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Sites should use internal and external ASM context information to assess ASM-related impacts and risks as part of the annual SHIRA described in Section 3C.

Table 4K.4 provides examples of potential impacts and risks related to ASM as well as examples of control measures. The control measures are further expanded in the section on developing an ASM Management Plan.

Table 4K.4 – Examples of potential impacts and risks related to ASM

Impact Category Potential impact Example control* Typical control owner
Economic
  • Loss of livelihoods and income for ASM, e.g. due to economic displacement, reduction of land availability and access, reduction of access to production factors (such as streams and rivers to wash the ore), loss of lowest skilled, manual jobs if ASM is formalised with site support and jobs are replaced by machinery/equipment.
  • Cumulative impacts, such as diminishing land access due to mine expansion, urban expansion, other mining companies in the area, all land in the area already covered by large scale mining permits
  • Collaborate in a process to improve, professionalise and formalise ASM livelihoods, considering potential indirect impacts on vulnerable groups
  • Support alternative livelihoods (although in the context of ASM, these are often ineffective)
  • Also see further guidance on economic or physical displacement of ASM in Section 4K. 4 Tools (Tool 2).
  • Social Performance
  • Government Relations
Personal and political security
  • Human rights abuses, injuries or fatalities of ASM and/or community stakeholders due to public and/or private security forces
  • Site engagement or decision-making processes do not provide opportunity for ASM participation
  • Adherence to the VPSHRs by public and private security forces
  • Inclusion of marginalised groups into stakeholder engagement to ensure their views are heard
  • Security
  • Social Performance
  • Government Relations
  • S&SD
Socio-cultural networks
  • Increased marginalisation of the most vulnerable. For example, youth, women, and undocumented migrants working in ASM without alternative livelihood opportunities may be disproportionately affected if ASM activities are stopped or changed, which could impact their status or function within a community or group.
  • Support alternative livelihoods for vulnerable groups (if appropriate and desired)
  • Inclusion of marginalised groups into stakeholder engagement to ensure their views are heard
  • Social Performance
Community health & safety 
  • Injuries and fatalities of ASM stakeholders on site and/or damage to the ASM mine structure (e.g. instability of pit walls, shafts or tunnels) caused by LSM activities (e.g. blasting)
  • Improve health, and safety practices at ASM sites through awareness raising and capacity building, providing access to safer mining methods and technology
  • Build capacity of local health services to respond to ASM-specific health and safety issues
  • Emergency response process includes ASM-related emergencies
  • Social performance
  • S&SD
* NB Advice should be sought from Group Legal on the legal implications of proposed controls.
Reputation
  • National and international negative media coverage, e.g. due to allegations of human rights abuses by private security forces contracted by the Company
  • Pollution of water and degradation of land by ASM perceived to be caused by the Company
  • Adherence to the VPSHRs by all public and private security forces
  • Regular and transparent engagement with the media and civil society groups
  • Improve environmental practices at ASM sites through awareness raising and capacity building, providing access to safer mining methods and technology
  • Security
  • Social Performance
  • Government Relations
Safety
  • Injuries and fatalities of employees, contractors or suppliers during interactions with ASM or due to hazards created by ASM activity
  • Enhanced security assessments, protocols and measures to protect site personnel
  • ASM tunnel/pit filling
  • Emergency response process includes ASM-related emergencies
  • Security
  • S&SD
Financial
  • Theft of or damage to ore, assets, equipment
  • SED-related measures to support the establishment of alternative ASM areas
  • Security measures at site to protect against trespassing of ASM actors
  • Security measures to confiscate ore
  • Chain of custody system between site and ASM actors
  • Security
  • Social Performance
  • Government Relations
Production
  • Production loss and delays due to operational stops, e.g. caused by protests, blockage of access roads by ASM
  • Grievance process is known and used by ASM actors
  • Engagement processes established with ASM actors allow them to feel heard and respected
  • Approach to ASM management mutually agreed with ASM actors
  • Security
  • Social Performance
  • Government Relations
Legal
  • Legal/compliance liability, e.g. duty of care, human rights
  • Adherence to national legislation
  • Site security staff adhering to VPSHRs
  • Security measures at site to protect against trespassing of ASM actors
  • Legal agreements with ASM operators for ASM management approaches involving cohabitation on site concession (approaches 4 – 6 below) that clearly specify standards and requirements
  • Legal
  • Security
  • Social Performance
  • Government Relations
4K.2 Guidance | Plan
4.Impact and risk prevention and management  |  4K Artisanal and small-scale mining (ASM)  |  4K.2 Guidance  |  Plan