Um dos maiores desafios para a mineração no Novo Milênio é a integração da Pequena Mineração no sistema ativo e sustentável de exploração dos recursos minerais. A Pequena Mineração (PM) é uma atividade de mineração definida por baixas despesas e receitas de capital e baixa produtividade. A Mineração Artesanal (MA) é apenas um subconjunto de PM, caracterizada pela mecanização rudimentar, recuperação ineficiente, condições operacionais inseguras e exploração do trabalho. Essa tese pretende demonstrar as seguintes questões de pesquisa: 1) A PM pode ser sustentável? 2) Se sim, como pode ser avaliada? 3) Como a PM sustentável pode ser conseguida na prática? Ao longo da tese é mostrado como a PM pode ser sustentável só saindo da dimensão artesanal. Tal processo depende da sua própria capacidade para operar de forma eficiente. Quando a eficiência operacional é alcançada, a sustentabilidade vem como consequência. Através da eficiência operacional, uma operação de SSM sai da condição artesanal, torna-se sustentável e a sustentabilidade dos meios de subsistência e ambiente circundante é estritamente consequente. Esta tese aborda a questão da PM, de forma quantitativa e não qualitativa. Indicadores básicos são individualizados especificamente para medir as características peculiares de minas artesanais, que as diferenciam das minas industriais. O objetivo desses indicadores é a padronização da avaliação de mina artesanal em termos quantitativos, uma importante ferramenta de pesquisa que não era disponível até agora. A análise desses indicadores permite medir a sustentabilidade potencial de uma mina artesanal, bem como sua atualização ao longo da transformação em uma pequena unidade de mineração industrial. Propõe-se uma nova abordagem para a gestão dos recursos minerais e reservas especificamente para a mineração em pequena escala, a fim de atualizar as minas artesanais em pequenas minas industriais. A abordagem proposta para o cálculo dessa reserva contém dois conceitos principais: uma \"reserva mínima\" necessária para o início do projeto, e a \"replicação\" da operação. A metodologia proposta, aplicada a uma operação de mineração subterrânea de ouro real, mostrou que, no caso em análise, as reservas necessárias para viabilizar a operação de pequena escala são da ordem de grandeza de 1/1000 de que as necessárias para a mineração em grande escala. Este trabalho mostra como uma forma responsável e sustentável de PM é possível e viável, ajudando o desenvolvimento econômico da região onde atua, e criando externalidades positivas, como educação, capacitação, cultura da eficiência e consciência ambiental. / One of the biggest challenges for Mining in the New Millennium is the integration of small-scale mining in the active and sustainable system of exploitation of mineral resources. Small-Scale Mining (SSM) is a mining activity defined by low productivity low capital expenditure and revenues. Artisanal Mining (AM) is just a subset of SSM, characterized by rudimentary mechanization, inefficient recovery, unsafe working conditions and labor exploitation. This thesis intends to answer the following research questions: 1) Can SSM can be sustainable? 2) If so, how can it be evaluated as such? 3) How can sustainable SSM be put into practice? Along the thesis is shown how SSM can be sustainable only coming out of the artisanal dimension. Such a process depends on its own ability to operate efficiently. When operational efficiency is achieved, sustainability comes as a consequence. Through operational efficiency, an operation of SSM comes out of the artisanal condition, it becomes sustainable, and sustainability of surrounding livelihood and environment is strictly consequent. This thesis approaches the issue of SSM in a quantitative and not qualitative way. Basic indicators are individuated specifically to measure the peculiar characteristics of artisanal mines, which differentiate the latter from industrial mines. The purpose of these indicators is the standardization of artisanal mine evaluation on a quantitative basis, an important yet currently unavailable research tool. The analysis of such indicators enables the potential sustainability of an underground artisanal mine to be measured, as well as its upgrade over time towards classification as an industrial small-scale mining unit. It is proposed a new approach for the management of mineral resources and reserves specifically for small-scale mining, in order to upgrade artisanal mines into small-scale industrial mines. The proposed approach to calculate this reserve contains two main concepts: a minimum reserve required for the project start-up and replication to confirm the feasibility of continued operation. The proposed methodology, applied to an actual underground gold mining operation, proved that, in the case analyzed, the reserves required for the small-scale operation are in the order of magnitude of 1/1000 of that required for large-scale mining, when both businesses possess the same level of feasibility. This work shows how a responsible and sustainable form of SSM is possible, achievable and viable, helping the economical development of the area where it operates, and creating positive externalities such as education, capacity building, culture of efficiency and environmental awareness.

Estima-se que cerca de 16 milhões de mineradores artesanais produzem entre 380 e 450 t de ouro por ano à escala global. Entretanto esta atividade ainda é negligenciada atores sociais e políticos internacionalmente. A equipe do NAP.Mineração vêm desenvolvendo técnicas e conceitos para transformar a mineração artesanal em uma pequena mineração responsável. Dentro destas iniciativas, foi desenvolvido o conceito de reserva mínima e replicação para adequar a pesquisa mineral à realidade da pequena mineral. A ideia central é minimizar o tempo e os recursos financeiros despendidos em pesquisa mineral, minimizando a reserva à apenas o estritamente necessário para o retorno financeiro do investimento inicial. Neste trabalho foi desenvolvido uma metodologia de análise econômica para a pequena mineração utilizando o conceito de reserva mínima, com diferentes estratégias de replicação da pesquisa mineral. A metodologia foi aplicada em um estudo de caso, uma pequena mina de ouro no Equador. Foi realizado também uma análise estocástica de sensibilidade à variação futuro do ouro. Os resultados mostram que a abordagem de reserva mínima é sempre mais vantajosa do ponto de vista econômico. Ao final é discutido o perfil de investidores para a pequena mineração. / It is estimated that about 16 million artisanal miners produce on a global scale between 380 and 450 t of gold per year. However, this activity is still neglected social and political actors internationally. The NAP.Mineração team have developed techniques and concepts to transform artisanal mining in a small mining responsibility. Within these initiatives, it developed the concept of minimum reserves and replication to suit mining research to the reality of small mineral. The central idea is to minimize the time and financial resources spent on mineral exploration, minimizing the reservation to only what is necessary to the financial return of the initial investment. This work developed a methodology of economic analysis for small-scale mining using the concept of minimum reserve with different replication strategies for mineral exploration. The methodology was applied in a case study, a small gold mine in Ecuador. It was also made a stochastic analysis future sensitivity variation of gold. The results show that the minimum booking approach is always more advantageous from an economic point of view. At the end it is discussed the profile for investor in the small-scale mining.

High-value, lootable natural resources drive, finance and sustain armed conflicts around the world. At the same time, these resources are crucial for livelihoods through artisanal and small-scale mining (ASM) in the very same contexts. Yet, little is known regarding how these resources should be managed in the wake of conflict to contribute to peacebuilding and prevent conflict recurrence. Drawing on the environmental peacebuilding and informal economies literature, this study argues that ASM formalization improves the quality and sustainability of livelihoods by empowering ASM communities. Using the method of structured focused comparison, the hypothesis is tested on two mining municipalities in Antioquia, Colombia. Data was gathered through interviews and secondary sources. The main finding is that while ASM formalization under certain conditions can contributeto sustainable livelihoods, this is only partly through community empowerment. Furthermore, the practice remains inaccessible to most artisanal and small-scale miners and can make them dependent on the goodwill of large-scale multinational mining companies. Thereby it ends up marginalizing many of the people it is meant to benefit.

In dieser Doktorarbeit geht es um den Kleinbergbau (ASM) und wie dieser Leben und Landschaften verändert. ASM ist eine von vielen informellen Lebensgrundlagen, die in kapitalistische Wertschöpfungsketten eingebunden ist. ASM ist für schätzungsweise 40 Millionen Menschen im globalen Süden zu einer der wichtigsten nichtlandwirtschaftlichen Lebensgrundlagen geworden. Schlechte Arbeitsbedingungen, Umweltverschmutzung, Umweltzerstörung und Machtasymmetrien machen ASM jedoch zu einer prekären Lebensgrundlage, die Nachhaltigkeitstransformationen in Frage stellt. Daher wird mehr Forschung über die Nachhaltigkeitspotenziale von ASM gefordert. Wissenschaftler betonen insbesondere die Notwendigkeit, sich mit den Perspektiven von ASM-Akteuren sowie den Dynamiken der ASM-Wertschöpfungsketten auseinanderzusetzen. Auf der Grundlage einer sechsmonatigen ethnografischen Feldforschung in der Region Geita in Tansania untersuche ich in der Dissertation skalenübergreifende Beziehungen zwischen Akteuren und Agenden innerhalb von ASM und diskutiere die Herausforderungen und Möglichkeiten für einen nachhaltigeren Sektor. Die Arbeit ist zwischen Anthropologie, Human- und Wirtschaftsgeographie, politischer Ökologie und Landsystemwissenschaft situiert. Ich setze qualitative Methoden ein, darunter Interviews, teilnehmende Beobachtung und gemeinschaftliches Filmen, und beziehe dabei ein breites Spektrum von Akteuren ein. In vier Hauptkapiteln beschreibt die Arbeit die Ambivalenzen von ASM, die Hoffnung und Chancen, aber auch Prekarität und Degradierung die ASM mit sich bringt. Die Arbeit zeigt, wie konkurrierende Visionen und Machtasymmetrien die Ungleichheit verstärken, aber auch zum Widerstand und zu alternativen Visionen der Globalisierung aufrufen. / This thesis is about artisanal and small-scale mining (ASM) and how it transforms lives and landscapes. ASM is one of many informal livelihoods spun in capitalist value chains. Engaging estimated 40 million people, ASM has become one of the most important non-farm rural livelihoods in the Global South. However, poor work conditions, pollution, environmental degradation and power asymmetries make ASM a precarious livelihood that challenge sustainability transitions. Consequently, calls have been made for more research on the sustainability potentials of ASM. Particularly, scholars emphasise the need for engaging the perspectives of ASM actors, along with a better understanding of the value chain dynamics of ASM. Based on 6 months of ethnographic fieldwork in the Geita region of Tanzania, I explore the cross-scalar relations between actors and agendas within ASM, and discuss the challenges and possibilities for a more sustainable sector. The thesis is situated between anthropology, human and economic geography, political ecology and land system science. I engage qualitative methods, including interviewing, participant observation and collaborative filmmaking, encompassing a broad range of actors. Through four core chapters, the thesis describes the ambiguities of ASM, creating hope and opportunity, but also precarity and degradation. It shows how competing visions and power asymmetries reinforce inequality, while also invoking resistance and alternative visions of globalisation.

The objective of this study is to conduct a critical evaluation of the Namibian law and policy framework that currently regulates small-scale mining in Namibia. The discussion begins with an introduction to small-scale mining in Namibia which deals with the practice of small-scale mining, inter alia, as far as it is defined and the possible affects thereof. Small-scale mining affects various second generation rights of persons directly involved therein as well as the community as a whole. These rights include child labour; unemployment; gender issues; public health care; occupational health and safety; access to finance; poverty alleviation; and access to mining tools, machinery, markets and buyers. The law and policy framework applicable to small-scale mining in Namibia is accordingly critically discussed in terms of the strengths and weaknesses of the current framework. It is found that small-scale mining is quite well regulated in Namibia, but the current law and policy framework is not without its problems. Some of the main weaknesses identified are the centralised nature of the application for and pegging of claims, the lack of formal provision and regulation of the off-set markets, and the lack of access to finance for smallscale miners. Recommendations are made, such as that regulatory measures should be put in place to make provision for and to regulate the off-set markets for the minerals being mined by the artisanal miners. At the end of the study further research topics which relate directly to the regulation of small-scale mining in Namibia are identified. / LLM (Environmental Law and Governance), North-West University, Potchefstroom Campus, 2014

The objective of this study is to conduct a critical evaluation of the Namibian law and policy framework that currently regulates small-scale mining in Namibia. The discussion begins with an introduction to small-scale mining in Namibia which deals with the practice of small-scale mining, inter alia, as far as it is defined and the possible affects thereof. Small-scale mining affects various second generation rights of persons directly involved therein as well as the community as a whole. These rights include child labour; unemployment; gender issues; public health care; occupational health and safety; access to finance; poverty alleviation; and access to mining tools, machinery, markets and buyers. The law and policy framework applicable to small-scale mining in Namibia is accordingly critically discussed in terms of the strengths and weaknesses of the current framework. It is found that small-scale mining is quite well regulated in Namibia, but the current law and policy framework is not without its problems. Some of the main weaknesses identified are the centralised nature of the application for and pegging of claims, the lack of formal provision and regulation of the off-set markets, and the lack of access to finance for smallscale miners. Recommendations are made, such as that regulatory measures should be put in place to make provision for and to regulate the off-set markets for the minerals being mined by the artisanal miners. At the end of the study further research topics which relate directly to the regulation of small-scale mining in Namibia are identified. / LLM (Environmental Law and Governance), North-West University, Potchefstroom Campus, 2014

Der Kleinbergbau ist ein bedeutender Wirtschaftszweig. Ein großer Anteil der Kleinbergbauaktivitäten wird informell oder illegal durchgeführt. Wichtige Merkmale dieser Formen des Kleinbergbaus sind ein hoher Beschäftigungsgrad, eine geringe Technisierung und Mechanisierung aller Arbeiten, sowie ein niedriger Kapitaleinsatz. Diese Bergbauaktivitäten sind vor allem in Entwicklungs- und Schwellenländern auf den Kontinenten Mittel- und Südamerika, Afrika und Asien verbreitet. Der informelle und illegale Kleinbergbau ist Lebensgrundlage für weltweit ca. 15 Mio. Menschen, die in diesem Sektor direkt beschäftigt und etwa 100 Mio. die indirekt davon abhängig sind. Neben der positiven Tatsache, dass der Kleinbergbau ein wichtiger Wirtschaftsfaktor ist sowie Beschäftigung und Wertschöpfung schafft, sind mit ihm erhebliche negative soziale und ökologische Auswirkungen verbunden. Um gezielte Handlungsempfehlungen in Form von Projekten zur Weiterentwicklung des Kleinbergbausektors aufzuzeigen, wurde in dieser Arbeit ein computergestütztes Expertensystem (XPS) entwickelt. / Artisanal and small-scale mining (ASM) is an important economic sector. A large amount of ASM activities are carried out in an informal or illegal way. These specific types of ASM are characteristic for being labor-intensive and capital-, mechanization- and technology-poor. In general ASM takes place within developing and emerging countries of Middle and South America, Africa and Asia. Informal and illegal ASM forms a livelihood for a population of approx. 15 Mio people worldwide, who are directly employed within the sector and about 100 Mio, who are indirectly dependent on it. On the one hand ASM is an important economic factor but on the other hand it has significant negative social and environmental impacts. In order to develop targeted recommendations for the further development of ASM, a computer-based expert system (XPS) was programmed within this dissertation.

MESMEG / Department of Mining and Environmental Geology / See the attached abstract below

MENVSC (Geography) / Department of Geography and Geo-Information Science / Artisanal and small-scale gold mining (ASGM) has devastating impacts on different parts of the environment and is a source of environmental degradation and contamination. ASGM degrades water resources, contaminate soil, sediments and water and lead to serious land degradation problems. ASGM activities are also associated with socio-economic issues such as child labour, prostitution and health and safety concerns. Insufficient understanding of the environmental and social problems of ASGM in Giyani Greenstone Belt has led to lack of mitigation strategies to reduce such problems. The main aim of this research was to assess and manage the environmental and socio-economic impacts of ASGM in Giyani Greenstone Belt. Remote sensing and GIS and Normalised Differential Vegetation Index were used to assess the effects of mining activities on vegetation cover. Assessment of the effects of ASGM on water, sediments and soil quality involved collection of samples in order to establish their physical and chemical properties. The concentration of toxic and trace metals were determined using Atomic Absorption Spectrometer (AAS) and X-ray Fluorescence (XRF) instruments. The pH meter was used to determine the pH level of the collected samples. Questionnaires, interviews and SPSS were used to assess socio-economic impacts of ASGM. The study culminated in devolvement of NDVI maps and this was used to assess the effects of ASGM on vegetation cover. Results showed that the mining activities in the area had caused extensive environmental degradation due to serious removal of vegetation cover in the site. ASGM had serious effects on soil, water and sediments quality such as environmental contamination by toxic and trace elements. Soil samples were found with high concentration of As, Cr, Cu, Ni, Pb and Zn as compared to the recommended South African Soil Quality and WHO threshold values for plants. It was found that Klein Letaba had high concentration of Ba, La, V, and Ce above the World Soil Averages for plants. Sediments were heavily contaminated with Cr, Ni, Pb, Zn, As and Ba as compared to the recommended standards prescribed by US EPA and WHO. The pH of water, soil and sediments samples collected from both mining sites were found to be strongly alkaline which affects the plants growth as well as aquatic flora and fauna. Socio-economic issues such as child labour, injuries, educational problems, health and safety issues, police disturbance, creation of jobs and income generation were identified at mine sites. ASGM had serious effect on vegetation cover through environmental degradation. ASGM also had serious environmental contamination by toxic and trace elements. ASGM had both positive and negative socio-economic issues at mining site which include employment opportunities, income generation, occupational health and safety, police disturbance and arrests and the use of child labour. Mine site rehabilitation is recommended in this study to reduce environmental degradation. The remediation of contaminated area by concentrated toxic and trace elements should be applied at both mining sites. ASGM should be legalised to enhance positive aspects of the mining such as increase in income generation and creation of more employment opportunities. However, there should be enforcement of mining policies to reduce social and environmental problems.

Der Kleinbergbau ist ein bedeutender Wirtschaftszweig. Ein großer Anteil der Kleinbergbauaktivitäten wird informell oder illegal durchgeführt. Wichtige Merkmale dieser Formen des Kleinbergbaus sind ein hoher Beschäftigungsgrad, eine geringe Technisierung und Mechanisierung aller Arbeiten, sowie ein niedriger Kapitaleinsatz. Diese Bergbauaktivitäten sind vor allem in Entwicklungs- und Schwellenländern auf den Kontinenten Mittel- und Südamerika, Afrika und Asien verbreitet. Der informelle und illegale Kleinbergbau ist Lebensgrundlage für weltweit ca. 15 Mio. Menschen, die in diesem Sektor direkt beschäftigt und etwa 100 Mio. die indirekt davon abhängig sind. Neben der positiven Tatsache, dass der Kleinbergbau ein wichtiger Wirtschaftsfaktor ist sowie Beschäftigung und Wertschöpfung schafft, sind mit ihm erhebliche negative soziale und ökologische Auswirkungen verbunden. Um gezielte Handlungsempfehlungen in Form von Projekten zur Weiterentwicklung des Kleinbergbausektors aufzuzeigen, wurde in dieser Arbeit ein computergestütztes Expertensystem (XPS) entwickelt. / Artisanal and small-scale mining (ASM) is an important economic sector. A large amount of ASM activities are carried out in an informal or illegal way. These specific types of ASM are characteristic for being labor-intensive and capital-, mechanization- and technology-poor. In general ASM takes place within developing and emerging countries of Middle and South America, Africa and Asia. Informal and illegal ASM forms a livelihood for a population of approx. 15 Mio people worldwide, who are directly employed within the sector and about 100 Mio, who are indirectly dependent on it. On the one hand ASM is an important economic factor but on the other hand it has significant negative social and environmental impacts. In order to develop targeted recommendations for the further development of ASM, a computer-based expert system (XPS) was programmed within this dissertation.