alternative paths for artisanal and small-scale miners?...1 problem statement in recent years there...

Research proposal

M.Sc. Carlos Sosa Mat.Nr.: 1645171

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Alternative paths for artisanal and small-scale miners? Political Ecology of ethical gold certification schemes in Perú.

The implementation of Fairtrade and Fairmined Gold standards with small-scale miners’

organizations in Arequipa, Peru.

1 Problem statement

In recent years there has been a proliferation of private ‘ethical standards’, meant to improve

working, social and environmental conditions in the gold mining sectors. These initiatives emerged

as public awareness of the consequences of mining in the global south has grown and concerns of

the sustainability of the sector have been raised by different actors from the civil society in both

the north and the global south. Within these private ‘ethical standards’ the fair trade movement,

claiming to seek transformation in North-South relations by fostering both ethical consumption

and producer empowerment, has seem the emergence of two fair trade standards for gold,

Fairtrade

Gold and Fairmined (Kister and Ruiz Peyré, 2016). These standards were launched aiming to

promote socially and environmentally responsible mining practices in the Artisanal and Small-scale

Gold Mining (ASGM) sector (see Fairtrade International, 2013 and ARM, 2014). Through a market-

based incentive scheme, the standards aim at encouraging formalization and improving miners’

income. Although some scholarly work has been dedicated to these initiatives, little is known

about the politics of certified gold and its effectiveness.

Artisanal and Small-scale Gold Mining (ASGM) is a growing phenomenon in the global south

(Gillard et al., 2015, Hentschel et al., 2002; Iragi, 2012, Hilson and McQuilken, 2014). The recent

global race for mineral resources represented by transnational investments in large scale mining

ventures, have caught considerable attention particularly in Latin-American academic circles

(Gudynas, 2010; Svampa and Alvarez, 2010), leaving the ASGM question at the margin of the

debate about extractivism and its implications for rural territories in Latin America. ASGM has

been mainly discussed on issues related to soil and water pollution (Langeland, 2015), depletion of

natural resources (Asner et al, 2013), criminal activities and local conflicts (see Castilla et al, 2015

and Bafilemba et al., 2014). The initiatives of Fairmined and Fairtrade Gold Standards provide a

different point, from which the topic ASGM can be approached. Both standards initiatives aim at

generating opportunities to Artisanal and Small-scale Mining (ASM) organizations by promoting

formalization and organization processes through the involvement of miners in a certification

scheme (Fairtrade International, 2013; ARM, 2014). The Standard attempted to facilitate market

access to ASM gold extracted under more sustainable conditions (Ibid, 2014). So far in the

literature the analysis of these initiatives has focused on the challenges related to applying the

Fairtrade logic to ASM (Hilson, 2008); critics of the fairness of the scheme (Childs, 2014); and a

critique of their empowerment strategy (McQuilken, 2016). But a critical analysis of the impacts of

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these ongoing initiatives is still missing and little reflexion has been made on their contribution to

an overall alternative sustainable path for ASGM in the territories where they are operating.

Focusing on ASGM organizations in the region of Chaparra in Arequipa, Perú, this research project

seeks to understand how Fairtrade and Fairmined ethical certification schemes influence the

governance of mineral resources in the regions they operate. More concretely the research aims

to provide an understanding of the way Fairtrade and Fairmined ethical certification schemes

shape the mineral resource governance of the ASGM sector in the targeted regions. This will be

pursued addressing three specific questions. A) The extent to which these ethical certification

schemes provides opportunities for socioeconomic improvements and the extent to which the

schemes establish barriers. B) How these ethical certification schemes change or reproduce the

maintenance of access and control over resources by involved miners’ organizations. And finally,

C) The role these ethical certification schemes play in enabling institutional arrangements

around the extraction of mineral resources in the territories they work.

These inquiries revolve around the governance of natural resources at local level in interaction

with global processes such as the growing rush for natural resources and the specialized markets

(e.g. Fairtrade products) that transform global supply chains of a variety of goods. These issues are

at the center of the interest of the Research Center (FZ1) „Globaler Wandel – Regionale

Nachhaltigkeit“, to which the present research will contribute with empirical data and recent

discussions from the geographical field of study of Political Ecology.

2 State of the art

Recent public awareness about the origins of mineral products and the detrimental effects of

mining activities can be traced back to the early 2000 with initiatives such as the No Dirty Gold

campaign, which through public shaming strategies attempted to incentivise jewellers to sign a

pledge to commit to what they called “responsible mining” practices (Bloomfield, 2014).

Coincidently after the world financial crisis of 2008 and 2009 the Section 1502 of the Dodd-Frank

Wall Street Reform and Consumer Protection Act (2010) emerged as a mechanism to promote

transparency in the mining industry to counter the financing of armed conflicts originally focused

in the African Great Lakes Region. Responding to these developments Due-Diligence initiatives,

such as the OECD2 Due Diligence Guidance (2011), appeared as a way to promote responsible

business and transparency in the supply chain of minerals, which have worked as the benchmark

for the variety of existing voluntary ethical certification schemes in the industry.

Among the voluntary ethical certification schemes The Code of Practices of the Responsible

Jewellery Council (RJC, 2013) is one of the most well-known already existing schemes which was

1 Forschungszentrum 2 Organisation for Economic Co-operation and Development.

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adjusted to the OECD guidelines, while the Responsible Gold Guidance of the London Bullion

Market Association is one of the schemes that directly emanated from the OECD Guidance (LBMA,

2015). Some of these schemes have developed programs to support ASM organizations to achieve

formalization and eventually allow them to comply with the Due-Diligence requirements to access

their markets. Nevertheless, scholars argue that these Due-Diligence initiatives might be making

even more difficult to impoverished artisanal and small-scale miners to access the market in

favourable conditions (see Cuvelier et al, 2014), making the compliance to these requirements an

additional market barrier for them.

the Fairmined and Fairtrade Gold Standards emerged in this context. Initially the Alliance for

Responsible Mining (ARM) and the Fairtrade Labelling Organization (FLO) developed together the

first Standard Zero for Fair Trade Artisanal Gold in 2009, which is based on other Fairtrade

standards of agricultural commodities (McQuilken, 2014). The Standard attempted to facilitate

market access to ASM gold produced in a social and environmentally responsible manner (Ibid,

2014). However, after a three year pilot program in 2013 the two organizations ended their

partnership over the issue of mass balance3, developing two distinct Standards: the Fairtrade

Standard for Gold and Associated Precious Metals for Artisanal and Small-Scale Mining (Fairtrade,

2013) and the Fairmined Standard for Gold from Artisanal and Small-scale Mining (ARM, 2014).

Although both certification schemes present some policy differences, they both attempt to

stimulate more sustainable mining practices in the ASM sector (Fairtrade, 2013 and ARM, 2014).

The scholarly work dedicated to the Fairtrade and Fairmined schemes so far has been varied.

Hilson (2008) presents some challenges related to applying the Fairtrade logic existing in other

products such as coffee and bananas to gold in the Sub Saharan African (SSA) context considering

that the gold extracted there goes generally to the national governments there as a way to gain

foreign exchange, and not to consumers in the north. Childs (2014) criticises the effectiveness of

the scheme in the context of SSA considering the informality of the existing local gold market and

the mistrust in development interventions rooted in the mining communities. McQuilken (2014)

provides an analysis of their empowerment strategy, looking critically at the Fairtrade claims of

providing empowerment to miners in cases in SSA where participating in the certification schemes

has not been synonym of empowerment. But little has been found on the analysis of the early

impacts of

these ongoing initiatives and their contribution to an overall alternative sustainable path for ASGM

in the territories where they have been operating with some success, which is the case of South

America. Besides, little is known about the politics of certified gold and its effectiveness in the case

of Peru, where these initiatives were launched for the first time.

3 ARM concerned with the insufficient demand of Fairtrade-Fairmined gold proposed the dilution of the certified gold with other gold in the production of jewelry, but Fairtrade did not want to dilute the gold because it undermined the purity and image of the label (Choyt, 2013). Despite that, several jewellers have later accepted the mass balanced products, mainly because of the shortage of certified Fairtrade gold (Hilson and MacQuilken, 2016)

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Since the present research proposal has the objective of understanding the role of ethical

certification schemes in the political arenas around the governance of natural resources at the

territorial level, the field of Political Ecology offer useful insights.

2.1 The Certified Political Ecology

Ethical certification schemes have become prominent mechanism in the governance of global

trade and access to natural resources, transforming the value of different activities (such as forest

protection or water management) and raising questions about fairness in the relationship

between actors up and downstream in the supply chain of different commodities. This is relevant

particularly in the current context of global rush for natural resources, also called the global

commodity boom (see Hafner et al., 2016; and Coy and Töpfer, 2010), considering that

certification schemes regulate the way commodities are produced or extracted. These are all

concerns arising from political ecology.

The area of study of Political Ecology, that emerged from the works of Blaikie and Brookfield

(1987), centers in the relationship between political, economic and social factors with

environmental issues and changes. In the last years has also developed interest in the recent

certification phenomenon (see Dolan, 2010; Baird and Quastel, 2011; and Arora and Hofman,

2013). Although the focus of Political Ecology in this regard has been mainly on environmental

certification, I argue that the ethical certification schemes portrayed in the present research

proposal can be analyzed from the optic of Political Ecology since the sustainability discourse is

fundamental in the normative horizon of both certification schemes and the environmental

performance of the mine is a vital criterion of the standards. According to Otto and Mutersbaugh

(2015) in regard to certification schemes there are three aspects of interest for Political Ecology:

first is the expansion of certification as a form of environmental policy; second, is the emergence

of new decision-making arenas around the valorization of activities and spaces and the

devalorization of others; and thirdly the environmental justice implications in the relationship

between upstream producers and downstream consumers. Relevant for the current research

proposal is the above mentioned second aspect regarding governance. The study of this

relationship between certification schemes and miners’ organizations requires the analysis of how

the set of principles contained in the standards become a governing mechanism that defines

acceptable mining practices that are subject to legitimization or contestation by the involved

actors enabling alternative paths to traditional ASM activities.

A political-ecological study of certifications contemplates the identification of its different

components. Based on Otto and Mutersbaugh (2015) there are four main elements of the

certification structure. There is a standard board (e.g. FLO) in charge of setting the norms that

govern the production of a particular “quality” (e.g. a Fairtrade gold). The commodity producers

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(e.g. miners cooperatives) receive the standard information and perform the work accordingly to

the established standards to generate the quality product required. The certifying agencies do the

inspection of the practices performed by producers that generate the particular “quality” in the

field and along the whole supply chain to certify that the same quality (Fairtrade gold) reach the

consumer. Lastly are the buyers, who pay a price premium (Fairtrade premium) to the producers

to compensate for the practices performed according to the standard (e.g. responsible mining). It

is not the purpose of this research to do a mapping and detailed analysis of the supply chains of

the presented certified gold schemes, but to identify the stakeholders and analyze their

interaction at the commodity production level, which implies to look at how each of the actors

interact with the commodity producers (the miners cooperatives) to observe their impacts on

providing or restraining access to certain resources and enabling or preventing the development

of sustainable alternative pathways for ASGM.

To understand how the different actors involved in the certification scheme interact with the

miners´ organizations it is necessary to explore this relationship from the optic of governance.

2.2 Governance

Governance is a central concept to understand how environmental issues and changes are

affected by social and political factors, which is the central topic of interest of political ecology.

Although governance has a variety of meanings and definitions (Rhodes, 1996), what is commonly

attributed to governance is that is has to do with a governing style in which the boundaries

between what is public and what is private have become blurred (Stoker, 1998). Thus, the concept

of governance implies the involvement of other actors besides the government in governing. Not

surprisingly, the concept of governance has been thoroughly discussed in the nineties, a decade

after the massive deployment of Structural Adjustment Programs (SAPs) in the developing world,

which involved the reduction of functions of state apparatuses. These processes sough the gradual

involvement of for profit and non for profit actors in service delivery and strategic decision

making. That is why Stocker (1998: 2) argue that sometimes governance has been used to provide

an acceptable face to government spending cuts. Nevertheless, in this case what is important to

grasp from the concept of governance is the interdependence between governmental, for profit

and non-profit actors in building “regimes” and solving problems vertically (multilevel global

coordination) but also horizontally (local level coordination). This shows that no single actor has

the capacity to solve problems unilaterally (see Rhodes, 1996; Stoker, 1998; Prno and Slocombe,

2012). This is a central topic in the discussion of the effectiveness of ethical certification schemes,

considering that such schemes constitute ways of governing, through the establishment of a set of

principles and standards that need to be comply with.

Another fundamental notion within the governance perspective is the concept of Institutions,

understood as those socially constructed rules of the games that shape human actions (Ostrom

and Ahn, 2003). Institutions are then those written and unwritten rules that orient individual and

social behavior. The effectiveness of those institutions’ rests in the legitimacy of the exercise of

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power. This involves the establishment of a viable regime that orient actions towards the common

goal of the governing actors. This is relevant to the ethical certification discussion in the case of

Fairtrade and Fairmined schemes, since they are market-oriented governance mechanisms that

use a price instrument to stimulate the adoption of better mining practices. Here I refer to the

“minimum price” and “premium” policy based on the LBMA precious metals benchmark prices4.

This conceptualization of institutions suggest that they are not structures fixed in time, but rather

constitute the product of continuous processes of conflict and negotiations between different

actors in a specific context. In other words, institutions can change, which imply that even though

institutions shape human interaction, such interaction take part in the reshaping of institutions

(Long, 2001). This notion is particularly relevant for the study of socioeconomic dynamics in the

context of impoverished mining communities, since fighting poverty entails participation in

beneficial institutional change (Bastiaensen et al., 2005).

Finally, In the governance discussion two factors are key for an effective system of governance to

function. One has to do with how the system contribute to Increase the availability of information

towards those who must comply with the institutional arrangement established by the governing

actors and the second has to do with reducing transaction costs in the system (Stoker, 1998). this

reduction of transaction costs refers to the costs involving the control of implementation of laws

and regulations inherent to the governing system. This is particularly important for the case of the

certification schemes of Fairtrade and Fairmined, to see whether the successes or failures of these

schemes are influenced by the ability of these schemes to reduce overall transaction costs for the

involved miners´ organizations in following existing laws and regulations regarding their mining

practices. To assess that it must look at the socioeconomic effects of the miners´ involvement in

these ethical certification scheme, through the analysis of their livelihoods and their ability to

access resources.

2.3 Livelihoods approach and Access theory

Household´s livelihoods are vital to grasp in the analysis of the relationship between ethical

certification schemes and miners´ livelihoods since it is at household level where the opportunities

and restrictions are more visible to understand people´s strategies. People are exposed to a

variety of constraints, yet they have space of maneuver. As Long (2001: 17) puts it, even though

people are not always able to make their circumstances of living they take part actively in shaping

their lives. This means that people do have agency even in the most constraining circumstances.

This actor-oriented approach, I believe, is suitable to study rural livelihoods of marginalized

groups, in which restrictions might seem overwhelming, but where there is always reaction and

contestation to these marginalized conditions.

4 The Fairtrade and Fairmined Minimum Price for Gold and Silver is 95% of the LBMA fixing for gold and silver.

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People´s agency materializes in their strategies to access and preserve capitals for the

reproduction and improvement of their livelihoods. As observed by Bebbington (1999) one of the

most important features of the livelihoods analysis is people´s capitals. These are the natural,

physical, human, financial and social capital. All of them constitute what people must have to

make a living (Ellis, 2000). These capitals with which a household’s counts are mediated by social

relations, institutions and environmental conditions that facilitate or hinder people capabilities to

choose their preferred path. For the present research I do not intend to do an integral livelihood

analysis of the household’s livelihoods of the miners participating in the certification schemes but

rather an analysis of the role of the mining activity in their livelihoods and the contribution the

certifications schemes make in improving these livelihoods.

So far livelihood studies have been useful to understand what people have and how do they cope

with restrictions in a set of circumstances. Nevertheless, livelihood studies have had problems

addressing the issue of “access”, underplaying the structural restrictions shaped by power

relations that influence people´s entitlements (de Haan and Zoomers, 2005). Particularly in dealing

with the issue of the benefits and trade-offs that the certification schemes can represent, I

consider the use of access analysis particularly appropriate, because as Ribot and Peluso (2003)

argue access analysis helps to understand why and how people can extract benefits from

resources even if they do not necessarily have rights to them.

For this research I use the notion of access emerged from the theoretical efforts of the geographer

Jesse Ribot and the Anthropologist Nancy Peluso, who define access as “the ability to derive

benefits from things” (Ribot and Peluso, 2003:153). This rather broad definition takes form when

natural resources become the target to “access”. In the case of the current research is clear that

the central object of access are mineral resources. Nevertheless, as Ribot and Peluso (2003) argue,

in the analysis of access one finds that access to certain resources, individuals, institutions and

symbols allows the access to other resources, and these interlinkages constitute webs of access.

Thus, for instances, in the case of the present research access to market provided by the

certification scheme can facilitate to some and restrain to others the access to the mineral

resource. This is also a dimension to explore in the research.

This conceptualization of access has inherently the notion of power in it as access constitute an

ability (Sikor and Lund, 2009). Following this line of thought there are three fundamental terms to

the understanding of social actions around access. First, there is access control, which constitute

this mediation of access to others. The second term is access maintenance, which is the effort to

keep access open to a set of key resources. And thirdly there is access gain, which is the more

general process through which access is established (Ribot and Peluso, 2003:159). Access analysis,

therefore, is the process of identifying the mechanisms by which access in gained, maintained and

controlled (Ibid, 2003:160). Access analysis, in this sense, contemplates three main tasks: first,

identifying the stream of particular benefits of interest; secondly, identifying the mechanisms by

which actors gain, control and maintain the benefit streams and its distribution; and thirdly,

examining the power relation behind the mechanisms of access wherever benefits can be

extracted (Ibid, 2003:161).

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As it can be seen from the process of access analysis above mentioned, a central category in

access theory is the access mechanisms, which according to Ribot and Peluso (2003:160) are the

means, processes and relations by which actors gain, control and maintain access to resources. In

order to identify them the authors provide a set of categories: rights-based access, which includes

those sanctioned by law, custom, and convention or unsanctioned, by theft, coercion or violence;

structural access, which includes technology, capital, markets, labour, knowledge, authority and

information; and relational access, involving the negotiation of social relations of friendship, trust,

reciprocity, patronage and clientelism. This categorization, according to Ribot and Peluso (2003),

constitute a working set of mechanisms. So, it does not pretend to be complete and leaves a space

for adaptation and restructuration according to the needs of the research. This is an empirically

grounded analysis that I find useful for the study of the relationship between certification schemes

and miners’ livelihoods, particularly looking at the benefits and trade-off derived from these

programs and their support for an alternative sustainable path to ASMG in the territories.

3 Research plan: Addressing the research questions

The methods to be applied in this research will be integrated by 3 parallel processes aiming to

answer the main research questions.

Dealing with the question A) regarding the socioeconomic opportunities and possible barriers

presented by Fairtrade and Fairmined I plan to do a comparative analysis of two different mining

organizations. One organization participating in a fair trade circuit and another not participant as a

control group. This concretely imply looking at the situation of miners’ households differentiated

by their participation or not in the certification schemes. Here I plan to integrate a household

survey and semi-structured interviews. The questionary for the survey will be made based on the

automatized scheme of economic calculation developed by L. Levard (2001), a tool for the agrarian

diagnosis that I find useful for analysing ASGM at the level of household economic calculation. On

the other hand, the semi-structured interviews will provide a more in depth understanding of the

impacts of the fair trade schemes on miners´ households by selecting representative cases.

In addressing the question B) concerning the benefits and trade-offs of these certification schemes

for ASGM communities in terms of differentiated access to the mineral resource and

differentiated impacts over other resources, I will conduct two complementary analysis. On the

one hand, I will do an aggregated analysis of the results of the households’ economic calculations

to identify the socioeconomic added value of mining activities at community level and the role

that the access to the Fairtrade/Fairmined market has. Complementary I will conduct a multilevel

stakeholder and network analysis to detect the interest, meanings each stakeholder assign to the

issues of ASGM and to look at the power relation among them. To implement this, I will conduct

interviews to key informants involved in ASGM and the certification mechanisms at local level and

a collective inquiry method that could be focus groups or workshops, which will depend on the

contexts of the fieldwork. This will also require a revision of programmatic documents and reports.

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In addressing the question C) about the role of Fairtrade and Fairmined initiatives in the political

arena around the extraction of mineral resources in the territories they operate, I will carry out an

integration of discourse and policy analysis to identify the discursive struggles and ability to

mobilize resources to influence policy making around ASGM at the territory and at the network

level. I will conduct a review of the current narratives that meet at the territorial political arenas

around sustainability and social justice, to observe the dynamics developed between the different

stakeholders. Additionally, an analysis of current policies affecting overall ASGM will be required.

Table 1The three parallel processes and their corresponding methods

Question Research Methods Data Collection

Techniques

Analysis

A - Case study - Household surveys

- Semi-structured

interviews

- Comparative analysis

with control groups

- Household micro-

economic calculation

- Content analysis

B

- Stakeholder analysis

- Network analysis

(Graph Theory)

- Semi-structured

interviews

-Collective inquiry

techniques (workshops,

focus groups)

- Observation

- Documents review

- Value Added Analysis

- Network analysis

- Stakeholder analysis

C - Discourse analysis

- Policy analysis

- Media and Documents

reviews

- Semi-structured

interviews

- Discourse analysis

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Hafner, R.; Rainer, G.; Ruiz Peyre, F.; Coy, M. (2016) „Ressourcenboom in Südamerika: alte

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400.

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sub-Saharan Africa: A critical review”, The Extractive Industries and Society, 1: 104–118.

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Dissertation, Institute of Development Policy and Management, Antwerp.

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https://www.fairtrade-deutschland.de/fileadmin/DE/02_produkte/gold/2015-04-15_EN_Gold-and-Precious_Metals_DE_komplett_ms.pdf

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