Artisanal and small-scale mining (ASM) are important sources of income for impoverished rural populations in many developing countries. Poor labor and environmental conditions often prevail because governments lack the capacity and sometimes the will to responsibly control ASM. At the other end of the supply chain, corporate social responsibility (CSR) strategies increasingly require jeweler’s suppliers to control social and environmental aspects of mining. In a sense, jewelry and mining corporations are voluntarily taking the issue of governance into their own hands. A combination of CSR and revenue-centric development strategies has the potential to further marginalize poor, rural populations who depend on ASM. It is therefore important to examine how ASM has been affected by global social responsibility trends, why it is often left out and to find ways that ASM populations can be successfully integrated into planning for sustainable development and socially responsible business. Gemstones and gold are economically the most important global commodities for ASM populations and precious colored gemstones are rarely mined on a large-scale. Ethnographic research was undertaken to explore how global social responsibility strategies interact with local realities of ASM colored gemstone and gold production. Burma, Madagascar and Colombia each present cases with clear interaction between global CSR trends and ASM, and combined provide a range of public policies with regards to rural populations who depend on ASM. Informal interviews and industry observations were conducted with a range of stakeholders in the global precious mineral trade and mineral development sector. Semi-structured interviews were recorded with key informants for each case study and these were triangulated with internal documents, press releases and articles. Burma illustrates a case where global CSR is attempting to halt ASM because of poor governance and human rights violations. Madagascar illustrates a case where governance and education are improving but widespread poverty and a legacy of corruption has so far prevented the direct integration of ASM into CSR strategies. In the case of Colombia, one region has successfully connected ASM with the global CSR dialogue by designing and implementing a certification program to effectively valorize and govern ASM production. Major findings reveal that (1) CSR in the mineral sector is a contentious and political issue with a range of stakeholder viewpoints; (2) a bottom-up, process-oriented approach can successfully drive economic and social improvement in ASM commodity chains; and (3) community empowerment, education, youth leadership and social networking appear to be key factors for driving production of ASM minerals that can comply with social and environmental standards.

Today, the Democratic Republic of the Congo (DRC) ranks extremely low in terms of development indicators even by regional standards. Poverty in the country is exacerbated by the DRC's long-embedded culture of political rent-seeking and corruption, which has historically shaped the government's involvement in the mining sector. By the 1990s, the government's mismanagement of the industrial mining sector led to its decreased productivity and near decline. At the same time, the artisanal mining sector has expanded, and now employs a large amount of the country’s poor. However, many issues remain related to the legal structure governing the artisanal mining sector and opportunities for artisanal miners to sell their products. This thesis explores the potential for transforming mining practices and market structures in the DRC to better promote development and poverty alleviation.

M.Tech. / Artisanal mine of sandstones especially in rural area are facing numerous challenges including the use of inadequate tools for the processing of sandstones. Since the current processing technique has limitations which consist of the use of hammer and chisels, there is a need to develop environmentally friendly and cost effective techniques for the processing of sandstones. In this project, six different sandstones samples (yellowish, blackish, reddish, greenish, greyish and whitish) from QwaQwa rural area were collected and characterized using X-ray diffraction (XRD), X-ray fluorescence (XRF), scanning electron microscopy coupled with energy dispersive X-ray spectroscopy (SEM/EDS) and an optical microscope. In addition, physical properties of sandstones were also carried out including compressive strength, dielectric properties and water absorption. Furthermore sandstones samples were irradiated using multi- and single- mode microwave cavities to investigate the effect on the mineralogy of sandstones. The analysis of mineralogical change was carried out using XRD. Additionally a microwave multimode cavity was used to investigate the weight loss of sandstones after being irradiated. A microwave cavity was designed based on the characteristics of sandstones and it was simulated. A photovoltaic solar system was sized to power the microwave cutter. The experimental work was carried out on a laboratory scale. The XRD analysis revealed that quartz was the major mineral present in all sandstones which confirms that QwaQwa sandstones are quartz based sandstones. Feldspar minerals such as illite and albite were also found. Additional minerals were identified at trace level including glauconite, kaolonite, crysobalite and orthoclase. On the other hand, the XRD results of the irradiated samples using a single- and multi- mode cavity for 60 seconds revealed a strong presence of quartz which means no significant changes were observed. However, some minor overlapped peaks suspected to be muscovite (KAl2(Si3Al)O10(OH,F)2) in three samples (blackish, greyish and yellowish) were noticed. XRF study showed that the chemical elements available in the six sandstones samples are: aluminium, calcium, iron, potassium, magnesium, manganese, sodium, phosphorus, silicon and titanium.

As a result of the continued violence and poverty in the Democratic Republic of Congo (DRC), artisanal mining serves as an opportunity for livelihood construction for the population in the Eastern DRC. Though the dominant discourse of “conflict minerals” has deemed natural resources as the cause or consequence of violence in the Eastern DRC, minerals in fact only serve as a funding tool for various foreign and local armed groups in the region. This thesis consequently explores the ways in which artisanal miners can reap the benefits of the minerals they work tirelessly to extract, using and adapting policies from two relatively successful case studies, Tanzania and Sierra Leone. In addition, this thesis proposes distinct top-down and bottom-up approaches the DRC should adopt to combat its equity issues, and finds that bottom-up methods have been the most ignored, yet successful in avoiding conflict and favoring miners’ livelihoods.

The subject of this dissertation is artisanal mining in Namibia and is based on two hypotheses. The first is that if the artisanal mining process is well understood in Namibia, then effective solutions to improving the artisanal mining cycle of poverty can be developed. The second hypothesis states that if effective solutions to improving the artisanal mining cycle of poverty can be implemented, then the miners' income can be increased.Research for the dissertation is broken down into four areas. The first area includes the development of an understanding of the artisanal mining process. A general model that shows the relationship of four basic elements of artisanal mining (investment, production, sales and consumption) as well as several components that make up the elements was created. The model also describes the various environments (physical, social/cultural, and political) that artisanal operate.The Artisanal Mining Process Model was then used to evaluate artisanal mining in Namibia. Artisanal mining in Namibia is somewhat unique because of the material mined (collector minerals and semi-precious gemstones), but the outcome is consistent with other locations with most artisanal miners only making a subsistence living. One of the key outcomes of this part of the study is the identification of low sales revenue exacerbated by the miners having to sell in a local market with few buyers.Because the local market and buyers are a critical component of the cycle of poverty, the third area of research is an understanding of the local market and the supply chain that ultimately leads to a much larger international market. The international markets lead to the fourth area of research, which is the Tucson Mineral Show, the largest of its kind in the world.The conclusions of the paper discuss the applicability of the Artisanal Mining Process Model in helping to understand issues facing the artisanal miners as well as methods that could be used to help the artisanal miners participate in the international market for collector minerals.

Communities in the vicinity of the Mico River, located in Chontales, Nicaragua, suffer from periodic dry season water shortages. The Mico River is impacted by artisanal and industrial mining, cattle ranching, effluent from local dairies and tanneries, and poor waste management practices in the watershed. Available water quality data consists of short term assessment studies and monitoring data for a mine operating in the headwaters, but to date this information has not been collated and interpreted as a whole. Communities in the vicinity of the Mico River have expressed an interest in having this data reviewed to verify information they have received from government and industry with regards to impacts from the La Libertad Mine. A gap analysis of existing water quality data in the headwaters of the Mico River is presented, with interpretation of current data and identification of further data needs. Recommendations are provided for future water quality monitoring in the region. The study area was defined as the Mico River watershed upstream of the town of Santo Tomas. A total of 14 studies were identified with information about the Mico River in this area. Individual study reliability was assessed, and study data were compiled to assess conditions in comparison to water quality guidelines and any spatial or temporal trends. Both water chemistry and bioassessment studies were assessed. The major gaps in existing information are: insufficient baseline/ reference information, insufficient information on impacts from contaminants other than metals, insufficient coverage of streams not directly impacted by the La Libertad Mine, poor quality and reliability of data, and poor coordination/ continuity between studies done to date. Cyanide concentrations were found to be below drinking water criteria at the majority of sample locations. Metals concentrations were elevated throughout the study area but it cannot be determined if this is due to natural background levels or anthropogenic sources. Water quality conditions with regards to other parameters (e.g., dissolved oxygen, temperature, pesticides and bacteria) and bioassessment data cannot be assessed due insufficient data quality and quantity. Existing monitoring in the region should be expanded to include reference locations. It is recommended that a benthic invertebrate bioassessment program designed for tropical mountain streams be implemented to supplement existing monitoring and identify areas where stream function is impaired, as bioassessment is cheaper and requires less equipment and logistical coordination than water chemistry monitoring programs. Whatever future work is done, care must be taken that study design and implementation is of a higher quality than that done to date, so that results are comparable and reliable. Coordination and cooperation between bodies involved in monitoring is essential for efficient use of scarce resources. / Graduate

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.

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.

This thesis elaborates on a complex, multilayered gender perspective of mineral exports in the conflict of the eastern Democratic Republic of the Congo. The focus lies on the Dodd-Frank Act and its implications for sexual gender-based violence, both conflict and non-conflict related, as well as socioeconomic dimensions. The in-depth analysis of these factors indicates, that after the initiation of the well-intended Act, the occurrence of sexual gender-based violence has increased and socioeconomic situation for women have worsened. Possible reasons can be found in the sole focus on Western narratives and the neglect of local perspectives.

Introduction L’exploitation minière artisanale est une activité qui intervient dans un contexte de précarité et suscité plus interrogations sur le respect des règles de l’art minier, la protection de l’environnement ainsi que la préservation de la santé, de la sécurité et du bien-être au travail des personnes impliquées. Dans le cas particulier de la Province du Katanga, en République Démocratique du Congo, elle a connu un essor particulier suite à l’effondrement de la GECAMINES, société d’Etat qui exploite le cuivre et le cobalt et était le principal pourvoyeur des emplois directs et indirects dans cette partie du pays. Cet essor s’est également trouvé conforté par l’envolée des prix des produits miniers et a accentué l’ampleur des problèmes posés par l’artisanat minier. Alors que la plus grande attention est tournée vers la gestion des problèmes environnementaux, nous avons voulu évaluer l’impact des conditions de travail dans ce secteur d’activité sur la santé et la sécurité des exploitants artisanaux. En matérialisant cet impact, notre ambition est d’identifier les facteurs-clé sur lesquels construire une politique de promotion, d’éducation et d’amélioration de la santé au travail dans ce milieu. Matériel et méthodes Notre étude repose sur deux enquêtes réalisées en vue de circonscrire les éléments caractéristiques de la situation de travail dans l’exploitation minière artisanale. Ces enquêtes se sont déroulées dans les mines artisanales de la Ruashi et de Lupoto. Elles nous ont permis également de procéder à une observation de cette activité, telle qu’elle se pratique sur le terrain et la première enquête a été couplée à une analyse d’exposition et d’imprégnation des mineurs artisanaux aux contaminants contenus dans la gangue minéralisée. L’exploitation des résultats de ces enquêtes a donné lieu à plusieurs études descriptives à visée étiologiques dans lesquelles nous avons présenté, en plus des statistiques usuelles, les Odds Ratio et les tests d’association calculés grâce au logiciel SPSS version 17. Nous avons également procédé à des revues de la littérature, principalement pour circonscrire les pathologies liées aux risques toxicologiques spécifiques à cette activité ainsi que pour identifier les facteurs-clé de succès des expériences de réforme de la mine artisanale. Résultats Les résultats obtenus ont fait l’objet des publications compilées dans la présente thèse. Pour l’essentiel, ils consistent aux constatations suivantes : L’inadéquation de la législation minière actuelle qui ne tient pas suffisamment compte des contraintes inhérentes à l’exercice de l’activité minière artisanale. L’absence de droit privatif d’exploitation sur un périmètre minier, même restreint, met l’exploitant artisanal en concurrence avec les autres mineurs artisanaux et le poussent à recourir à des procédés d’exploitation expéditifs, nuisibles à l’environnement et à sa propre santé et sécurité. Son statut d’indépendant est également un obstacle au respect des règles en matière de sécurité et de préservation de l’environnement dans la mesure où l’application des sanctions directes peut avoir pour conséquence de pousser l’indépendant dans l’informel et la clandestinité. Travaillant dans ce cadre informel et en marge de la réglementation en matière d’exploitation minière artisanale, les mineurs sont exposés aux conséquences découlant de la précarité de leurs conditions de travail. Ces conséquences se manifestent par l’existence d’importants risques et facteurs de dangers. Parmi celles-ci figurent l’exposition aux composants de la gangue minéralisée. L’analyse des échantillons de cheveu, réalisée par la spectrométrie d’émission en plasma induit couplée à la spectrométrie de masse (ICP-MS), a montré des taux élevés chez les mineurs, par comparaison à une population non-exposée, en l’occurrence les étudiants de la faculté de médecine de l’Université de Lubumbashi. Un autre impact de mauvaises conditions de travail est traduit par des OR élevés notamment des cotes d’exposition élevées pour des symptômes de maladie comme Les troubles musculo-squelettiques [douleurs dorsales (OR=36,5), douleurs des membres supérieurs (OR=20,7), des membres inférieurs (OR=18,3)] les troubles de sommeil (OR=21,4) et les troubles respiratoires (OR=14,6) quand on compare les artisans une population non travailleuse. La fréquence des accidents de travail est également très élevée au sein de cette population (72,2%). L’analyse des circonstances de survenue de ces accidents met en évidence la place très importante attribuée par les mineurs aux accidents liés à un problème de manipulation d’outils. Ceci traduit le caractère inadapté des outils et de la technologie utilisés. Discussion Les résultats que nous avons obtenus confirment l’ampleur des problèmes que nous avons cherché à matérialiser. Cette ampleur nécessite que des études analogues soient menées dans d’autres contextes pour valider ces résultats et les associations qui sont avancées pour les expliquer. Quoiqu’il en soit, le rapprochement de ces constatations avec celles rapportées dans les études traitant des problèmes similaires nous permettent à mettre en évidence les conséquences de mauvaises conditions de travail sur la santé-sécurité des mineurs artisanaux : l’effet des mauvaises postures de travail, du travail dans la poussière et des fines particules en suspension dans l’air, l’absence de moyens de protection ou encore le caractère rudimentaire de l’outil de travail. L’analyse des expériences de réforme de cette activité a mis en évidence le cercle vicieux de la précarité. Celle-ci ne permet pas d’investir dans les moyens dont le résultat serait une amélioration de la rentabilité de l’activité. Ainsi, elle devient à la fois, la cause et la conséquence des problèmes observés dans l’artisanat minier. Pour casser ce cercle vicieux, il est important de rencontrer les différentes contraintes inhérentes à cette activité : formaliser son cadre de déroulement et mécaniser ses procédés d’exploitation. Dans le contexte particulier de l’artisanat minier au Katanga, les conditions d’intégration des leçons découlant de ces expériences peuvent être remplies et crédibiliser une stratégie d’amélioration et de promotion de la santé-sécurité au travail. Conclusion L’importance de la population impliquée dans cette activité nécessite la mise en place des stratégies de rémédiation de nature à éviter un déclassement prématuré et massif d’une population encore dans la force de l’âge. Sa contribution à la formation de la richesse nationale et aux recettes d’exportation nécessite une mobilisation conséquente des ressources pour la mise en œuvre de ces stratégies, en vue de l’amélioration, de la promotion et de l’éducation de la santé dans ce secteur d’activité. Abstract Introduction Artisanal mining is an activity which occurs in a precariousness context and raises several concerns about the compliance with mining rules, environmental protection and the management of occupational health, safety and welfare for those are involved in. In the particular case of the Province of Katanga, Democratic Republic of Congo, this activity has mostly grown-up following the collapse of Gecamines, the State corporation in charge of copper and cobalt mining, which was the main source of direct and indirect employment in that part of the country. The boom has also been reinforced by the soaring price of mineral commodities. So, it has increased the extent of problems posed by artisanal mining. While most attention is turned towards the management of environmental problems, we wanted to assess the impact of working conditions on health and safety of artisanal miners in this business. By materializing this impact, we aim to identify key factors on which to build a promotion, education and occupational health improvement policy in this environment. Materials and methods Our study is based on two surveys conducted to identify features characteristic of the working situation in artisanal mining. These surveys were conducted in the artisanal mines of the Ruashi and Lupoto. They also enabled us to carry out an observation of this business, as it takes place in the field and the first survey was combined with an analysis of exposure and impregnation of artisanal miners to contaminants contained within the mineralized veinstone. The exploitation of these investigations outcomes has resulted in several descriptive and aetiological studies where we presented, besides usual statistics, odds ratio and tests of association, calculated using the software SPSS version 17. We also conducted literature reviews, mainly to confine diseases associated with toxicological risks which appeared specific to this activity and to identify key success factors in artisanal mining reform experiences. Results Achievements have resulted in several publications which have been compiled in this thesis. Basically, they include of the following findings: The inadequacy of the current mining legislation which does not take sufficiently in consideration constraints inherent while performing artisanal mining activities. The lack of exclusive right to operate a mining perimeter, even small size one, puts operator in competition with other miners and lead him to use expeditious operating processes which are harmful to the environment and its own health and safety. Its independent’s status is also an barrier to compliance with safety and environmental preservation the rules, at the extent that the imposition of sanctions may have as direct consequence pushing the independent in informal and clandestine sector. Working in this casual framework and ignorance of artisanal mining regulation, miners are exposed to consequences ensuing from precariousness of their working conditions These consequences appear in the existence of significant hazards and risk factors. Among those hazards is exposure to the mineralized veinstone components. Hair samples analysis, performed using emission spectrometry by means of inductively coupled plasma mass spectrometry (ICP-MS), showed high levels among miners in comparison to an unexposed population who were represented, in this case, by students of the Faculty of Medicine of the University of Lubumbashi. Another impact of bad working conditions has resulted in higher odds ratios, in particular higher odds of exposure for symptoms of diseases such as musculoskeletal disorders [back pain (OR = 36.5), upper limb pains (OR = 20.7), lower limbs (OR = 18.3)] sleep problems (OR = 21.4) and respiratory disorders (OR = 14.6), when comparing artisanal miners to non-hard working population The frequency of occupational accidents is also high within this population (72.2%). Analysis of occurrence circumstances of these accidents highlights the important place given by the miners to accidents related to an issue of handling tools. This reflects the inadequacy of tools and technology used. Discussion The results that we have obtained confirm the magnitude of issues we have looked to materialize. Their scope requires that similar reviews should be conducted in other contexts to confirm these findings and associations that had been put forward to explain them. Nevertheless, comparison of these findings with those reported in studies dealing with similar challenges, enable us to highlight the consequences of bad working conditions on occupational health and safety of miners: effect of bad working postures, working with dust and fine particles in suspension in air, lack of protection equipments or tool crudeness. The analysis of reform experiences of this activity has highlighted the vicious circle of precariousness. It does not allow investments in equipments that would result in improved business profitability. Thus, it becomes both the cause and consequence of problems reported in artisanal mining. To break this vicious circle, it is important to address the various constraints inherent in this business: formalizing its framework and mechanizing its operational processes. In the particular context of artisanal mining in Katanga, conditions for integrating lessons raised from these experiences can be met and give credibility to strategy for improving and promoting occupational health and safety. Conclusion The importance of population engaged in this activity requires the implementation of remediation strategies likely to avoid a premature and massive downgrading of a population still in the prime of life. Its contribution to the national welfare and export earnings requires mobilization of resources for implementation of improvement, promotion and health education strategies in this industry.