.
Add title here
Download
Mega Nav Image
The Social Way Toolkit
Find out more
Add title here
Download
Mega Nav Image
Main Content

4K Tool 1 – Sample Table of Contents for an ASM Management Plan

The following table provides an outline for an ASM Management Plan.

Section Content
Introduction and context Describes the ASM context, its system, dynamics, national legal/regulatory requirements and main stakeholders.
Objectives Describes the objectives of the ASM Management Plan.
Standards and requirements This includes references to internal or external requirements, standards or commitments.
General roles and responsibilities Summarises the roles and responsibilities of staff, and where applicable, of government agencies and other third parties
Summary of key ASM-related impacts and risks Describes the key ASM-related impacts and risks that are to be addressed through the management approach and actions, and the controls to prevent, minimise, or manage such risks and impacts.
Summary and general overview of the ASM management approach/direction taken Provides a summary and general overview of the ASM management approach/direction taken and outlines the rationale for this decision and the results of the risk assessment conducted on the approach.
ASM Management Actions Describes the detailed actions, activities, measures and controls taken under the broader ASM management approach. This can include:
  • ASM governance system and related procedures and guidelines
  • Economic or physical relocation plan (where appropriate)
  • Community health and safety measures
  • SED-related measures
Engagement objectives and approach This describes the process of engaging stakeholders relevant for the implementation of the ASM Management Plan.

It defines the objectives of stakeholder engagement and determines priority issues - for each stakeholder, it describes when the stakeholder should be engaged, by whom (responsibilities), about what (messages), through which channels/means, and on what frequency.

This section may also describe the process for setting up a multi-stakeholder partnership with Government authorities and third parties.
Monitoring and evaluation Describes the monitoring and evaluation frameworks for:
  1. monitoring and evaluation of ASM-related controls
  2. monitoring and evaluation of long-term objectives related to ASM management
  3. monitoring the ASM context and dynamics
Reporting Describes the process of internal and, where applicable, external reporting, including what information needs to be reported to whom in what form.
Annual implementation plan Describes the annual plan for implementation. Includes tasks and responsibilities, timelines and resources needed.

4K Tool 2 - Guidance on economic or physical displacement of ASM

If ASM actors are economically or physically displaced, sites should follow the process outlined in Section 4F, Land Access, Displacement and Resettlement. Additional considerations in relation to economic or physical displacement and ASM are outlined below:

Specialist support

Conducting a resettlement process with ASM stakeholders is almost certain to bring additional complexity to a ‘normal’ resettlement process and it is therefore essential to utilise specialist expertise with extensive experience in this specific situation.

A. Eligibility

  • Stakeholders involved in ASM can be physically or economically displaced as a result of the land access required by the project, as they lose the right to own, use, or otherwise benefit from land (specifically minerals/subsoil), built structures (such as mineral storage shelters) or other fixed or moveable assets.
  • Stakeholders involved in ASM can in some cases constitute a vulnerable group in a resettlement process, as they may not be protected through land titling legislation and/or their status and livelihoods may be considered informal or illegal. ASM populations can in some cases also be landless, from ethnic minorities, or displaced populations, and thus be particularly vulnerable.
  • Stakeholders involved in ASM may fall under the category of land users who do not have a recognisable legal right or claim to the land and/or assets they use and/or occupy (e.g. because they operate informally or illegally). As per IFC Performance Standard 5, such land users are eligible for inclusion in a resettlement or livelihoods restoration process. The Guidance Note on IFC PS5 states, however, that this does not apply in case of impacts by project activities ‘other than land acquisition or restriction of access to land use’, for example the loss of access to state-owned sub-surface mineral rights by artisanal miners. In such cases, Guidance Note 5 requires the application of IFC Performance Standard 1, which mandates the application of the mitigation hierarchy and the establishment of appropriate mitigation measures for affected people.
  • In addition to the above, physically or economically displacing ASM through security operations only and without a well-organised and equitable process (i.e. a RAP or LRP) can have substantive negative implications for the social license to operate, damage relationships with local communities, and create the risk of tensions and violence. Sites should therefore err on the side of caution and manage displacement of ASM in accordance with Section 4F, where applicable.

This table provides ASM-related scenarios or examples for each displacement category included in the displacement process as per IFC standards.

Displacement categories Scenarios/examples
Displacement of individuals and communities that have formal legal rights to land and/or assets they use and/or occupy Artisanal- and small-scale mining operators who hold a formal permit or authorisation from Government authorities.
Displacement of individuals/communities that do not have formal legal rights to land and/or assets but do have a claim which is recognised under national law. Artisanal and small-scale miners who have obtained agreements from local Government authorities and/or traditional authorities (landowners, customary chiefs) in cases where such agreements are recognised by law.
Displacement of individuals/communities who have no recognisable legal right or claim to land and/ or assets they occupy or use. Artisanal and small-scale miners who have no permit, agreement or claim, or have obtained only informal agreements from local Government authorities or traditional authorities (landowners, customary chiefs), which are not recognised by law.

B. Planning/baseline/impact assessment

In the stage of planning, conducting the baseline and assessing impact, sites should consider the following:

  • Assess the number of stakeholders involved in ASM that are affected by operating in the designated area. This should include not only the workers/diggers, but all those affected in the designated area, including washers, transporters, aggregators, secondary service providers (for example those providing food, small shops or kiosks), etc.
  • The number of stakeholders involved in ASM in the designated area may be very fluid and change frequently. As with other stakeholder groups, a displacement or resettlement process may create false incentives for ASM to move to the area. Sites should set a cut-off date for the baseline/impact assessment, register impacted ASM stakeholders, and consider establishing security and access controls to the area, to allow only registered stakeholders until the designated date of displacement/resettlement.
  • Conduct an inventory of ASM-related assets or settlements, where applicable. Assets may include tarps and shelters, storage sheds, kiosks and buying counters, tools and equipment used for mining, aggregating and processing. Settlements may include living quarters of ASM workers staying on site seasonally or permanently (even if informal).

C. Stakeholder engagement

  • The identification of and engagement with stakeholders involved in ASM on the designated area may pose difficulties: On one hand, it may pose a safety and security risk for company employees; on the other hand ASM stakeholders may be fearful of engaging ‘out in the open’ or being registered due to the informal or illegal nature of their activities. In such cases, sites should consider working with a third party to identify, register and engage with ASM stakeholders. This could be done through specialist support or organisations who already engage with and have the trust of the ASM population; in some cases, this may be Government agencies, in others it may be CBOs or NGOs. The engagement strategy and activities must be captured in the Resettlement Stakeholder Engagement Plan (RSEP).

D. Mitigation/Livelihood Restoration

  • In many cases, it can be difficult to evaluate displacement impacts or compensation entitlements for stakeholders involved in ASM. Sites should engage Group SP for guidance in cases where eligibility is difficult to determine. In some cases, other options in the mitigation hierarchy should be considered, such as mitigation or restoration, and tailored solutions should be sought through engagement with ASM and relevant government stakeholders. Offering options for livelihood restoration and/or improvement may be most pertinent and will support a voluntary and peaceful departure/displacement process, particularly in the case of a large or relatively permanent ASM population on the designated area. In this process, it is important to also consider human rights and commercial risks and consequences. Displacement without standard process as per IFC and no mitigation or restoration measures may not only impact on the miners and their dependents but also create risks for the site (tensions, violence, loss of social license to operate, reputational damage).
  • Options and examples of compensation or restoration measures will in most cases need to be coordinated and implemented with the relevant Government authorities or other third parties. Such measures could involve:
    • Supporting the establishment of an alternative ASM area in the vicinity, supporting the formalisation of the ASM in this area
    • Potentially supporting the improvement of ASM-based livelihoods in this area (removal of overburden, better mining and processing techniques that reduce health, safety and environmental concerns, etc)
    • Providing a stipend to return to or move to an alternative ASM area (noting that this needs to be combined with an impact assessment and coordinated with the host community)
    • Inclusion in skills development, local employment and entrepreneurial programmes to foster other types of livelihoods (noting though that ASM often is already the ‘alternative’ livelihood, and alternative livelihood projects have often been unsuccessful).
    • Providing a stipend to move fixed structures such as small kiosks and shops, buying counters, mineral depots, etc

E. Securing and maintaining land access

  • Sites will need to secure, control and maintain land access from the baseline cut-off date (limited access) and later once the displacement process is completed (no more access). To facilitate this, sites should consider registering ASM stakeholders during the baseline, and establishing security and access controls to the area, allowing access only to registered stakeholders during the time period up to the displacement/relocation. Also see Section 4F.
  • Depending on the circumstances and relationship with ASM stakeholders, sites may consider establishing a ‘moratorium’ period between the cut-off date and the relocation, allowing stakeholders to continue their activities (or parts of it) for a certain period, during which they should prepare for relocation.
4.Impact and risk prevention and management | 4K Artisanal and small-scale mining (ASM)
4.Impact and risk prevention and management  |  4K Artisanal and small-scale mining (ASM)