The transformation and successful development of small-scale mining enterprises in developing countries

Jeffrey Davidson

This paper is based on the author's keynote speech, which was delivered to the United Nations Interregional Seminar on Guidelines for the Development of Small/Medium Scale Mining, Harare, Zimbabwe, 15-19 February 1993, in his capacity as Managing Director of the International Agency for Small-Scale Mining (Small Mining International).

The United Nations Department of Economic and Social Affairs published its seminal report on Sniiill Sceilc Miniii<g iii Do\-dopiii,g CoiiiirricJ.s ( 1972) over 20 years ago [ 191. Since then, six major international meetings have taken place at Jurica, Mexico (1978); Taxco, Mexico (1981): Helsinki, Finland (1983): London, U K ( 1987): Ankara, Turkey ( 1988): and Harare, Zimbabwe (1993). a s well a s two important regional seminars in Mombasa. Kenya ( 1980) and Calcutta, India ( 199 I ) . all specilically devoted to the prospects for and problems of small-scale mining in its national and international con- texts. The World Bank has also commissioned and pub-

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The author is with the Department of Mining and Mct;illurgicnl Engineering. McGill University. 34.50 University Street, Frank Dnwson Adnins Building. Room 20. Montrual. Quebec H3A 2A7. Canada.

lished a major review of the issues surrounding small- scale mining [ lo] . while the United Nations Economic and Social Council's Committee on Natural Resources has been affirming the importance of small-scale mining a s a valid policy issue for developing countries since 1985 1201.

After 20 years of much discussion and some action, how much progress has actually been made on the ground ?

A review of past experience finds that many of the same issues. problems and constraints identified in 1972 persist today. For the most part, small-scale mining has been benignly neglected or simply ignored. The attitude of many national governments and major donor agencies has been one of ambivalence and uncertainty, with the result that small-scale mining has remained a non-item on the national development agenda. despite increasing

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i 11 terna t i ona I interest and recog n i t ion of i t s deve I opine n t potential. When effort and capital have been invested. more often than not. the focus has been on actions to mitigate its ‘adverse’ impacts on larger-scale. export ori- ented mineral development and mining operations. But inore recently, ;I growing number of countries have taken positive, albeit piecemeal. steps to try to anielio- rate some of the subsector’s most visible problems, while a handful of countries have committed themselves to more integrated approaches and systematic policies for the promotion and strengthening of small-scale mining.

Recent efforts have focused primarily on establishing appropriate legal niches for small-scale mining. Efforts to address the equally critical. but more nitty gritty tech- nical, managerial, educational, financial and marketing support requirements, as well as even thornier political/social issues related to participation. production and environment, iire only now taking shape.

Definitional issues The problem of what exactly defines a small-scale min- ing operation has been widely discussed (eg [ 10,18,19]). Various criteria have been suggested, including mine output, labour productivity. organization of the enter- prise, level of technology and others. I n a few cases, countries have established their own legal definitions. which have been straightforward (eg Peru. Ghana. Chile), or quite complex (eg India). reflecting local prac- tice and reality. While i t may be important to be able to clearly identify the target coinmunity of miners and entrepreneurs for reasons of legal and institutional sup- port, the debate over what constitutes ii small mine has at times been so heated and difficult. defying the best efforts at universal classification and definition. that i t has impeded the discussion of other substantive issues as, or even more. critical to the future wellbeing of the subsector.

For the purpose of this discussion a broad distinction is made between manual or low technology. very small- scale mining, sometimes referred to iis artisanal or ‘peasant’ mining, and small-scale commercialized min- ing using modern, adapted industrial technology. I t is also acknowledged that intermediate organizational for- mats exist.

While ;I hard core of full-time ’peasant’ (artisan) min- ers does exist, the majority of participants are part-time. seasonal ond speculative miners. who move in and out of mining as need or desire dictates. The level of partici- pation is intensified when new deposits of easy to work. high value minerals are found (eg sapphires in Rwanda: gold in Piipua New Guinea (Mt Kare), Brazil (Roraima). and the Philippines ( M I Dilawao)): or when once restricted areas iire opened to local participation (eg the

di:iniond lields of Angola in 199 I : thc goldficlds of Ghana in 1989). Conversely. activities decline when minable ore reserves are deplctcd (eg Serra Pelada, Brazil). or where once Licccssible deposits are closed to further exploitation (eg the Amazon Indian reserves i n Roraima and the Born Futuro mine, Brazil). These Huc- tuations i n the level of activity can be so severe ;it times as to unbalance what little stability is lent by the minori- ty of fulltime committed miners. and they certainly co I our the ad in in i strati ve percept ion of very sin ;i I I - sca I e in i n ing as a transient. lid / r o c . . uncontrollable ;ic t i v i t y .

‘Peasant’ artisanal mining is typically low tech. and limited to near surface workings of precious minerds. strategic metals. industrial mi nerds and in ineral based building materials. Artisanal mines and quarries may or may not be legally registered. Virtiiiilly all ’informal’ (illegal) mining is artisanal. although high levels of management and organization exist i n some illicit operations .

I n contradistinction. semimechanized and mechanized mining are. with few exceptions, org;inized. formal activities. I n all the major mining countries of Latin America. i n part of Asia. and i n Zimbabwe, there is a I ong hi story of smal I , sem i mechan i zed. coin me rc i al I y viable mining. undertaken by local entrepreneurs or by formal cooperatives. Unfortunately. this experience is h i g h I y c i rc uin sc r i bed. I n most deve I o p i ng co ti n tries where mining occurs. there is ;I glaring disparity between the very small operations of artisanal miners and the medium to large state and foreign owned mines. with few or no small commercinl ventures in operation.

The dilemma of artisanal mining In diverse areas of the world. iirtisanul mining has become the principal livelihood for millions of miners and their families and the mainstay of local rural economies. During periods of environmentnl or econom- ic stress. i t has met the needs of a much wider popul:i- tion. to whom i t has provided the wherewithal sufficient to stave off further hardship. While artisanal mining has assumed an important. and at times even critical eco- nomic welfare function in many countries, i t also hns its downside.

As a migratory and trnnsient activity for many. i t has historical I y been high I y disorganized, di ftic 111 t to moni - tor. characterized by inefficient mining and processing practices, and ii part of the inforinal economy. Its ad hot. nature has resulted i n ii myriad of secondary problems including loss of mineral resource: local environmental degrudation: unsafe and harsh working conditions: tem- porary. often wretched living conditions: economic exploitation of mineworkers by unscrupulous tinanciers, in i ne opera tors. in i nera I traders and I ;I w enforce men t officers: and even the c / c fircto dispossession of existing

316 NA‘IURAL RESOURCES FORUM November I993

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preliminary results suggest that transformation i s not out of reach, and that the investment of time and resources on the part of governments, international organizations and local institutions and associations is worthwhile.

communities and aboriginal groups. Because much arti- sanal activity involves the mining of high value, low bulk, easily marketable and exportable commodities, it is prone to illegality, if not in the mining, then i n the marketing. For government authorities, this aspect has proved most problematic. given the loss of government tax revenues and foreign exchange earnings, and the violence and criminal activity that may follow.

The transformation of artisanal mining Proponents have argued that artisanal mining. i f proper- ly organized and supported, has the potential to become ;I basis for related value-added economic activities, and to provide the raw material inputs for domestic manu- lactiiring and fabricating industries. I t can expand employment and income earning opportunities i n rural areas, help to sustain rural lifestyles and communities, and generate additional income for both local and national economies. It can be rationalized and fornial- ized; made more efficient. economic, safe and environ- mentally benign. I n other words, artisanal mining can be constructively transformed, and its character changed to increase its benefit potential and eliminate or at least minimize its disadvantages.

However. the ‘constructive’ reconfiguration of arti- sanal mining may mean different things to the various parties concerned. To artisan miners, it may simply mean enfranchisement of their mining rights. and easy access to finance. equipment and markets, without any upgrading of management and technical skills. To others, the objective may be to create opportunities to regroup artisanal activity into organizational units which are more conducive to mechanization or more systeniat- ic, environmentally sensitive mining; or to build up a technically and commercially viablc small-scale indigenous mining industry, which can become a spring- board for the effective participation of local people at all scales of activity.

The pace and ease of the transformation will be influ- enced by the past mining experience of the country (see 151). Those countries which have a history of domestic involvement and ownership i n a small to medium-sized commercial mining sector will have a head start. Historic precedents and legal and social frameworks for the commercial organization, operation and ownership of mines by local people already exist. This is the case in Bolivia, where the technological improvement and upscaling of artisanal operations have been facilitated by the existence of a skilled workforce, ie retrenched com- mercial mineworkers, who understand the value of more systematic, scientific mining.

Despite the challenges, the process of formalizing and upgrading very small-scale mining has begun in many countries. Experience is beginning to accumulate, and

An overview of progress in the small-scale mining sector

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One of the m i i n areas of progress has been in the legal recognition of mining rights 121. I n some countries, arti- sanal mining of certain commodities, especially precious and semiprecious minerals, has only recently emerged from the shadow of illegality. I n other countries, arti- sanal mining is not only officially sanctioned. but is now being encouraged. Revised or new mining codes and regulations that legitimize artisan activity have been promulgated in Brazil, Ghana, the Philippines, Zimbabwe and Guyana, and are now being prepared in Zambia, Swaziland, Angola, Guinea, Benin, Oman, Ethiopia and Namibia. In some countries, however, the approach has remained erratic and piecemeal, with efforts focusing on particular problems or issues. For example, Surinam recently extended formal recognition of prospecting and mining rights to artisanal miners working in the southern part of the country; an action that would appear to be aimed primarily at securing an acceptance of government authority in the region 191.

Some efforts have been made to accommodate and promote large- and small-scale mining realities within the same legal framework, but the ability of these two realities to coexist has at times been shaken by the scramble to exploit the same resource (eg Bom Futuro, Brazil; Andacollo, Chile; Aredor, Guinea; Mt Kare, PNG; Amatok Grand Project, Philippines 121 1; and Bizkaitarra, Venezuela, to name but a few).

Guarantees of access to prospective ground are a cru- cial concern for the rationalization and orderly develop- ment of artisanal mining activity. Without reasonable opportunities to mine, artisanal miners will feel com- pelled to disregard the law and preexisting rights in order to secure their own livelihoods, even in countries where artisanal mining has been legalized.

Governments must be prepared to move beyond the establishment of legal frameworks, to identify deposits and areas amenable to small-scale development, includ- ing the preliminary evaluation of their technical and economic viability at d rent levels of operation. Security of tenure should be respected in such areas. At the same time the barefoot prospecting potential of the artisanal miner to locate new. large deposits should be preserved, and transferability of title permitted under certain conditions subject to safeguards and protection for the deposit’s finder(s), as well as for the local

N A T U R A L RESOURCES F O R U M November 1993 317

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communities. Coincidentally. recent legislation on arti- sanal mining prohibits transfer of mining rights. but this particular restriction. meant as a safeguard, may prove to be problematic in certain situations. where the frac- tionation of a larger orebody by small miners may work against its efticient, economic and safe recovery.

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In a number of countries (eg Brazil, Namibia, Zimbabwe, Guinea and Ghana), complementary and non-competitive relationships of convenience have occasionally emerged between small miners and multi- national or state mining companies. Companies have allowed artisanal miners to rework tailings (abandoned areas of operating mines). or marginal areas of their concessions, often on the understanding that dl or part of their production would be sold to the company for a fair price. Some of the chromite cooperatives operating on the Great Dike in Zimbabwe work on concessions owned by large mining companies, and sell all or a por- tion of their production directly to the mining company. Diamond diggers in Akwatia, Ghana, worked the mar- ginal zones, inaccessible to the state mining company's dredges. In Uis. Namibia, tributers had for many years delivered t in ore to the mining company's processing plant. This relationship survived the shutdown of the company's own underground operation in 1990. but was finally severed with the recent shutdown of the proces- sing plant.

Many governments are still involved in the buying and marketing of domestic mineral production. Existing state mineral processing and/or marketing corporations have generally retained the preemptive right to buy all or selected mineral commodities produced domestically, whether by large or small miners, and to sell that pro- duction internationally. Those arrangements are being increasingly resisted by medium- and large-scale min- ers, who have the desire and wherewithal to deal direct- ly with consumers.

Some governments have left the marketing business altogether. Bolivia and Peru have recently closed their Banco Minero (mining banks) which, among other ser- vices, purchased the ores of small and medium miners at stabilized prices. For the small miners. however. gov- ernment organized buying of non-precious minerals can sometimes be of critical importance. particularly where the possibility of complementary. mutually bene ticial relationships with local medium- or large-scale miners and processors does not exist. Otherwise. small miners are at the mercy of local and internationnl mineral traders, who do not always deal with small producers on a fair and equitable basis.

Most surviving government buying schemes focus on precious minerals, specifically gold and coloured stones.

These buying schemes usually require that all or ;I tixed proportion of production be sold to the national bank or to individual or corporate buyers licensed by the goverii- ment. These schemes have encountered many d ties in attracting the production of the informul miners. or even the production of those small miners that oper- ate legally. In the past, as little as possible was sold through legal channels. This situation continues to per- sist a s a major problem i n many countries. such ;IS

Nigeria, Burkina Faso. Zaire. Brazil. Rwanda, Surinam. Central African Republic. Angola and Venezuela.

Where governments have been prepared to pay com- petitive international prices in foreign exchange or i n local currency tied to free market exchange rates. clan- destine sales have been reduced (eg Ghana, Chile). Recently, the Bank of Tanzania overhauled its gold buy- ing scheme and is now offering prices tied to the pwallel market value of the shilling. The Government of Guy:ma is now buying gold at the free market price and making half of the payment in foreign exchnnge. The most nidi- cal attempt to depart from past practice has been that o f Peru, which is now working to establish ;I free and open market for both the sale and purchase of gold.

I n the case of gemstone m:irketing. progress has been more haphazard. The Zambian government sponsored and organized its tirst gemstone auction i n I99l. with buyers i n attendance from dl the mqjor cutting centres. and had mixed success in getting local producers to sell openly. Colombia. trying to regularize its own emerald trade, hopes to establish Bogota as the international buy- ing/auction centre for emernlds. In Myanmar. the gov- ernment has tinally legalized smallholder production i n the form of two-year joint venture agreements with the state. i n which nationals must give the government buy- ing agency tirst choice of their production. Previously. virtually all smiillholder production was sold illicitly.

The Vietnamese govern men t has t ake n ;I not he r approach. Ruby mining is ;I relatively new activity ( 1 988). which is estimated to involve over I0 000 people [ 71. The government recently entered into ;I joint venture agreement with ;I Bangkok based trading and fabricating company to set up :I buying system and 1oc;iI factory for the cutting and polishing of rough stones. which will then be exported to Europe and other parts o f Asia [ 691. The rationale was to provide ;in accessible and fair market for the rough stones. ;IS well ;IS value- added em p I o y mcn t and re ven i t e gene rat i ng op port t in i t i es for the country .

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I n tandem with creating ;I more welcoming rcgiil~itory ~ i n d i n ve s tine ii t frame w ork . ;I 11 um her o f coil 11 t r i e s (cg G han a, Bo I i v i ;I. the PI1 i I i pp i ne s and t lie S A DC co ti n - tries) have also secured internntionnl assistnncc to

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sustained: Peru and Bolivia both closed their mining banks this past year. ENAMl's role ;IS a credit agent to the small-scale subsector was dramatically curtailed for ;I time. but i t has now affirmed its cominitment to tind- ing constructive. renewable ways of assisting small min- crs financially.

Commercial lenders have been reluctant to tinance anything but larger or well established projects. Despite the general reluctance. ;I few of the development banks have looked for and found creative alternatives. The Asian Development Bank, for example, has committed itself to setting up ;I well capitalized loan fund and programme to support the development of a small- scale coal mining industry in thc Philippines. The prqject involves identifying smoll operators for ass i stance to mec han i ze iind rat iona I i ze the i r iii i nes . The Inter-American Development Bank participated i n ii

group financing. along with the Andean Development Corporation. Bolivia's Banco Minero and the Ectimenical Devclopment Cooperative Society, to finance an industrial mincrals prqject directed by ii min- ers' cooperative in southern Bolivia. Just over US$2 million i n loans were ninde available.

International charities and religious organizations have also advanced credit to small miners in a number of countries. Credit is provided in the form of loans, usunlly given to organized groups of miners ie coopera- tives or associations. In almost all cases, this money has been used to upgrade mining technology. nnd has led to signiticant productivity. and i n some cases, to dramatic employment increases. Since I988 the Ecumenical Development Cooperative Society has itself advanced close to US$I .S million in loans to mining cooperatives for mine rehabilitation and mechanization projects 131.

complete ground and air reconnaissance surveys. and to organize geological information and establish ;I point of dep;irtiire for more detailed esploration efforts. Investment studies have or are now being completed. and strategies for investment promotion implemented. Such efforts huvc been rewarded with new investment. of which almost dl has centred around medium to large projects.

Some of the major international mining houses have i n i t i at ed co tit act w i t h I ocnl i n i n i ng coo pe rat i ves or con- munities which hold mining rights to or are already operating on gold deposits with large production poten- tial. Mitsiibishi made overtures to the miners' coopera- tive at Serra Pelada. Brazil. Rio Tinto Zinc entered into ;in agreement with the Sari Luis cooperative i n Ecuador. A landmark agreement was reached between CRA Ltd of Australia :ind ;in incorporated group of local landowners in Papila New Guinea to mine the surface deposits ;it Mt Kare. These relationships have the effect of rep I ;ic i ng art i smal and s m a I I commerc i ;I I in i nes with I arge-sc a le mec hnn i zed operations , o ffe r i ng I oc ;I I i n i ners :ind claimholders ;I share of the returns. ;is well as new training and employment opportunities.

The recent formation of independent foreign investor groups with an interest in mining investment should open the door to new tinmcing possibilities for small commercial operations. However, the minimum size limit for this sort of financing thus far appears to be around US$5 million. This figure seems to be regarded as the dividing line between projects which have the potential to be commercially remunerative and those whose potential rewarcis cannot justify the higher risks. Implicit here is the idea that prqjects of US$S million aiici ovcr can carry the costs of the scientific manage- ment. engineering staff and technology required to run ;in efficient. protitable mining operation. This cut off denies tinancing to smaller. locally promoted mining investment opportunities. but can potentially underwrite commercial mining at the high end of small scale.

Additional attention must be paid to investment pro- motion for smaller miners, whose needs have been total- ly neglected to date. Mechanisms for promoting, implementing and securing both foreign and domestic investment (for example. the establishment of local equity markets) for small mining ventures i n developing countries need to be defined and set in place.

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Historically. institutions such as the Banco Minero of Bolivia and Peru. mid ENAMI i n Chile have provided financing for domestically owned small commercial mining operations. The banks. however. were never run ;IS commercinl operations themselves; loans became subsidies and grants. Such bank operations could not be

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Recently. innovations in mining and processing equip- ment have occurred in ii number of developing coun- tries. For example, ;I diesel powered wet processing machine for alluvial gold ores was developed in Zimbabwe, and has been adopted by large mining com- panies for secondary processing. and by small miners for primary production. The machine has been exported for use in a few other African countries. I n Ghana the S ma I I -Scale M in i ng Prqject has been experiment i ng with different contigurations of riffled wooden sluice boxes and gravity feed water control systems in order to improve gold recoveries. using locally available materi- als. A programme is now being developed to facilitate their distribution and use.

A unique opportunity has been provided by techno- logical refinements to heavy metal separation and placer recovery systems. New equipment, developed by relatively small Northern hemisphere equipment

NATURAL RESOURCES FORUM November 1993 319

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manufacturers and murketed primarily :IS exploration and assaying tools tor larger enterprises. has the poten- tial to be used as production plants for larger artisan and upscale operations. Unfortunately. marketing efforts have not yet reached parts of the developing world, where the technology might find great applicability. But even i f the technologies became locally available. i t is still, in many developing countries. beyond the tinancial capacity of artisan miners to acquire such imported equipment on an individual basis.

Many technological innovations that may be applica- ble or adaptable to small-scale mining have not yet dif- fused to developing countries. This is due to ;I variety of trade. marketing. licensing and capital shortage barriers. Many innovations that have been developed and intro- duced locally. i n developing countries themselves, remain unknown to small miners wrestling with similar problems in different ports of the world. Ways must be explored to remove obstacles and facilitate technology llow in all directions.

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The extent of the environmental risks posed by small- scale mining, ;IS compared to large-scale mining. may continue to be debated, but the potential for serious adverse impacts under mineral rush conditions cannot be disputed. Under such circumstances. miners are often inexperienced, and not disposed to respect preexisting rights or uses of land. Impacts on the biophysical environ- ment are concentrated and direct. brought ;iboiit by the high level of ucl /roc. unplanned and sometimes dangerous and irrational mining. Such has been the case with allu- vial gold mining i n the Amazon basin. where river sys- tems have been contaminated by the careless use of mercury for amalgumution. and riverine environments widely damaged by uncontrolled mechanized stripping of river banks and beds. Both small manual md mechanized mining operations have contributed to these problems.

I n Zimbabwe illicit artisanal activity dong certain river courses has reached gold rush proportions during recent years. The government. recognizing that i t had a potential environmental disaster in the making. moved swiftly to establish ;I regulatory framework that would fac i I i tate supervision and the minimization of en v i ron - mental damage from manual mining along public wuter- ways 1221. I t gave local councils an economic stake in the control and supervision of local artisan operations. ;ind limited the right to mine to local residents. Some resistance has been encountered from the local councils. which are hesitant to be involved in monitoring an activ- i ty of which they have little or no technical knowledge or untlerstanding. I f these problems caii be resolved, a workable mechanism for dealing with future mineral rush situations will be established.

At the artisanal level. technologies and mining strate- gies now exist that would ullow for the mitigation. i t not e I i m i nat ion. of ni any en v i ron men t n I 1iaz:il-d s ;I nd impacts. However. the introduction of even simple inno- vations to mining practice and technology do n o t easily take hold. Low cost retorting technology for mercury recuperation has been made availnble to wtisanal gold miners in a number of countries. but has been ignored or misapplied. Even i n carefully planned, ph:ised introduc- tions (eg the GTZ pilot prc).ject at Sotomayo. Colombia). its adoption was initially resisted 14, I3 I. The availability of appropriate technology and its cost m:iy not be tlie issue i n sucli cases. While teclinologicul and organiza- tional alternatives to the use of hazardous chemicals and procedures need to be evaluated and tested i n the field. in many situations. successful hnzard reduction may hinge ;IS much on political will and educational action ;IS

on the availability of sound regulations and technologi- cal alternatives. The Ghana government recognized this problem when i t accepted tlie non-performance likeli- hood of reclamation by artisanal operators, nnd chose i nst ex1 to assume u I t i mate res poi1 s i bi I i t y for rec I ;I i m i ng abandoned areas.

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Women ’ s participation i n small -scale mi n i ng , w h i 1 e growing. is still relatively limited. While women ure involved in almost all aspects of small-scale mining. i nc I lid in g e nt re pre ne u ri ;I I , production, market i ng and support services. certain roles and functions remain closed or greatly restricted to them. Apart from the tlifli- c 11 It ies that a1 I snial I -sc ale miners face, the xkt i t ional obstacles to fu l l participation that women face ;ire sonie- times legal. but more often cultural or social.

I t is not yet possible to quantify or even to untler- stand. except in the most general and qualitative terms. the reality of women‘s pnrticipntion i n this subsector. National statistics. if any. do not survey workforce par- ticipation on a gender basis. Social and economic stud- ies of smull-scale mining ;it both the macro and micro scale are few. while gender aspects and issues have .just begun to be explicitly addressed I I I ] . Yet for women to be able to take better advantnge of the opportunities pre- sented by this activity. the most debilitating constraints will need to be clearly identified. understood in terms of their impact on the various ways i n which women c;in participate. and ultimately ncutralized.

Efforts to develop national policies of action specilic to women operating in this subsector must recognize :md account for local realities. A m:ijor role of goverii- ments will be to ensure that gender issues are incorp- orated i nto the country ‘ s pol i t i ca I agenda. N ;it i ona I initiatives will need to redress the information pip before being able to contemplate the design and

3 20 NATURAL RESOURCES FORUM Novembcr I993

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Indonesia, much of Latin America and in Zimbabwe and other African countries.

implementatioii of strategies for shaping condirions which will Alow for greater mid more effective partici- pation of women at all levels.

Non-government organizations. public institutions mid the private sector also need to recognize that they have an important and constructive role to play in this process. which in its preliminary phases will have to i nc I ude :

the collcction and analysis of information on gender aspects and i ss lies assoc i ii ted wit h sma 1 I -sc;i I e in in i ng: identification. encouragement and org;inizution of tar- get women groups. for purposes of mutual support. comm 11 n i c;i t ion. se I tlie I p. t r:ii n i ng and de I i very of services: education of the general community, sensitization of the professional community and the promotion of educational. work. and entrepreneurial opportunities for women i n the subsector: and delivery of key support services which will facilitate women's entry and effective participation, such ;IS

child care. secured areas for children and first aid facilities. field schools and extension services located i n the ni i n i ng areas.

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A rt i s x i ;iI m i ne rs and smu I I en t rep re ne 11 rs have org a- nized themselves or have been organized by enterprising traders into miners' associations. The objectives of these associations are not all the same. nor equally ambitious. At their best. they were organized with the aim of pro- mot i ng. s 11 p port i ng. s t re ngt he n i ng and protecting the rights. welfare and interests of small-scale miners i n their respective countries. Many of them are concerned to provide their membership with access to information ;ind advice on technology. law. marketing. finance. mun- agement and safety: to organize training opportunities: to lobby and negotiate with the government on behalf of the interests of the membership: to identify. evnluate and promote new investment opportunities for their mem- bers: to provide a means for the peaceful resolution of disputes between members: and to secure better prices for the commodities produced by their members.

I n ;I number of countries. there are strong or emerging cooperative movements. Bolivia is ;I country where m uch s m a I I - scnl e m in i ng occ urs w i tli i n tlie frame work of cooperative organization. The mining cooperatives are themselves organized into district and national asso- ciations. The cooperative associations have. with vary- ing degrees of success. assisted their members to access information. technical istnnce. financing, equipment and the market p I ace. Cooperative organ i zii t i ons al so exist i n Brazil, the Republic of China, the Philippines,

Integration at the local and national level: some examples from Malawi, Zimbabwe and Ghana Apart from the various piecemeal efforts at improve- ment implemented in a variety of country contexts, attempts are now being made to integrate actions at both the grassroots and national level. These interventions have taken the form of local projects and national inilia- tives, undertaken by state government and/or local insti- tutions and non-government associations, often with international assistance. All of the efforts have had their share of problems and successes; all suggest that trans- formntion and upgrading of artisanal operations is pos- sible. although the path may not be easy or straightforward. A few of those efforts are briefly described below.

Mukiwi

The use of traditional wood burning kilns to calcine limestone had resulted in the production of low quality lime, as well as a serious deforestation of hardwood tim- ber resources in the south-central part of the country. The Department of Mines, working with a group of local limestone miners and assisted by the Intermediate Technology Development Group, set up an experimental vertical shaft kiln at Chenkumbi [ 14,151. The objectives were not only to improve the recovery and quality of the slaked lime, but also to develop an efficient and eco- nomical ki ln able to burn plantation softwoods or coal transported from the country's northern coal fields. Projected benefits included foreign exchange savings from the substitution of imported chemical grade lime for the sugar industry, and the conservation of increas- ingly scarce hardwood timber, but ii successful project would also assist in stabilizing the incomes and liveli- hood of over 1500 families dependent on lime produc- tion from the Chenkuinbi Hills.

Successful pilot studies resulted in the construction of a commercial-scale ki ln . A regional processing centre was set up to handle off-site materials, as well ;is on-site stone. Relatively minor modifications to traditional materials handling methods (wheelbarrows instead of manual portage) have resulted in major productivity improvements. Although the process of technology dif- fusion has taken longer than originally hoped, some of the neighbouring larger small-scale entrepreneurs have recently installed their own vertical shaft kilns, inclepen- dent of ITDG technical or financial support. The fuel saving alone is proving to be a major economic incentive for adoption, but the anticipation of greater

NATURAL RESOURCES FORUM November 1993 32 I

S l ? l a l l - s i Y l l r l l l ~ l l ; l l , y i l l t l r r ~ l ~ l l / ~ i l r g l ~ o l f l l l l ~ i c ~ s : . I . l ~ ~ l l ~ i l / s l ~ l l

efficiencies, higher quality product and improved income have also contributed. The new kilns have also provided another market for refractory bricks. which are now locally produced for the lime. as well ;IS other industries.

Zimtxihvtv~

I n 1989 ;I contract gold mill and training centre was set up in the Shamva mining area in the north-eastern part of the country. The Centre was established by the Zimbabwe Small-Scale Miners' Association. with assis- tance from the Intermediate Technology Development Group [ 141.

Most of the small artisan operations in the area are owned by private entrepreneurs, who pursue mining in conjunction with other income earning activities. Few of the owners had any previous mining experience; many did not reside on or near their mines, but employed local people to operate their claims. After studying conditions in the mining area, i t was decided that the improvement of employment conditions and the quality of life for the resident rural workers in the areas of small mines would first require the upgrading of operations and the achieve- ment of financial viability. Lack of technical and man- agerial skills, and lack of access to more efficient, mechanical mining equipment and processing facilities, were identified as major limiting factors.

Project activities were proposed to redress these deti- ciencies, including the provision of technical advice, mining assistance and processing facilities. technical and management training and information dissemina- tion. A processing plant was built and later improved and expanded. Extension courses were organized and offered, with assistance from a variety of government departments as well as the British Geological Survey [ 1,121. A for hire drilling and blasting service was implemented, a gold buying service organized, and a pilot mine opened.

While the Centre has raised the profile of the Sniall- Scale Miners' Association nationally and international- ly, not all activities have proceeded according to plan or operated at the level of effectiveness hoped for. For example, the processing plant has. from the start. been plagued by a variety of design and operating problems. Most problematic was the provision of full-time on-site technical staffing and support. which continues to be a concern. These problems have been serious enough to limit the appeal to and impact of the project on some area miners, but the level of support the Centre has engendered. both locally and nationally. has been suffi- cient to justify a continuing investment of effort and money. In addition, the Centre has served a s a model for efforts elsewhere in the country. One of the Association's regional affiliates has been successful in

securing EEC funding for ;I new regional mining and processing centre to be based i n the southern part of the country.

GllNlrCr

Since the 1eg:ilization of small-scale gold mining for Ghanaians in I9X9, the Minerals Commission of the Government of Ghana has been actively involved in promoting, supporting and trying to rationalize small- scale mining activities within the country [ 171. I t set u p ;I small-scale mining project that operates under its xis- pices and has received financial and technical support from World Bank loans and. most recently. from GTZ. The Project is responsible for ;I variety of activities. including administration of the new mining law. and the provision of technical and marketing assistance to the miners.

With legalizution came the registration of mining clai ins to G hanaiiuis. S imp1 i tied I kens i ng procedures were implemen[ed. and licensing fees shared with local government authorities. Eight district centres were established in the southern part of the country, each staffed by ;I mine engineer (project employee) anti ;I

mines inspector (provided by the Department of Mines) to register claims, provide technical advice. and encour- age the safe and productive operation of local mines. A liberalized buying scheme was set i n place. with prices that reflected the world market. paid out in local curren- cy pegged to the Forex Bureau rate (as opposed to the Bank of Ghana rate). Product can be brought to the Precious Minernls Marketing Corporation i n Accra for direct sales, or sold to licensed buyers operating in the districts; 3% of the value of the product sold is retained by the government for its land reclamation fund.

During its first four years i n operation [ X I . the project saw the registration of close to 400 properties, and the purchase of over 45 000 oz of gold. From 1989-9 I, approximately I20 million cedis were contributed to the I and rec lama t i o ti fund , though no s y s tern at i c rec I amn t ion work has been undertaken to date. A parallel support and buying programme was implemented for di:umond winners. although their legal statits had long been estab- lished. The purchase of diamonds from small-scale min- ers jumped dramatically from IS0 000 c;ir;its i n I989 to 540 000 in I99 I . While production dropped to 442 000 carats in 1992. small miners still accounted for over 90% of the country's total output. Together. the tliu- monds and gold mined by small-scale miners have con- tributed close to US$70 million in foreign exchange to the government of Ghana.

The project recently entered a new phase: its most recent work has taken the form of demonstration pro- jects, including the establishment of the Tarkwa Mining Centre. which will house an assay lab, ii government

322 NATURAL RESOURCES FORUM November I993

buying agency. the Mines Department office, and, potentially. a permanent demonstration processing plant. Another activity has involved the development of more efficient processing technology with the objective of being able to provide customized equipment packages that reflect the cost constraints and technical needs of individual mines. This is being done in collaboration with selected local fabricators. All equipment will be provided on a cash sale or loan repayment basis. Another recent initiative has been the establishment of a pilot credit facility i n the central region to provide equipment loans and working capital. Gender issues have also received attention: a preliminary study on the participation of women i n small-scale mining was recently completed [ I I I .

Considerable progress notwithstanding, complaints from both small and large miners continue to be voiced, focusing on such issues a s the limited availability of good ground for small miners. continuing encroachment on commercial mining concessions, concern over the buying of products poached/stolen by small miners, and the lack of opportunities for more ambitious, better capi- talized Ghanaian entrepreneurs to develop mines on a larger scale. While the revision of the mining and investment codes for large miners and the creation of a code for small miners has led, in large measure, to the tremendous growth i n exploration activity and new mine development by foreign investors and Ghanaians alike, the middle ground of opportunity for small mechanized commercial operations remains unexplored.

Based on the experience gained thus far, project directors have decided to reduce the number of district centres to three, and make the Tarkwa centre a major training, demonstration and administrative facility. In an effort to reduce the time lag between purchase and pay- ment, the establishment of PMMC buying offices in the three centres is also planned. Discussions have begun on including the development of industrial mineral opera- tions within the project’s mandate for action and over- sight. Finally, revisions to the Small-Scale Mining Law have recently been proposed to redress some of the par- ticipation and opportunity issues noted above.

Enabling conditions for successful transformation The transformation of nrtisanal or informal operations into commercially viable operations is possible. Progress can be facilitated by a nuniber of factors and conditions coming together for the entrepreneur at the same time. which include:

0 the availability of prospective ground; 0 implementation of unambiguous legal and regulatory

frameworks, in which all rights, obligations and responsibilities are clearly defined; permitting and reporting requirements which are not overly complicated or bureaucratic; and the guarantee of security of mining tenure; the cultivation of a mentality that allows the miner and/or entrepreneur to think of mining as a profes- sion, of hisher mine as a business, and of the ore deposit as an asset to be husbanded carefully; access to and assimilation of knowledge and skills required to run the mine in business-like fashion; to include basic accounting, management and marketing skills and a more than rudimentary understanding of prospecting, mining geology, mining methods, safe- ty, and concentrating techniques; access to a market within reasonable proximity to the mine, that will provide a fair return in relationship to local trade prices, or in the case of exportable com- modities, to international market prices; the availability and means of procuring the use of basic prospecting, mining, materials handling, pro- cessing and environmental control tools and technol- ogy, of reasonable quality, whether of a manual or mechanical nature; experience in their proper use and maintenance; access to enough capital to develop the mine, install appropriate equipment, commence production, bring the product to market, and survive any start-up prob- lems or delays in the receipt of payment for product; enforceable accountability to debt financiers and equity holders.

While a major obstacle to upscaling for local entrepre- neurs has been the lack of access to the capital necessary to implement mechanization, adequate financing alone is not a sufficient condition for a successful transition. Experience to date has demonstrated the importance of being able to make headway in all of these areas concurrently.

Can junior companies provide an alternative path? Some promoters have suggested that foreign owned junior exploration/mining companies can, on their own or in joint venture with local partners, rapidly establish new mining realities where none previously existed. Past experience, however limited, suggests that the process of transformation cannot be short circuited or kick started by simply opening the door to foreign min- ers. This approach has not proved to be effective for a number of reasons.

For one, the principal interest of many junior compa- nies is speculative; that is, to identify potentially inter- esting deposits, prove them up to a point, and then

NATURAL RESOURCES FORUM November 1993 323

sll lcll l-sl~olc l? l i l l i l l , y i l l dclY~lopilrg c ~ o l r l I / r ~ i c s : . I . l ~ c r ~ ~ i d s o l l

promote them to major mining companies on a joint venture basis or for cash and a residual interest. Speculative approaches have not resulted in the estab- lishment of commercially and technically viable small mines anywhere. What ensues, if anything, is the devel- opment of medium- and larger-scale, modern mechan- ized mining operations, owned and managed by large foreign mining companies [ 161. Examples of junior com- panies that have developed sinall mines to production on their own initiative without the serious involvement of local partners in the host developing country are rare.

There have been attempts by some junior companies and investor groups to work directly with local partners to develop new opportunities. They have set up local offices, entered into partnerships and applied for conces- sions, or bought into existing operations. Many prob- lems have beset these initiatives, however. The lack of well defined guidelines and administrative procedures for acquiring concessions antl mining permits, lor importing equipment etc have effectively derailed a number of well intentioned efforts, as bureaucrctic delays and renegotiations have stalled progress for months or even years. Too frequently, the occasional conflicts between foreign and local partners. or between the mining venture and local parties have been resolved on political, rather than juridical bases. Projects have also failed because of shortcomings in the experience and qualifications of the foreign management team, which adversely affected their ability to make technicnl- ly and financially sound decisions.

Small foreign companies do not have the financial base to endure long delays, or to become entangled in drawn out negotiations. nor do they usually have the political stature to short circuit bureaucracy. Their limit- ed ob.jectives. along with their own financial and man- agerial weaknesses, have reduced their capability to become effective vehicles for promoting the develop- ment of ii srnall commercial mining sector.

However, their tactical need to collaborate with and involve local counterparts i n decision making, in man- agement functions and in risk sharing is much greater than is the case for large companies. Hence. their poten- tial to contribute to the development of an indigenous mining sector holds out inore promise. Just a s for the artisnnal subsector, an essential prerequisite for success will be the creation of enabling conditions. These condi- tions must alleviate the most debilitating of the local constraints to external participation and .joint progress lor such partnerships to have even a reasonable chance of working.

Remaining challenges One of the strongest arguments for the promotion and strengthening of small-scale mining is its potential to

contribute to ru r;i I de ve I o pment and to i in prove ~ L I r;i I standards of living. Such ininin;! activities can provide ;I

basis for other economic activities. can contribute to the development of community infrastructure and can lead to improvements in the quality of life lor workers. their families, antl the community at large. The mine workers have the potential to become economically sell-sustain- ing, and net positive generators of wealth, much 01' which can be retained within the community. In many areas. small-scale mining already serves the v i t d func- tion of maintaining the ability of rural communities to survive in the face of extended drought, economic reccs- sion and ad.justment conditions.

For many individuals and communities, mining ;it an artisanal level offers the only feasible mode o f entry into the business of mining. This is not to suggest, or even imply, that in every situation i t should be activcly encouraged: but neither should it be forbidden. Rather. such interest and efforts should be nurtured and directed as much as possible into increasingly more efficient. safe and formalized types of operation. This will be especially important where no alternative models of domestic participation in industrial smnll-scalc mining exist.

I n many countries, the opportunity to engage i n such activities remains to be legally secured. Legalization is ;I

necessary. but not sufficient, condition for transforina- tion. and i t establishes ;I foundation for further construc- tive actions. Governments will need to rebuild investor confidence and establish the enabling institutional, fiscal and legal conditions that will allow lor the triinslormu- tion of small-scale mining ;it the artisanal level and its promotion on a more commercial scale. including:

recognition of and allowance for some of the subsec- tor's distinctive characteristics with i t i in i t i i ng codes, e 11 v i ronme ntnl and safety reg 11 I ;it i o t i s , and li scii I regimes. including security of tenure for both m i - sanal and coin me rc i nl in i ners ; es ta bl is h me t i t of J uri d i c;i I mec h an i sins lor co ti 11 i ct re so I l i t ion bet ween in i ti i ng interests, gove 1-11 me nt ;I nd in i ners;

0 s i in p I i ti cat io t i of registration, reporting aiid coin p I i - ance procedures;

0 implementation of lisciil inducements. such ;IS tax holidays and import duty waivers; lifting or limiting of restrictions on foreign exchange retention: and

0 creation of reserved iireiis for small-scale miners.

With the withdrawal of government from the market- place. dditioiial or new marketing chmiels conducive to the sale of product ;it lair or competitive prices will have to be identified and their developmcnt lostcred. These may include direct siiles/marketing iirrangements with offshore companies or local subsidiaries. or even the form a I i za t ion and st re ngt he n i ng of ex i st i ng local

324 NA'TURAL RESOURCES FORUM November I993

parallel markets. Particular efforts may have to be made to i de nt i fy xid at t r;ic t pot en t i ;iI buyers and I eg i t i in ate merch:ints of speciality ores. metals and gemstones. and ways found to bring them closer to the mines.

Governments should be further encouraged to recog- nize the constructive possibilities of working closely w i t h I oca I and i n te rn ;it ion ;I I lion -gave rninen t organ i x i -

lions: of expanding the scope for local participation. i nc I it ti i ng s pcc i al ii t te ti t ion to ed iica t iona I and gender issues nnd opportunities: of establishing technical sup- port facilities: of promoting local credit facilities. domestic re-investment i n the subsector. and partnership arI-angements with the domestic and foreign private sec- tor. ;IS well ;IS environmental responsibility. and O C C L I ~ ; I -

t i ona I safety . The foreign based private sector can play ;I positive

role i n the promotion of :I small conimerci:il mining industry. rind can also collaborate in the upgrading and i in prove men t of art i san:i I ;ic t i v i t y . The i r own d i rect in vo I ve men t i t i smal I -scale in in i rig may be h i g h I y I i in i t ed or noii-esistcnt. but their presence i n ii developing cow- try can have ;I positive intluence on smaller operations, should company management be so inclined. Coopcration and assistance can take ;I variety of forms. including joint venturing with l ocd entrepreneurs i n min- ing and in the provision of iiiicillary supplies and ser- vices: initiating complementary work and marketing relationships with indigenous small-scale producers: lending expert isc to both governmcnt and producers: vol- untarily returning marginal or small deposits to the n:itional mineral inventory: and joint or sole sponsoring of dcnionstr;it ion projects. training programmes. in i t i i ng schools. small miner awards and competitions etc. The private sector. both domestic and foreign. can also purtic- ipatc :IS equity owners and developers, i n marketing and fabrication ventures (value-udded activities). ;is licensed buyers. ;IS equipment manufacturers and iis distributors.

The activities of local and international non-govern- ment organizations have the potential to become the most effective gateways for action ;it the grussroots level. NGOs can greatly facilitate information llow and net- working (markets, resources, technology etc): technology development. its demonstration and diffusion in the lield: strengthening of local miners' associations and support groups: training aiid education: responses to environmen- ti11 and gender participation issues: access to credit and loan funds on ;I limited scale: and even investment pro- motion mid m:irketing of certain products.

Finally. international donor aticl technical ussistnnce agencies and development banks. which have historical- ly ignored or even discouraged efforts to better organize

tries ;it the smaller scale. must assuiiie a more proactive aiid supportive role. ;IS sponsors. project executors and/or kicilitators of basic rese:irch i n crit ical issues :ind

;I nd promote in i neral deve I opine nt i n deve I o pi 11, (7 collll-

S / r r c d - . r c ~ i t / c mi/ri /rg i / r e / m ~ / o ~ ~ i r r g c . o r r / r r r i c . s : .I. Dewit/.so/r

policy areas. of technology development. of mineral resource assessment and data collation, of training and instructional materials development. of information flow xid networking. of institution strengthening, and of ti nance and in ve s tine ti t promotion.

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