Reports & Publications

We believe that sharing our expertise is vital for achieving our vision and mission . This is why we publish reports, blog, and do public speaking as much as possible. We also believe in respecting intellectual property, so rigorous citation is core to how we present information and we expect others who use our work to do the same. At the same time, it is essential that we respect the confidentiality and copyright requirements of our clients, and so only a sample of our work is available on this page. If there’s something you know we’ve researched or produced and it’s not here, please get in touch to see if we can help you.

GIFF Mapping IFFs in ASGM

New handbook helps you identify financial flows linked to Artisanal Gold Mining

The GIFF project partners – Estelle Levin Limited and the Global Initiative Against Transnational Organised Crime – are proud to release the culmination of many months of discussion and research: ‘Follow the Money: A handbook for identifying financial flows linked to Artisanal and Small-Scale Gold Mining’.

Credible, comprehensive, and comprehensible data is desperately needed to better understand financial flows linked to Artisanal and Small-Scale Gold Mining (ASGM). This landmark handbook  provides practical tools, techniques, methodologies and pointers for stakeholders seeking to broaden their understanding of and engage with the financial flows linked to ASGM, including the sub-set of illicit financial flows (IFFs) that implicate parts of the sector with corruption, money laundering and organized crime.

GIFF Launch

The handbook is publicly available and provides actors with:

  • A primer on terminology to ensure comprehension on key issues;
  • Analysis of the key issues pertaining to ASGM and Illicit Financial Flows (IFF); and
  • The tools needed to:
    • increase their knowledge and understanding of financial flows, in particular illicit financial flows (IFFs) linked to the ASGM sector;
    • build their capacity to analyse and effectively capitalise on opportunities; and
    • mitigate and respond to challenges and obstacles IFFs pose to the formalisation of the ASGM sector and other development objectives.

Click Image to Download Case Study

Alongside the handbook we are also releasing our first case study demonstrating application of the handbook’s methodology to analyse the IFFs surrounding the ASGM sector in Sierra Leone, showing its practical application and the importance of financial mapping to a meaningful understanding of ASGM.

GIFF project director Estelle Levin-Nally said: “Our aim at GIFF is that this handbook leads to improved due diligence and planning for all actors involved in supply chain management and due diligence in the Artisanal and Small-Scale Mining sector, so that stakeholders are equipped to optimise the opportunities that minerals offer for sustainable development.”

We look forward to seeing what advances can be made through application of the handbook’s tools now that it is ready to use!  Do keep in touch and tell us if/how you use it, what you found, and what impact this had on realising your goals.

ASM Resilience Pathway

Since 2015, several dialogue series intended to achieve better governance of the artisanal and small-scale mining (ASM) sector in Madagascar have been initiated by GIZ’s Program for the Support of the Management of the Environment (PAGE), with funding from the Australian Department for Foreign Affairs and Commerce, and in collaboration with the Ministry of Mines and Petrol. These dialogues bring the public sector, the private sector, and civil society round the table together, facilitating a better understanding of the realities at the local level, whilst reinforcing synergies and exchange between the different stakeholders.

Click Image to Download French Version

ELL Senior Manager, Andrew Cooke, participated in a multi-stakeholder dialogue on the 27th and 28th October 2016 in Antananarivo, Madagascar. His presentation during the workshop clarified the approaches to responsible production and sustainable development in the artisanal mining sector, helping stakeholders place the Madagascan ASM sector in the spectrum between illicit ASM and fully responsible, certified production. The report (available in French and English here) summarises the presentation and provides recommendations for the responsible production of precious stones and gold in Madagascar.

Included in the approach is the ASM Resilience Pathway, available here. The ASM Resilience Pathway allows actors to determine where a country or community is on its journey towards becoming a system that enables sustainable business. Principal contributing factors include legal and policy environment, human rights protections, level of formalisation of sector businesses, quality of risk management and so on. Once the geographic area is mapped, guidance is given to ascertain what types of interventions would be most appropriate to help pull the sector towards a state where legal enterprise and sustainable development can become the norm.

ASM Resilience Flyer

ASM Resilience Flyer – Click image for full version

Improving Marketing and Sales of Mongolian Jewellery: Scoping Mission Report

In ELL’s 2015 report, “Improving Marketing and Sales of Mongolian Jewellery: Scoping Mission Report” we explore the potential for Mongolia’s gold jewellery sector to serve as an opportunity for socio-economic development.

This report assesses mineral market potential for a leading emerging economy. The risk of Dutch Disease and over-dependence on mining for economic growth has encouraged the Mongolian Government to seek diversification and investment in other industries, including jewellery. As a result, several government initiatives and ministries, as well as private sector-led initiatives, are already well positioned to support the development of Mongolia’s jewellery sector.

This report features best practice in genuine partnership with local experts. Jamiyansuren Onolt, a prestigious Mongolian calligrapher, artist, and goldsmith, provided research and coordination support for ELL throughout the project.

This report connects the needs of international leaders with local Mongolian producers. ELL consulted and scoped international mission-based jewellers to better understand their interest and ability, as well as the challenges and opportunities to: incorporating Mongolian jewellery design and/or manufacture into their supply chains, or to distribute Mongolian crafted jewellery. We built upon rich work done by previous researchers to continue and enliven a discourse about the market potential of Mongolian high-end and handcraft gold jewellery sector.

To learn more about:

  • Key opportunities and barriers to working with the Mongolian jewellery sector;
  • Market potential for high end and handcrafted gold jewellery in domestic and international markets; or
  • A Jewellery Programme for sectoral development among Mongolian jewellers;

This work was conducted through generous funding provided by the Deutsche Gesellschaft fuer Internationale Zusammenarbeit (GIZ) with support from the Sustainable Artisanal Mining Project (SAM) of the Swiss Agency for Development and Cooperation (SADC).

Comparative analysis of ASM strategies in four countries of Africa, Asia and Latin America (Ghana, Tanzania, Peru and Philippines)

ELL was commissioned to conduct this comparative analysis of ASM strategies of four countries by PROMINES, with financing provided by the World Bank. It was a deliverable submitted as part of a larger project “Development of a Strategic Document on ASM in DRC” in which ELL, PACT and IPIS worked to develop a strategic plan and action plan for SAESSCAM, the organisation mandated with the formalisation of the ASM sector in DRC. The objective of the comparative analysis of four countries is to find models and best practices that could inspire the formulation of the DRC’s national policy and strategy towards an ASM sector that contributes to poverty reduction through the creation of stable and dignified employment opportunities, as well as to GDP growth through an increased mineral production. Following a rapid scoping analysis of nine countries, four countries where chosen for the analysis: Ghana, Tanzania, Peru and the Philippines.

The report draws the following conclusions:

Artisanal and Small-scale Mining (ASM) is highly relevant in all four countries. ASM miners comprise a significant percentage of the rural population in all countries, and the sector contributes importantly not only to livelihoods but also to the national GDP. However instead of being incorporated into poverty reduction strategies, the ASM sector is seeing increasing criminalisation and margnialisation by governments. This largely negative portrayal overlooks the great diversity which exists within the sector and obscures the multiple cases where ASM complies or has the intention to comply with all local legislation and best practice. Following this trend of neglect, the rising gold prices of the past decade finally allowed many artisanal operators to invest in mechanization and to up-scale their mines.  Existing operations became more intensive and new actors entered, seeking quick profits. By outgrowing their category and not conforming with terms of larger scale mining according to the general mining law, some of these mines have in fact become “illegal”. With most ASM legislations dating back to the period of the 1980s to early 2000s, entire legal frameworks for ASM became outdated and virtually “collapsed” under the gold-rush of the 2000s. Under these circumstances political decision makers started to “panic”, responding with heavy-handed interdiction approaches. Chances that this approach leads to sustainable results are considered minimal. Among the four countries compared in this paper, Tanzania appears to be the only country not attempting to battle against illegal mining but focusing on improving the livelihoods and practices of small-scale miners. While Peru had similar intentions, their decision to delegate responsibilities to regional governments which did not have the adequate resources to manage the ASM sector stalled their progress. In all countries, mining authorities tend to prioritise large mining corporations who contribute with high taxation to the expense of ASM who are marginal taxpayers.

Based upon these conclusions and lessons learned from these countries, the report draws fundamental recommendations on formulating a national strategy for empowering a productive and sustainable ASM sector.

A French summary can be viewed here.

An analysis of the commercial potential of Ethiopia’s coloured gemstone industry

This scoping study of Ethiopia’s colored gemstones industry examines the following: the present state of the industry, primarily in commercial and social development terms; which features of the industry and its governance are either improving or limiting its commercial success, and why; and the key ‘lessons learned’ from what other gemstone producing countries around the world have done to commercialise this industry, and how they could be constructively applied to the Ethiopian context.

The study was motivated by The World Bank’s recognition of the Ethiopian government’s desire to further develop its colored gemstone sector, and the five-year plan it launched in January 2015 with that goal in mind. A clearer understanding of the commercial realities of this sector and how it is governed will improve The World Bank’s ability to potentially work with the government to help it realize its objectives for this important industry.

Rough waiting to be polished

Rough stones waiting to be polished

This report’s case study analyses of Afghanistan, Australia, Brazil, Madagascar, Nigeria, Sri Lanka and Tanzania identify the ways in which these countries have worked to establish functional colored gemstone industries and improve their commercialisation. Like Ethiopia, some of those countries are developing, while others have long histories of strong economic performance. Positive and negative lessons can be learnt from these case studies in terms of how these countries have realised, or struggled to realise, their goals, and both are valuable for illuminating the path that Ethiopia could potentially take.


Comparative Study of Certification and Traceability Systems in the DRC

From 2013-2015, ELL provided guidance to PROMINES, the implementing body for the World Bank’s Project to Support the Mining Sector in DRC on building a robust fabric for good governance of its minerals sector through supply chain traceability and certification. ELL carried out a comparative analysis of the certification and traceability systems in place in the DRC and in the world, in order to propose a system that is appropriate to the needs of the country, coherent with the procedures of the ICGLR’s Regional Certification Mechanism (RCM), and responsive to international requirements. The results were used to propose how to govern Congolese mineral supply chains through private sector mechanisms that respond to the realities of the Congolese context and the expectations of the Congolese government in terms of efficacy and cost, whilst being in conformance with the demands of the ICGLR and the final consumers of relevant minerals in terms of conformance with the OECD Due Diligence Guidance.

Over the course of this research, over 200 Congolese and 50 international interlocutors representing a wide range of upstream and downstream conflict mineral supply chain stakeholders. Fieldwork covered sixteen mining and associated trading sites, ten of which were for gold. ELL also developed and used two analytical frameworks, keeping in mind the international, regional and national frameworks that such a system must align with. The first establishes the key elements of a conflict minerals assurance system and the second provides a framework for evaluating the sustainability performance of a traceability and due diligence system.

A comparative analysis was done on the following certification initiatives: the DRC’s Certified Trading Chains; iTSCi’s Tin Supply Chain Initiative; the Better Sourcing Program and MineralCare’s GoldCare & 3TCare. Furthermore, three additional traceability initiatives were compared: PWC’s GeoTraceability; MetTrak’s software solution and SERCAM. Other relevant standards not currently operational in the DRC were also considered as potentially of use for increasing the DRC’s conformance with the OECD Guidance and the ICGLR’s RCM, and special attention was given to the certification of gold due to its particularities that make it more prone to illegal trade.

The following general recommendations can be drawn from the comparative analysis:

  • Mine site validation to be streamlined and accelerated.
  • ASM miner cooperatives and small companies should be granted greater security of tenure and should be issued with an increased number of ASM permits.
  • The DRC government needs to ensure that cooperatives bring tangible benefits to ASM miners.
  • Any traceability system will depend upon government agents, so capacity-building of government agencies is a priority.
  • There is a need to consider how the costs of upstream due diligence can be distributed more fairly so the burden is not placed disproportionately on the most vulnerable in the chain.
  • In order for companies to be able to rely upon assurance systems operational in DRC, DRC must insist that any initiative with which it signs a Memorandum of Understanding has undergone an OECD DDG conformance check.
  • DRC should aggregate and publish data, statistics and reports of relevance to downstream buyers of ‘conflict minerals’.
  • As part of its consideration as to allowing new initiatives to operate in DRC, the government should demand that these initiatives present information on their business model including how they will be financed.
  • The GDRC needs to establish and publish its procedure for vetting and approving a conflict minerals initiative or traceability service provider.

To view the executive summary please click here.

Pour la version française, cliquez ici.

Pour le résumé. cliquez ici.

Pour les annexes, cliquez ici.

GIFF Project International Dialogue Paris Report

On 13 May 2016, the GIFF Project held an International Dialogue on links between artisanal and small-scale gold mining (ASGM) and illicit financial flows (IFFs). The event furthered the GIFF Project’s work to raise awareness of IFFs linked to ASGM, increase knowledge on the topic and strengthen responses.

The GIFF Project is pleased to present the GIFF Project International Dialogue Report. This report represents the collaborative work of all attendees to the event. The ideas and themes resulted from robust participation by the speakers and participants.

Due Diligence for Responsible Sourcing of Precious Stones (PS-MSWG)

Estelle Levin Ltd. and Sustainable and Responsible Solutions were commissioned by the Precious Stones Multi-Stakeholder Working Group (PS-MSWG) to develop a discussion paper on Due Diligence for Responsible Sourcing of Precious Stones. This comprehensive report analyses precious gemstone supply chains and the risks present therein, before considering how due diligence can help to identify and manage these risks. Following this is an overview of the due diligence frameworks, tools and mechanisms in other minerals industries, including gold, tin, tungsten, and tantalum, that help to manage risks and facilitate responsible sourcing. How the precious gemstone industry could adapt these existing frameworks, tools and mechanisms to enhance the trade in responsibly-sourced gemstones is then considered.

Scoping Study on Possible Activities of the European Partnership for Responsible Minerals (EPRM)

Estelle Levin Ltd. is excited to announce the publication of the “Scoping Study on Possible Activities of the European Partnership for Responsible Minerals (EPRM)”. This study was commissioned by the Netherlands Ministry of Foreign Affairs, and was carried out by Estelle Levin Ltd. and Profundo. The report examines the activities that the newly formed European Partnership for Responsible Minerals could undertake to help enhance the trade in responsibly-sourced tin, tungsten, tantalum and gold, also known as the 3TGs. ELL’s recommendations for activities the EPRM could undertake include:

  • Training, supporting and equipping civil society to take part in monitoring, reporting and evaluating issues related to the due diligence and traceability process in an effort to reinforce the voice of civil society, improve accountability structures in conflict-affected and high-risk areas, and render existing efforts more effective, accurate and sustainable;
  • Facilitating the harmonisation of existing responsible 3TG mining and sourcing projects around the world, and supporting their up-scaling whenever possible;
  • Carrying out a review of the measures being taken by businesses and industry associations operating in the UAE to find entry points and incentives to tackle illegal gold trading (from DRC and elsewhere) and promote conformance with the OECD Due Diligence Guidance; and
  • Engaging with the Gold and Illicit Financial Flows (GIFF) Project to better understand Illicit Financial Flows in the gold industry and provide greater insight into this issue to help develop solutions that can improve efforts in the formalisation of the artisanal and small-scale gold mining sector globally.


‘Assessing and Enhancing the Contribution of Small and Medium-scale Enterprises to Due Diligence for Responsible Mineral Supply Chains’

This study is an examination of how small and medium-scale enterprises (SMEs) in the jewellery, medical technology, automotive and electronics industries in Europe, the United States of America and China are managing their “conflict minerals” reporting and/or due diligence requests and/or obligations. It was commissioned by the German Federal Institute of Geosciences and Natural Resources (BGR). ELL researchers used survey and interview research methods to gain an understanding of the key challenges faced by SMEs in relation to conflict minerals, what large-scale companies and industry associations have observed within their own respective SME supplier groups and memberships, and which efforts have ameliorated SME limitations in this field of compliance.

SMEs dominate much of the global economy and have a key role in the electronics, jewellery, automotive and medical technology industries, performing tasks including processing, part and component manufacturing, product assembly, and, primarily in the case of the jewellery industry, retailing also. Consequently, SMEs can be central to the production and distribution of products containing “conflict minerals”–tin, tantalum, tungsten and gold. However, there is limited existing research into how SMEs are managing this issue.

This study found that, overall, many SMEs are struggling with the conflict mineral issue and reporting requests from their customers. The findings also indicate that their need for more advice, information and support in the completion of these requests is not currently being met, which likely undermines their ability to provide their customers with reliable information about conflict minerals in their supply chains. Moreover, the incentives for SMEs to independently develop their own capacity for managing this issue do not currently exist in the industries examined for this study.

The report contains detailed recommendations for industry—including SMEs and large-scale companies, industry associations, the Organisation for Economic Cooperation and Development (OECD), and governments to improve the capacity of SMEs in carrying out conflict minerals requests and/or obligations. The best outcomes for responsible mineral sourcing would arguably be enabled by all of these stakeholders fully embracing their role in the provision of the study’s recommended support measures to SMEs in affected industries. Furthermore, in relation to the EU’s upcoming conflict minerals law, given that “overwhelming majority of affected EU importers (i.e. traders, smelters/refiners, and manufacturing companies) are SMEs or micro-enterprises”, it is ELL’s recommendation that in order for downstream companies in this region to responsibly source minerals an appropriate burdening of SMEs throughout affected supply chains should be clearly stated in the text.




Regulating Reality

This study examines internal and external trade mechanisms in artisanally mined diamonds in the Democratic Republic of Congo (DRC) and Sierra Leone with the aim to determine optimal practices for regulating the trading chains and harnessing them for developmental ends.

It contributes to the objectives of the Kimberly Process Certification Scheme’s (KPCS) Working Group on Alluvial and Artisanal Diamonds (WGAAP). In this report, the authors assert that there are important differences between a-legal and illegal trade, and informal and formal trade in artisanally mined diamonds. An understanding of the distinctions is necessary in order to map states of activity within the diamond producing and trading spheres. Misunderstanding, or in other words misclassification, of these categories can lead to the application of inappropriate regulation.

For the report see here


Evaluation of mining revenue streams and due diligence implementation costs along mineral supply chains in Rwanda

ELL was commissioned by Bundesanstalt für Geowissenschaften und Rohstoffe (BGR) to conduct an evaluation of mining revenue streams and due diligence implementation costs along mineral supply chains in Rwanda. The study aims at evaluating the economic sustainability of ASM supply chains originating in Rwanda vis-à-vis common ASM formalisation factors as well as challenges arising from the increased supply chain due diligence focus applying to the Great Lakes Region. The study was part of the BGR module supporting the implementation of the Regional Certification Mechanism and the formalisation of artisanal and small-scale mining in Rwanda and Burundi as part of a GIZ-BGR programme to support the ICGLR and RINR.

Minerals Supply Chain Due Diligence Audits in the Great Lakes Region.

The German Federal Institute for Geosciences and Natural Resources commissioned ELL to produce a report for the ICGLR Audit Committee to help it determine opportunities for alignment with other systems over the short and long term and to have the foundations for developing their audit methodology and template.  The ICGLR (International Conference of the Great Lakes Region) Audit Committee coordinates and monitors the third party audit system to ensure the export of conflict-free minerals from the region.

ICGLR RCM Audit Methodology

The German Federal Institute for Geosciences and Natural Resources (BGR) commissioned ELL to develop the methodology for the third party exporter audit, that is a fundamental component of the Regional Certification Mechanism (RCM) of the International Conference of the Great Lakes Region (ICGLR). The exporter audit is coordinated and monitored by the ICGLR’s Audit Committee to ensure the export of conflict-free minerals from the region. The system is soon to be operational in DRC and Rwanda.

This methodology was consulted on and improved at a workshop with the Audit Committee in Nairobi in October 2013. It accompanies the Analysis Report, which can be found here. (hyperlink to report at suitable place in sentence! Pleae cross reference to audit methodology also on Analysis Report’s page)

ASM-PACE Global Solutions Study

The aim of this report is to summarize the scope and scale of ASM in protected areas and critical ecosystems worldwide, describe its known effects, document and study attempted solutions, and offer an initial set of recommendations. While this report provides background on some of the current issues in the ASM sector, it does not seek to provide a comprehensive overview of ASM around the world. Instead, this report focuses exclusively on ASM occurring in and around protected areas and critical ecosystems.  Issued as part of the Artisanal and Small Scale Mining in Protected Areas and Critical Ecosystems (ASM-PACE) Programme. A joint initiative by the international conservation organization WWF and specialist development consultancy firm Estelle Levin Ltd, ASM-PACE seeks to identify workable, sustainable solutions that constructively navigate the conservation and development trade-off presented by ASM in protected areas and critical ecosystems.

UN ITU Greening Supply Chains.

This report provides an overview of the many initiatives that provide the ICT sector with guidance and assurance tools on how to conduct due diligence for conflict minerals entering their supply chains. It also serves as a needs assessment for a mineral supply chain due diligence standard that takes consideration of wider issues of sustainability, above and beyond the issues surrounding conflict minerals (i.e. human rights and money laundering issues).

Scaling-up Certification in ASM.

This paper seeks to identify existing and emerging innovations and best practice in sustainability certification that enable fair and beneficial inclusion of producers. It seeks to learn lessons for artisanal and small-scale mining from the agricultural sectors, where certification has been operational for some time. These innovations could increase the inclusivity of certification to cater for the realities of the majority of ASM. It also explores the enabling environments or support systems that are necessary to scale up of certification.

ASM-PACE Madagascar Report

The overall objective of this ASM in Madagascar Strategic Management of Artisanal Rushes Tool and Lessons Learned Study Project is to address the growing threat of Artisanal and Small Scale Mining on, in and around Madagascar’s protected areas (PAs) and critical ecosystems, and ideally in a way that can ensure continued socioeconomic development without undermining ecological resiliency.

This report’s remit is both to provide an historical perspective, and to illustrate the extent of ASM activity and rushes – focusing on successful and failed methods to cope with mineral rushes, and what has been learned in terms of effective ASM and ASM-rush management as a result. A principal objective of the review is to provide analysis on progress, or lack thereof, made toward the reduction of ASM rushes. Thus the study embraces both current and historical incidences of ASM activity and rushes, with an element of analytical comparison between different experiences and approaches to rushes.

Dealing for Development? Diamond Marketing in Sierra Leone.

The aim of the Diamond Development Initiative (DDI) and thus of this report is to enhance human security in artisanal diamond mining areas, contributing to making artisanal mining less conflict prone and more beneficial to the labourers, miners, and communities, and the regions and countries in which they work. As a result of the “conflict diamonds” problem, national and international attention has focused on the movement of diamonds from Sierra Leone into the international system, resulting in Sierra Leone’s pioneering implementation of the Certificate of Origin, closely followed by the Kimberley Process Certification Scheme (KPCS).

ASM-PACE Itombwe Nature Reserve, DRC Report

ASM-PACE Artisanal and Small-scale Mining in Itombwe Nature Reserve, DRC (French)
This report is a field-based scoping study on ASM in the Itombwe Nature Reserve. The aims of this report are to: (1) better understand ASM in the RNI by identifying its causes, characteristics and impacts; (2) identify lessons learned from prior efforts, both in the Itombwe Reserve and in other protected areas and critical ecosystems to address challenges and build on opportunities associated with ASM; and (3) identify field-based case study and programme opportunities in support of or partnered with Congolese organizations to address issues on the ground.

ASM-PACE Sierra Leone Report

This report is a case study containing a situational analysis of artisanal and small-scale mining (ASM) of gold and diamonds in and around the Malema and Nomo areas of Sierra Leone’s Gola Rainforest National Park (GRNP). This report was invited by the GRNP and is also part of the Artisanal and Small Scale Mining in Protected Areas and Critical Ecosystems (ASM-PACE) Programme, led by a partnership between WWF and Estelle Levin Ltd. to support conservation and mining stakeholders manage the issue of ASM in “PACE” locations constructively and sustainably. The project uses a scientific foundation of knowledge, participatory methods and rights-based approaches to work with miners and their communities, rather than in opposition, to design sustainable, win-win solutions.

ASM-PACE Liberia Report

This report details a case study of historical and contemporary artisanal and small-scale mining (ASM) in and around Sapo National Park (SNP), assesses the ecological, social, and economic impacts of ASM, the key motivations of diggers/miners, the responses of affected stakeholders, including the sustainability of the 2010 SNP eviction and makes recommendations for future action. It is intended that the lessons learned from the SNP case will feed into the development of sustainable responses both locally and in protected areas in other countries, either directly through ASM-PACE intervention programmes or indirectly through publications (tools, guidance notes, and project reports).

Mineral Certification Schemes in the Great Lakes Region.

The report provides a comparative analysis of three efforts to improve chain of custody assurance in the African Great Lakes Region against the proposed Regional Certification Mechanism (RCM) for the RINR, proposed by Partnership Africa Canada, commissioned by the Swiss Federal Department of Foreign Affairs (see Blore and Smillie 2010, and Smillie and Blore 2010). The study’s goal is to provide the ICGLR with an analysis of existing chain-of-custody (CoC) certification initiatives in the region to inform their drafting of the final version of the RCM’s normative document before its formal adoption, envisaged for December 2010.

ASM-PACE Gabon Report

ASM-PACE Gabon Case Study Report
Artisanal and Small-Scale Mining (ASM) in Gabon is a long practiced but frequently informal activity that can play a significant role in local development. However, it can also have negative impacts on the environment due to the mining practices and the presence of human settlements in sensitive environments. The aim of this report is to help decision-makers at the Agence National des Parcs Nationaux (ANPN, the Gabonese National Agency for the National Parks) the Gabon Ministry of Mines and Industry (MoM) and the state-owned Gabon Mining so that they can plan an early ‘roadmap’ towards ESER-ASM. While ASM-PACE can be a partner in such efforts, if ESER-ASM is to be achieved and sustained in Gabon, action must be driven and owned by State authorities with the meaningful inclusion of affected parties (ASM, communities, and conservation organisations). Therefore, while this report suggests next steps and guidance from ASM-ESER models achieved elsewhere, this implementation process must be led by those who will ultimately have regulatory and legal authority over operations and in close consultation with those who will be affected.

Natural Resources and Trade Flows in the GLR – The Annexes.

This set of Annexes was edited by Estelle Levin in her role for INICA in 2006-7 as part of DFID’s Natural Resources and Trade Flows in the Great Lakes Region. Annex VI presents a rationale and methodology for exploring Artisanal & Small-scale Mining (ASM) in DR Congo from a sustainable livelihoods perspective. As Estelle writes herein, ‘It is one thing to structure the playing field, for example by altering institutional capacity and responsibilities, laws and policies, political and economic systems; but these structural changes will produce little if the people at whom such changes are targeted, I.e. DRC’s grassroots miners, agriculturalists and foresters, are unable to capitalise on or benefit from them.’ The five other annexes provide statistical, anthropological, cartographic, and legal analysis of mineral trades in DRC, as well as a case study of cassiterite exploitation and trade in North Kivu.

Natural Resources and Trade Flows in the GLR (Report).

This report highlights the major findings of INICA’s six month survey on natural resource exploitation and trade in the Great Lakes region. The study was carried out in the context of UK Department for International Development research and analysis on Natural Resources and Trade Flows in the Great Lakes Region with a view to building security and reducing poverty within the region.

Conformance and Compatibility Analysis: CFS, iTSCi, and the OECD DDG.

This report presents the findings of three different analyses: 1) A conformance analysis of ITRI’s Tin Supply Chain Initiative (iTSCi) against the Organisation for Economic Co-operation and Development’s (OECD) Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas (OECD DDG). 2) A conformance analysis of the EICC and GeSI Conflict-Free Smelter Programme (CFS) against the OECD DDG, and 3) A compatibility analysis between the CFS and iTSCi.
All three approaches are aimed at inducing and supporting responsible mineral trading chains from high-risk regions, such as the Great Lakes Region (GLR).

Feasibility of Direct Marketing of Artisanal Diamonds (Liberia,CAR USA)

The purpose of this research was to ascertain the feasibility and desirability of establishing more direct trading relations between artisanal miners in the Central African Republic (CAR) and Liberia and international buyers—with special attention to the US diamond industry—on the premise that increasing the price achieved by artisanal miners may make them more able and thus likely to formalize their activities. As a result of our research, the US Government hosted two workshops in Washington, D.C. and New York at the end of 2011, and is taking a trade delegation to CAR in March 2012 in order to try to build beneficial commercial relationships between artisanal diamond miners and US buyers.

Land Reclamation Workshop Reports (Sierra Leone)

Tongo Fields is the second largest diamond-producing area in Sierra Leone. Endowed with both alluvial and kimberlite deposits, Tongo Fields became a major hub of artisanal diamond mining during and after the period of conflict from about 1999 to 2002. Tongo Fields is the urban center of the Lower Bambara Chiefdom, one of sixteen chiefdoms in the Kenema district and home to approximately 78,000 people. The issue of land reclamation is a timely one in this region. Acres of land in the Tongo Fields area have been mined extensively, and many mined sites now are virtually unproductive, hazardous to community health and safety, and a waste of potentially arable land. There is local awareness of the need for environmental reclamation, and there are already precedents within the Lower Bambara Chiefdom for reclaiming mined land and planting food crops.
The Foundation for Environmental Security and Sustainability (FESS) is a public policy organization that works with governments, civil society organizations, and international donor organizations to address environmental issues that have implications for political stability, social peace, livelihoods, and sustainable development.

Benchmark of Social and Environmental Standards for Industrial Gold Mining

The purpose of the benchmark report was to identify an existing standard that could serve as the most effective tool for managing a wide range of environmental and social impacts at industrial precious metals mines. While the report focuses primarily on gold mining, much of the analysis applies equally to a broader range of mined minerals, as well. In addition to comparing and ranking the standards as a whole, the report also includes rankings in a range of sub-categories. For instance, the authors were asked to evaluate whether one standard was particularly strong in the area of human rights, while another offered the best system for environmental assurance. This was important because some of the standards were designed to focus on only one category of impacts (e.g., the International Cyanide Management Code on cyanide use or the Global Reporting Initiative on reporting) and could be used in combination. Solidaridad commissioned the independent report, authored by Estelle Levin Ltd. in the U.K., for programme planning purposes in 2010. However, we recognised early on that many stakeholders were looking for clarity on the relative strengths and weaknesses of the standards and might benefit from reading the report. We therefore decided to release it publicly in 2011.