regulate

Approach.

Legalization: administer a licensing system, and close down

ASM operations that do not acquire licenses.

Formalization: set regulations for ASM operations, and sets

sanctions for those that do not, which end in revoking licenses.

Regulation: Regulation can be used to make ASM operations

improve their practices. Set regulations to balance incentives

Other instruments and initiatives can be used to improve ASM

practices further.

Alternatives to a License and Regulate Approach

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Choosing a Promote Good Practices Approach

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A Promote Good Practices Approach is what a government does

when it has no way of making ASM operations to improve.

A government encourage or incentivize ASM operations to adopt

good practices, without forcing them to.

Education and training: teach practices that are in the interests

of ASM operations, ASM workers, or ASM stakeholders.

Clean processing plants. Technical assistance and services.

These techniques can all be used under a License and Regulate

Approach, but they are more important when they are

substitutes for, not complements to monitoring and enforcement.

Choosing a Promote Good Practices Approach

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The advice offered is realistic, context-specific and strategic.

The Guidance helps governments choose instruments and

initiatives as part of a cohesive package.

We hope that by following this advice, government can

overcome challenges of strategy and implementation.

Choosing a Promote Good Practices Approach

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This presentation does not tell you everything about the

Guidance. Please download it and read it.

This Guidance is a draft, and we expect there to be

improvements that we can make

We welcome suggestions and contributions that can further

improve this document.

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Dan Paget

daniel.paget@politics.ox.ac.uk