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Introduction

This paper provides an analytical description of the current state of artisanal and small-scale mining in West Africa focusing on drivers contributing to its growth as well as barriers restricting its policy formalization in 12 of the 16 countries. No available data was found on the other 4 (see figure 4). The reason for this study’s focus is due to the significant impact the artisanal and small-scale mining communities have on the West African economy, society and environmental landscape. With at least 10 million people directly employed by artisanal and small-scale mining in West Africa(Boukaré, 2019), Grätz (2009) reports that recent occurrences such as accelerated effects of climate change, conflict, national and regional economic crisis as well migration of both local and foreign actors have resulted in drastic changes to the local and regional mining landscape. Hilson and Garforth (2012) and several others (Fold et al., 2014; Hilson et al., 2017) view artisanal and small-scale mining as a tool for poverty alleviation and for promoting sustainable development, a need to evaluate opportunities that exist as the last global study on artisanal and small-scale mining was conducted in 2012 (Hentschel et al., 2002). The selected empirical studies are between 1999 and 2022 due to legislation and action by West African governments largely occurring post-millennium (Maconachie and Hilson, 2011). The definition of small-scale and artisanal mining in this review is restricted to mining activities by individuals, families, groups or cooperatives with no or minimal mechanization implementation involved to focus on the emerging issues disrupting the small-scale mining activities which may be categorized as informal and/or illegal (Hentschel et al., 2002). In this study, the use of artisanal and small-scale mining (ASM) shall be used interchangeably. For this review, papers were selected by entering the phrase “artisanal and small-scale mining” along with keywords such as “West Africa” and country names to produce results that total 145,850 results in Google Scholar (See Figure 1). Restricting the selection of papers to the first and second pages as well as the selection of empirical studies in the last twenty years, deductive analysis was used to further evaluate papers that prioritize the involvement of perspectives in their study (Stages 1 to 3). In total, 60 papers were selected for this review.

Figure 1: Analytical framework adopted for review: The diagram describes the way papers were selected and analysed. By screening and narrowing the search through the first 2 stages (1) and (2), papers were categorized for their discussion on themes categorized under (3)

Drawing from the selected papers, the following section of this paper considers relevant theoretical frameworks and methods concerning small-scale and artisanal mining. Secondly, this review shall consider the existing knowledge, knowledge gaps as well as emerging drivers and barriers. Lastly, this paper shall conclude by summarizing the main points.

Theoretical framework: The ASM poverty trap

Barry (1996) conceptualizes the ASM poverty trap as a cyclical visualization of how the majority of ASM miners are entrapped in low returns and high debt. Albeit considered a crude conceptualization of ASM due to the lack of empirical data in developing this idea (Hilson, 2012b), the poverty trap has been used significantly in discussions relating to ASM. Adaptations of the ASM poverty trap by Yelpaala and Ali (2005), Banchirigah (2008) and Kouame et al. (2017) emphasize the financial fragility of pit owners directly linked to the economic content of daily produced ore as compared to hired hands such as diggers and hauliers who earn daily wages regardless of production output. In contrast, Maconachie and Binns (2007) contend that rural farmers who turn to ASM choose to only dabble in the offseason of their crops introducing seasonability to the ASM poverty trap. However, Hilson and Garforth (2012) question the robustness of such a condition, as they are of the opinion that many rural farmers may permanently engage in ASM to alleviate their rural hardships citing ASM as ‘the most important nonfarm activity in subSahara Africa’ ibid.p.441. The ASM poverty cycle is interpreted by Grätz (2009) and Ouedraogo and Mundler (2019) as dependent on migrant status, citing poverty levels varying between migrant miners and indigenes miners due to the availability of and access to financial support from surrounding individuals. In breaking the poverty trap, several authors concentrate on a multitargeted approach with areas of emphasis. Banchirigah (2008) emphasizes the need for adequate investment on the part of miners to offload their debts and make a profit to which Hilson (2012) and Conteh and Maconachie (2021) echo that investment into new and efficient machines would alleviate costly repairs that often swallow revenue. Andrews (2015) is more convinced that the lack of inclusive law policies is why miners struggle to legally claim land, their production and even their machinery. However, Grätz (2009), Hilson et al. (2014) and Crawford and Botchwey (2016) posit that an encompassing solution would involve various actors and institutions at multiple scales from rural level to national, affirming Ouedraogo and Mundler’s (2019) approach to address the linkages that the ASM poverty trap does not highlight. For example, Maconachie and Hilson (2011) indicate that despite the poor health conditions caused by low levels of technology, they can be further exacerbated by low earnings that do not enable miners to afford quality healthcare. It is also noteworthy that the ASM poverty trap excludes institutions and organizations such as local authorities, partners or national government. This could be because of the underlining connotation that the ASM poverty trap is an individual affair. Hilson and Garforth (2012) echo how successive African governments from the 1990s to early 2000s abandoned ASM miners in policymaking, labelling them as problematic in the foray of luring investment into large scale mines. With varying definitions of the ASM poverty trap, it is conclusive to establish that the original notion serves as a foundation for whichever contextual situation to the ASM poverty trap is being applied.

Operalisation of ASM in West Africa

Gold is the most mined mineral by quantity within West African countries amongst the papers (Figure 2). Ngom et al. (2020) mention that major gold streams run from Mali southward through Burkina Faso, Benin, and Ghana, albeit in disparate quantities in some locations, warranting the need for appropriate data collection strategies. Diamonds are usually unearthed within Liberia and Sierra Leone (van Bockstael, 2014a) and their discoveries have led to bouts of recorded violence in the 1990s, an occurrence Maconachie and Binns (2007) conclude also served as cover for further pilfering of the resource. Ogbonnaya (2020) denotes a similar occurrence in Nigeria with rural banditry acting as a means to move up to 80% of gold illegally. ‘Several’ denotes a variety of minerals, a reason Merem et al. (2017) identify as behind the use of violence to propel heavy unsustained mining practices that have reduced the kinds of minerals in Nigeria from 44 to 33.

Figure 2: Categorisation of Papers by Minerals

Cases of ASM linked violence are widespread-affiliated with the discovery of minerals, land rights and distribution of earnings. For Pijpers (2014), the rise in conflicts recorded coincides with a rise in papers published from the early 2000s (see figure 3), a period Ankenbrand et al. (2021) also identify as hosting targeted environmental peacebuilding efforts within Liberia and Sierra Leone. Hilson et al. (2017) and Maconachie and Conteh (2021) profer the increased publications with the ASM legislation campaigns in West African countries through international calls to establish a formalized system by the World Bank. In contrast, Crawford and Botchwey (2016) suggest that the arrival of migrants to some nations such as the Chinese to Ghana and regional migrants to Senegal, North Benin and Burkina Faso rather stimulated the reaction of stakeholders (Prause, 2015; Eduful et al., 2020). It is safe to conclude that a combination of factors — per country, has led to a general increase in attention concerning ASM.

Figure 3: Publication year of studies included for review

Figure 4 shows papers on Ghana number the highest, a phenomenon Agyei (2016) attributes to its large gold production- the largest in Africa- and significant investment into the mining sector (Salifu et al., 2013). The similarity between the top 3 most published nations is the establishment of a national ASM legal framework by the governments of Ghana, Ivory Coast and Sierra Leone (Sauerwein, 2020; Maconachie and Conteh, 2021). However, these governments are plagued with ‘deep state’ manifestations threatening national security. This is similar in specific ‘ASM policy absent’ places such as Nigeria suggesting that the presence of a specific policy alone is not enough in regulating a large informal sector (Afolayan et al., 2021).

Figure 4: Categorisation of papers by West African Countries

Methodology of Papers

58 authors use a mix of interviews and focus groups as participatory methods of analysis in their data synthesis. Ouedraogo and Mundler (2019) mention the use of purposive sampling to ensure different ASM stakeholders (miners, landowners, machine operators, and government officials) are captured. In addition to purposive sampling, Adu et al. (2016) include snowball sampling for their data collection as a means to select participants for their study respondents. However, Kouame, Jiang and Sitao (2017) mention that random sampling was adopted after targeted stakeholders were wary to communicate. In their case, interviews were being held over the phone. Oramah et al. (2015) also narrate that despite being physically present with respondents, wariness to divulge information or the unsuitability of some respondents resulted in the inability to garner a satisfactory sample size. To address the sample size challenge, Grätz (2009) includes observation analysis as part of his data collection methods. Otoijamun et al. (2021) confirm this approach may be useful as some miners may exaggerate or distort information. Hence, an observational analysis could be used in confirming behaviour patterns or understanding informal trading networks in ASM ecosystems. Kouame, Jiang, Feng, et al. (2017), Forkuor et al. (2020) and Ngom et al. (2020) use GIS systems to collect and analyse live data on the locations of active ASM settlements to corroborate their behaviour patterns. However, the challenge with the use of this approach is interruptions by cloud cover. Thus, Ngom et al. (2020) include field observations to confirm their findings to ensure the validity of their interpretations. Adu et al. (2016) use the binary probit model to identify and interpret relationship links such as the influence of risk perception on ASM activities. Although the binary probit model enables quantification in comprehending the scale of awareness of risks among miners, it can prove to limit as Adu et al. (2016) is unable to capture the nuances related to miner experiences as compared to discourse analysis from interviews and focus groups. For example, Adu et al. (2016) discovers that depending on how engaged miners are, risk aversion varies- those who enter mining pits have higher risk awareness than those at the surface. His study is unable to divulge why unless reviewing a similar case by Joseph and Kouame (2015) who indicate respondents are driven by worsening family financial situations to consider such risk. Adeyemi and Olagunju (2017) also use quantification in a survey of 506 respondents to assess their risk perception by an index. The robustness of this approach lies in the use of 18 more variables than that of Adu et al.’s (2016) study to confirm that risk perception is driven by socio-economic conditions. On the other hand, Crawford and Botchwey’s (2017) grounded method approach explores the sequence of events that occur from risk-taking by miners and the government. All these method designs and approaches are underscored by the aim to investigate occurrences and socioeconomic conditions within the ASM economy, hence qualitative methods of data collection largely drive the study.

Emerging Drivers and Barriers

Demographics

In recent years, Grätz (2009) and Prause (2015) reveal a significant number of ASM participants are educated and skilled, from large scale mining companies’ ex-employees, and secondary school dropouts to traditional miners who practice ancient mining methods. ASM miners are unilaterally defined as shouldering financial responsibility within their households (Hilson and Osei, 2014). Yet there exist different kinds of ASM miners, described by Grätz (2009) and Boukaré (2019) as a ‘duality’. There exist ASM miners with an almost equal number of males and females — some as young as 12, illiterate, without the use of the equipment and also older experienced miners using mechanized equipment (Yakovleva, 2007).

Socio-economic factors

For a majority of ASM miners, income is in steeped infrequency and variation in amounts earned. Hilson (2009) recognizes that with greater capital input in machines and skilled labourers comes the likelihood to earn higher. Van Bockstael (2014b) identifies that some ASM miners, usually indigenes from within a specific locality form cooperatives to capitalize on financial resources to assist each other. However, some younger individuals take the role of diggers to earn daily wages, moving from one mining campsite to another to capitalize on their earnings (Hilson, 2012a; Boukaré, 2019). Such conditions coupled with the lack of unbankable assets are unattractive to financial institutions, consequently, leaving miners largely uninsured and unable to scale their operations (Hilson et al., 2014). In Senegal, Prause (2015) notes miners are forced to engage in supporting livelihood intensification when they are threatened. This is established in the case of hungry rural children who may first begin engaging in mining by running errands and attracted to the average weekly wages of $10, engage actively in ASM (Anim Owusu et al., 2021). Ivory Coast, Liberia and Sierra Leone struggle with the proliferation of children, many of who are orphans driven by the post-war economic drain instead of attending school (Kouame et al., 2015). However, as Hilson (2012a) puts it, governments despite agreeing to international laws against child labour, struggle to implement sweeping laws against child labour due to the widespread recognition of the economic value children add to livelihood income most especially in rural areas.

Institutional and political factors

The illegality largely associated with ASM, Joseph et al. (2016) argues is the lack of implementable law because of its top to bottom approach. Similarly, Andrews (2015) stresses that ASM laws are restrictive and unrelatable, causing what Grätz (2009) believes is easier operation outside the margins of the laws. Banchirigah (2008) and van Bockstael (2014b) admit this may blur the line between organized crime and terrorism funding networks with (Hilson et al., 2014) questioning whether legitimizing ASM at this point will not amplify such relations. Moreover, Hilson et al. (2017) discover that legislation may hinder formalization, citing examples in Ghana and Niger where legal land rights and ownership agreements are weaponized to exploit miners because of the lack of ASM formal recognition. Nevertheless, Hentschel et al. (2002) highlight that the current state of illegal operations is a missed opportunity for numerous West African governments to earn taxes and royalties. Hilson and van Bockstael (2011) recognize the undeniable role of government authority and agency to protect lives and mediate conflict and sustain livelihoods. For example, the Ghanaian government legalizing ASM within the Talensi-Nabdam District in Northern Ghana to offer alternative livelihoods to farmers was hailed as a means to transform the economic state of subsistence farmers. However, 4 years on, miners languish in debt and struggle to pay for their exorbitant mineral licenses (Hilson, 2012b). The lack of wider reform is not merely the bureaucratic systems that retrogress ASM miners. Some blame the lack of political will because of the seated interests of influential figures. Ogbonnay’s (2020) investigations in Nigeria led him to conclude the convoluted state of ASM enables politically affluent connections to accrue revenue. Described as the deep state in Ghana, Alhassan (2014), also connectsthe embolden Chinese illegal ASM activitiesto collusion with indigenous miners, local chiefs, civil servants and the political elite that compromises national interest and undermines national security. The informal state of ASM in neighbouring West African countries also reflects a similar state of collusion (Kalokoh and Kochtcheeva, 2022), which stems from the perpetual influx of migrants (Hilson et al., 2014). To address the situation, Ofosu et al. (2020) suggest an alternative to the current governance approach, insisting the government bodies of West African nations must introduce actors, tools and mechanisms largely independent of the government. Banchirigah (2008) is of the opinion that re-formalisation must come from the bottom up as Adeyemi and Olagunju (2017) point out that there is a desire by miners for active public engagement. In the case of Abosso mines, Aubynn (2009) presents the coexistence of a largescale mining company and small-scale miners. With the mining corporation taking its initiative in kickstarting a temporary internal arrangement with ASM miners in the community, such an example indicates the opportunity for government authorities and agencies to consider community led-initiatives or private-led formats in formalizing the ASM sector.

Conclusion

In sum, this paper has used the systematic review of 60 papers to explore the current state of ASM in West Africa, identifying the relevant theory of the ASM poverty trap to discussing emerging drivers and barriers that intersect demographics, economies, access to information and resources as well as the influence of governing bodies. ASM conceptualization varies by perspective and this in turn influences operalisation and how it is interpreted. Across countries, it is clear that variations and similarities exist in government approaches to ASM formalization. What is clear is that governments struggle implementing legislation, practices and enabling environments in their top-down fashion to improve ASM in West Africa and must reconsider alternatives to regulate the fast-growing sector.

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GRADE: 68

My comments: I recall the examiner saying that this work was great save for the reason for limiting the selection of the search pages to 2. A friend also pointed that to me after I submitted this work. I actually developed a PhD research proposal from this work. It was one I enjoyed working on and had learnt from my previous mistakes (such as the subtitles, inserting visualisations (charts/graphs), appropriating structure etc)


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