Gender Dimensions of 67520 Artisanal and Small-Scale Mining A Rapid Assessment Toolkit Gender Action Plan Gender Dimensions of Artisanal and Small-Scale Mining A Rapid Assessment Toolkit Adriana Eftimie, Katherine Heller, John Strongman Jennifer Hinton, Kuntala Lahiri-Dutt, Nellie Mutemeri with Chansouk Insouvanh, Michael Godet Sambo, and Susan Wagner Gender Action Plan World Bank Group’s Oil, Gas, and Mining Unit Sustainable Development Network Sustainable Energy Department The Oil, Gas, and Mining Unit series publishes reviews and analyses of sector experience from around the world as well as new findings from analytical work. It places particular emphasis on how the experience and knowledge gained relates to developing country policy makers, communities affected by extractive industries, extractive industry enterprises, and civil society organizations. The findings, interpretations, and conclusions expressed in this publication are entirely those of the authors and should not be attributed in any manner to the World Bank or its affiliated organizations, or to members of its Board of Executive Directors or the countries they represent. The World Bank does not guarantee the accuracy of the data included in this publication and accepts no responsibility whatsoever for any consequence of their use. Copyright © 2012 www. worldbank.org/ogmc (or/oil or/ gas or/ mining) www. worldbank.org/eigender Cover photo: Chansouk Insouvanh Cover design: Nita Congress Contents Preface ........................................................................................................................................v Acknowledgments .................................................................................................................vii Abbreviations ...........................................................................................................................xi 1 Introduction to Gender and ASM ..................................................................................1 1.1 What Is ASM and Why Is it Important? .............................................................................................................................................. 2 1.2 Gender and ASM ............................................................................................................................................................................................ 6 1.3 Why This Toolkit? .......................................................................................................................................................................................... 12 1.4 Uses of the Toolkit ....................................................................................................................................................................................... 13 2 The Gender and ASM Framework ......................................................................17 2.1 Context: The Sustainable Livelihoods Approach...................................................................................................................... 17 2.2 Gender and the SLA ................................................................................................................................................................................... 19 2.3 The Gender and ASM Framework: Critical Issues and Questions .................................................................................. 20 2.4 How to Use the Framework: Implementation Roadmap ................................................................................................... 25 3 Gender and ASM Tools ...................................................................................................27 Module 1: Before You Begin ............................................................................................................................................................................... 29 Module 2: Collecting Background Information ..................................................................................................................................... 37 Module 3: Key Informant Interviews ............................................................................................................................................................ 41 Module 4: ASM Site Visits ..................................................................................................................................................................................... 45 Module 5: Participatory Focus Groups ........................................................................................................................................................ 49 Module 6: Surveys .................................................................................................................................................................................................... 65 Module 7: Reporting Back and Validation ................................................................................................................................................. 67 Module 8: Charting a Course of Action—The Way Forward ......................................................................................................... 69 4 The Toolkit in Practice ....................................................................................................85 4.1 Conducting the Pilot Studies ............................................................................................................................................................... 85 4.2 Key Findings of the Pilot Studies ........................................................................................................................................................ 90 4.3 Recommendations of the Pilot Studies ........................................................................................................................................ 97 4.4 Reporting Back to Stakeholders, Results Achieved, and Time Needed .................................................................... 98 4.5 Recommendations and Lessons Learned for Toolkit Implementation ....................................................................102 5 Resources ...................................................................................................................... 107 Appendix A: Relevant Partner and Stakeholder Initiatives ...........................................................................................................107 Appendix B: Tips for Sample Surveys .........................................................................................................................................................109 Appendix C: Miners Survey ..............................................................................................................................................................................111 References...................................................................................................................................................................................................................117 Boxes 1.1 Informal contributions of ASM in different countries .............................................................................................................. 4 1.2 A note on equality and equity ............................................................................................................................................................. 14 Gender Dimensions of Artisanal and Small-Scale Mining: A Rapid Assessment Toolkit v Contents 2.1 Practical versus strategic gender needs ........................................................................................................................................ 17 2.2 The Gender and ASM Framework and a rights-based approach .................................................................................. 20 3.1.1 Avoiding biases ............................................................................................................................................................................................. 32 3.2.1 Tips for referencing background information ............................................................................................................................ 38 3.3.1 Types of interview questions ................................................................................................................................................................ 40 3.5.1 Dealing with difficult situations .......................................................................................................................................................... 61 3.8.1 Gender and the professionalization of ASM ............................................................................................................................... 79 3.8.2 Overview of adult learning .................................................................................................................................................................... 80 B.1 Accuracy of surveys and sample size ............................................................................................................................................110 Figures 1.1 ASM value chain ............................................................................................................................................................................................. 5 1.2 Unpacking ASM value chain activities ............................................................................................................................................... 8 2.1 Adapted SLA Framework ........................................................................................................................................................................ 18 3.5.1 Sample seasonal calendar ..................................................................................................................................................................... 57 Tables 1.1 Estimated number of miners and percentage that are female in selected countries ......................................... 7 2.1 The Gender and ASM Framework ..................................................................................................................................................... 21 2.2 Gender and ASM Framework: Implementation Roadmap ................................................................................................ 25 3.4.1 ASM site visit guide..................................................................................................................................................................................... 47 3.5.1 Sample daily activity clocks ................................................................................................................................................................... 56 3.5.2 Sample summary of access, control, and ownership regarding resources and their benefits.................... 60 3.8.1 Possible gendered actions to increase access to and benefits from livelihood assets .................................... 70 3.8.2 Possible gendered actions to increase access to and benefits from structures and processes ................. 75 3.8.3 Possible gendered actions to mitigate risks, vulnerabilities, and impacts and increase benefits ............. 77 3.8.4 Sample training needs assessment .................................................................................................................................................. 82 4.1 Gender and ASM Framework: Implementation Roadmap Steps 1–9 as applied to the case studies .... 86 4.2 Key findings and conclusions regarding gender inequality in the case study countries ............................... 92 4.3 Examples of recommendations to improve conditions for women in ASM countries and communities ................................................................................................................................................................................................... 99 4.4 Examples of recommendations to improve conditions for ASM communities at large ...............................100 4.5 Examples of recommendations to improve conditions for women ASM miners and workers ...............101 vi Gender Dimensions of Artisanal and Small-Scale Mining: A Rapid Assessment Toolkit Preface A rtisanal and small-scale mining (ASM) the detailed analytical framework and instruc- is a global reality. It represents a long- tional modules—is a unique instrument to guide standing and important livelihood  for research and researchers to ask the right questions more than 100 million men and women around and come to a gender-sensitive understanding of the wold. In some places, communities have prac- ASM activities. ticed it for generations; in other places, the pros- pect of new mineral finds draws large numbers of We hope that this Toolkit will lead not only to a people suddenly to mining areas. Whether newly better,  more comprehensive, understanding of begun  or long established, ASM has the potential ASM, but that this will lead to improved policies, to help men and women out of poverty when extension services, interactions between large- conducted in an informed and responsible way. scale mining companies and artisanal miners—and In different communities, different techniques are ultimately, to improved development impacts for used, and men and women share different divi- men, women, and artisanal mining communities. sions of labor, risks, and opportunities. Understanding the social, economic, and envi- ronmental aspects of ASM is essential for govern- ments, nongovernmental organizations, mining Paulo de Sa companies, and researchers to be able to contrib- Sector Manager ute to positive socioeconomic and environmental Sustainable Energy Department outcomes from this sector. This Toolkit—including Oil, Gas, and Mining Unit Gender Dimensions of Artisanal and Small-Scale Mining: A Rapid Assessment Toolkit vii Acknowledgments G ender Dimensions of Artisanal and Small- The authors gratefully acknowledge the contribu- Scale Mining: A Rapid Assessment Toolkit tions of information, knowledge, opinions, time, is intended as an easy-to-use toolkit for and assistance of government, industry, and com- understanding men’s and women’s differenti- munity representatives from each country case ated access to the resources and opportunities study. associated with artisanal and small-scale mining (ASM) and how they are affected by ASM. The In Lao PDR, we thank the members of the Project Toolkit was produced by the Oil, Gas, and Mining Steering Committee, in particular Chansavath Policy Unit (SEGOM) of the World Bank, through Boupha, Simone Phichit, and other Department of the generous support of the World Bank’s Gender Mines officials in Lao PDR for their help in the field Action Plan. study. We also thank the various resource persons who shared their knowledge and time, in particu- The task team was led by Adriana Eftimie and lar the village women and men who participated Katherine Heller, both of SEGOM. Research in interviews and focus group discussions, and was conducted by a team of international and whose insights and knowledge comprise the local consultants led by Jennifer Hinton. The backbone of the study. case studies were conducted by Kuntala Lahiri- Dutt and Chansouk Insouvanh (Lao People’s In Mozambique, we acknowledge all the govern- Democratic Republic), Nellie Mutemeri and ment personnel and agencies both for participat- Michael Godet Sambo (Mozambique), Jennifer ing in interviews and for their help in identifying Hinton and Susan Wagner (Tanzania), and other key informants and sources of data, particu- Jennifer Hinton (Uganda). Initial conceptualiza- larly the Governor of Manica; the Administrator tion and planning, background literature review, of the District of Manica; Fatima Momade, Special and summary of the case studies were con- Adviser to the Minister of Mineral Resources; ducted by John Strongman (consultant, SEGOM). Abdurramane Machon, Executive Director of The Toolkit also benefited from the suggestions, the Mineral Development Fund; Geraldo Valoi, comments, and assistance of several World Provincial Director of Minerals and Energy, Manica; Bank staff members and consultants, including Natercia Macamo, our facilitator in Manica; Lwanzo Amani, John Butler, Helene Carlsson, Antonio Jorge Cumbane, Head, Small-Scale Maitreyi Das, Bernard Harbone, Robert Mugisha, Mining Department; Eva Essupa, Sociologist, Waafas Ofosu-Amaah, Anwar Ravat, and Kristina Small-Scale Mining Department; and Odette Svensson. The team would also like to acknowl- Martin, Minister of Mineral Resources Gender Focal edge the World Bank Country Office teams in Point. Lao PDR, Mozambique, Tanzania, and Uganda which provided valuable logistical support and Many people from nongovernmental organiza- assistance for the fieldwork. tions gave their time for interviews and were very Gender Dimensions of Artisanal and Small-Scale Mining: A Rapid Assessment Toolkit ix Acknowledgments generous in sharing their knowledge and experi- Kimario, who demonstrated unwavering com- ence, especially Sergio Ye and Joaquim Langa, ITC, mitment to gender, ASM, and local development, Isabel-Maria Casimiro, Centre for African Studies; and whose passing represents a huge loss to the Telma Mbeve and Sandra Bulha, Cruzeiro du Sul; community. The authors further acknowledge Joaquim Oliveira Mucar, Magariro; Ricardo Mafuka all staff of the Zonal Mines Office in Mererani, in and Leice Faustino, ORAM; Rosa Aalindo Phiri, particular Resident Mines Officer Laurent Mayalla, Sergio Sousa, and Mari Jo Cèu Nhatimba, Chimoio who provided considerable time, assistance, and Business Chamber; Dinis Napido, GEOIDE; Ma insight. Candido and Sophia Nzira, Forum Mulher; and Julieta Sevene, Program Analysis for HIV/AIDS and Commendation is due members of local organi- Gender, United Nations Development Programme. zations, including Nastura Daudi of the TAGASTY Group, Amani Mhinda and Antony Jacob of HAKI We also gratefully acknowledge all the min- MADINI, Zefania Joseph and Bahati Msuya of ers and mine owners who participated in the MAREMA, and Tumaini Langani and Dina Paul interviews and workshops, particularly Joao Dos of World Vision. We also extend our thanks to all Santos, Aaron Mukudu, and Crispin Chibaya. the local women and men miners and residents including Faisal Muller and Mshindo Godfrey In Tanzania, we thank the government of Tanzania, Ngao, as well as Human Resource Manager/ including John Nayopa, of the Sustainable Community Development Officer Baraka Kavishe Management of Mineral Resources Project from Tanzanite One. (SMMRP) and the Small Scale Mining Unit; from the Regional Mines Office in Arusha, Assistant In Uganda, we acknowledge the Minister, Commissioner for Minerals Benjamin Mchwampaka, Permanent Secretary, and Minister of State for the Manyara Regional Commissioners Office, Minerals in the Ministry of Energy and Mineral Regional Commissioner Henry Daffa Shekifu, Party Development and the Department of Geological Secretary Avelin Peter Mushi, and Simanjiro District Survey and Mines, for support to this work. Commissioner Halid Mandia; the Simanjiro District Appreciation is further extended to the World Office, including District Administrative Secretary Bank and government of Uganda for their support Michael Lori, District Executive Director Lameck of the SMMRP, through which initial phases of this Nkya, and District Economist Pascal Temba; the work were undertaken. Commendation is due Ms. Mererani Town Authority including Town Director Mbabazi, gender and social development expert, A Ngala, Township Planning Officer Raphael Mawi, who provided significant input throughout all Township Water Supply Technician Mbaga, as well phases of the primary research work. as Ward Executive Officer Valentino Tesha, Ward Education Coordinator Sufiani Maina, and Village We note our deep appreciation to the SMMRP Executive Officers Gotadi Mbawala and Joseph ASM Training and Awareness Campaign Mbaliany. Committee and supporting Department of Geological Survey and Mines officers and staff, Sincere appreciation is extended to the Mererani whose work engendered the training campaign Community Development Officer, the late Juliet (as detailed in the National Strategy for the x Gender Dimensions of Artisanal and Small-Scale Mining: A Rapid Assessment Toolkit Acknowledgments Advancement of Artisanal and Small-Scale Mining Uganda Chamber of Mines; and the Uganda in Uganda) and designed and implemented the Quarry Operators Association. National Gender Workshop. Finally, we have sought to do proper justice to The following organizations are recognized the invaluable insights, information, and recom- for supporting the collaborative efforts of the mendations put forward by the more than 1,000 Training and Awareness Campaign Committee: women and men miners, local government offi- the Ministry of Energy and Mineral Development; cials, formal and informal leaders, and others who the Department of Geological Survey and were trained and consulted under the SMMRP as Mines; the Ministry of Gender, Labour and well as district and subcounty leaders consulted Social Development; the Department of throughout these activities. Occupational Safety and Health; the Ministry of Health, Community Health Department; the Special thanks to Raja Manikandan (SEGOM), for Ministry of Water and Environment; the National coordinating the production and dissemination Environmental Management Authority; the process, and to Nita Congress, for the design and Makarere University faculty of geology; the editing of this Toolkit. Gender Dimensions of Artisanal and Small-Scale Mining: A Rapid Assessment Toolkit xi Abbreviations ASM artisanal and small-scale mining CBO community-based organization CSO civil society organization GDP gross domestic product LSM large-scale mining NGO nongovernmental organization SLA Sustainable Livelihoods Approach All dollar amounts are U.S. dollars unless otherwise indicated. Gender Dimensions of Artisanal and Small-Scale Mining: A Rapid Assessment Toolkit xiii Introduction to Gender and ASM 1 Introduction to Gender 1 and ASM 1 1.1 What Is ASM and Why Is it Important? 1.2 Gender and ASM Men’s and women’s different roles in ASM Why do men and women have different roles? Impacts of different roles 1.3 Why This Toolkit? 1.4 Uses of the Toolkit Assessment of existing conditions Project identification, design, and implementation Policy and legislative reform Relationship building and coordination arrangements Gender Dimensions of Artisanal and Small-Scale Mining A Rapid Assessment Toolkit 1 Introduction to Gender and ASM T his publication was designed as an easy- operate depends on positive relations with local to-use toolkit for identifying the gender artisanal and small-scale miners, and they are dimensions of artisanal and small-scale taking actions to work with this largely informal mining (ASM). Comprehending this dimension of sector. Governments around the world are estab- ASM means understanding how men and women lishing policies and programs at the local and are differentially involved in and affected by ASM, national levels to realize the development poten- and the factors surrounding their engagement in tial of ASM and address its complex challenges. ASM. By so doing, projects and policies can be put in place to ensure that men and women have equi- Promoting ASM as an engine for economic table opportunities for participation at all stages of growth and community development depends the ASM value chain, as well as access to the ben- on its being good for the economic and social efits of ASM, and that neither men nor women dis- development of the whole community. A grow- proportionately bear the risks associated with ASM. ing body of evidence suggests that ASM policies, programs, and projects that are perceived to be Promoting gender equity in ASM is good for busi- gender neutral can, upon implementation, actu- ness and good for development. Internationally, ally widen gender gaps and worsen rather than governments, mining companies, civil society improve the development outcomes that govern- organizations (CSOs), and mining communities ments, mining companies, CSOs, miners’ groups, increasingly recognize the livelihood importance and communities are seeking to achieve (Hinton of ASM and its potential to catalyze local devel- 2011a). opment. Cumulatively, contributions to foreign exchange earnings and gross domestic product Achieving the development potential of ASM (GDP) can be substantial, although they are rarely therefore requires a solid understanding of how captured in official statistics. Miners’ income is all subsets of the community are engaged with often spent locally—in many cases, reinvested in and poised to benefit or experience risks from agriculture or other small businesses—with signifi- ASM. While there are a number of different cant spin-off benefits for local economies (Hinton dimensions of marginalization that might prevent 2009; Hinton, Levin, and Snook forthcoming). By different community groups from fully participat- providing a source of rural employment, ASM can ing in ASM, this Toolkit responds to the clear lack help stem rural-urban migration. At the household of tools available for understanding the gender level, ASM can play an important role in enabling dimensions of ASM. The analytical framework pre- families to meet their health, education, and sented in this Toolkit was developed specifically development needs. for understanding gender and ASM; however, the questions posed in it may be a starting point for Many mining companies now appreciate that understanding other dimensions of marginaliza- obtaining and maintaining a social license to tion in ASM. Gender Dimensions of Artisanal and Small-Scale Mining: A Rapid Assessment Toolkit 1 1 Introduction to Gender and ASM Gender and ASM assessments, and the recom- prescriptive, but rather is intended to guide users mendations for action arising from these, are through a thought process to identify gender critical to the objectives of every ASM stake- issues at play in each stage of the ASM value holder—whether the large-scale mining (LSM) chain. company seeking to improve the outcomes of its ƒ Section 3: Gender and ASM Tools. This section corporate social responsibility programs, a gov- provides eight easy-to-use modules for gather- ernment agency or nongovernmental organiza- ing the information to answer the questions tion (NGO) seeking to fulfill its policy mandate, a outlined in the Gender and ASM Framework. microfinance organization promoting small and The tools can be used individually or together, as medium enterprise development in mining areas, required, to gather necessary information. or an association of miners seeking to formalize its activities. To this end, this Toolkit is intended to be ƒ Section 4: The Toolkit in Practice. The Toolkit of use to a wide variety of stakeholders, including was finalized through implementation in four pilot studies in Lao People’s Democratic ƒ governments, particularly mining authorities, Republic, Mozambique, Tanzania, and Uganda. but also other agencies working on collection This section provides a summary of implemen- of national, regional, or local statistics and those tation of the Toolkit in these countries. undertaking rural development and ASM assis- ƒ Section 5: Resources. This section provides tance policies and programs; the references for the Toolkit; three appendixes ƒ international agencies and institutions conduct- provide additional useful tools to complement ing ASM interventions and support projects; section 3. ƒ mining companies seeking to work proactively ƒ Supplemental CD-ROM. The Gender and ASM with artisanal miners in their areas of operation; Framework and the Implementation Roadmap were developed through consultations, litera- ƒ NGOs, community-based organizations (CBOs), ture review, and pilot studies. The complete faith-based organizations, and miners’ associa- case study reports, and a draft framework tions active in ASM communities and/or gender report including a literature review, are included equity promotion; and on the supplemental CD-ROM. ƒ academic researchers. 1.1 What Is ASM and Why Is it The Toolkit is comprised of six components: Important? ƒ Section 1: Introduction to Gender and ASM. There are more than 20 million artisanal and small- This section defines ASM, gender, and the inter- scale miners globally; in some African countries, section between the two. ASM contributes more than 90 percent of national ƒ Section 2: The Gender and ASM Framework. mineral production, as well as being a significant This section provides a question-based analyti- source of local livelihoods (Veiga and Baker 2004). cal framework and Implementation Roadmap ASM can be an important driver of local economic to help users identify the gender dimensions of development, while simultaneously contribut- ASM in a given community. The framework is not ing to a complex array of positive and negative 2 Gender Dimensions of Artisanal and Small-Scale Mining: A Rapid Assessment Toolkit 1 Introduction to Gender and ASM socioeconomic and environmental impacts (box 1.1). Where properly managed, however, it can make widespread contributions to development. Almost all countries in which ASM takes place have some official definition of it, but there is no one single definition of ASM. Typically, ASM is part of the informal sector, and little is usually recorded on the scale of its impacts and contributions. ASM may be a traditional practice, with skills passed from one generation to another (in some cases, ASM practices run the gamut from the most basic over centuries or millennia). Elsewhere, ASM may methods and tools to the use of small equipment. be an ad hoc, rapid response to a discovery, rising Women’s participation in ASM typically decreases with increasing mechanization. Above, a woman gold miner mineral prices, severe drought, or civil strife. ASM in Uganda uses a gourd for panning. A. J. Gunson may refer to small or microenterprises employing one or a few people, or it can involve highly orga- nized labor chains with complex and well-estab- ƒ It usually applies low levels of technology lished organizational structures. ASM typically because of poor capitalization and a lack of involves rudimentary tools, but in some cases, knowledge and skills. it can include basic equipment such as water ƒ It offers very low wages and insecure and pumps or jackhammers or even heavy machinery. unsafe jobs, and it may involve exploitative labor relations (for instance, regarding children Although the size and scope of ASM can vary and vulnerable persons). widely, some common characteristics of ASM include the following: ƒ It frequently has negative environmental reper- cussions, often damaging the health of the ƒ It ranges from informal to formal and can be local ecology, and may affect other rural liveli- disorganized or well-organized. hoods, such as farming and fishing. ƒ It is strongly linked to rural poverty and a lack of ƒ It often includes a series of intermediary buyers alternatives that would provide better opportu- who are often operating illegally themselves. nities for income generation. ƒ It involves the mining of precious stones and ƒ Participation often fluctuates with commodity metals (such as diamonds, rubies, gold, and prices. silver) as well as of industrial minerals (such as ƒ It can include scavenging from and/or coexis- stone aggregate, sand, clay, and salt) and some tence with LSM leases. base metals (such as tin, tungsten, or tanta- lum). ƒ It is sometimes seasonal, with mining alter- nated with farming, fishing, or another activity. Although these vary among countries and com- ƒ It is typically labor intensive, yet may have com- munities, livelihood activities can take place at all plex labor structures, processes, and relations. stages of the mining production and value chain, Gender Dimensions of Artisanal and Small-Scale Mining: A Rapid Assessment Toolkit 3 1 Introduction to Gender and ASM Box 1.1 Informal contributions of ASM in different countries As most ASM in the world tends to operate in the informal economy, its contributions to local and national development are typically invisible to most decision makers, government, and the general public. Nevertheless, its impact can be significant in mining villages, regions, and countries. At the household and community level, ASM provides rural employment options and results in reduced rural-urban migration. Also, miners’ incomes are often reinvested in agriculture or used to stimulate other small businesses, while revenues from ASM and spin- off ventures often play an important role in helping local families meet their health and development needs. Nationally, inputs to GDP and foreign exchange earnings, while rarely captured, can be substantial. Estimates of informal ASM contributions in a few countries lend insight into this potential: ƒ Central African Republic. Using conservative multiplier effects, as much as $144.7 million may be injected into the economy from informal artisanal diamond mining revenues and spin-off economic enterprises. When indirect labor, induced employment, and fertility rates (4.6 percent) are considered, about two-thirds of the women, men, and children in the Central African Republic may directly or indirectly rely on artisanal diamond mining. ƒ Liberia. There are an estimated 50,000–75,000 artisanal diamond miners in Liberia, of whom about 10–20 percent are women, most of whom pan for gold at diamond sites. If half of their combined income is spent on local goods and services, more than $13.5 million may be injected into local economies, creating markets for locally grown or supplied products and increasing the cash component of household incomes. This ASM-injected capital may further stimulate local formal and informal enterprises to contribute an addi- tional $33.75 million to local economies. ƒ Mongolia. Over 60,000 artisanal miners (about 30 percent of whom are women) of gold, coal, fluorspar, and other minerals are estimated to contribute over $811 million per year to the country’s GDP. An addi- tional estimated $505 million is spent each year in local economies near mining activities. About 600,000 Mongolians (almost 20 percent of the population) may rely to some extent on ASM. These estimates are based on direct employment (mine workers, etc.), people who provide goods and services to the mines, and induced employment (owners and workers in local shops, restaurants, and other small businesses in com- munities where mining revenues are spent). ƒ Uganda. Almost 200,000 women (45 percent) and men (55 percent) are engaged in artisanal mining of gold, tin, coltan, wolfram, and a range of industrial minerals. The average miner is estimated to contrib- ute almost 20 times more to GDP than those employed in farming, fishing, and forestry. In 2008, informal (uncaptured) estimates of gold, tin, coltan, and wolfram sales suggested that ASM was actually the country’s third highest foreign exchange earner. Its contributions are expected to have grown since, with increased commodity prices and the rising number of artisanal miners. Clearly, ASM has the potential to be an engine for development. A number of critical factors determine whether this potential can be realized, among them the need to formalize ASM; redress the poor culture of savings and skills to professionalize operations; increase access to suitable microfinancing and appropriate, intermediate technologies; and ensure that any efforts to tackle these issues equitably benefit women and men. Note: Estimates have been developed based on the best-available and conservative data on numbers of miners, mineral production, sale prices and incomes, spin-off multipliers, and national dependency ratios as described in Hinton, Levin, and Snook (forthcoming) and Hinton (2009, 2010b, 2011b). 4 Gender Dimensions of Artisanal and Small-Scale Mining: A Rapid Assessment Toolkit 1 Introduction to Gender and ASM from prospecting and exploration and mining physical and sexual abuse of women, population through to marketing (figure 1.1). Across all of migration which creates unsustainable communi- these stages, ASM includes a wide variety of par- ties, HIV/AIDS, and poor sanitation. ASM can also ticipants performing a range of functions, includ- create unsustainable or damaging environmental ing wage laborers, laborers paid by production, impacts, including unrehabilitated excavations, tributors, license holders, cooperatives, dealers, effluent dumping, improperly stored waste, dust and supporters (financiers, who are often license emissions, release of chemicals such as cyanide holders) (Levin and Gberie 2006). This structure and mercury, acid mine water, river siltation, and and array of participants and roles varies across deforestation. ASM has been criticized too for its countries, and activities at a given site may be association with conflict and war. dominated by men or women or both. All of these aspects of ASM can differ from site Proper management of ASM can lead to eco- to site and community to community. A key nomic opportunities and minimize associated goal of this Toolkit is thus to help identify these environmental damage. Improperly managed issues—particularly as they differently affect men ASM can exacerbate inequalities and lead to and women—in order to provide a foundation for economic, social, and environmental risks for and effective strategies and responses to the develop- within the associated communities. Challenges ment opportunities and challenges from ASM in a often associated with ASM include child labor, given area, region, or country. Figure 1.1 ASM value chain Provision of goods and services Grinding, Finding Ore E.g., brickmaking, Buying, concentrating, deposits extraction pottery, jewelry selling recovery Prospecting and Bene ciation/ Mining Processing Marketing exploration value adding Environment Health Safety Social Source: Adapted from Mutemeri and Samba 2010. Note: Ovals show livelihood activities associated with each phase of the value chain; boxes identify cross-cutting issues along the value chain. Gender Dimensions of Artisanal and Small-Scale Mining: A Rapid Assessment Toolkit 5 1 Introduction to Gender and ASM 1.2 Gender and ASM Among the more than 20 million artisanal and small-scale miners active around the world, the proportion of women miners was estimated at about 30 percent in 2003; their involvement may now be much higher (Hinton, Veiga, and Beinhoff 2003). Women make up well over 10 percent to even more than 50 percent of miners in some Asian countries. In Latin America, they comprise approximately 10–30 percent; in Africa, women ASM can stimulate a number of small businesses in sur- may make up anywhere from 40 to 100 percent rounding communities. J. Hinton of the workforce (Amutabi and Lutta-Mukhebi 2001; Jennings 1999; Lahiri-Dutt 2008; Onuh 2002) (table 1.1). Women play a much larger role in artisanal mining than in the LSM sector, and their engagement typ- ically declines as the degree of organization and mechanization increases (WMMF 2000). Women’s roles vary between and within countries and fre- quently depend on the location (proximity to vil- lages or homes) and mineral being mined (Hinton, Veiga, and Beinhoff 2003; Lahiri-Dutt 2007). In The all-too-common health and safety risks of ASM are evident from dust exposure during lime production. addition to working directly in mining, women J. Hinton often work part time at informal mining opera- tions and occupy ancillary roles (e.g., as cooks and service providers). Because women are more fre- quently associated with transporting and process- ing materials, as opposed to digging, they are not always identified as miners (Susapu and Crispin 2001). Women’s involvement is often invisible, because it frequently takes place in the domestic sphere. There thus may be significant discrepan- cies between the estimated and actual numbers of women involved in ASM (Wasserman 1999). Furthermore, women typically have intensive domestic responsibilities—typically working four to eight hours more than men per day—which One of the main environmental impacts of ASM is degradation of land that otherwise might be used for adds to their workload; this is largely unrecognized farming. J. Hinton and undervalued. 6 Gender Dimensions of Artisanal and Small-Scale Mining: A Rapid Assessment Toolkit 1 Introduction to Gender and ASM Table 1.1 Estimated number of miners and percentage that are female in selected countries Number of Country miners % female Bolivia 72,000 35 Brazil 10,000 — Burkina Faso 100,000–200,000 45 Central African Republic >100,000 — China 3,000,000– — 15,000,000 Congo, Dem. Rep. 2,000,000 20 Ecuador 92,000 — Women engage in ore grinding at home throughout Ghana 180,000–200,000 50 the day as they perform their domestic chores. J. Hinton India 12,000,000 30 Indonesia 109,000 10 Lao PDR — 50 tools, homes, crops, and sometimes even chil- Malawi 40,000 50 dren are primarily owned and controlled by men. Mali 200,000 30 Similarly, the benefits from these resources also Mongolia 40,000–60,000 10–30 predominantly accrue to men. Mozambique 60,000 — In whatever productive capacity, women are criti- Nepal 120,000 40–50 cal to community stability. And both women and Pakistan 400,000 — men in ASM communities are critical to commu- Peru 30,000 — nity cohesiveness, morale, and general well-being, Philippines 185,400–300,000 — acting as agents in facilitating positive change. Papua New Guinea 50,000–60,000 20 Understanding the differential impacts and ben- South Africa 10,000 5 efits of ASM on women and men in the broader Sri Lanka 165,000 — community can play a role in achieving develop- Tanzania 550,000 25 ment outcomes. Uganda 196,000 45 Zambia 30,000 30 Men’s and women’s different roles in ASM Zimbabwe 350,000–500,000 44 As noted, in most communities, men and women Sources: Hayes 2007; Hentschel, Hruschka, and Priester 2002; Hinton 2009, 2011a; Krishnaraj and Shah 2004; Lahiri-Dutt 2008. have different “typical� roles in ASM (although this Note: — = not available. may vary from community to community), which may occur at any/all stages along the ASM value chain (figure 1.2). In addition to being involved in Despite women’s significant involvement in ASM, mining itself, women are often heavily involved men hold the control and ownership of most in indirect labor related to mining. For instance, in assets. Evidence overwhelmingly indicates that Tanzania, it was observed that 2.5 times as many land (inclusive of mining areas), incomes from women are engaged in indirect roles (such as mining and other activities, mining and farming hauling and food and water provision) than in Gender Dimensions of Artisanal and Small-Scale Mining: A Rapid Assessment Toolkit 7 1 Introduction to Gender and ASM Figure 1.2 Unpacking ASM value chain activities Provision of goods and services Prospecting and Bene ciation/ Mining Processing Marketing exploration value adding Finding the deposit Breaking rock Crushing Making nished Buying and selling Securing access Digging Washing or semi nished Providing support Transporting Final concentration products (bricks, goods and services Providing support Transporting pottery, jewelry, etc.) goods and services Providing support Providing support goods and services goods and services Source: Adapted from Mutemeri and Samba 2010. direct mineral production. In Tanzania, women 2001; Heemskerk 2000; Hentschel, Hruschka, constitute about 25 percent (137,500) of the total and Priester 2002; Jennings 1999; Lujan 2004; ASM workforce (550,000) (Dreschler 2001). Veiga 1997; Veiga and Hinton 2002). ƒ Women are also heavily involved in the min- Some examples of the gender division of labor in ing and processing of many industrial minerals, ASM follow: such as clay in Bangladesh; stone aggregate, ƒ In the Cocoase Camp at Tarkwa in Ghana, risks limestone, and dimension stone in Uganda; associated with underground mining are given stone aggregate and sand in India; stone, sand, as justification for women carrying gold ore and and clay in Ghana; and marble in Zambia (ANU water and pounding rocks rather than digging and World Bank 2008, Babu 2004, Dreschler (Akabzaa and Darimani 2001). 2001, Hilson 2001, Hinton 2006, Sahnaj 2004). ƒ Approximately 90 percent of mineral process- ƒ In Southern African Development Community ing activities are conducted by women in countries, one study on small-scale mining Burkina Faso and Mali, where women constitute found that only 10 percent of miners in the approximately 45 percent of the ASM workforce formal sector are women, with the remain- (Gueye 2001; Keita 2001). der engaged in subsistence mining. Because women are so minimally involved in the formal ƒ The labor division of men engaged in digging sector, they typically have little experience. Also, and women in hauling, processing, and service because of their domestic roles, they have little provision has been documented for metallic flexibility to follow mineral rushes. Therefore, mineral and gemstone production in Bolivia, women usually work near home, in less-prof- Brazil, Burkina Faso, Colombia, India, Kenya, Lao itable seasonal panning activities (Dreschler PDR, Mozambique, Peru, the Philippines, Sudan, 2001). Suriname, República Bolivariana de Venezuela, Zimbabwe, and elsewhere (Amutabi and Lutta- ƒ This division of labor is also seen in the mica Mukhebi 2001; Chakravorty 2001; Dreschler factories in Giridih in eastern India, where 8 Gender Dimensions of Artisanal and Small-Scale Mining: A Rapid Assessment Toolkit 1 Introduction to Gender and ASM women perform the most laborious manual cultures usually have fairly strong prescriptions jobs, while men are engaged in more special- for men’s and women’s roles in the domestic and ized, mechanized jobs. community spheres. Examining gender and ASM means looking at the roles men and women play: Even where men and women perform similar what are men and women expected to do or are work, women often make less money for similar limited from doing; and what are the implica- tasks: tions for men, women, and their communities of ƒ In a formal mine camp in Tarkwa, Ghana, these roles? Is there an interaction between men’s women who transport gold ore and water and and women’s gender-ascribed roles (for instance, pound rocks yield salaries 60 percent lower women often being responsible for gold process- than men involved in digging (Akabzaa and ing involving mercury) and men’s and women’s Darimani 2001). differing biology (mercury can be particularly harmful to pregnant women)? ƒ In Siguiri, Guinea, women and men work side by side washing gold from the lateritic soil. For Based on gender roles, men and women often every five calabashes (a large carrying con- do not have equal ownership or rights over tainer) of ore that the women wash, male inter- resources; they are often differentially involved in mediaries (buyers) receive the profits from four; decision making; and women are often ineligible the women retain only one (USAID 2000). to make certain decisions for their own or their ƒ When ASM is undertaken in the context of a family’s lives. Based on their different roles and family unit, women’s work is quite often unpaid abilities to exert influence over their own roles, and conducted to enhance the earnings of men and women may be differentially affected by their husbands (Amutabi and Lutta-Mukhebi the sector itself, or by reforms or programs in the 2001; Hinton 2010a; Labonne 1998). sector. Why do men and women have different For instance, in a community where women are roles? responsible for food preparation or water col- Men’s and women’s roles in ASM (or in any indus- lection, an ASM activity that pollutes local water try) are typically only in small part based on their sources may mean that women must travel different physical capabilities. The difference in much farther and spend more of the day collect- roles is in large part determined by cultural or tra- ing water, leaving little time for other activities. ditional factors, functions, and expectations. These However, in a male-only consultation on envi- differing roles are referred to as gender roles.1 ronmental concerns, this issue may not surface. Although specific roles and expectations vary Where it is a woman’s role to process gold with around the world and even within countries, most mercury, her domestic role may mean that she conducts this processing in the home, creat- 1 Gender is often confused with sex. Gender refers to social ing health risks for the whole family. And where and cultural norms, traditions, and expectations; sex refers to men control access to technology such as radios, men’s and women’s biological differences—the ability to give birth is a sex role, while the responsibility for raising children is women may have diminished access to infor- an expectation related primarily to gender. mation (such as on health risks or training) and Gender Dimensions of Artisanal and Small-Scale Mining: A Rapid Assessment Toolkit 9 1 Introduction to Gender and ASM gold mining has left hundreds of children dead in Understanding that men and women play Nigeria, and has resulted in miscarriages among different roles in the community and face women in the community (Katz 2010). different constraints is critical to understanding In Bolivia, where tailings are primarily the domain how they are differently involved in and affected of women, palliris may spend several hours per by ASM, and to designing interventions to day working in tailings saturated with heavy, maximize development opportunities. metal-rich acidic drainage and cyanide residues (Jerez 2001). Like the metals lead, cadmium, and mercury, cyanide gas can be fatal to humans at participation in public life (for example, exposure concentrations of around 250 parts per million in to public awareness campaigns). air. Chronic exposure to low concentrations of cya- nide has been linked to neuropathological lesions Impacts of different roles and optical degeneration (Potter, Smith, and Api The different roles men and women play can have 2001). different social, environmental, or economic impli- cations—which may have additional dangerous In Peru, the mining camp Huaypetuhe in the implications for women in particular. Madre de Dios gold mining region has been char- acterized by high crime rates, domestic violence, In the Philippines, where mercury is used for gold and incidences of rape. This is in part attributed to recovery, much of the amalgam decomposition the absence of police and lawlessness common takes place in the home using the kitchen stove in many ASM communities (Kuramoto 2001). In (Caballero 2006). Where woman are responsible Suriname, acute differences in incomes between for this work, there are reports of kidney pain, exclusively male pit workers (who are paid based respiratory problems, and dizziness in women on gold recovery at approximately $360 a month) (Murao et al. 2002). Lead released from small-scale and women working as traveling merchants (who are paid approximately $90 a month) have prompted many women to supplement their earnings by providing additional services of a domestic or sexual nature (Heemskerk 2000). Based on their gender roles within their com- munities, involvement in ASM can create differ- ent work burdens for men and women, even if the roles or time demands of mining are similar. For example, in six Ugandan ASM communities, both women and men work seven to eight hours per day, on average, at ASM sites. Women then Although women and men were both present at this training session for miners, men’s involvement during work an additional five to eight hours more than hands-on training was clearly evident. S. Turyahikayo men in domestic responsibilities (child care, food 10 Gender Dimensions of Artisanal and Small-Scale Mining: A Rapid Assessment Toolkit 1 Introduction to Gender and ASM Women sometimes work side by side with men performing the same roles, like this woman fluorspar miner in Mongolia. J. Hinton preparation, hauling firewood and water, etc.), in a given community all seem to play a role in leaving zero to one hours per day for relaxation or child labor. socializing for women compared to four to seven hours for men (Hinton 2010a). Men’s and women’s noncommercial roles may also be significantly affected by ASM; and where Linkages between gender roles, gender inequali- women’s domestic burden is higher, the impacts ties, and child labor in ASM cannot be overlooked. may be greater for them. For example, Peterson Child labor is differentiated from child work by and Heemskerk (2001) estimated that up to 2,300 its general characterization as work that is “men- square kilometers of forest in Suriname will have tally, physically, socially or morally dangerous and been destroyed by artisanal miners by 2010. harmful to children� (ILO n.d.) including that which Women, as the ones primarily responsible for interferes with their education. Because of the fuelwood collection and for using forests for food many hazards and risks associated with ASM, child and medicine in many ASM areas, may be more labor in ASM is characterized by ILO Convention affected by changes in the availability of firewood, 182 as one of the worst forms of child labor. Given food, and medicinal plants. women’s substantial domestic work burden and— in many cases—abject poverty, children can begin ASM, and particularly women’s work in ASM, tends work at ASM sites early, often accompanying their to be invisible. Most of the general public, includ- mothers. Factors such as control over earnings ing key policy makers, know little about the ASM from mining, education status of mothers, and subsector. Women’s work at mine sites in direct and family well-being (in terms of economics, health, indirect roles is even more obscure. In many ASM etc.), as well as the traditional significance of ASM communities, even men and women miners often Gender Dimensions of Artisanal and Small-Scale Mining: A Rapid Assessment Toolkit 11 1 Introduction to Gender and ASM fail to recognize women as miners due to their multiple domestic responsibilities. For example, in eastern Uganda, many women use grinding stones in the home to pulverize gold ore as they carry out activities related to child care, food preparation, digging, and other work—yet they are not identi- fied as miners by themselves or by male miners. In the artisanal gypsum mining fields of Nigeria, women and girls are seen carrying gypsum con- centrate to selling points, but their participation is not acknowledged in discussions with community leaders. The local structures that control access to This young Tanzanian woman migrates from site to site deposits are all controlled by men. selling maize to miners. J. Hinton The invisibility largely arises from the limited data or literature available on women’s roles, coupled for whole communities—rather than exacerbate with the often simultaneous domestic responsibil- inequalities within communities—requires an ities of women. This lack of documentation results understanding of how different stakeholders are from a mix of reasons: omission from official data involved. Including a gender approach is critical because of perceived marginality of contributions, for a number of reasons. poor records stemming from the informality of ƒ Understanding the gender dimensions of ASM, and fear of government interference, among ASM can lead to improved economic out- others (Heemskerk 2003b). Lack of distinction comes for women. Improved management between children’s and women’s labor by govern- of ASM can lead to mitigated environmental ment departments is another common impedi- impacts, as well as improved economic benefits ment, with legislation often aggregating the two from ASM. As such, improved management of into a single paragraph. ASM is often a priority among governments. Understanding the different roles of men and Despite claiming to be gender neutral, policies women can enable policy making that can and programs affect women and men differently, improve the economic impacts for both men and can actually serve to exacerbate gender and women, leading to greater empowerment, inequalities. Legislation, programs, and projects decision making, and agency for women as well must be designed that consider gender-differ- as men. entiated needs with the objective of transform- ƒ Investing in women is investing in commu- ing gender relations and redressing inequities in nities. Evidence demonstrates that investing power, access, and control. in women is good not only for women them- selves, but also for their families and communi- 1.3 Why This Toolkit? ties. Women typically take a higher percentage To understand and address ASM so that it provides of earnings back to their families than men an avenue for economic and social development do, and have a key role to play in ensuring the 12 Gender Dimensions of Artisanal and Small-Scale Mining: A Rapid Assessment Toolkit 1 Introduction to Gender and ASM health, nutrition, education, and security of ŪLarge sledgehammers suitable for breaking those around them. Making sure that women boulders are unlikely to meet the practical have equitable access to the productive sphere needs of women involved in crushing stone can mean positive development impacts not in quarries. Similarly, low-cost sluice boxes only for them, but for their community as a given to women gold miners may not yield whole (World Bank 2001). Thus, understand- intended development benefits if resulting ing and addressing barriers to women’s access, increased incomes are controlled by men. and understanding the risks they face, is key to ŪLarger mining and exploration companies ensuring that policies and activities equitably are unlikely to achieve true community sup- affect men and women, and support women’s port if consultations focus on male leaders full development potential. and landowners. ƒ ASM is unlikely to improve without gender ŪInformation campaigns conducted via radio mainstreaming. To transform ASM into a for- are less likely to reach women due to inequi- mal, professionalized activity that more directly ties in ownership and control of radios and contributes to development, it is important to varying language proficiencies. make access to the benefits from ASM equi- table. Practical examples of how this can be World Development Report 2012: Gender Equality understood and addressed include the follow- and Development (World Bank 2011) affirms that ing: perpetuation of gender inequalities are likely to ŪAn ASM training workshop is unlikely to increase costs substantially, reduce competitive- equitably benefit women and men if specific ness, and impede development in countries in efforts are not made to mobilize women, if the globalized 21st century; the report cites slow progress toward equality in Sub-Saharan Africa training language does not include the local and Southeast Asia. Clearly, progress toward devel- vernacular, and if all work is done in large opment is tied to progress toward gender equality mixed groups. (box 1.2), and as an important rural livelihood in ŪIf mining offices are dominated by men many countries, ASM is no exception. located 350 kilometers away and procedures are complicated and require many days away 1.4 Uses of the Toolkit from home, women may be at a disadvan- The gender dimensions of ASM around the world tage. This is exacerbated where household are diverse, dynamic, and distinct. Involvement finances are controlled by men and permis- and impact can vary from culture to culture, sion is needed to engage in this process. region to region, and mine to mine; and can ŪLegal requirements that mandate the forma- change over time (Hinton, Hinton, and Veiga tion of cooperatives may worsen gender 2005). Thus, this Toolkit seeks to help users under- inequities if, due to constraints in terms of stand and effectively design policies and programs time, financial resources, and capacity to in response to needs and opportunities present voice opinions and views, women are unable in a given ASM area, community, or country. The to participate effectively. Toolkit provides a framework of questions for Gender Dimensions of Artisanal and Small-Scale Mining: A Rapid Assessment Toolkit 13 1 Introduction to Gender and ASM The Toolkit should be used in all stages of ASM Box 1.2 A note on equality and equity policy, program, or project design and implemen- It is important to look not just at gender equal- tation. It can also be easily adapted for any phase ity—for example, having equal numbers of related to identification of priorities, assessment, men and women at a consultation—but also and monitoring and evaluation, as well as design at equity—for example, ensuring that men and and implementation at the grassroots or policy women have equal opportunities to participate level. and benefit from such consultations, even where this might mean holding separate meetings with women and men. Gender equity aims to The Toolkit includes a number of different tools. improve equality of outcomes, while gender These can be used together for a more compre- equality often aims simply to ensure the equality hensive assessment, or implementers can pick of opportunities. and choose tools to suit the specific situation. Practically speaking, a company may ensure gen- Together, the tools can be used to inform the fol- der equality by opening up its hiring to women. lowing stages of project and policy design and But if women are effectively excluded from man- implementation. agement and decision-making roles, there is little gender equity. Similarly, if consultation guidelines Assessment of existing conditions require 50 percent participation by women, but there are no provisions to ensure that women are The Toolkit uses gender analysis of select key able to contribute meaningfully, this may be gen- issues of the lateral and downstream mineral der equal but not gender equitable. trading chain to develop a baseline gender Gender equity is believed to require transform- assessment. Through conscientious gender main- ative change in terms of gender relations, rec- streaming, adherence to principles of inclusion, ognition of differing needs and interests, and and the use of gender-sensitive methods, the distribution of power and resources. In other Toolkit can readily be expanded to suit broader words, equality of opportunities and outcomes may require differentiated treatment of women multi-livelihood assessments or narrowed to and men. focus on particular priorities on topics as varied as ASM technologies and methods, business development training needs, or occupational understanding men’s and women’s roles—and the health and safety conditions, among many oth- underlying issues of access and control—as well ers. as techniques for gathering requisite information. Project identification, design, and implementation Although gender is ideally mainstreamed at the Although gender approaches can be complex for earliest phases of conception, it is never too late those not familiar with the concepts, policy mak- to improve policy or project outcomes through ers and practitioners increasingly recognize that increased gender responsiveness. the outcomes of any project that is founded on poverty reduction or development objectives can be improved by explicitly responding to practical or strategic gender needs. 14 Gender Dimensions of Artisanal and Small-Scale Mining: A Rapid Assessment Toolkit 1 Introduction to Gender and ASM The Toolkit provides guidance to help identify the priorities of women and men in ASM communities to help ensure gender-responsive project design. Practical methods and measures are suggested to promote genuine participation of, and benefits to, women and men in ASM communities, cognizant of the common and different barriers faced by them. Policy and legislative reform While women constitute less than a quarter of the min- Formalization and regularization is widely ers in this tin mining area, this woman leads a team of regarded as the cornerstone of ASM’s advance- miners in these underground workings. J. Hinton ment. Considering the overarching need to pro- tect human rights, formalization is the process Relationship building and coordination of integrating rather than controlling informal arrangements enterprises by recognizing local arrangements in The process-focused Toolkit employs meth- legislation, reducing barriers to legalization, and odologies that help identify complementary creating clear benefits from participation in the priorities and mandates of key institutions and formal system (Hinton 2009). organizations, build understanding of both ASM and gender within specific country and com- Developing conducive policies and legisla- munity contexts, and create intersectoral dia- tion that explicitly redress gender inequities logue to address the multidisciplinary challenges in power, access, and control presents a chal- often facing ASM communities. The Toolkit’s lenge to traditional mining institutions—but is Implementation Roadmap provides specific mea- an essential objective if the minerals sector is sures to to contribute effectively to poverty reduction ƒ improve linkages among mining authorities objectives. and key local government officers mandated to respond to specific challenges related to—for Although single-sector approaches often pro- instance—education, health, social welfare, vide the most efficient mechanisms, given the environmental management, and develop- diverse needs of ASM, any reforms must neces- ment; sarily identify entry points for collaboration. By identifying gender-differentiated needs, ƒ increase coordination among key agencies and constraints, and opportunities, the Toolkit can institutions through heightened awareness of significantly inform changes to policy and leg- ASM and its development potential; islation in the minerals sector as well as those ƒ strengthen relationships between large min- related to education, health, social welfare, small ing companies and communities and improve and medium enterprise development, and other outcomes from corporate social responsibility critical areas. efforts; and Gender Dimensions of Artisanal and Small-Scale Mining: A Rapid Assessment Toolkit 15 1 Introduction to Gender and ASM ƒ facilitate relationship building between local The Toolkit seeks to build the understanding of all authorities and organizations from multiple key stakeholders through methods conducive to sectors and women and men miners on the an open exchange of ideas and engagement by ground. all parties. 16 Gender Dimensions of Artisanal and Small-Scale Mining: A Rapid Assessment Toolkit The Gender and ASM Framework 2 The Gender and ASM Framework 2 2.1 Context: The Sustainable Livelihoods Approach 2.2 Gender and the SLA 2.3 The Gender and ASM Framework: Critical Issues and Questions 2.4 How to Use the Framework: Implementation Roadmap Gender Dimensions of Artisanal and Small-Scale Mining A Rapid Assessment Toolkit 2 The Gender and ASM Framework T his section of the Toolkit outlines an analyti- Box 2.1 Practical versus strategic cal framework for understanding the gen- gender needs der dimensions of ASM. The Gender and ASM Framework will help users gain a sense of the The Toolkit promotes understanding of both information they need to have to determine men’s practical and strategic gender needs. and women’s ASM experience; the modules in ƒ Practical gender needs entail the daily and section 3 will guide you in gathering the informa- often immediate needs of women and men tion identified in the framework. based on their common or differentiated gen- der roles, such as the need for tools, financing, and so on. The Gender and ASM Framework is founded on the concept that ownership, access, and control ƒ Strategic gender needs are related to wom- of assets are the primary means through which en’s position in society vis-à-vis that of men; responding to these needs means providing women and men can develop pathways out of them with tools to advance their position. poverty (Moser et al. 2001). For example, within the context of ASM, trading up assets of manual It is the effective response to strategic gender needs that can change the status quo in terms labor, basic tools, and minerals for savings, better of a women’s often subordinate position in tools, working in teams, group savings, and small society relative to that of men. Gender relations equipment is an example of how human, physical, are determined by social rules and norms that natural, social, and financial assets can be accumu- determine how assets, labor, and authority and lated and used to improve well-being over time. status are assigned (Kabeer 2008), so any policy The Gender and ASM Framework therefore seeks or program seeking to change these norms must to identify opportunities and constraints faced by address strategic gender needs. women and men with the objective of identifying specific recommendations and action items to or stresses and increase assets and capabilities in mitigate the core gender inequities hindering the the short and long term (DFID 1999). Because it development of sustainable livelihoods. provides the foundation for most livelihoods, the sustainability of the natural resource base must be The Toolkit considers a livelihood to be the protected. means by which individuals and families gain adequate stocks and flows of food, cash, and 2.1 Context: The Sustainable other resources to meet their needs (box 2.1), together with reserves and assets to offset risks; Livelihoods Approach ease shocks; and meet contingencies, crises, and This Toolkit utilizes the Sustainable Livelihoods emergencies (DFID 1999). The livelihood of a Approach (SLA), a widely used framework that man or woman is sustainable when he or she can aims to understand how people live and cope effectively use these assets to deal with shocks with vulnerabilities. The SLA evolved from Gender Dimensions of Artisanal and Small-Scale Mining: A Rapid Assessment Toolkit 19 2 The Gender and ASM Framework sustainable development frameworks that The principle components of the SLA (figure 2.1) addressed broad dimensions of environmental, are assets, or capital (DFID 1999): social, and economic sustainability, but did not ƒ Natural capital. The natural resource stocks, sufficiently address inequities in access and pov- flows, and services that can enable certain liveli- erty (Ellis and Bahigwa 2003; Moser et al. 2001). hoods comprise natural capital. These can have Figure 2.1 Adapted SLA Framework VULNERABILITY CONTEXT Human, social, natural, physical, and nancial determinants of health and well-being Factors a ecting in uence, access, and control Factors contributing to or mitigating vulnerability HUMAN Health, education, labor, security, demographic composition, etc. Livelihood SOCIAL NATURAL strategies LIVELIHOOD OUTCOMES Networks, Land, minerals, Health and wel-lbeing organizations, LIVELIHOOD water, air, ora, socioeconomic status cohesion and trust, ASSETS fauna Autonomy, voice, and choice social safety nets PHYSICAL FINANCIAL Roads, schools, Income, noncash assets, clinics and hospitals, savings, access to housing credits and markets Factors a ecting in uence, access, and control POLICIES, PROCESSES, AND INSTITUTIONS Central and local government, private sector, organizations, policies, and legislation Source: Adapted from DFID 1999. 20 Gender Dimensions of Artisanal and Small-Scale Mining: A Rapid Assessment Toolkit 2 The Gender and ASM Framework a tangible (e.g., arable land, forests, minerals, tries to facilitate understanding of the social, legal, water) or intangible (air and biodiversity) affect and institutional processes that determine an on livelihoods. individual’s or a group’s capacity to access, control, accumulate, and benefit from assets. ƒ Human capital. Human capital is the skills, knowledge, and ability to work and achieve good health that jointly can help enable 2.2 Gender and the SLA women and men to achieve their livelihood The Gender and ASM Framework incorporates objectives. the SLA with a strengthened gender lens—that is, ƒ Financial capital. The financial resources specific attention is drawn to understanding men’s women and men need to achieve livelihood and women’s differentiated abilities to access, objectives, including income, credit, savings, control, accumulate, and benefit from assets. This and market access, comprise their financial gender lens is meant to highlight the main factors capital. that affect the livelihoods of women and men, illustrate how these factors are interrelated, and ƒ Social capital. Social capital includes networks help identify core causes and consequences of and connections between people and orga- gender inequities. nizations; membership in formal and informal groups; and the trust, mutual benefits, and The Gender and ASM Framework breaks down cooperation among individuals and groups that each of the five types of capital into issues specific can help provide informal safety nets. to women’s and men’s vulnerabilities. For example, ƒ Physical capital. Physical capital can include natural capital includes land and water, both of roads and means of transport, shelter and which are crucial in the context of ASM. A wom- buildings, water supplies, sanitation systems, an’s access to and control of land and its resources energy sources, and communications as well as may be restricted due to inheritance laws or tools and equipment needed to support liveli- resource ownership rights, but the pond or river hoods. near her backyard is readily accessible and she often manages the water resources. Conversely, Poverty—and the escape route out of pov- a man may claim ownership over these land and erty—depends on more than just having these water resources but may share decisions concern- types of capital. It also depends on the capac- ing water use (control) with his spouse. Applying ity of a woman or man to access, control, and a gender lens to the SLA avoids generalizing at own assets, including the factors influencing the household level but looks deeper at the gen- access to these assets (gender norms, how mar- der relations that determine inequities in power, kets operate, policy and legislation, etc.) and the access, control, and autonomy—thus enabling broader context in which they exist (e.g., history identification of issues where policy interventions of local development, shocks such as conflict are needed. and drought, policies and institutional practices) (Lawson, MacKay, and Okidi 2005). These circum- The Gender and ASM Framework also includes stances can change over time, with specific factors an explicit focus on individual human rights increasing or decreasing vulnerability. The SLA (box 2.2). A rights-based approach means looking Gender Dimensions of Artisanal and Small-Scale Mining: A Rapid Assessment Toolkit 21 2 The Gender and ASM Framework at a situation in terms of whether policies, institu- Understanding the factors that determine an tions, and power structures support or impede human rights—including the right to develop- individual’s or group’s capacity to access, control, ment and/or other fundamental human rights. For accumulate, and benefit from assets is the instance, policies and legislation that claim to be foundation for identifying solutions that respond gender neutral may actually serve to worsen or improve gender inequities (Moser et al. 2001). The directly to strategic needs. rights-based approach included in the framework is used to understand how rights are being sup- ported or infringed on in situations and through understanding of gender in ASM in terms of the policy, institutions, and power structures—this various and interconnected issues and processes can provide an additional angle for addressing that affect men’s and women’s lives and liveli- accountability, governance, and transparency hoods. (Moser et al. 2001). 2.3 The Gender and ASM Framework: Combining these approaches, the framework Critical Issues and Questions identifies the main constraints people are facing The Gender and ASM Framework is meant to in improving their well-being and the assets or provide practitioners with a systematic guide to poverty-reduction measures to which they have considering the gender dimensions of ASM. It is access (DFID 1999). By identifying both barriers not prescriptive with regard to the issues at play and opportunities, the framework supports an in any particular community; such issues will change from community to community. Rather, it draws on extensive fieldwork to pose critical ques- Box 2.2 The Gender and ASM tions regarding common gender issues in ASM Framework and a rights-based approach (table 2.1). A human rights–based approach identifies For all of the questions posed in the framework, ƒ rights holders—the individuals or organiza- subsequent sections of this Toolkit provide mech- tions that, by national and international law anisms for gathering the requisite information. and convention, are entitled (or unrestricted) The questions raised are based on the five types to have or do certain things; and of capital (natural, human, financial, social, and ƒ duty bearers—the individuals, organiza- physical), and the framework is organized accord- tions, or the state (usually) that, by national ing to the value chain components, or stages, of and international law and convention, has a ASM activity: prospecting and exploration, min- responsibility to do certain things. ing, processing, goods and services, and market- The Gender and ASM Framework looks at ASM ing of minerals. For each component/stage, the communities from the perspective of whether framework poses questions relating to roles and relevant institutions, policies, and power struc- tures ensure a positive relationship between responsibilities, access and control, and impacts rights holders and duty bearers. and benefits. 22 Gender Dimensions of Artisanal and Small-Scale Mining: A Rapid Assessment Toolkit 2 The Gender and ASM Framework Table 2.1 The Gender and ASM Framework Roles and responsibilities Access and control Impacts and benefits Common issues in different dimensions of the ASM value chain Finding mineral deposits Decisions about mineral deposits Effects of these conditions ‚ What constraints do men versus ‚ Whoever dominates prospecting ‚ What are the gender dimensions women face in terms of finding and exploration is most likely to find of the environmental impacts of minerals and deposits (knowledge, new deposits, start negotiations prospecting and exploration? (Is skills, personal autonomy and with landowners/occupiers, and it affecting natural resources in a freedom of movement, ownership gain decision-making power and way that may have differentiated Prospecting and exploration rights)? control of mining areas. impacts on men’s and women’s ‚ What variability is there in men’s ‚ Whoever controls or owns the land community/domestic roles?) and women’s access to and control where prospecting and explora- ‚ Are there evident social/economic of resources (funds, tools) needed tion occurs may make different implications of prospecting that to prospect? decisions about access and benefit might have a gender dimension? ‚ Does gender play a role in who is sharing than others who also rely For instance, migration from site involved in various roles in pros- on the land. to site or home to site can create pecting and exploration, directly ‚ The ability to obtain a formal pros- personal security risks, social risks, and indirectly? pecting license is based on aware- and benefits (marital relations, social ness of procedures, financial and stigma, socioeconomic status) technical capacity, and personal and community risks and benefits freedom to get a license (including (sex trade, small enterprise devel- travel to regional offices). opment, exposure to new tech- nologies) that may have different ASM value chain component impacts on women and men. Extracting and hauling ore Decisions about extraction Effects of these decisions ‚ Is there a gender dimension to who ‚ Often, whoever controls the pit has ‚ Those in control of the site and land controls the pit? Is this typically a decision-making power about the may make different decisions about man or a woman? mine and distribution of its benefits. access and benefit sharing than ‚ Is there a gender dimension to ‚ Sociocultural rules, norms, and prac- others who also rely on the land who does most of the mining? Are tices can also affect who can work or mine. Those in control of the pit there reasons given for why men in the pit or underground, how often control benefits of mining. or women might dominate (skills, ‚ What are the gender dimensions of different roles are valued, and how strength, culture, superstition, etc.)? the environmental impacts of min- benefits of participation are shared ‚ What social networks or relation- (at the site and in the household).ing? (Is it affecting natural resources ships exist around processing ‚ The ability to obtain a formal min- in a way that may have differenti- (associations, family groups, etc.)? ing license is based on awareness of ated impacts on men’s and wom- Are there gender dimensions to this procedures, financial and technical en’s community/domestic roles?) Mining (more men or women involved, sex- capacity, and personal freedom to ‚ Are there evident social/economic segregated associations, etc.)? get a license (including travel to implications of mining that might ‚ If men dominate mining, are there regional offices). have a gender dimension? Impacts any women involved (and vice may be similar to those of prospect- versa)? What challenges do they ing and exploration. face? For instance, do they have the ‚ Different roles in mining may have social networks/tools the majority different occupational health risks of miners have? Are they able to and financial benefits. Do men and share in benefit-sharing structures? women experience different occu- ‚ How does an individual’s burden of pational health risks and financial work at the mine, in the household, benefits? and in the community affect their participation in different roles? Do men and women experience this differently? (continued) Gender Dimensions of Artisanal and Small-Scale Mining: A Rapid Assessment Toolkit 23 2 The Gender and ASM Framework Table 2.1 The Gender and ASM Framework (continued) Roles and responsibilities Access and control Impacts and benefits Common issues in different dimensions of the ASM value chain Processing and adding value Decisions about processing Effects of these decisions ‚ Is there a gender dimension to who ‚ Is there a gender dimension to who ‚ What are the gender dimensions does most of the processing? Are owns equipment and resources of the environmental and health there reasons why men or women required for processing? impacts of processing? (Is it affect- might dominate (skills, strength, ‚ How are processing operations ing natural resources in a way that culture, superstition, etc.)? organized (e.g., are they controlled may have differentiated impacts on ‚ What social networks or relation- by those who control the pit)? Is men’s and women’s community/ ships exist around processing (asso- there a gender dimension to this? domestic roles?) ciations, family groups, etc.)? Are ‚ Sociocultural rules, norms, and prac- ‚ Are there evident social/economic there gender dimensions to this? tices can also affect who works in implications of processing that Processing ‚ What is the organization of work processing, how different roles are might have a gender dimension? (teams, individuals, units), and how valued, and how benefits of partici- Impacts may be similar to those of does this affect benefit sharing? pation are shared (at the site and in prospecting and exploration. ‚ How does processing relate to indi- the household). ‚ How are benefits of processing viduals’ burden of work in the house- shared within the household? Is hold and community—is processing there a gender dimension to this? something done in the home along- side domestic chores? What are the gender dimensions of this? ASM value chain component ‚ Is there a gender disparity in who has access to resources (funds, tools, water, energy) needed to process minerals? Goods and services Decisions about goods and services Effects of these decisions ‚ Who is providing direct goods and ‚ Is access to the site open? Is there ‚ What are the gender dimensions of services to mining activities, such gender disparity in how goods and goods and services provision? Such as loading and hauling and selling services are bought from providers? provision can create social risks and tools and supplies? Who is provid- ‚ What are the gender dimensions of benefits (sexual harassment, socio- ing indirect goods and services to who controls the proceeds of goods economic status) and community mining activities, such as provision and services provision? risks and benefits (sex trade, small of food or drinks? Is there a gender enterprise development, exposure dimension to this—are more men to new technologies, crime and versus women engaged—and is security, environmental degra- Goods and services there a possible explanation for this dation) that may have different disparity (do men or women have impacts on women and men. better access to required resources, ‚ Different roles in goods and services social networks, or relationships, provision may have different occu- time, or ability to engage)? pational health risks and financial benefits. Do men and women expe- rience differentiated occupational health risks and financial benefits (e.g., risk of sexual violence may be higher for women who sell goods in the mines)? ‚ Is goods and services provision affecting resources in a way that may have differentiated impacts on men’s and women’s community/ domestic roles? (continued) 24 Gender Dimensions of Artisanal and Small-Scale Mining: A Rapid Assessment Toolkit 2 The Gender and ASM Framework Table 2.1 The Gender and ASM Framework (continued) Roles and responsibilities Access and control Impacts and benefits Common issues in different dimensions of the ASM value chain Buying and selling minerals Decisions about buying and selling Effects of these decisions ‚ Is there a gender division in terms ‚ What factors control who under- ‚ Sellers and low-level buyers with of who primarily buys and sells takes buying and selling of miner- lower socioeconomic status often minerals? als? Is there an explanation for this have less capacity to negotiate Marketing of minerals ‚ What is the organization of work (skill in identification and valuation, fairer prices. How does this relate to (teams, individuals, units), and how connections and networks, etc.)? gender? does this affect benefit sharing? ‚ Decisions concerning use of benefits ‚ Buying and selling minerals can cre- from buying and selling minerals ate social risks and benefits (marital may not be equitably shared in the relations, theft, socioeconomic household. status) and community risks and ‚ Who has access to resources (funds, benefits (sex trade, small enterprise assessment tools, links to larger buy- development, crime, and security) ers) needed to buy and sell minerals? that may have different impacts on Is there a gender dimension to this? women and men. Specific questions to examine for each dimension of the ASM value chain ‚ What are the same and differenti- ‚ Are women and men on an equal ‚ Has women’s or men’s general wel- ASM value chain component ated roles of women and men? footing in access to and control of fare (food, health care, education, ‚ What skills and knowledge are information, training, land, mineral income, etc.) improved or declined needed to do different roles? Who resources, credit and financing, edu- due to ASM? has them? Who can get them? cation, health care, and other public ‚ What are the social risks and ben- services? Why or why not? efits to women and men in terms of ‚ How is work organized (e.g., individ- uals, groups)? Do women and men ‚ How do women’s and men’s different marital relations, social relationships, hold equal decision-making roles? roles and the organization of work and overall socioeconomic status? affect who has access and control? ‚ What are the health risks and ben- ‚ Are opportunities to participate in different roles equal for women and ‚ How are decisions made about efits to women and men in terms men? Why or why not? what and how things are done and of personal security, occupational Cross-cutting who can do it? Who makes these safety, environmental health, access ‚ How do women’s and men’s burden decisions? to health services, and control of of work at the mine, in the house- ‚ Who makes decisions about how personal health decisions? hold, and in the community affect their capacity to take on different benefits are used at the mine site ‚ Are women and men equally roles and receive different benefits? and in the household/community? affected? Benefiting? How? ‚ What are the development implica- ‚ What strategies are used to gain ‚ How are women or men made more tions of this at the individual, house- access and control (use of personal or less vulnerable through their roles hold, and community levels? relationships, formation of groups and responsibilities, and through dif- or associations, savings and invest- ferent levels of access and control? ment)? ‚ What strategies are used by women ‚ What are the development impli- and men to deal with impacts and cations of this on the individual, increase benefits? household, and community levels? ‚ What are the development implica- tions of this at the individual, house- hold, and community levels? ‚ What are legal, cultural, social, educational, environmental, political, and other opportunities to redress gender and constraints Opportunities inequalities? ‚ What are legal, cultural, social, educational, environmental, political, and other constraints to redress gender inequali- ties? ‚ What can be done to address constraints? What can be done to make the most of opportunities? Source: Authors. Gender Dimensions of Artisanal and Small-Scale Mining: A Rapid Assessment Toolkit 25 2 The Gender and ASM Framework Consider the following in using the framework: gender dimensions of any aspect of ASM, typically requires integrating data from multiple sources ƒ The scope of information may appear daunting; and stakeholders; a variety of tools and method- however, multiple issues can be tackled using ologies may be required. the same method. For example, key informant interviews with senior male and female miners Implementation of a Rapid Gender and ASM can yield information on the history of mining Assessment can take up to approximately 45 days in an area, factors affecting women’s and men’s based on a single community assessment, if all participation, gender-differentiated benefits of steps and methods are included. Although the mining, and the main hazards faced by women Implementation Roadmap is tailored to the spe- and men engaged in different roles. cific task of generating a baseline of the gender ƒ Multiple sources of information are often cited dimensions of ASM in a given community or for the same issue. This can support validation region, the framework and its methodologies can of data (through triangulation) and can ensure be readily adapted to suit specific priorities and that data gaps are filled. applications. These adaptations may relate to pol- ƒ The Implementation Roadmap (table 2.2) pro- icy reform, which typically requires more focused vides a step-by-step plan by which the data can consultation and broad-based implementation; be collected and analyzed. Specific guidance and design of projects at the grassroots or com- on the methods to be employed are detailed in munity level or national-level programs; among the modules contained in section 3. other uses. 2.4 How to Use the Framework: Implementation Roadmap Adapt the Implementation Roadmap to meet the The questions posed in the Gender and ASM objectives and priorities of your assessment. Framework call for the use of a range of qualitative and quantitative data-gathering tools. Basic guid- ance on these methods is provided below; note, The roadmap suggests systematic, replicable however, that depending on country- and com- implementation of a Rapid Gender and ASM munity-specific conditions, adaptation of these Assessment to enable comparisons among com- approaches may be necessary. Answering any munities and countries and to track progress question or set of questions, and identifying the within communities. 26 Gender Dimensions of Artisanal and Small-Scale Mining: A Rapid Assessment Toolkit 2 The Gender and ASM Framework Table 2.2 Gender and ASM Framework: Implementation Roadmap Toolkit Days Step Key questions and actions section needed Design and planning 1 Determine gen- ‚ What is your intended focus? An assessment of gender and ASM in a country or 1.4 3–5 der assessment community? Policy reform? Project or program design? Engendering monitoring objectives and evaluation frameworks? 2 Review the ‚ How would answering the critical questions serve your objectives? 2 Gender and ASM ‚ What aspects of the five types of capital are most important to help meet your Framework objectives? ‚ How should the tools be adapted to meet your objectives? Develop a scope of work. 3 Develop imple- ‚ How much time and money are needed to apply the methodology and fulfill Module 1 mentation plan, your objectives? schedule, budget ‚ Who will undertake the assessment? Data collection 4 Understand the ‚ Meet with national agencies and organizations Module 2 3 national and ‚ Review key policies and legislation local contexts ‚ Collect and review available secondary data (national and local) 5 Conduct key ‚ Local authorities and local government technical officers (also collect additional Module 3 3 informant secondary data) interviews ‚ Formal and informal leaders (including female and male miners and dealers) 6 Conduct ASM ‚ This may include additional key informant interviews Module 4 3 site visits ‚ Ensure co-identification of issues on-site ‚ Identify and mobilize participants for subsequent focus groups 7 Conduct ‚ Can integrate multiple topics in sessions with the same participants Module 5 4 participatory ‚ May also identify and mobilize selected participants for additional key informant focus groups interviews 8 Conduct in- ‚ Conduct interviews with a minimum of 1 female and 1 male miner, license Module 3 2 depth interviews holder, and dealer 9a Conduct sample ‚ Miners survey: ensure an equal number of men and women miners are surveyed Module 6 5 surveys ‚ Household survey: random sample household survey Interpretation, validation, and write-up 10 Preliminary ‚ Conduct comprehensive analysis and interpretation Module 7 10 write-up ‚ Develop a preliminary write-up including key findings, conclusions, recommen- dations, and any data gaps 11 Reporting back ‚ Report back to stakeholders, focusing on filling information gaps, validating/cor- Module 8 6 recting findings, and identifying critical recommendations Module ‚ Incorporate findings in the final report 10 12 Respond to a ‚ A training needs assessment can be incorporated into the field activities Module 5 capacity gaps ‚ Conduct training workshops in response to practical and/or strategic gender 10 needs identified during the assessment 13 Next steps— ‚ Ensure all participants receive final reports as well as any other key stakeholders Module 3 using your responsible for specific recommendations/action items 10 assessment ‚ Follow up with key decision makers to support gender-responsive action Source: Authors. a. Optional. Gender Dimensions of Artisanal and Small-Scale Mining: A Rapid Assessment Toolkit 27 Gender and ASM Tools 3 Gender and ASM Tools Module 1: Before You Begin Module 2: Collecting Background Information Module 3: Key Informant Interviews Module 4: ASM Site Visits Module 5: Participatory Focus Groups Module 6: Surveys Module 7: Reporting Back and Validation Module 8: Charting a Course of Action—The Way Forward 3 Gender Dimensions of Artisanal and Small-Scale Mining A Rapid Assessment Toolkit 3 Gender and ASM Tools T he gender and ASM tools contained in this areas; gender division of labor; and access to, Toolkit provide step-by-step methods to control over, and ownership of resources and follow in answering the critical questions their benefits. outlined in table 2.1. By understanding the differ- ƒ Increase women’s as well as men’s voices in ent assets women and men have—and their com- influencing the policies and programs that mon and differentiated freedoms and capacities to affect them through thoughtful design of use, make decisions about, and benefit from these engagement processes, strengthening links assets—we can better understand the ways in between women and men miners and local which ASM can alleviate or exacerbate poverty for and national authorities; and building capacity women and men, girls and boys. This knowledge through action-based research. provides the critical starting point in determin- ing how ASM can become a catalyst for equitable ƒ Foster appreciation by mining authorities con- poverty reduction and wealth creation through cerning gender and other key organizations con- gender-responsive policy and intervention. cerning the minerals sector in order to increase commitment and buy-in, support informed Applying the Toolkit in itself represents an oppor- participation, and establish essential linkages tunity to help redress gender inequities, particu- between these authorities and organizations. larly if structured, participatory methods are used. ƒ Identify key recommendations and critical Whether used independently or integrated into action items for a variety of stakeholders in sup- a larger socioeconomic assessment, the tools are port of men’s and women’s increased opportu- designed to do the following: nities to drive their own social and economic development. ƒ Identify the practical and strategic gender needs of women and men directly affected The Toolkit’s approach recognizes that develop- by and engaged in mining through gender ment will not be sustainable unless women and analysis of existing key institutions, policies, men both participate and are empowered to drive and programs; baseline information on mining their own futures. Gender Dimensions of Artisanal and Small-Scale Mining: A Rapid Assessment Toolkit 31 3 Gender and ASM Tools Module 1: Before You Begin Description Purpose This module describes important points to The purpose of this module is to help users effec- Module 1 think about before the Rapid Gender and ASM tively design and plan their Gender and ASM Assessment is designed and implemented. It cov- Assessment by understanding ers the following: ƒ who and how participants in the research can ƒ Who participates. Usually the resources be identified and selected, (time, money, people) are not available to ƒ how meaning can be reliably drawn from the interview, survey, or engage with every person data, and in a community, mine site, or area of interest. ƒ ethical issues that might arise while doing the Consequently, researchers choose a smaller, Gender and ASM Assessment. more manageable subset of people—a sam- ple—to participate in the work. Who and how When to use this module participants are identified and mobilized are important in ensuring the representativeness This module should be used at the beginning and gender responsiveness of the information of any project or program to assess ASM issues collected. on the ground. Because the basic principles in this module should be understood by everyone ƒ Reliability of findings. A highly communica- involved in collecting or analyzing data, it should tive key informant may be open to sharing also be used when new research assistants join an information but may be expressing his or her existing project or program and may need to be own opinions. While this is still an important revisited as the work is conducted. input, the accuracy of the information pro- vided should be considered. In some cases, How to use this module people who are very willing to talk to research- This module provides practical guidance for indi- ers may have their own agendas or interests. viduals involved in designing the Gender and ASM Researchers’ own personal biases can also Assessment or integrating these tools into a more affect reliability. When have you collected detailed baseline study. enough information to have confidence that your findings are reliable and can be general- How to identify participants: samples ized? The most accurate way to understand a group ƒ Ethical responsibilities. A number of ethical or segment of a population (such as women or guidelines pertain to various project phases men miners, mineral dealers, or farmers) is by (design, implementation, data analysis and interviewing or surveying every single person in interpretation, and results interpretation). that group. Of course, this is far too expensive and Gender Dimensions of Artisanal and Small-Scale Mining: A Rapid Assessment Toolkit 33 3 Gender and ASM Tools Module 1: Before You Begin time consuming to be practical. By taking a proper sample of a population, we can feel fairly confi- dent that findings from the assessment can be generalized to the wider group. Sampling Module 1 Sampling involves identifying a portion of the study population (e.g., a community or mining area) from which data can be collected and inter- preted to provide insight about a whole popula- tion or a certain segment of a population (e.g., Providing for child care during focus groups can help women or men miners). There are many ways to women participate. J. Hinton sample a population, but one simple method is These people may become key informants for described below. interviews and focus groups, and should at least Steps include the following: Step 1: Review the steps below with the research ƒ Men and women miners, including those team and discuss what it means when you design involved in digging, crushing, grinding, and and implement your assessment. How and with mineral recovery activities (e.g., panning); haul- whom will you begin? List groups of people that ers; pit bosses; and others should be sampled. One of the most suitable ways ƒ Formal and informal leaders to sample for a Gender and ASM Assessment is by ƒ Heads of mining or mineral dealer associations approaching people based on their appropriate- (and, in some cases, other livelihood groups, ness to inform your work—this is called purpo- women’s associations, and community-based sive sampling and is more commonly used to organizations) identify people for interviews and focus groups. ƒ Government officials and key technical officers If you are going to conduct sample surveys, you (e.g., environment or social welfare officers) will need a random sample of a statistically signif- icant number of people to make sure your results If you are focusing on the entire mineral produc- can be generalized. See appendix B for guidance tion and trading chain, it is also necessary to on how to do this. include buyers or dealers as well as those involved in adding value (e.g., jewelry fabrication) and Step 2: For reasons related to access to a com- other complementary activities. munity, it is usually good to start with a formal local leader and/or community development Keep in mind that key informants often recom- officer. Once you have explained the objectives of mend friends, family members, and colleagues, so your assessment, ask this person to recommend it may be good to identify additional independent women and men who can provide useful infor- starting points. You may already have a few con- mation or are local experts about specific issues. tacts in the participating community(ies) but, if 34 Gender Dimensions of Artisanal and Small-Scale Mining: A Rapid Assessment Toolkit 3 Gender and ASM Tools Module 1: Before You Begin not, an ASM site visit can also be a good indepen- ƒ The representativeness of a key informant dent starting point. should be considered, but it is often difficult to determine if someone is representative, espe- Step 3: Hold initial discussions with these persons cially at the beginning. Communities are het- to begin data collection and gauge if they should erogeneous, and the views of one youth miner, be included in in-depth interviews and/or focus for example, may not reflect those of all youth groups. Ask them to recommend other people they miners. Module 1 think would usefully inform the research—this is ƒ Women are sometimes not identified as min- called snowball sampling, and it helps start the ers or representatives of other groups; they process of relationship building in the community. may not even self-identify as miners if they are not involved in digging. Women and men may Step 4: Ask key informants to identify important see women’s activities as part of their normal social groups, individuals, networks, and affiliations duties of providing household subsistence or in the community that should participate in the supplementing the work of their husbands (e.g., work. doing manual ore grinding in the home while looking after children). Practical considerations ƒ People may preferentially recommend groups How to improve the reliability of findings and individuals with whom they have personal A rapid assessment is, by definition, conducted in relationships (e.g., family members) or political a short period of time, but efforts can be taken to affiliations. While it is logical for interviewees to ensure the reliability and accuracy of your find- recommend people they know, there may also ings. be a perception that benefits (financial, social status) come with being selected. This bias may Steps effectively direct the research, potentially result- ing in key omissions or biases. Step 1: Review the section below and box 3.1.1 with the research team and discuss the implica- ƒ Particularly if the assessment is done in a short tions of bias when you design and implement time, identifying independent starting points your assessment. Make a list of how you will deal in snowball sampling may mean you need with different biases in the community(ies) where to go “on the ground� (to the mine site, local you are working. Discuss other factors you might shops, etc.). expect to affect the accuracy of the data. How will ƒ People who are most vulnerable, the poorest you deal with them? of the poor, may not be identified by purposive sampling because they may be less vocal, effec- Step 2: As you are collecting data through discus- tively invisible, or perceived to be less knowl- sions, interviews, focus groups, and site visits, note edgeable by your starting points. Consequently, data that come from multiple sources and any you may need to find a different entry point to discrepancies.. Cross-checking or validation should these subsets of the population to ensure they be done delicately, as it may be taken as a sign of are included. mistrust. Gender Dimensions of Artisanal and Small-Scale Mining: A Rapid Assessment Toolkit 35 3 Gender and ASM Tools Module 1: Before You Begin Box 3.1.1 Avoiding biases Efforts should be made to avoid specific biases so as to develop a better understanding of women’s and men’s livelihoods in rural poverty: ƒ Spatial bias. We presume that the assessment community will be selected according to certain criteria, ease of travel generally among them. If sites near towns, especially large urban centers, are the focus, special efforts may be needed to reach less accessible and more marginal communities. Even within villages, the Module 1 poorer people may not be visible on the main streets and in the typical places where people meet. This is “hidden poverty,� and it needs to be uncovered. ƒ Project bias. Avoid selecting participants from places where it is known that something is being done, where money is being spent, staff are stationed, and a project is in hand. If an ASM project is ongoing, be wary of how perceptions of benefits or affiliations may affect design and implementation of the assessment. ƒ Person bias. ū Rural elite bias. Make sure that rural elites—the less poor and more powerful and influential community members, such as village leaders, headmen, traders, religious leaders, teachers, and paraprofessionals—are not your main source of information, although they may be the most fluent and accessible informants. ū Male and female bias. Even though men often think they can legitimately talk about women’s issues (and vice versa), remember that a large proportion of women are often among the poorest, inconspicu- ous and inarticulate. They may be the hardest to learn from. In a meeting or workshop, they may even decline to sit in public or speak, especially in a mixed forum of men and women. ū User and adopter bias. Although those who are using and adopting innovations may be more likely to receive attention, try to reach those who are weak and powerless to join in and find out why they could not do so. Look beyond those who are active and present to those farther removed, including the elderly and inactive. ƒ Dry season bias. The livelihoods of the poor living in areas of marked wet-dry weather vary widely depend- ing on the season. The most difficult time for them is usually the wet season when food is in short supply, prices are high, and work is hard. This season is usually hardest for women, children, and vulnerable groups. ƒ Diplomacy and tact bias. People may not wish to discuss their income or poverty; and some people may be sensitive about strangers coming into their village and speaking to certain groups, such as women, the disabled, or the elderly. Respect the fact that, in the eyes of the community, a research project may seem invasive. ƒ Professional bias. Regardless of whether it is in the social sciences, health, engineering, or geology, our pro- fessional background is not value free and can make it hard for us to understand the linkages of deprivation. To the extent possible, keep training, values, and interests from interfering with the task at hand. Consider that certain types of data are different be verified by gathering data on the topic from from others. Trying to get information on the multiple sources. Other information—for example, number of women and men miners or the his- that obtained through in-depth interviews—is tory of mining activities in an area may need to important simply because of what it says about 36 Gender Dimensions of Artisanal and Small-Scale Mining: A Rapid Assessment Toolkit 3 Gender and ASM Tools Module 1: Before You Begin an individual’s life, experiences, perceptions, and ƒ Some communities or community members views, and does not need to be triangulated but may suffer from “research fatigue.� They may be should be presented as such. tired of participating in research or assessments conducted by people who appear to be doing Step 3: Continue gathering data on an issue or nothing. Questions may also be considered topic until multiple participants provide the same irrelevant. information. This is called data saturation. In prin- ƒ Sometimes people may not know the answer Module 1 ciple, the more people interviewed (one on one or to a question but will give one anyway. in focus groups), the more reliable your data are. In reality, interview as many subjects as necessary ƒ Some topics (e.g., domestic violence, drug to find out what you need to know. In the case of abuse, power in the household, local poli- a rapid assessment, approach a minimum number tics) may be very sensitive. Some women or of key informants to obtain general knowledge, men may feel or be put at risk or stigmatized and then focus on a few intensive case studies to by addressing these issues in a discussion. fulfill your study objectives. Ensuring confidentiality is extremely important if and when these situations arise; handle these Practical considerations topics carefully. Noetstaller et al. (2004) note the following: Time, space, funds, and other resources may keep ƒ In some cases, people who are most eager and the research from being continuous. Repeated vis- willing to talk to researchers may have alterna- its to the same ASM community may be needed, tive agendas or interests. but watch out for research fatigue among com- ƒ The generalizability of findings across a popu- munity members, leading to a deterioration in lation or time frame largely depends on the information and its reliability. Too many repeat vis- sample size used and how participants are its from outside can be just as bad as too few. identified (e.g., whether they are representative or appropriate). How to fulfill ethical responsibilities ƒ ASM may be migratory, seasonal, and diverse There are important ethical issues, moral implica- (e.g., in terms of cultural backgrounds or tions, and consequences that can arise during beliefs); the population may change quickly in a the Gender and ASM Assessment. A number of short period of time. ethical guidelines exist for various project phases (design, implementation, data analysis, and results ƒ ASM may be illegal. This can make it difficult to interpretation); the most basic requirements are identify representative persons from the groups described here. (particularly if local counterparts restrict access to them or profess that they do not exist). It may Steps also be more difficult to obtain accurate infor- mation due to mistrust of researchers, disbelief Step 1: Review the section below with the about confidentiality, fears of being robbed or of research team and discuss what it means when having to pay taxes, and an interest in keeping you design and implement your assessment. certain aspects of ASM secret. Write statements of consent and confidentiality Gender Dimensions of Artisanal and Small-Scale Mining: A Rapid Assessment Toolkit 37 3 Gender and ASM Tools Module 1: Before You Begin that should be included at the beginning of your interview questionnaires, focus group guides, or sample surveys to remind you to apply them before any data collection begins. Identify mea- sures to ensure that confidentiality can be main- tained. Module 1 Step 2: Before any data collection, introduce the purpose and objectives of the assessment and make sure participants understand that any infor- mation they provide will be held in the strictest confidence. If tape recordings are used (e.g., during inter- views), they should be coded alphanumerically (referenced to a separate, confidential list of par- ticipants) and kept in a secure place. Step 3: Clearly inform the participants that they are completely free to participate or not. Explicitly ask for their consent to participate. Although writ- ten consent (in the participants’ language) is ideal, oral consent is sufficient, particularly if someone is A woman marble miner takes a break to look after her not literate. baby. J. Hinton Remind participants who are involved in multiple interviews or focus groups that they are free to an in-depth interview is being conducted with withdraw from participating at any time. They a woman), it may be a good idea to change the may be asked to restate their consent periodi- subject, particularly if a personal or sensitive cally. topic is being discussed. ƒ If a project or program is planned or ongoing, Practical considerations some women and men may be coerced into ƒ Watch for telltale signs that someone is uncom- participating or believe that they must par- fortable or ill at ease, particularly if discussing ticipate even if they do not want to do so. Be personal or sensitive issues. It may be wise to cautious of this sort of pressure and how it may change the subject or bring an interview to a bias results. close. ƒ Any reports or presentations of findings should ƒ If someone walks in as an interview is being be careful not to identify individual participants conducted (e.g., a male household head when by name or in photos without consent. If you 38 Gender Dimensions of Artisanal and Small-Scale Mining: A Rapid Assessment Toolkit 3 Gender and ASM Tools Module 1: Before You Begin have any reservations that consent is not fully ƒ Be aware of your biases (box 3.1.1) and how understood, or that someone can be put at risk these may affect your conduct of the assess- even if they give consent (e.g., due to engag- ment. Your personal views of the rural poor, ing in illegal ASM or mineral dealing), err on the men or women, or elites may influence how side of caution. you deal with people during the assessment. Module 1 Gender Dimensions of Artisanal and Small-Scale Mining: A Rapid Assessment Toolkit 39 3 Gender and ASM Tools Module 2: Collecting Background Information Description ƒ how background information should be cited, interpreted, and used in the Gender and ASM Background information, or secondary data, is Assessment. information or data that already exist before the fieldwork is conducted. Such information may When to use this module include published or unpublished reports, maps, and statistical databases (e.g., census data) and This module should be used at the beginning of can give more detailed insight into a community, the data collection phase to provide an under- Module 2 country, or issue. Sources of background informa- standing of the local and national contexts. It is tion may include the following: also useful to collect and analyze secondary data during or after fieldwork as it can help fill in data ƒ National statistics bureaus, other government gaps and confirm or refute findings from primary agencies, donors, or NGOs data collection. ƒ In-depth reports on research conducted in the area of interest (academic theses, reports by An in-depth literature review is most critical dur- regional economic development communities) ing an initial assessment, but even if the objective of the assessment relates to program design or ƒ National or regional poverty assessments and monitoring of an activity, it is useful to get up to development plans date on new secondary data. ƒ Mining departments (mining legislation; data on production, concession maps) How to use this module ƒ Central banks and commodity buying agents This module provides practical guidance for (for production and import/export statistics) individuals involved in collecting and analyzing background information for the Gender and ASM ƒ Regional governments (district, state, or provin- Assessment. cial profiles) ƒ Local governments, health clinics, and schools Steps ƒ CBOs and NGOs active in the community of Step 1: Review the steps below and box 3.2.1 with interest the research team and discuss this as you proceed with data collection and report writing. Decide on Purpose a referencing system (properly citing the informa- tion sources consulted) and when and how to use The purpose of this module is to help users under- it. Ensure that all team members involved in writ- stand ing fully understand the importance of referenc- ƒ types of background information and where to ing and of not copy and pasting text from other look for these; and documents. Gender Dimensions of Artisanal and Small-Scale Mining: A Rapid Assessment Toolkit 41 3 Gender and ASM Tools Module 2: Collecting Background Information Box 3.2.1 Tips for referencing background information Review these issues with members of the assessment team: ƒ Many referencing standards exist. Decide on a referencing system for published and unpublished reports, books, websites, and personal communications and when and how to use it. Doing this before the research starts will save a lot of time when finalizing reports. ƒ It is unacceptable to copy something from a website, book, newspaper, journal, or any other published source. The most blatant example of this is to directly copy something—even if it is only a phrase or two— word for word. This is plagiarism; if you use something word for word, it must be in quotes, referenced, and acknowledged. ƒ Another reason to use references is to provide the reader with the source of your information. When you Module 2 provide a fact (especially data and statistics), you must say where you obtained it, unless it is “general knowl- edge� (which is a subjective assessment). Providing sources allows your reader to verify your statements and makes your reporting credible and verifiable. Source: Based on Van Bramer 1995. Step 2: Review the full list of gender and liveli- information (www.artisanalmining.org). Census hood data that you want to collect and identify data can frequently be found on national statistics which data are likely to exist already. bureau websites. Step 3: Conduct an Internet search on your coun- Step 4: Visit a library. Many government agencies try and community. Many international organiza- have resource centers or libraries containing a tions, government agencies, and NGOs publish wealth of information and librarians able to point background information on the Internet; you can researchers in the right direction. University librar- also find or be referred to journal articles or aca- ies may contain detailed reports on your com- demic works (e.g., dissertations). munities of interest, which may be the subject of graduate-level theses. Good sources of information may include, in addi- tion to national and local government websites, Step 5: Visit mapping departments. Maps col- the World Bank, the United Nations Development lected from the environment, lands, mining, Programme’s Human Development Reports, the forestry, and water ministries can provide useful World Health Organization, and other UN web- information on infrastructure, mining activities, sites. The Communities and Small-Scale Mining land use, natural resources, and location, popula- initiative’s website maintains a country-searchable tion, and size of settlements, among other things, database that may be a useful source of ASM and will help in planning for subsequent fieldwork. 42 Gender Dimensions of Artisanal and Small-Scale Mining: A Rapid Assessment Toolkit 3 Gender and ASM Tools Module 2: Collecting Background Information Step 6: Talk to key resource persons as initial dis- Practical considerations cussions are held at the national and community ƒ When using the Internet for research, bear in levels. Technical personnel in central or local gov- mind that anyone can post information and that ernment may be extremely helpful in finding pub- some of it may be unreliable. Try to use websites lished and unpublished reports. Such personnel from established, trustworthy organizations. may include environment, health, social welfare, planning, and other officers. Their local-level coun- ƒ Make sure everyone on the research team terparts may be extremely useful in helping you understands the importance of originality of understand what has been done in your district work. The credibility of your entire assessment or area of interest (in terms of surveys, qualitative may be undermined if parts of the report are research, or other projects). Many key persons in plagiarized. Respect the efforts and contribu- ministries, NGOs, and other organizations may tions of authors of existing work, and make sure Module 2 have insight into secondary data sources that you you reference it properly. may have had difficulty in accessing through tradi- ƒ Secondary data collection should be systematic tional channels. to make sure you cover all the bases. You can design your own system of collecting and com- Step 7: Outline and begin drafting your prelimi- piling data (in coordination with the other team nary assessment report. This will help you analyze members), but beware of information overload and understand your secondary data and see and of spending too much time on what is sup- what gaps still exist. posed to be a rapid assessment. Gender Dimensions of Artisanal and Small-Scale Mining: A Rapid Assessment Toolkit 43 3 Gender and ASM Tools Module 3: Key Informant Interviews Description or a woman or man entrepreneur can provide glimpses into livelihoods that are difficult to trace Interviews with key informants, or those with through questionnaires. The approach you take in specialized knowledge, can provide considerable your interview will depend on the individual with insight about a certain issue or topic. Also, it may whom you are dealing. be easier to discuss certain sensitive or highly complicated issues with individuals as opposed Review your research objectives and critical ques- to a group. This module provides practical guid- tions. Who can best help you answer these ques- ance to conduct a useful and productive interview tions and provide a real understanding of women’s aimed at obtaining real-world information on and men’s lives in ASM communities? aspects of gender roles and livelihoods in ASM, through a professional, structured, and purposeful Different approaches to interviews Module 3 conversation. There are many different forms of interviews and Purpose interview subjects, each of whom may require different approaches. The interaction among inter- The purpose of this module is to provide practical view subjects may lead to spontaneous and emo- guidance in interview techniques in ASM commu- tional statements about the topic being discussed. nities so as to ƒ provide qualitative data, such as descriptions of How to use this module the lives and world of the interviewees; Review and perform the following. ƒ gather specialized knowledge or insight about Steps a certain issue or topic; and Step 1: Frame your research questions. Proposed ƒ discuss certain sensitive or highly complicated interview questions should be prepared in issues in an individual as opposed to a group advance and build upon the background data— setting. such as information on the ASM site (type of activ- ities, organization of work), standard demographic When to use this module data (sex, age, language, ethnic group), and socio- This module should be used after collecting back- economic data (occupation, income)—collected ground information and relevant data, and during in module 2. and in the field. Do not ask about causal relationships (“What Whom to interview prompted women to take up ASM?�), or establish In ASM communities, an elderly woman or man, general trends (“Are there more women in ASM a woman or man who is head of a household, now than before?�). Do try to focus on meaning Gender Dimensions of Artisanal and Small-Scale Mining: A Rapid Assessment Toolkit 45 3 Gender and ASM Tools Module 3: Key Informant Interviews and experience (“How do community leaders study. You may “snowball� your acquaintances see women’s work in ASM?�). You may focus on in the community and move from one contact perceptions of causality (“How do women in ASM to another. In some areas, you may gain access see their health ailments?�). Avoid presuppositions through a gatekeeper (such as the village head), (leading questions, such as “Should women work and then use one or more insiders to help in in ASM?�). recruiting participants. Step 2: Choose the type of interview to use. The Step 4: Develop an interview guide. Although default option in most cases is the individual, flexibility is key in qualitative interviewing, you face-to-face interview. But in some cases, a partic- need to have a roadmap or guide that outlines the ular form of qualitative interviewing may be more main topics to cover. The format of the interview appropriate. For example, you may want to follow a guide will vary according to your needs and pref- life-story approach or use telephone interviews erences. to reach high-level or time-poor individuals. Questions seeking six types of information should Module 3 Step 3: Define your sample, and contact and generally be a part of your guide (Patton 1990); recruit participants. In quantitative studies, a sam- box 3.3.1 presents forms in which these questions ple that statistically represents the study popula- are phrased: tion is of central importance (see appendix B). ƒ Background/demographic questions. These Since interviews are part of qualitative research, are straightforward descriptive questions about interviewers often use opportunistic and ad hoc personal characteristics such as age, sex, occu- sampling strategies. The most important criterion pation, and ethnicity. is diversity—recruit participants to represent a variety of designations, statuses, and positions that ƒ Experience/behavior questions. These focus may throw light on different aspects of livelihoods on specific and overt actions, such as “What do and on different experiences. This kind of targeted you do when the money lender refuses to give sampling is known as purposive. you a loan?� ƒ Opinion/value questions. These ask what par- The number of participants will depend on many ticipants think about a topic (such as women’s practical factors (such as available time). In gen- health status) and how these thoughts relate to eral, try to focus on a few selected aspects or their livelihoods, such as “What do you think is dimensions that define the group and then seek the best way to deal with women’s poor health diversity. In a study that is aimed mainly at liveli- in ASM?� hoods, for example, you would need to interview government officials at the local and national lev- ƒ Feeling questions. These focus on participants’ els; NGOs; the village elders; and female and male emotional experiences. Phrase your question miners, buyers, and service providers. clearly to differentiate it from the previous cat- egory; for example, ask a woman, “What feel- Sampling and recruiting participants may take ings did the harassment evoke in you?� rather place at different stages in the course of your than “How did you feel about the harassment?� 46 Gender Dimensions of Artisanal and Small-Scale Mining: A Rapid Assessment Toolkit 3 Gender and ASM Tools Module 3: Key Informant Interviews Box 3.3.1 Types of interview questions ƒ Introducing questions. “Can you tell me about…?� “Do you remember an occasion when…?� “What hap- pened in the fight between X and Y…?� Such opening questions may produce spontaneous, rich descrip- tions, with the informants providing what they experience as the main dimensions of the phenomenon being investigated. ƒ Follow-up questions. Answers are extended through a curious, persistent, and critical attitude. This can be done through direct questioning of what has just been said. Also, a nod, murmur of assent, or pause can indicate to the subject to continue with the description. ƒ Probing questions. “Could you say something more about…?� “Can you give a more detailed picture of what happened?� “Do you have further examples of this?� Pursue answers, probing their contents but with- out stating what dimensions are to be taken into account. ƒ Specifying questions. Follow up with more operationalizing questions, such as “What did you think then?� “What did you actually do when…?� “How did your body react?� ƒ Direct questions. Directly introduce a topic or a dimension: “Have you ever received money for…?� “When you think of digging, do you think it is a man’s job?� Module 3 ƒ Indirect questions. Apply projective questions such as “How do you believe others manage their money?� ƒ Structuring questions. Indicate when a theme has been exhausted by saying: “Now I would like to intro- duce another topic…� ƒ Silence. Rather than making the interview a cross-examination by continually firing off questions, allow pauses in conversation. These pauses give the subjects time to associate and reflect. ƒ Interpreting questions. Rephrasing may be a part of such questioning, such as “So you mean that…?� “Is it correct that you…?� “Does that mean…?� ƒ Knowledge questions. These ask for factual Practical considerations information the participant holds, for exam- ƒ In interviews, active listening—the interviewer’s ple, “What do you know about the processing ability to listen intently and engage with what of ore in your community?� and “When did is being said—can be of more use in obtaining mineral processing methods change?� information than asking a lot of questions. ƒ Sensory questions. These ask questions about ƒ Do not depend solely on your interview guide. what the participant saw, heard, touched, To get a deeper and real understanding of gen- tasted, or smelled. Such questions are particu- der issues, qualitative methods combined with larly important in studying external interven- field observations are essential. tions that change ASM-based livelihoods.1 ƒ Poor people tend to give prudent replies to questions and often understate their sources of 1 After King and Horrocks (2010). food and incomes. Gender Dimensions of Artisanal and Small-Scale Mining: A Rapid Assessment Toolkit 47 3 Gender and ASM Tools Module 3: Key Informant Interviews ƒ ASM is often a seasonal activity. The “basket of ƒ In transcribing and/or translating tape-recorded livelihoods� that different members of com- interviews, it is helpful if the transcriber/trans- munities draw from may vary according to the lator has access to the interviewer to ensure seasons. meanings and nuances are accurately reflected. Module 3 Interviewing miners in Ban Nahi, Pathen Valley, Lao PDR. K. Lahiri-Dutt 48 Gender Dimensions of Artisanal and Small-Scale Mining: A Rapid Assessment Toolkit 3 Gender and ASM Tools Module 4: ASM Site Visits Description The site visit can coincide with sampling, inter- views, etc. Sufficient visits should be conducted to In carrying out an assessment of gender issues in provide a representative picture of the communi- ASM, it is useful to collect information on the com- ties being studied. munities being studied through direct interaction and observation of the people and the operation. In planning the site visit, consider the following: This can be accomplished through a structured ASM site visit. The site visit should include the fol- ƒ How many sites need to be visited for represen- lowing: tative coverage? ƒ Observation of the different players at the min- ƒ Which sites will be selected? What criteria will ing site—miners, mineral buyers, vendors of be used to select them? food and other provisions, other service provid- ƒ How will permission be sought to gain access? ers, proportions of men, women, and children etc. ƒ What are the practices and prohibitions to be respected when on site? ƒ Open-ended discussion with whomever is Module 4 encountered on the site; semi-structured ses- ƒ How long should each site visit be to obtain the sions guided by a simple checklist can be con- data needed? ducted with groups found on site Purpose ƒ Inspection of the operation, including the fol- lowing: The purpose of this tool is to provide a systematic means of collecting information on the min- ŪLocation of mining site and its proximity to ing activities at the ASM community level. The water courses, dwellings, crop field roads, method of gathering information is by observa- etc. tion of the activities and informal interaction and ŪType of digging and mining methods discussions with different actors found at the ŪProcessing methods location during the visit. The information collected will be supplemented by data collected through ŪEquipment used other primary data collection methods such as ŪDisposal of waste the miners survey and participatory focus group discussions. ŪOn-site dwellings When to use this module ƒ Observation of impacts on the immediate environment (water bodies, forests, crop fields, The module should be used after a scan of the etc.) area is carried out. The scan should provide a Gender Dimensions of Artisanal and Small-Scale Mining: A Rapid Assessment Toolkit 49 3 Gender and ASM Tools Module 4: ASM Site Visits broad picture of the ASM activities in the area. It should provide information on the nature of activi- ties, different roles of women and men at the site, presence of children and their roles, seasonality of activities if any, whether activities occur only on certain days of the week, whether there is any cultural sensitivity to be taken into account during the ASM site visit, etc. The procedure outlined here can be used to iden- tify participants for other processes of gathering Understanding the organization of work, gender divi- information—e.g., miners surveys and participa- sion of labor, methods used, and benefits and risks tory focus group discussion. associated with different roles is an important compo- nent of profiling ASM activities. J. Hinton How to use this module Perform the following steps. where possible, make requests in advance and Step 1: Obtain a list of possible sites to be visited notify the communities of possible dates of visits. and identify a liaison appropriate to the area. Tell the liaison what the researcher needs to see and Step 4: Introduce yourself and your team as soon Module 4 the people he or she needs to interview. as you arrive at the site. Explain the purpose of the visit and confirm permission to be at the site as Step 2: Evaluate the list of possible sites accord- well as for what will be done with the information ing to the criteria for selection of suitable sites. This collected. evaluation can be done through key informants and other stakeholders who have contact with ƒ Researchers should describe their requirements or knowledge of the ASM communities. Suitable in terms of what they would like to see (sites ASM sites should satisfy the following criteria: and documents where available), who they ƒ Appropriate current ASM activity want to talk with, and how long the visit will take. Interviewees should be as gender repre- ƒ Accessibility in terms of physical access to the sentative as possible, and cover as many stake- location holder types as possible. ƒ Willingness of ASM community to be included ƒ Ensure that participants can access at least a in the study summary version of the resulting report and ƒ Utility of the site in informing the assessment that they know from whom they can obtain it (e.g., lead miner, local development officer). Step 3: Once you have selected a site or sites, identify a local facilitator so as to address issues of Step 5: Proceed with the site visit, using language and cultural sensitivities. Schedule visits; table 3.4.1 as a guide for collecting information. 50 Gender Dimensions of Artisanal and Small-Scale Mining: A Rapid Assessment Toolkit 3 Gender and ASM Tools Module 4: ASM Site Visits Table 3.4.1 ASM site visit guide Source of information Information collected (gendered) Areas to visit Active and inactive ‚ Different roles and functions observed on site (diggers, panners, pit bosses, transporters, etc.) and mining and processing who is performing these (men, women, boys, girls) areas (ore extraction) ‚ Scale of activities—number of workers and type of work men/women/boys/girls are doing (include all mining and nonmining activities, including support roles such as hauling ore and water, food provision, etc.) ‚ Type and depth of excavation ‚ Location of mining area in relation to other land uses that may be related to other livelihoods of women, as well as proximity to the home (where women have household and caregiving duties) ‚ Step-by-step description of mining, hauling, and processing methods and equipment used; who is doing the work; how revenues are shared or different roles are paid (e.g., based on production ver- sus paid labor versus unpaid labor) ‚ Efficiencies in extraction—recoveries (%) and production, use of water and energy (and who is pro- viding these resources) and ergonomics for men and women in their common and different roles ‚ Health and safety issues and other working conditions of women and men and girls and boys in their common and different roles Source of water ‚ Proximity of water source to workings and who fetches it and how for mining and processing use (men and/or women) ‚ Adequacy of supply for mining and processing requirements ‚ Impacts of water extraction in competition with other uses (e.g., domestic use) and how this affects women who might be the principal collectors of water ‚ Environmental impacts (gendered) of mining and mineral processing on water source Module 4 Source of energy ‚ Proximity of energy source to workings and who fetches it and how for mining and processing use (men and/or women) ‚ Adequacy of supply for mining and processing requirements ‚ Impacts of fuel extraction in competition with other uses (e.g., domestic use) and how this affects women who might be the principal collectors of fuel (wood, etc.) ‚ Environmental impacts (gendered) of mining and mineral processing on fuel source (e.g., deforesta- tion if wood fuel; air pollution if diesel) Waste disposal ‚ Types of wastes generated and the location of waste disposal in relation to remote communities and other land uses ‚ Environmental impacts of waste disposal, particularly on the livelihoods of both men and women (in mining and nonmining livelihoods) ‚ Health and safety impacts on men and women at the site and in affected areas (e.g., downstream) On-site accommodation ‚ Location of buildings in relation to other land uses, waste disposal, and impact on remote commu- nities ‚ Nature of accommodation (thatch roof huts, wooden structures, etc.) ‚ Water and sanitation conditions (continued) Gender Dimensions of Artisanal and Small-Scale Mining: A Rapid Assessment Toolkit 51 3 Gender and ASM Tools Module 4: ASM Site Visits Table 3.4.1 ASM site visit guide (continued) Source of information Information collected (gendered) People to talk to at the site License holder ‚ Validity of license and conditions ‚ Impression of mining operation; facilitate viewing of relevant documents ‚ Experience in mining and the ASM sector from a gender perspective ‚ Demographic information (age, sex, ethnic group, etc.) Miners, processors, haul- ‚ Experience in mining and role in the operation ers and transporters ‚ Methods, production levels, recoveries, and income from different roles and jobs ‚ Sources of financing for tools, equipment, and activities (e.g., savings, microfinance, sponsors) ‚ Personal impression of the impact of mining on their lives as men and women ‚ Demographic information (age, sex, ethnic group, etc.) Security ‚ Experience in mining and personal impression of the operation as men and women ‚ Demographic information (age, sex, ethnic group, etc.) Buyers ‚ Experience as buyer of ASM products ‚ Description of the nature of trading transactions and the gender perspective ‚ Demographic information (age, sex, ethnic group, etc.) Any children on-site ‚ Role and rationale (what they do and why) ‚ Impression of the impact of mining on their lives as girls and boys ‚ Demographic information (age, sex, ethnic group, etc.) Remote community ‚ Impression of the impacts of the mining activities on the livelihoods of men and women Module 4 ‚ Demographic information (age, sex, ethnic group, etc.) Service providers (sup- ‚ Impression of the impacts of mining on their livelihood from a gender perspective pliers of equipment, ‚ Demographic information (age, sex, ethnic group, etc.) food and other provi- sions, fuel, etc.) Documents to be viewed (if available, data should be obtained from participants also) Production records ‚ Level of production and productivity of the deposit (e.g., grade, recoveries) ‚ Minerals being produced Licenses ‚ Type, validity, and conditions of license Employee records ‚ Number of workers and demographic information about the workers ‚ Presence or absence of women and children in the workforce ‚ Gender roles in job allocation Wage payments ‚ Equity of wages between men and women ‚ Level of wages paid Source: Authors. 52 Gender Dimensions of Artisanal and Small-Scale Mining: A Rapid Assessment Toolkit 3 Gender and ASM Tools Module 5: Participatory Focus Groups Description separately for different purposes (e.g., community visioning). Undertaking participatory methods A focus group is a facilitated meeting that collects with women and men separately and/or together qualitative data about an issue or topic. Sometimes can aid in the understanding of gender issues in called “discussion groups� or “group inter- the community of interest. views,� they usually last one to three hours and are typically undertaken with specific separate groups Integrating participatory methods into focus (male youth, female youth, male miners, female groups can help miners, male farmers, female farmers, etc.). ƒ ensure that the Gender and ASM Assessment Participatory methods are often core compo- is “people-centered�; nents of community-based research. There are ƒ increase the voice of community members in several models of participatory methods with identifying relevant issues; varying degrees of participation, each of which is believed to be equally valid. At one end of the ƒ support policies, projects, and programs that participatory approach spectrum, community par- better respond to individual women and men ticipants are directly involved in all phases of study and to vulnerable groups within the commu- design, data collection, and analysis. At the other nity; end of the spectrum, community participants con- ƒ encourage skills and knowledge building of tribute as respondents during interviews, focus both the gender assessment researchers and groups, or surveys. In general, these approaches all the participating community, including peer- Module 5 involve some type of collaboration between the to-peer learning; researchers and those being studied; knowledge ƒ support culturally appropriate methods; and sharing, or mutual education of the researchers and the researched; and the objective of gener- ƒ strengthen relationships among stakeholders ating local knowledge to improve conditions or playing different roles in the community. practices. A number of tools exist to help understand the Participatory methods are incorporated directly gender dimension of ASM and within ASM com- within interviews or focus groups, or can be used munities. Based on the information needs of the Rapid Gender and ASM Assessment, four main tools are outlined here. These tools can be used Participatory methods recognize that the process independently or—as presented here—as part of workshop lasting four half-days or two full days. of undertaking community-based assessments is ƒ Human rights and mining rights. Introducing as important as the outcome. concepts of gender can be difficult in many Gender Dimensions of Artisanal and Small-Scale Mining: A Rapid Assessment Toolkit 53 3 Gender and ASM Tools Module 5: Participatory Focus Groups Understanding cultural norms and practices can provide useful insight. A traditional marriage ceremony (kwanjula) in Uganda. J. Hinton communities. Approaching gender from the (commercial work); examples include break- Module 5 perspective of human rights and its links to ing rock to sell stones, panning and selling development at the family and community lev- gold, working for pay in a small shop, or sell- els can be an easier way to (1) understand local ing tomatoes at a market perceptions of rights and how they are realized, ŪReproductive roles: Work that is mainly and (2) introduce the concept of gender and in the private sphere, associated with gender equality. maintaining and sustaining a family or ƒ Daily activity clock. This is a useful tool for household; examples include preparing identifying the gender division of labor in ASM food, fetching water or wood for home use, communities. A “gender division of labor� is the digging to feed the family, or looking after way society assigns tasks, responsibilities, and children or the elderly; also called “domestic activities to women and men according to their work� sex; these are also called gender roles. Gender ŪCommunity roles: Work for the collec- roles are categorized into three groups: tive good of the community that is usually ŪProductive roles: Work that is mainly unpaid and in the public sphere; often, in the public sphere for trade or money work related to power and prestige is 54 Gender Dimensions of Artisanal and Small-Scale Mining: A Rapid Assessment Toolkit 3 Gender and ASM Tools Module 5: Participatory Focus Groups assigned to men (running community a discussion of stakeholder recommendations. The meetings, roles at burials or weddings) and purpose of this module is as follows: low-status work to women (cooking for ƒ Understand how much time (and why) women events) and men each spend on money-making work ƒ Seasonal calendar. Similar to a daily activity compared to domestic, unpaid work and what clock, a seasonal calendar is useful for under- this might mean in terms of gender (in)equality standing how gender roles change cyclically in ASM communities. throughout the year. For example, the effects of ƒ Understand how to plan activities to fit into the annual dry seasons on the time it takes to fetch roles, responsibilities, and schedules of men water, engagement in mining, and increased and women. For example, what are the best reliance on different livelihoods can provide times of day to have a meeting or workshop? insight into seasonal vulnerability (e.g., food What can you do to encourage participation of insecurity) and the coping strategies of women women as well as men? and men during these times. ƒ Learn to design programs and policies to ƒ Access, control, and ownership regarding respond to the different needs of women resources and their benefits. Resources are and men based on their roles. For example, if any of the assets, materials, abilities, etc., that women are mainly grinding rock with a grind- can be drawn on when needed. Resources can ing stone, they may need targeted training be natural (minerals, forests, water), human (labor, skills), physical (houses, roads, bicycles, about the hazards of dust and ways to improve radios), social (extended families and friends), or mineral recoveries during processing; men financial (savings). responsible for digging pits may need targeted training about pit wall stability and how to con- Resources are used to create benefits that in duct exploration. Responding to these practical turn can be used to improve quality of life, deal needs should not limit choice and autonomy Module 5 with shocks or stresses (such as drought or in different roles (e.g., women may want to illness of family members), and, ideally, accu- learn about exploration, and men may want to mulate other useful assets. Someone may have learn about optimum grinding sizes). Ask, don’t access to and control of a resource (such as assume, what people’s needs are. chickens) but may not have control or decision- making power over its benefits (e.g., money ƒ Identify where and why inequalities exist—for from selling eggs). example, related to rest and relaxation time, time spent making money, and factors con- Purpose tributing to participation roles that give social status (such as time spent with local formal and This module provides guidance on how to con- informal leaders). duct participatory focus groups through four half- day or two full-day sessions on human rights and ƒ Understand how gender roles change cycli- ASM; gender division of labor; seasonal calendars; cally throughout the year. For example, you and access, control, and ownership regarding may become aware of how women and men resources and their benefits. The sessions end with transition into different activities at different Gender Dimensions of Artisanal and Small-Scale Mining: A Rapid Assessment Toolkit 55 3 Gender and ASM Tools Module 5: Participatory Focus Groups times of the year. These transitions may relate men particularly as they relate to using assets to reduced or increased access to minerals (in and resources to escape poverty or increase or association with water availability), the need to decrease vulnerability to circumstances, shocks, temporarily leave mining to perform roles criti- or stresses. Specific recommendations can be cal to household food security (such as planting developed from this, building on opportunities and harvesting), or other activities that may be and measures to mitigate constraints. unknown to the researcher. When to use this module ƒ Identify gender-differentiated opportuni- ties and constraints in terms of diversifying This module should be used during field activities livelihoods and identifying alternative or and once you have some understanding of your complementary activities. This identification is community of interest through initial discussions, accomplished by understanding the measures ASM site visits, and before or after in-depth inter- women and men use to mitigate vulnerabilities views. at different times of the year. It also takes into account factors affecting access to and control In your work plan for the assessment, include time of different activities and prospects for improv- for mobilizing appropriate participants (includ- ing quality of life by accessing a different range ing vulnerable persons), organize an easy-to- of livelihoods. access venue, and make arrangements for food ƒ Identify key resources and assets that can be and drinks and on-site child care for infants and used to help women and men escape poverty. small children. Although each of the participatory Some assets may be more or less significant to focus groups can be run independently, they are women and men than otherwise thought; thus, designed here to be run in sequence with the this helps clarify the role and uses of different same group(s) to build on the knowledge and assets and their importance in the participating findings from previous sessions. Module 5 community. How to use this module ƒ Understand the capacity of women or men to access and control resources and benefit from Supplies and materials needed to run the focus them. Resources are used to create benefits. groups described below include flipcharts and That does not mean that both women and flipchart markers or chalk and a chalkboard, and a men receive or have control over these ben- dedicated note taker to ensure that all input from efits. For example, women may have access to, participants is captured in detail. The note taker control over, and even ownership of chickens, (and facilitator, where possible) should be fluent but the men may be the ones to determine in the local language and prepared to capture key when these are eaten or sold (control of con- statements, remarks, and word-for-word quota- verting the resource into money) and may keep tions from participants. the money from the sale of eggs (ownership of this benefit). Tool 1: Human rights and mining rights ƒ Understand the common and different oppor- Step 1: Welcome participants to the focus tunities and constraints faced by women and group, and begin with introductions and a brief 56 Gender Dimensions of Artisanal and Small-Scale Mining: A Rapid Assessment Toolkit 3 Gender and ASM Tools Module 5: Participatory Focus Groups discussion of the objectives. You can also post and community well-being?� Discuss and solicit an agenda on the wall and review it. Discuss any examples of individual, family, and community logistical issues (concerns with time, location, well-being. Emphasize how gender differences lunch, etc.) and ensure that you have the consent in human rights access affect development out- of participants before you begin. comes. Step 2: Introduce the main objective of this ses- Step 8: If the host country has amenable legal sion: to understand the importance of human provisions that support equitable rights, mention rights, mining rights, and land rights to the devel- and discuss them (e.g., related to equitable mar- opment of individuals, families, and communities. riage rights, rights to equal pay for equal work, free access to information of the state). Step 3: Begin by asking, “What is a human right?� Ask participants to list examples and write them Step 9: Discuss who is responsible for protecting on a flipchart. Ensure that the following are human rights, and list all responsible persons/ included: the right to life, liberty, and security; groups. Ensure that individual women and men the right to education; freedom from torture and are also listed as being responsible for protecting cruel, inhuman, or degrading treatment; and the human rights. Introduce the concept of rights right to form trade unions and associations. holders and duty bearers. Step 4: Clarify that human rights are internation- Step 10: Discuss the reasons women and men ally guaranteed by the Universal Declaration of are not equally receiving their human rights. This Human Rights and a number of conventions (list will invariably turn into a discussion on culture. the conventions to which the host country is a Ask participants to list (while writing on a flip- signatory). chart) all of the changes in cultural practices in the past 20–30 years concerning boys and girls, Module 5 Step 5: Ask participants, “Who is entitled to have and women and men. This will likely relate to human rights?� Ensure that women, men, girls, things such as food (e.g., women traditionally not boys, youth, adults, and the elderly are specifically allowed to eat chicken), education (e.g., girls being listed, rather than just “human beings.� sent to school more than in the past), and mar- riage, among others. Step 6: State that “Human rights are the birthright of all human beings,� and ask whether women Step 11: Discuss why and when culture changes. and men, boys and girls all equally hold their human rights. Highlight and discuss issues such as Step 12: Write “gender� and “sex� on a flipchart freedom from cruel or degrading treatment, right and introduce the concepts. Write down partici- to education, and the right to form associations, pant examples of gender and sex characteristics, among others. and clarify as needed. Step 7: Ask participants, “What are the effects Step 13: Refer back to gender inequalities in of a lack of human rights on individual, family, human rights and their links to development as Gender Dimensions of Artisanal and Small-Scale Mining: A Rapid Assessment Toolkit 57 3 Gender and ASM Tools Module 5: Participatory Focus Groups highlighted by the participants earlier in the ses- ASM may affect development at the individual, sion. family, and community levels; write examples on the flipchart as they are provided. Step 14: Introduce mining rights to the group by briefing them on the prevailing laws and Step 19: To summarize the session, ask a different licensing system for ASM. This is an opportunity participant to briefly summarize each main issue to build capacity on what is likely not known by discussed: human rights and who has them, for- local miners (including procedures for becoming mal and informal mining rights, gender versus sex, licensed). and how gender inequities in access and control of human rights and mining rights are linked to Step 15: Ask, “Who holds the mining rights for development. the area where you are working?� Likely, most ASM operations will be informal and unlicensed. Step 20: On a separate wall of the building, have Have participants explain how rights of access are flipcharts prepared with headings of “individ- informally obtained to ASM areas (e.g., through ual,� “household,� “community,� “local government,� landowners, perhaps even village government). and “central government.� Based on the partici- Ask, “Who is responsible for gaining access to the pant findings and conclusions from the session, areas? Who makes decisions about the site once solicit recommendations from participants related mining begins?� to gender, rights, and development. Step 16: Discuss the concept of rights holders and Step 21: If there is time, ask each participant to duty bearers in the context of ASM (whether it is share one thing they will do differently in the formal or informal). Have participants list (as you future or the most interesting thing they learned. write down and clarify) the rights of rights holders Ask for any additional comments, conclusions, or Module 5 and the obligations of duty bearers. final remarks. Step 17: Discuss who the rights holders are (and Step 22: If necessary, make a final, brief conclud- whether women and men equally share these ing remark. Thank everyone for their effort and rights) and who the duty bearers are (and whether contribution. Close the session. women and men equally share obligations). Ask what the implications of these differences are on Tool 2: Daily activity clocks (1) how decisions are made concerning where to Step 1: Welcome participants back to the focus mine and who is taking on what roles, and (2) who group and briefly discuss the objectives of the ses- is benefiting from mining (and making decisions sion. Revisit the agenda on the wall and review it. about how benefits are shared). Discuss any logistical issues (concerns with time, location, lunch, etc.) and ensure that you have the Step 18: Write “individual,� “family,� and “commu- consent of participants before you begin. nity� on a flipchart. Ask participants to explain how gender differences in decision making at the mine Step 2: Beforehand, post a series of flipcharts on site and distribution and control of benefits from one wall, each with a different heading: “individual 58 Gender Dimensions of Artisanal and Small-Scale Mining: A Rapid Assessment Toolkit 3 Gender and ASM Tools Module 5: Participatory Focus Groups women and men,� “ASM associations,� “local ƒ On average, how many hours in a day do government (specific offices or agencies),� “cen- women and men spend on each productive, tral government (specific ministries or depart- reproductive, and community role? (Decide ments),� “others.� Leave a few blank. Explain that together and mark next to each role.) over the course of the workshop, you will collect ƒ How do the differences in time spent in differ- participants’ key recommendations for each and ent roles affect women’s and men’s well-being discuss them at the workshop’s end. and their capacity to improve their individual well-being? Try to elicit specific examples. How Step 3: Break your participants into small groups do these differences affect family/household of five to nine people. Have participants work in well-being? How do they affect community well- separate groups of women and men. Post a large being? How does the extent that women and flipchart (based on table 3.5.1 with a few exam- men participate in mining affect their individual ples) and discuss how groups can fill in their own and family benefits? daily activity clocks, together developing a few examples. ƒ How do different resources of women and men play into determining how long it takes Step 4: Introduce definitions of “productive to do things? For example, without transport work,� “reproductive work,� and “community (e.g., bicycles), women or men may spend long work� and ask for examples of each. Do not intro- hours walking to sell goods they have pro- duce the discussion questions yet. duced. Refer to the previous session on rights and discuss if, and in what way, women’s or Step 5: With large flipcharts, on a chalkboard, or men’s rights are being violated. in notebooks, have each group together develop ƒ What important conclusions can be drawn their average daily schedule with columns listing from this activity? time of day and activity. For each time period, par- Module 5 ticipants should very specifically list the activities ƒ What specific recommendations do you have they undertake. for different actors? Write these on the flipcharts posted on a wall at the side (with headings as Step 6: Give each group about 20 minutes to in the previous session on the growing “wall of complete the exercise, walking from group to recommendations�). group to clarify instructions or answer any ques- tions as needed. Step 9: Ask if anyone has anything else to add. Thank everyone for their participation and close Step 7: After they are through, each group should the activity. report back results to the whole group. Post their flipcharts on the wall to compare them later. Adapting daily activity clocks to assess child labor and gender Step 8: Discuss each of the following together: Child labor is a far too common issue at many ASM ƒ What are the main similarities and differences sites and one that is often tied directly to gender between women’s and men’s clocks? inequalities. In ASM areas where child labor is Gender Dimensions of Artisanal and Small-Scale Mining: A Rapid Assessment Toolkit 59 3 Gender and ASM Tools Module 5: Participatory Focus Groups Table 3.5.1 Sample daily activity clocks Men Women Time Activity Time Activity 5:00 a.m. ‚ Wake up and pray, fetch wood and make fire 6:00 a.m. ‚ Wake up and pray, greet family, wash face 6:00 a.m. ‚ Fetch water, prepare breakfast, sweep the com- pound, tend to chickens 7:00 a.m. ‚ Check animals, check health of family, take 7:00 a.m. ‚ Take breakfast, wash dishes, prepare children for breakfast, send children to school, bathe school, send children to school 8:00 a.m. ‚ Go to work (digging at mine) 8:00 a.m. ‚ Go to work (panning and hauling water at mine) 9:00 a.m. 9:00 a.m. 10:00 a.m. 10:00 a.m. 11:00 a.m. 11:00 a.m. ‚ Look for firewood, look for vegetables, prepare lunch, bathe 12:00 p.m. ‚ Take lunch and wash plates, rest 12:00 p.m. ‚ Give lunch to children and father, take lunch, clean up after lunch 1:00 p.m. ‚ Go back to work (digging at mine) 1:00 p.m. ‚ Go back to work (digging at mine) 2:00 p.m. 2:00 p.m. 3:00 p.m. 3:00 p.m. 4:00 p.m. ‚ Return home, take animals for water, go for 4:00 p.m. malwa (local drink) and relaxation 5:00 p.m. ‚ Bring animals back home 5:00 p.m. ‚ Return home, bathe self and children 6:00 p.m. ‚ Take supper 6:00 p.m. ‚ Prepare supper, take supper 7:00 p.m. ‚ Visit sinalia (available single woman in the area) 7:00 p.m. ‚ Clean up after supper, braid hair 8:00 p.m. 8:00 p.m. ‚ Pray and go to bed 9:00 p.m. 10:00 p.m. ‚ Bathe Module 5 11:00 p.m. ‚ Sleep 5 hours ‚ Reproductive role: prayers, greetings, checking 8 hours ‚ Reproductive role: fetching wood and water, the home, washing the face, taking breakfast, cooking, breast feeding, preparing for and wel- grazing animals, preparing for lunch, washing coming visitors, mourning, giving birth, looking plates, getting rest after children 7 hours ‚ Productive role: going to work, digging using 7 hours ‚ Productive role: going to work at the mine, sell- ox plow, building for people (construction) ing eggs from chickens, braiding hair, brewing malwa (local alcohol) 1 hour ‚ Community role: visiting relatives, talking poli- 1 hour ‚ Community role: cleaning the church, cooking tics, helping or going for burials, cleaning roads for weddings, going for burials, cleaning roads and wells and wells Source: Authors. an issue, conduct the session described above the previous group of participants (representing with a separate group of young men and young a cross-section of ages) but focusing on the daily women. If this is not possible, you can do this with activity clocks of boys and girls. 60 Gender Dimensions of Artisanal and Small-Scale Mining: A Rapid Assessment Toolkit 3 Gender and ASM Tools Module 5: Participatory Focus Groups The main questions and topics to address in the discussion include the following: ƒ Definitions of child labor versus child work ƒ Differences and similarities between boys’ and girls’ clocks ƒ Hazardous invisible work in which both boys and girls are involved—is it different for boys and girls? What might this mean for their devel- opment? Understanding the links between child labor and gen- ƒ Resources available to male and female workers der inequalities in ASM helps inform context-appropri- to help them perform these roles ate pro-poor, rights-focused strategies. J. Hinton ƒ How child labor interferes with schooling and what this might mean for their development Step 4: With large flipcharts, on a chalkboard, or and rights—are children’s rights being violated? in notebooks, have each group together develop If so, how? their average seasonal calendar by month. Ask them to draw a large circle and break it into If conducted with the same group as in the previ- 12 sections, one for each month. For each time ous session, discuss how gender inequalities of period, participants should discuss and show the young and adult women are linked with child activities they undertake during different months labor. of the year. Tool 3: Seasonal calendars Figure 3.5.1 Sample seasonal calendar Step 1: Welcome participants. Module 5 ember January Dec Fuelwood c Step 2: Introduce the activity by presenting an be r olle Feb m c r empty seasonal calendar with each of the months Min tion ve ing ua No ry marked clearly from January to December (fig- (eg ding g selli en er ure 3.5.1). Agree on the months of rainy and dry Mar g Minin Octob ng t y Poultr ) seasons and mark these on your sample calendar. ch Tell the participants that you are now going to r ti n g H a r v e s ti tembe explore how activities might change throughout April Pla n ng the year and how people may perform a range of Sep ce We activities. ed an in g en & m aint t us M M in ay Au g in g Step 3: Divide the participants into small groups July June of five to nine people. Have participants work in separate groups of women and men. Source: Authors. Gender Dimensions of Artisanal and Small-Scale Mining: A Rapid Assessment Toolkit 61 3 Gender and ASM Tools Module 5: Participatory Focus Groups Step 5: Give each group about 20 minutes to Step 9: Ask if there are any questions about the complete the exercise, walking from group to exercise. Thank everyone for their participation group to clarify instructions or answer any ques- and close the session. tions as needed. Adapting seasonal calendars to assess child Step 6: After they are through, each group should labor and gender report the results to the whole group. Tape their In ASM areas where child labor is an issue, con- flipcharts on the wall to compare them during the duct the session described above with a separate discussion. group of young men and young women. If this is not possible, you can do this with the previous Step 7: Discuss each of the following together: group of participants (representing a cross-section of ages) but focusing on the seasonal calendars of ƒ What are the main similarities and differences boys and girls. between women’s and men’s calendars? How are women and men differently responding to The main questions and topics to address in the seasonal changes? discussion include the following: ƒ What are the impacts on women and men in ƒ How boys’ and girls’ involvement in ASM undertaking different activities? How does this changes throughout the year affect (positively or negatively) their different chances of dealing with and addressing pov- ƒ Differences and similarities between boys’ and erty? Discuss the concept of vulnerability and girls’ calendars, and what this might mean for who is most vulnerable at different times of the their development year and why. ƒ How child labor interferes with schooling, and ƒ What conclusions can be drawn about the inter- what this might mean for their development Module 5 connection between different livelihoods? Are and rights there environmental issues associated with dif- ferent livelihoods that can affect different activi- If conducted with the same group as in the previ- ties in positive or negative ways? What does this ous session, discuss how the gender inequalities mean in terms of environmental protection? of young and adult women in seasonal calendars are linked with child labor. ƒ What important conclusions can be drawn from this activity? Tool 4: Access, control, and ownership mapping ƒ What specific recommendations do you have for different actors? Write these on the flipcharts Step 1: Welcome participants back. Ask them to posted on a wall at the side. list some of the key conclusions or insights that they found most interesting or useful from the Step 8: Ask participants to summarize any key previous tools. conclusions and findings from the day, referring to the agenda. You may need to make additions to Step 2: Introduce the activity, starting with these ensure that key points are revisited. three concepts: 62 Gender Dimensions of Artisanal and Small-Scale Mining: A Rapid Assessment Toolkit 3 Gender and ASM Tools Module 5: Participatory Focus Groups ƒ Access—who usually uses or is free to work group to clarify instructions or answer any ques- with the resource tions as needed. ƒ Control—who usually makes decisions regard- Step 6: After they are through, each group should ing how and when the resource is used report the results to the whole group. Tape their ƒ Ownership—who the resource belongs to; flipcharts on the wall to compare them during the who you talk to if you want to buy the resource discussion. Write the concepts and their simple definitions Step 7: Discuss each of the following together: clearly on a flipchart and post them at the front of ƒ Who mainly uses different resources and ben- the room throughout the exercise. efits? Who has control and ownership of differ- ent assets? Step 3: Prompt a discussion on how resources are used to create benefits and how benefits may help ƒ What gender inequalities exist? What does this women and men deal with difficult circumstances mean in terms of their human rights? How or events (e.g., drought, illness, injury) or escape about mining rights, decisions about mining, poverty (e.g., accumulate savings and other assets and control over benefits of mining? such as livestock, invest in entrepreneurial ven- ƒ Do the inequalities identified affect develop- tures). Ask for and list examples on a flipchart. ment at the individual, household, and commu- nity levels? How? Step 4: Separate women and men into small ƒ What key conclusions can be drawn from the groups and ask each group to separately perform exercise? the following: ƒ What recommendations can they make based ƒ Make a table with four columns (see table 3.5.2 on their findings and conclusions? Write these Module 5 for an example). on the flipcharts posted on a wall at the side. ƒ In the first column, list all of the resources that they (as women or men) can draw on. Step 8: Ask if anyone has anything else to add. ƒ In the second, third, and fourth columns, deter- Thank everyone for their participation and close mine who has access to, control over, and/or the activity. ownership of each resource. Put an “M� to indi- Synthesizing participant conclusions and cate men and a “W� to indicate women. recommendations ƒ Each group should then list the different ben- This activity is conducted when all four tools have efits that come from each resource. been used together. ƒ Determine who has access, control, and owner- ship regarding each of these benefits (as above) Step 1: Welcome participants back. Step 5: Give each group about 20 minutes to Step 2: Review each of the tools (human rights; complete the exercise, walking from group to gender division of labor; seasonal calendars; Gender Dimensions of Artisanal and Small-Scale Mining: A Rapid Assessment Toolkit 63 3 Gender and ASM Tools Module 5: Participatory Focus Groups Table 3.5.2 Sample summary of access, control, and ownership regarding resources and their benefits Resource/benefit Access Control Ownership Resource Hoe Y (both M and W) N Y (both M and W) Panga N N N Axe Y (both M and W) N N Saucepan Y Y Y Plates Y Y Y (both M and W) Bicycle Y (both M and W) N N Animals N N N Iron box Y (both M and W) Y (both M and W) N Road Y (both M and W) N Y (both M and W) House Y (both M and W) Y (both M and W) Y (both M and W) Kitchen Y Y Y Food Y (both M and W) Y (both M and W) Y (both M and W) Chairs Y (both M and W) N N Clothes Y (both M and W) Y (both M and W) Y (both M and W) Church Y (both M and W) Y (both M and W) Y (both M and W) Benefit Land Y (both M and W) N N Education Y (both M and W) Y (both M and W) N Income Y (both M and W) N N Trees Y (both M and W) N N Food Y (both M and W) Y N Module 5 Bicycle Y (both M and W) N N Children Y (both M and W) Y (both M and W) N Bed Y (both M and W) Y (both M and W) N Granary Y (both M and W) Y (both M and W) N Source: Authors. access, control, and ownership), asking different Step 3: As each issue and development outcome participants to summarize the major findings and arises, ask what additional recommendations par- conclusions from each (filling in gaps as neces- ticipants can make and add them to the growing sary) with an emphasis on key gender issues that list on the wall of recommendations. Ensure that arose. For each issue, ask and discuss what the each specifies who should do what (e.g., local findings mean in terms of inequalities and rights health officer instead of local government; and and their possible impacts on development at ministry of mines instead of central government). the household and community levels. Ensure that the issue of child labor and child rights is dis- Step 4: Summarize the key points from all four cussed as well. tools. If there is time, ask each participant to share 64 Gender Dimensions of Artisanal and Small-Scale Mining: A Rapid Assessment Toolkit 3 Gender and ASM Tools Module 5: Participatory Focus Groups one thing he or she will do differently in the Box 3.5.1 Dealing with difficult future based on what has been learned. Ask for situations any additional comments, conclusions, or final remarks. Many challenges can be encountered when facilitating focus groups. The following strategies Step 5: Thank everyone for their effort and contri- will help you deal with some of these. bution. Close the event. ƒ Break-away conversations. Say: ‘‘I’m sorry, would you mind rejoining the group, as this is Practical considerations for all tools really interesting?’’ ƒ Focus groups are led by a facilitator who intro- ƒ Digressions. Say: ‘‘That’s interesting, what do the rest of you think about…’’ (back to the duces the topic, asks specific questions, and topic). tries to maintain focus on the discussion objec- tives. A good facilitator will encourage agree- ƒ Silences. Remain silent. Someone will speak as people begin to feel uncomfortable. If no ment on the rules of engagement during the one does, restate the question in a different focus group, promote trust, and ensure a posi- way. tive environment and effective participation. ƒ Dominance. Stop making eye contact with Cultural sensitivity, impartiality, confidentiality, the dominant participant. You can say, ‘‘Thank and a capacity to address power imbalances are you for your contribution. Can we get some critical facilitation principles. opinions from the rest of you?’’ or ‘‘What do the rest of you think of that?’’ ƒ A good facilitator will understand that some people may be uncomfortable speaking in this ƒ Intentional disruptions. Develop with the setting. He or she will try to encourage partici- group an agreement on how participants should behave (e.g., respect others’ opinions). pation of all group members (in some cases, the use of smaller break-out groups may help) ƒ Defensiveness. Make sure that everyone has and will try to ensure that discussion is not come of his or her own free will. Avoid upset- Module 5 ting questions or save them until the end dominated by a few vocal participants. Some when people are more relaxed. strategies for dealing with difficult situations are presented in box 3.5.1. Make a conscious effort to ensure that the views of both women and men are captured in focus ƒ Ensure that responses are captured on flip- groups. Using a range of techniques (large charts and that the responses of participants groups, small groups, partnered activities) can are explicitly and accurately transcribed by your help in adapting to different constraints faced by local research assistant. Discuss with him or her individuals. beforehand the importance of capturing not just key points, but quotations and statements verbatim. focus groups be run in mixed groups. Although ƒ Because women and men can often learn from the majority of participants should constitute and appreciate each other’s constraints and women and men miners (50:50), in order to opportunities through shared learning while strengthen linkages among stakeholders, it is using these methods, it is proposed that these useful to mobilize participants representing a Gender Dimensions of Artisanal and Small-Scale Mining: A Rapid Assessment Toolkit 65 3 Gender and ASM Tools Module 5: Participatory Focus Groups A male gypsum miner. J. Hinton Module 5 variety of stakeholder groups (miners, buyers, ƒ Ideally, no more than 20 participants should local formal and informal leaders, social welfare be engaged in the focus groups, although officers, police, health officers, active NGO/CBO the emphasis on small group work provides representatives). some flexibility in this respect. In certain cir- cumstances, women may be exceptionally ƒ You may need to run these sessions separately constrained from voicing their opinions, and with women and men, particularly if women completely separate group work may be war- have difficulty being vocal in a mixed forum. ranted. While the shared learning aspect is very useful and running activities in small groups reduces ƒ Focus groups can be conducted in local ven- the risk of singling out women for expressing ues (churches, town halls, schools) near to certain views, you may need to balance this mine sites or near women’s and men’s homes. with the need to draw out women’s and vulner- Although they can be run at the mine site, able persons’ voices in a safer forum. because you want to maintain attention on the 66 Gender Dimensions of Artisanal and Small-Scale Mining: A Rapid Assessment Toolkit 3 Gender and ASM Tools Module 5: Participatory Focus Groups task at hand, they are often more effective a Review the agenda and these issues on the first short distance away from the worksite. morning. You may need to spread out the dis- cussions over several mornings or afternoons. ƒ Focus groups should be as closely located to where people live and work as possible, as ƒ During mobilization of participants, notify many women and vulnerable persons will face women that they can bring infants and small difficulty traveling farther from home. children, if necessary, and include their needs (snacks, juice) in your budget. ƒ Given daily responsibilities, the time and impacts of sustained participation of men ƒ Schedule time for breaks and lunch. Participants and especially of women must be considered. should be comfortable and relaxed throughout. Module 5 Gender Dimensions of Artisanal and Small-Scale Mining: A Rapid Assessment Toolkit 67 3 Gender and ASM Tools Module 6: Surveys S urveys are lists or questionnaires comprised ƒ It is generally better to develop a questionnaire of mostly closed-ended questions (i.e., after qualitative research has been conducted, participant selects from a list of existing particularly in regions where little is known responses) that are asked to, typically, a randomly about the topic or population. selected sample of participants. Although the ƒ Surveys should be pretested prior to use to closed-ended questions, often quantitative in ensure they are clear and inoffensive. nature, are the foundation for the survey, there should also be room in the survey for partici- ƒ Surveys should be able to be completed within pants to express qualitative information as well. 30–60 minutes. And at the end of the survey, participants should ƒ The number of people to be surveyed (sample be asked, “Is there anything else you would like size; see appendix B) will depend on the popu- to add?� or “Can you think of anything else that lation in the profiling community, the allowable would be interesting for us to know?� error, and resources (time, money, staff ) avail- able to execute the survey. Survey types Miners survey More than one type of survey may be undertaken in the same study area. Useful surveys for the pur- The miners survey (appendix C) consists of mostly poses of profiling ASM may include the following: structured questions, but unstructured elements can be added to any of the questions as the need ƒ Household surveys. One or all members of a arises. The questions take the following formats: household are surveyed to obtain information ƒ Dichotomous (yes/no, agree/disagree, true/ about household demographics and econom- false) ics; these can also address other key issues. ƒ Level of measurement, including multi-option ƒ Village surveys. Usually a list of questions variable—that is, multiple choice (more than Module 6 meant to characterize the baseline profiling one answer from the selections offered)—and study site, village surveys are especially useful single-option variable/one answer—for exam- for baseline studies as they should cover a wide ple, expressing a range from 0–5 of agreement range of topics related to the five types of capital. or disagreement with a statement Participant selection may be on the basis of an affiliated group or category that is well equipped The questionnaire consists of 80 questions; it to provide information about a certain topic. should be possible to complete the survey within 60 minutes. In areas with low levels of literacy, it is Practical considerations important to use the local language, and to have Key issues to consider in conducting sample sur- local field assistants available for survey imple- veys include the following: mentation. Gender Dimensions of Artisanal and Small-Scale Mining: A Rapid Assessment Toolkit 69 3 Gender and ASM Tools Module 6: Surveys The areas covered are biased toward the mining ƒ Power and decision making—what decisions operation since the target respondents are miners. men and women participate in or control at The questionnaire has been structured to align the mining operation, household, community, with the Sustainable Livelihoods Approach as well and local and national government levels, and as gender analysis methodologies (Dowling 2008). what constraints they face in this decision The following areas are covered from the perspec- making tive of miners in ASM: ƒ Needs, priorities, and perspectives ƒ Biographical information ƒ Social and cultural context—the economic, legal, cultural, and social structures and pro- ƒ Roles and responsibilities—what women and cesses that affect the livelihood outcomes of men do, where, and when, in their productive, men and women reproductive, and community roles ƒ Assets and resources—what assets women and The specific questions and possible responses for men have access to to achieve their desired each question under these broad areas provide livelihood outcomes, and what constraints they guidance for the researcher and can be adapted face in accessing these assets to suit local conditions. Module 6 Men frequently work in teams in gold mining. J. Hinton 70 Gender Dimensions of Artisanal and Small-Scale Mining: A Rapid Assessment Toolkit 3 Gender and ASM Tools Module 7: Reporting Back and Validation D isseminating results and verifying con- in recommendations, and outreach will be clusions with participating stakeholders necessary to secure commitments. If mining, and the community at large is critical to exploration, or equipment companies have ensuring the accuracy of findings from the Rapid been involved in the work or are relevant in the Gender and ASM Assessment and ultimately ASM areas, include them in these meetings. A exiting the project. Reporting back sessions also joint meeting bringing multiple stakeholders present an opportunity to obtain additional together can help coalesce necessary collabo- recommendations and agree on a way forward, rations. ideally inclusive of time-bound specific respon- Some practitioners implementing rapid gender sibilities for various stakeholders. Measures for assessments may face constraints in terms of monitoring progress (and responsibilities for track- finances and time, particularly if central govern- ing change) should also be outlined. ment is located a significant distance from tar- get communities. In such cases, it is suggested Obtaining stakeholder input that validation at the community level take The Implementation Roadmap suggests that at precedence over face-to-face meetings with least three days should be allocated in budgets central agencies and institutions. Dissemination and timelines for reporting back, validation, and of draft reports, prefaced by letters outlining collection of feedback. This can be done with key roles and specific responsibilities, with multiple stakeholders in a joint forum; however, follow-up communication and receipt of feed- in some locations, it should be considered that back by e-mail or telephone is still necessary, many women and those most marginalized often particularly when recommendations hinge on face difficulties in openly voicing their opinions the action of specific central parties. in mixed or authority-laden contexts. Separate smaller focus groups may be warranted in these ƒ Reporting back mini-workshops. It is recom- cases. mended that at least two three- to four-hour workshops be held with key stakeholder rep- The following are suggested to obtain stakeholder resentatives engaged in the assessment. One feedback: should be held separately with women and ƒ Meetings with central government, the another with men and should represent key Module 7 groups in the community (e.g., miners, buyers, private sector, and nongovernmental community members). agencies and organizations. Although orga- nizations and individuals who directly contrib- ƒ Multistakeholder workshop. Bringing local uted to the Rapid Gender and ASM Assessment leaders and government technical officers should be the primary focus, additional agen- (inclusive of social welfare, environmental, cies and institutions will likely be identified health, and other officers) together with Gender Dimensions of Artisanal and Small-Scale Mining: A Rapid Assessment Toolkit 71 3 Gender and ASM Tools Module 7: Reporting Back and Validation community members can be a useful way to community participants should be self-identified achieve consensus on critical findings and during grassroots activities—ideally with an equal affirm commitments to recommended actions. proportion of women and men. Considerable effort will be needed in order to structure and Reporting back workshops should be structured design the event to maximize its outcomes. around a discussion and validation of findings; consolidation and agreement on conclusions; When reporting back to stakeholders, seek to identification of related recommendations; and impart the importance of gender mainstreaming actions to be taken, by whom, and by when. It will likely be necessary to revisit concepts of practi- in ASM to the mandates and objectives of cal versus strategic gender needs and to frame different key groups while building ownership the sessions accordingly. and encouraging commitments to action. Depending on the scope of the policy or project that is informed by the assessment, a larger multi- Once all feedback has been incorporated and stakeholder forum can make significant progress reports finalized, results should be disseminated to in terms of strengthening linkages among stake- participating stakeholders as well as to other key holders, building mutual understanding, and governmental and nongovernmental agencies securing commitments to action. If this is viable, and organizations. Module 7 Both women and men miners were active and vocal during this regional miners forum in Mongolia. J. Hinton 72 Gender Dimensions of Artisanal and Small-Scale Mining: A Rapid Assessment Toolkit 3 Gender and ASM Tools Module 8: Charting a Course of Action—The Way Forward K ey recommendations and priority action Men’s and women’s long-term outlook in ASM, items identified while using the Toolkit their investments in assets for the future, and should seek to address a central ques- the positive or negative nature of choices made tion: What can be done to reduce vulnerability by them can lead to an understanding of what and improve livelihood outcomes through combination of activities seem to be work- increased gender equity in ASM? ing best, from the perspective of the different stages of the ASM value chain. Minerals are the In the past, ASM communities were essentially main natural capital under consideration; there- viewed as homogeneous, and their means of fore, it makes sense to put them at the core of living was simply characterized as informal the recommendations. However, this does not laborers. The recommendations should take negate the fact that for livelihood outcomes to into account that, although most women are be achieved, other forms of natural capital will typically more vulnerable than men, vulnerable be required. For example, access to water and groups can easily constitute men; and systemic energy is vital. Recommendations should thus gender inequalities—as they result in reduced also be formulated about these as well as for the well-being at the household, community, and other livelihood assets (human, social, financial, national levels—are detrimental to men as well as women, youth, and children. The needs of and physical). The ASM value chain perspective women and men may be the same or different, allows a detailed analysis of what should be con- and recommendations therefore often cut across sidered. genders. The core idea is to expand the choice and value The approaches used in the Toolkit seek to cre- for men and women of ASM as a livelihood strat- ate an understanding of ASM and the ASM value egy so that it provides men and women with chain through a gender lens. At the center of the opportunities for self-determination and the flex- approach is the recognition that ASM communi- ibility to adapt over time. ties make a living from a basket of opportunities and that men and women may see, access, and Synthesizing recommendations use these opportunities differently resulting in The recommendations should be generated from differentiated benefits or risks. This recognition information gathered through implementation of hopefully leads to an understanding of the fac- each of the rapid assessment tools. The following tors that lie behind women’s and men’s choices sources of information and opinions are covered: of livelihood strategy, and to reinforce positive aspects (factors that promote choice and flex- ƒ Key informants—these could be drawn from Module 8 ibility) and mitigate constraints or negative influ- the miners, local community women, women ences. leaders, local politicians, key officials, etc. Gender Dimensions of Artisanal and Small-Scale Mining: A Rapid Assessment Toolkit 73 3 Gender and ASM Tools Module 8: Charting a Course of Action—The Way Forward ƒ Miners survey ƒ How access to, control over, and ownership of assets—the building blocks of livelihood activi- ƒ Household surveys ties—can be improved for women ƒ Focus group discussions ƒ How to make the structures and processes that ƒ Secondary sources of data transform these into livelihood outcomes more responsive to women’s needs The findings from data collection will have pro- vided some idea of what women and men need Women’s access to different levels and combina- to reach their full potential by addressing key tions of assets is probably the main influence on vulnerabilities, taking advantage of vital assets their choice of livelihood strategies. As a labor- and the structures and processes affecting them. intensive livelihood, ASM requires, for example, This should lead to the identification of priority development needs and interests of women and ƒ some levels of skill (human capital), men that result from their lives and how they ƒ some start-up (financial) capital or good physi- live them. Recommendations should respond cal infrastructure for the transport of goods to priority practical and strategic gender needs, (physical capital), both of which are important to identify. In par- ticular, it is critical to understand when practical ƒ natural capital in terms of the availability of changes in women’s and men’s lives will result minerals as the basis of production, and in a change in their status. It is also important to ƒ access to a given group through social connec- know how meeting strategic gender needs will tions (social capital). improve women’s and men’s lives at a practical level. Those who are more endowed with resources are more likely to be able to make positive livelihood The recommendations should aim to explore two choices. The idea is to expand the range of liveli- critical points: hood options of women in order to maximize Module 8 Supporting and training young women to engage in value addition—in this case, gemstone cutting and polishing— in Sri Lanka’s and Brazil’s gemstone sectors have created substantial benefits. J. Hinton 74 Gender Dimensions of Artisanal and Small-Scale Mining: A Rapid Assessment Toolkit 3 Gender and ASM Tools Module 8: Charting a Course of Action—The Way Forward their achievement of positive livelihood outcomes, traditional clans) structures to see how both rather than forcing women into any given strategy can incorporate mechanisms to redress gender because it is their only option. inequalities. Analyzing structures and processes to develop Processes determine the way in which structures recommendations and individuals operate and interact. The pro- Structures are private and public, formal and cesses that need to be built or transformed for informal organizations that set and implement improving women’s livelihoods in ASM include policy and legislation, deliver services, purchase policies, legislation, institutions, culture, and power products, trade, and perform many other func- relations. Processes are important because they tions that affect women’s and men’s livelihoods. provide incentives or disincentives to women to They exist at various levels within a country con- make livelihood choices. The recommendations text, from local to national. Understanding these should address the following: structures is important in outlining a course of action because they make processes function. The ƒ Provide support to a more gender-responsive recommendations should do the following: policy-making process in ASM. ƒ Build structures that represent and redress gen- ƒ Deepen and strengthen contact between poor der inequalities in ASM and support empow- women and policy makers. erment of women in particular. For example, ƒ Support participatory processes of policy for- membership organizations or formal agree- mulation for women in ASM. ments between large-scale mining companies and miners, both of which should consider the ƒ Increase the accountability and transparency of practical and strategic gender needs and gen- decision making. der-differentiated opportunities and constraints ƒ Assist with the planning, drafting, and imple- to participation. Another example may include mentation of legislation for women in ASM. microfinance programs targeting women min- ƒ Promote the adoption of redistributive policies ers to access financing for appropriate, interme- and the establishment of safety nets to benefit diate ASM technologies. women directly. ƒ Promote reform within existing policy-making ƒ Promote fair and competitive markets for labor and service-providing structures. as well as commodities. ƒ Indicate possible support for the establishment ƒ Provide support to help local organizations or expansion of women’s organizations. adopt activities to benefit women in ASM. ƒ Support joint forums for decision making and action by women and men and increase the Recommendations should be categorized in terms skills, knowledge, confidence, and acceptability of practical and strategic gender needs. of women’s voices being heard. Practical gender needs relate to daily existence Module 8 ƒ Assess the relationships between formal and the (usually) immediate needs of women and (e.g., government offices) and informal (e.g., men based on their common or different roles. Gender Dimensions of Artisanal and Small-Scale Mining: A Rapid Assessment Toolkit 75 3 Gender and ASM Tools Module 8: Charting a Course of Action—The Way Forward For example, providing small hammers to women It is useful to link recommendations with critical involved in rock crushing and large sledgeham- initiatives and activities in order to increase their mers to men involved in rock breaking may meet relevance to stakeholders. Examples include citing immediate needs for tools, but may not necessarily relationships to, and how the findings and recom- change social status or address gender inequalities. mendations serve, national poverty reduction strategy goals and objectives, issues identified in Strategic gender needs can be identified by World Development Report 2012: Gender Equality looking at women’s position in society relative to and Development, local development plans, min- that of men. Usually this means looking at needs ing policy objectives, and others. to address women’s subordination to men and changing the status quo. Examples of strategic Obtaining stakeholder commitment to gender needs that can address gender inequali- implementation ties might be increased access to information The recommended priority actions will be imple- and training for women, increased participation mented by appropriate stakeholders, depend- of women in decision-making bodies, and easily ing on the nature of the recommendation. accessible ASM licensing procedures. Stakeholders can be government departments and agencies (including, mining, health, edu- Some practical gender needs—such as (but cation, public works, gender, and law enforce- not necessarily) increased income—can lead to ment), the judiciary, NGOs, CBOs, donors, civil changes in gender relations between women and society, large mining or exploration companies, men in society. other private sector companies, service provid- ers, and research organizations, among others. Criteria for prioritizing recommendations and The final report—inclusive of its recommenda- action items tions—should be distributed to all relevant The following criteria can be applied when priori- stakeholders. tizing the actions: ƒ The likelihood of the action’s bringing immedi- Some areas to be considered when develop- ate relief to the needs of the men and women ing recommendations and actions items are in ASM presented in tables 3.8.1, 3.8.2, and 3.8.3. The items listed are not intended to be prescrip- ƒ The extent to which the action will affect both tive but to give some insight into the sorts of practical and strategic gender needs strategies, mechanisms, and measures that may ƒ The action’s being a possible key driver for be suitable in different contexts. Further, while change gender inequalities are typically more severe for women, in some cases, boys and men also face ƒ The level at which the recommended action harsh inequalities (as was seen in the Mererani, will be implemented (national, provincial, or Tanzania, case study; see section 4), and any local) recommendation framework should be adapted Module 8 ƒ Stakeholder responsible for implementation of accordingly. the recommended actions 76 Gender Dimensions of Artisanal and Small-Scale Mining: A Rapid Assessment Toolkit 3 Gender and ASM Tools Module 8: Charting a Course of Action—The Way Forward Table 3.8.1 Possible gendered actions to increase access to and benefits from livelihood assets Area Action By whom PGN SGN Natural capital Conduct gender analysis of current policies and legisla- tion, mainstream gender, and repeal laws excluding Government x women from applying for prospecting and mining rights Access to mineral depos- Advocate for inappropriate policies/laws to be repealed x its and land Raise awareness about benefits of women having equal CBOs, civil society x access to mineral deposits Empower women to advocate for change CBOs, civil society, LSM x companies Legislate for women’s equal access Governments x Raise awareness about benefits of allowing women Access to water, energy, CBOs, civil society x equal access etc. Empower women to advocate for change CBOs, civil society, LSM x companies Human capital Run skills and technology transfer programs and ensure Government, CSPs, NGOs, equitable participation by women through gender- donors, large mining and x Skills, knowledge, and sensitive programming exploration companies ability to prospect (ore Implement government extension services, including Government x extraction) providing geological information Share information with LSM companies; give women a LSM and exploration com- x voice to participate fully panies Skills, knowledge, and Run skills and technology transfer programs Government, CSPs, NGOs, x x ability to mine (ore donors, LSM companies extraction) Implement government extension services Government x Skills, knowledge, and Run skills and technology transfer programs Government, CSPs, NGOs, x x ability to carry out min- donors, LSM companies eral processing Implement government extension services Government x Run skills and technology transfer programs x x Implement gender-sensitive small and medium enter- Government, CSPs, NGOs, Skills, knowledge, and donors, LSM companies prise development programs for manufacture of fin- x x ability to produce ished/semifinished goods finished/semifinished products Partner with LSM for access to mineral inputs, e.g., gold LSM companies, govern- for jewelry; incentive programs for LSM companies to x x ment cooperate with ASM in a gender-sensitive manner Skills, knowledge, and Run skills and technology transfer programs Government, CSPs, NGOs, ability to market finished/ x x donors, LSM companies semifinished products Financial capital Set up gender-sensitive programs for government- Government, microfinance guaranteed loans with commercial financial institutions, x institutions, donors microlending facilities, grants, etc. Funds for prospecting Support women’s equal access to finance through train- and exploration Government, NGOs x x ing, etc. Put in place legislation that ensures equal access to Module 8 Government x finance for women (continued) Gender Dimensions of Artisanal and Small-Scale Mining: A Rapid Assessment Toolkit 77 3 Gender and ASM Tools Module 8: Charting a Course of Action—The Way Forward Table 3.8.1 Possible gendered actions to increase access to and benefits from livelihood assets (continued) Area Action By whom PGN SGN Set up gender-sensitive programs for government- Government, microfinance guaranteed loans with commercial financial institutions, institutions, donors, LSM x x Funds for capital and microlending facilities, grants, etc. companies operating costs of the Ensure that equipment hire purchase schemes are Government, CSPs, LSM x x mining venture implemented in a gender-equitable way companies Put in place legislation that ensures equal access to Government x finance for women Set up gender-sensitive programs for government- Funds for operating costs Government, microfinance guaranteed loans with commercial financial institutions, x x to market products institutions, donors including microlending facilities Social capital Training for women to self-organize NGOs, CBOs, LSM com- x panies Network to access sup- Awareness raising programs for different stakeholders Government, civil society, port x x about the need to have gender equity CBOs Support the formation of women’s miners’ associations Civil society, government x x Physical capital Infrastructure to facilitate Advocate for equal access to infrastructure for women prospecting and explora- Civil society, government x tion Advocate for equal access to infrastructure for women Civil society, government, Infrastructure to trans- x LSM companies port ore, access energy, etc. Provide ergonomically appropriate equipment for Government, donors, x women CSPs, LSM companies Central processing facilities where women are given Equipment designers, x Infrastructure for produc- equal access CSPs, LSM companies tion facilities, access to Advocate for equal access to all infrastructure Government, civil society x water, energy, etc. Provide ergonomically appropriate equipment for Government, equipment x women designers Promote manufacturing hubs where women are given Government, donors, CSPs x x Infrastructure for produc- equal opportunity tion, accessing inputs, Advocate for equal access to all infrastructure Government, CBOs x water, energy, etc. Provide incentives for service providers to promote gen- Government, CSPs x der equity in access to equipment Infrastructure for trans- Advocate for equal access to all infrastructure porting products to mar- ket and communication x (phone, fax, mail, Internet etc.) Government, CBOs Buildings for marketing Set up markets where ASM can sell its products x products Infrastructure mainte- Support community participation in infrastructure main- x x nance tenance Module 8 Source: Authors. Note: CSP = commercial service provider; PGN = practical gender need; SGN = strategic gender need. 78 Gender Dimensions of Artisanal and Small-Scale Mining: A Rapid Assessment Toolkit 3 Gender and ASM Tools Module 8: Charting a Course of Action—The Way Forward Table 3.8.2 Possible gendered actions to increase access to and benefits from structures and processes Area Action By whom PGN SGN Structures Increase the number of women in government struc- tures dealing with ASM so the women feel their per- x spective is considered in development of policies and Government ministries legislation Decentralize services so they are more accessible to ASM, particularly to women who may not want to be x away from home for extended periods of time Increase the number of women in government struc- Government agencies tures dealing with ASM so the women feel represented Government x and parastatals in these structures that are used to implement govern- ment policy and administer laws and regulations Transform law enforcement and the judiciary so that they become more accessible to and less intimidating x Law enforcement and for ASM, particularly for women judiciary (courts) Increase the number of women in these structures, and have women liaison officers to deal with women who x feel intimidated dealing with men Transform community organizations so women are rep- x NGOs, civil society, and resented and their needs considered in their agendas community organiza- Empower CBOs so they can facilitate gender-sensitive tions effective contact, participation, and service provision x x with other structures Support the formation of women’s associations in ASM NGOs, civil society, CBOs so they can correctly identify the needs of women in x x ASM and advocate for change to ensure equitable ben- Miners’ associations efit from mining Transform existing miners’ associations to include wom- x x en’s representation Transform research institutions dealing with ASM by increasing the number of women in the structures, mak- Government, research Research institutions x ing the research agendas and resource allocation take institutions into account the needs of women Transform the structures of service providers so service Service provider provision is gender sensitive and addresses women’s Service providers x needs Transform the structures of mining companies that deal with ASM communities so they are sensitive to women’s Mining companies and needs; this may entail employing women or men who Mining companies, private other private sector orga- x have received gender training in these positions or sector organizations nizations engaging in gender-responsive activities to formalize ASM in working in their areas Transform trade union structures so the needs of ASM Trade unions and women miners are considered and become their Trade unions x agenda Module 8 (continued) Gender Dimensions of Artisanal and Small-Scale Mining: A Rapid Assessment Toolkit 79 3 Gender and ASM Tools Module 8: Charting a Course of Action—The Way Forward Table 3.8.2 Possible gendered actions to increase access to and benefits from structures and processes (continued) Area Action By whom PGN SGN Transform the structures of chambers of mines and other industry associations that interface with ASM (e.g., Chambers of mines and Chambers of mines and forestry, fisheries, tourism) so they put ASM on their x other industry chambers other industry chambers agendas and the structuring is sensitive to the voices of women, particularly in consultation processes Transform traditional authorities so the voices of women Government, traditional Traditional authorities x are heard, particularly relating to ASM community issues authorities Transform traditional authorities so women are not Government, customary Customary courts x intimidated by structures and get equitable treatment courts, traditional authorities Transform the structures of financial institutions so Government, financial Financial institutions women feel comfortable requesting finance when they x institutions need it Formal processes Develop policies that take into account women’s needs Government x Policies Ensure the participation of both women and men in Government, NGOs, CBOs, x x reviewing and developing policies that affect ASM civil society Develop laws and regulations that enable women to Government x benefit equitably from ASM Advocate for participation of women in the process of Legislation Civil society, CBOs, NGOs x reviewing legislation Review policies and legislation Government, civil society, x NGOs Develop programs (e.g., small and medium enterprise development support, investment/finance, access to Government, NGOs, finan- geological information, market access, technology and cial institutions, service x x Programs skills transfer) that incorporate the needs of both women providers and men Ensure that women are represented in the adjudication Government, NGOs, finan- x teams that decide who participates on programs cial institutions Informal processes Develop gender-sensitive participatory processes for the Government, NGOs, finan- x development or adaptation of laws and programs cial institutions Cultures Support the transformation of power relations so there is Government, NGOs, civil x gender equity society, CBOs Support changes in norms that exclude women’s ability Government, NGOs, finan- x to achieve sustainable livelihoods cial institutions Advocate for participation in the review of traditional, Civil society, CBOs, NGOs x indigenous, and community rights Norms, rules of the game Review traditional, indigenous, and community rights Government, civil society, x NGOs Conduct awareness-raising programs of the legal/social Government, civil society, x rights linked to ASM and mining and minerals in general CBOs, NGOs Module 8 Source: Authors. Note: PGN = practical gender need; SGN = strategic gender need. 80 Gender Dimensions of Artisanal and Small-Scale Mining: A Rapid Assessment Toolkit 3 Gender and ASM Tools Module 8: Charting a Course of Action—The Way Forward Table 3.8.3 Possible gendered actions to mitigate risks, vulnerabilities, and impacts and increase benefits Area Action By whom PGN SGN Develop programs for training and skills development Lack of skills whose structures address the needs of both men and Government, NGOs x women Adapt or develop laws and/or regulations for ensuring the health and safety of miners, taking into consideration Government x the special needs of women, including working condi- tions, sanitation, etc. Health & safety Implement programs for ensuring the health and safety of miners, including working conditions and sanitation; Government, small mining these should include training that is gender sensitive companies/associations, x and facilitate provision of gender-appropriate health and LSM companies safety equipment, etc. Adapt or develop laws and/or regulations that are appro- priate for ASM and take into account the needs and Government, NGOs x strengths of women for compliance to environmental Biophysical environment protection Implement programs for awareness of environmental Government, NGOs, LSM protection (including training for miners) and take into x companies account the needs and strengths of women Adapt or develop laws and/or regulations and enforce- ment systems that safeguard against exploitation of Poor wages Government x x labor in ASM and ensure that women are compensated equally for their labor 1. Develop programs that ensure equitable access to Government, NGOs, inputs for ASM (e.g., finance, markets, equipment, and Limited access to inputs microfinance institutions, x other service); 2. Provide incentives for service providers LSM companies to ensure gender equity in service provision Develop and transfer appropriate technologies, taking Government, NGOs, Inappropriate technol- into account the gender needs of women, including research institutions, x ogy ergonomics service providers, LSM companies Develop appropriate laws and regulations to encourage x Illegal workings formalization of ASM as appropriate Government, NGOs Raise awareness about the need/processes of formalization x 1. Develop laws that guard against human rights abuses; 2. Develop structures for enforcing these laws, e.g., through the communities; 3. Provide incentives and x disincentives for using child labor and ensure women’s Child labor participation in the processes as primary caregivers Government, NGOs, CBOs Implement programs for mitigating the impacts of child labor abuses, e.g., rehabilitating children who have been x in exploitative situations, including girls 1. Develop laws that guard against human rights abuses; 2. Provide incentives and disincentives for using inden- Indentured labor Government, NGOs x tured labor, focusing on women as the most vulnerable Module 8 part of communities (continued) Gender Dimensions of Artisanal and Small-Scale Mining: A Rapid Assessment Toolkit 81 3 Gender and ASM Tools Module 8: Charting a Course of Action—The Way Forward Table 3.8.3 Possible gendered actions to mitigate risks, vulnerabilities, and impacts and increase benefits (continued) Area Action By whom PGN SGN Develop programs that encourage maintaining or Switching livelihoods vis- attaining food security in ASM communities, taking into x à-vis food security account the strengths of women as primary caregivers Government, NGOs, CBOs Develop policies and programs that discourage the development of unstable ASM communities (e.g., rush x x situations) and mitigate their impacts Unstable communities Implement programs to develop sustainable Government, NGOs/CBOs, communities small mining companies/ x associations, LSM companies Develop policies and laws that discourage sexual dis- crimination and harassment in ASM communities and Government x Sexual discrimination mitigate their impacts and harassment Implement programs to mitigate the impacts of sexual x discrimination and harassment Provide support for the development of alternative livelihoods to provide future sources of income beyond Government, NGOs, CBOs x Alternative livelihoods mining and remove miners’ unsustainable operations (poverty traps) Implement alternative livelihood programs x Develop appropriate legislation for buying and selling of Government x mineral commodities Illegal buying and selling Provide appropriate structures and incentives for miners Government, donors, x to use legal marketing channels NGOs, service providers Develop fiscal instruments for price stabilization for ASM, e.g., buying centers offering stabilized prices for such Government, NGOs, CBOs x Fluctuating commodity commodities as gold prices Develop alternative livelihood programs to cushion the Government, donors, x impact of external shocks NGOs, CBOs Set up buying centers x Source: Authors. Note: PGN = practical gender need; SGN = strategic gender need. Training needs assessment assessment, ideally a separate initiative to deter- mine these needs should be undertaken. The need for capacity building is a commonly identified recommendation from the Gender and ASM Assessment, particularly if follow-up A training needs assessment can help ensure that activities seek to formalize and professionalize any training is gender responsive and addresses Module 8 ASM (box 3.8.1). While your observations and practical and strategic gender needs. discussions undertaken during the Gender and ASM Assessment can inform your training needs 82 Gender Dimensions of Artisanal and Small-Scale Mining: A Rapid Assessment Toolkit 3 Gender and ASM Tools Module 8: Charting a Course of Action—The Way Forward Box 3.8.1 Gender and the professionalization of ASM Formalization and professionalization of ASM is commonly regarded as critical to realizing development potential and increasing its contribution to sustainable livelihoods development. However, in most cases, the participation of and benefits to women from ASM decline sharply as the degree of formality, organization, and mechanization increases. Many interventions and programs have sought to promote formalization, but few have effectively mainstreamed gender. Of note, the 2012 World Development Report (World Bank 2011) con- cludes that income growth and new technologies can actually have adverse effects on gender equality. No gender and ASM assessment should go without development of recommendations to formalize the activ- ity in a gender-responsive and equitable manner. Important questions to consider while conducting the final analysis and developing recommendations and action items include the following: ƒ What sort of activities or interventions are needed to organize, formalize, and professionalize ASM? In addi- tion to standard requirements for formalization, this often will be linked to formalization of relationships between ASM and LSM or exploration companies. ƒ How might these efforts affect gender imbalances positively and negatively? Consider the country context, laws and licensing procedures (distance, personal autonomy, language literacy, etc.), effects on work bur- dens, revenue sharing, control of benefits, professionalization of activities (including introduction of interme- diate technologies, written reporting and basic business systems, and formal labor/worker systems), access to formal financing (e.g., microfinance) and who controls it, and power imbalances in the household. ƒ How can these approaches take gender into account to redress inequalities given the reality of women’s and men’s lives in ASM communities? Consider the barriers and opportunities and both the practical and strate- gic gender needs of women and men identified during your assessment. Basic concepts in order to lay the groundwork for subsequent capacity development of women and men miners, The goal of teaching adults is to take advantage of community members, and formal and informal their current knowledge, skills, and attitudes, and local leaders. teach them something new. Consistent with adult learning principles (box 3.8.2), training must be Basic steps in a training needs assessment are immediately relevant to all trainees, build on their outlined below. An emphasis on responsiveness to current knowledge, and present something new strategic gender needs should underpin the analy- that they want to and should know. sis of rapid assessment findings so as to address the most critical training gaps. Adult learning is about positively changing behav- ior and practices in response to training needs. Incorporating a basic needs assessment in the The interactive, participatory methods outlined in gender dimensions of the ASM Toolkit the Toolkit can and should, in themselves, provide What do women and men already know or are valuable learning opportunities for stakeholders. A able to do? What skills and knowledge do they Module 8 basic training needs assessment has additionally want and need to improve? Are there core atti- been integrated within the rapid assessment tools tudes and beliefs challenging positive change? Gender Dimensions of Artisanal and Small-Scale Mining: A Rapid Assessment Toolkit 83 3 Gender and ASM Tools Module 8: Charting a Course of Action—The Way Forward Box 3.8.2 Overview of adult learning Adult learning is interactive, participatory, learner-centered, and based on the following principles: ƒ Adults generally assimilate only what they find useful. ƒ Adults want to be able to apply their new knowledge and skills. Key concepts in adult learning follow: ƒ Adults are motivated to learn and learn best when the topic is of immediate value. ƒ Adults need to know why they are learning something. How learning affects them directly should be dis- cussed early. ƒ Adult learners need to feel safe, relaxed, and physically comfortable. ƒ Adults learn best in an active, participatory environment. ƒ Adults have a lot of experience and appreciate being asked to share it. ƒ Adults are self-directed. They know what they want to learn. ƒ Adults learn in an environment of mutual respect between trainers and learners. ƒ Individual differences among adult learners require flexibility in terms of the style and pace of training. Capacity building is the process of enhancing knowledge, skills, and attitudes. Knowledge is the mastery of content. Skills are abilities to carry out tasks at a defined level of competence. Attitudes are values and beliefs that affect the probability of behavioral change. Understanding the gender dimension of training needs, inclusive of differential constraints and opportunities to participation and use of benefits, is crucial for ensuring that training supports transformative change in terms of gender relations. What do findings suggest in terms of practical and Statistical data can provide insight into gender strategic gender needs? Basic measures to answer gaps, while qualitative reports (baseline studies, these questions can be integrated into the Toolkit academic research) can aid in identifying strate- through the following actions: gic training needs. ƒ Talk to women and men stakeholders about ƒ Miners and household surveys can include the issues that are important to them and what specific questions related to people’s cur- training they feel they need. For training to be rent knowledge and skills and self-identified relevant, it is equally critical to identify the skills, needs. Analysis of survey results also provides knowledge, and attitudes people already pos- insight into gender gaps—for example, related sess. This research can be integrated into inter- to income, health, or access to information, views, focus groups, and site visits. among many others. Module 8 ƒ Review secondary data on the communi- ƒ Site visits and observations within communities ties and country in which you are working. of interest can be extremely useful in quickly 84 Gender Dimensions of Artisanal and Small-Scale Mining: A Rapid Assessment Toolkit 3 Gender and ASM Tools Module 8: Charting a Course of Action—The Way Forward identifying practical gender needs (e.g., related spheres of life. This training should be as specific to mining methods, safety issues, division of as possible—thus, rather than identifying a need labor, water access and management, and the to build skills in geology, skills in how to identify presence of microfinance institutions and com- typical ore-bearing minerals should be targeted; mercial banks). How do these and other issues or knowledge about mining laws may require differ by gender and given the gender division skills in how to follow procedures to get a mining of labor? license. Although in-depth training needs assessment Step 3: Understand women’s and men’s should be undertaken for larger training cam- current knowledge and skills. By character- paigns, a basic assessment can be undertaken by izing the gender division of labor, how women integrating the aforementioned measures and and men are accessing and using their assets analyzing Rapid Gender and ASM Assessment and resources as well as processes and proce- findings according to the following. dures being followed, substantial insight can be derived from the Rapid Gender and ASM Step 1: Identify practical and strategic gender Assessment. Framed on the needs identified in needs. This is the foundation for recommenda- Step 2, information on current knowledge and tions derived from the use of the Toolkit. Although skills should be listed by knowledge-skills-atti- practical gender needs can immediately respond tudes categories. to existing problems associated with gender roles and responsibilities, strategic gender needs are Step 4: Identify training needs. Compare what more effective in challenging inequities in power, people need to know (about, how to do, why autonomy, and control. An example of train- something is important) and what they already ing that responds to practical needs may relate know, and then determine gaps between them. to teaching women engaged in gold process- These gaps are your training needs: ing about using screens and sieves to achieve a consistent grain size to increase recoveries and What People Already Know incomes. Responsiveness to strategic needs may − What They Need to Know include developing numeracy and basic business skills to aid in access to financing. Training Need Step 2: Understand what women and men When you look at the gaps, rank them accord- want and need to know. With an emphasis on ing to whether the gaps are large (a large train- practical and strategic gender needs, informa- ing need) or small. A tool like the one shown in tion should be grouped according to knowl- table 3.8.4 is useful in this regard. edge, skills, and attitudes for different roles and by gender. Transformative change in terms of Step 5: Validate training needs. It is extremely gender relations may require training in issues useful during validation of rapid assessment find- within the reproductive or domestic sphere as ings to stakeholders to also verify critical training Module 8 much as within the commercial or community needs. Gender Dimensions of Artisanal and Small-Scale Mining: A Rapid Assessment Toolkit 85 3 Gender and ASM Tools Module 8: Charting a Course of Action—The Way Forward Table 3.8.4 Sample training needs assessment Role: _____________________ Undertaken by (circle one): Primarily Men Primarily Women Both Gap Very Very Knowledge, skill, Suitable training Training need large Large Medium Small small attitude methods Ultimately, the training topics selected and how for a formal multistakeholder event to support sessions are designed and implemented should such strategic planning once the report is con- depend on the training needs, their significance, cluded. and how large gaps are. Note that training tech- ƒ Disseminate the report widely to key actors and niques used depend on whether knowledge, skills, change agents (government ministries, central or attitude building is a primary objective. and local governments, CSOs and NGOs, large mining companies, microfinance institutions, Next steps donor projects supporting small and medium The Gender and ASM Assessment undoubtedly enterprise development or formalization of yielded a wide range of useful findings and con- ASM, etc.) with a cover letter highlighting the clusions as well as specific recommendations and importance of the findings and how their roles action items needed to facilitate transformative in implementation have been deemed critical changes on the ground. to supporting positive change . Make it clear how the study findings and recommendations Measures that can be undertaken during and (if implemented) would serve specific goals and at the conclusion of the assessment to support objectives of the organization. implementation of critical actions include the fol- ƒ Seek support in implementing a second lowing: phase of the assessment that would involve ƒ Bring different stakeholders together during the research process (e.g., consultative meetings, grassroots participatory focus groups) in order Recommendations and action items will to help establish linkages, support collaboration undoubtedly speak directly to the priorities and among different actors, and increase buy-in. Module 8 mandates of a range of key actors and change ƒ Formalize commitments during the final report- agents. ing back and validation phase and/or budget 86 Gender Dimensions of Artisanal and Small-Scale Mining: A Rapid Assessment Toolkit 3 Gender and ASM Tools Module 8: Charting a Course of Action—The Way Forward implementation of the critical actions identified, formulation of policies, programs, and projects. inclusive of building the necessary coordination However, in most countries, practice has not kept arrangements with key partners. pace with gains in equality of rights granted to women. Turning the much-needed findings and Successful formalization and professionalization of recommendations of the assessment into action ASM and realization of its full development poten- should therefore be included as a final component tial rely strongly on whether gender inequalities of the assessment work plan in order to make gen- are concurrently addressed via gender-responsive uine progress toward gender equality in ASM. Although some women engage in gemstone trading in Brazil, this role is still largely dominated by men. J. Hinton Module 8 Gender Dimensions of Artisanal and Small-Scale Mining: A Rapid Assessment Toolkit 87 The Toolkit in Practice 4 The Toolkit in Practice 4.1 Conducting the Pilot Studies Steps 1–3: Determining objectives, reviewing the framework, developing a study plan, and selecting study sites Step 4: Secondary data collection Step 5: Key informant interviews Step 6: ASM site visits Step 7: Participatory focus groups Step 8: In-depth interviews Step 9: Sample surveys 4.2 Key Findings of the Pilot Studies Natural and physical capital Human capital Financial capital Social capital 4.3 Recommendations of the Pilot Studies 4.4 Reporting Back to Stakeholders, Results Achieved, and Time Needed Step 11: Reporting back to stakeholders Step 12: Responding to capacity gaps Step 13: Using the assessments 4 4.5 Recommendations and Lessons Learned for Toolkit Implementation Toolkit design Toolkit implementation: preparation and interviews Toolkit implementation: prioritizing and focusing the pilot study recommendations Results on the ground Gender Dimensions of Artisanal and Small-Scale Mining A Rapid Assessment Toolkit 4 The Toolkit in Practice T his section provides a synthesis of the ƒ 4.2 presents the key findings of the pilot stud- work undertaken and the main findings ies, with a summary in table 4.2 and recommendations of applying the ƒ 4.3 presents a synthesis of the recommenda- Toolkit in four pilot studies of artisanal and small- tions presented in the pilot studies; this is sum- scale mining. The section also provides recom- marized in tables 4.3, 4.4, and 4.5 mendations for implementation of the Toolkit, including lessons learned from the pilot sites, ƒ 4.4 explores what is required for application of focusing on the Toolkit and considers optimal conditions for its application ƒ the design of the Toolkit, including how recom- mendations might be organized; and ƒ 4.5 presents recommendations for next steps with the Toolkit, including suggestions for ƒ implementation and use of the Toolkit. future implementation The Toolkit was applied in four different countries: Lao PDR, Mozambique, Tanzania, and Uganda. 4.1 Conducting the Pilot Studies In the first three, the Toolkit methodology was Work on the pilot studies is discussed in accor- applied in a dedicated study, in which interna- dance with Steps 1–9; see table 4.1 for a sum- tional and national consultants partnered over a mary. series of two field visits. The case study presented here for Uganda is based on work undertaken Steps 1–3: Determining objectives, reviewing as part of a World Bank–supported sustainable the framework, developing a study plan, and management of mineral resources project, written selecting study sites retroactively in keeping with the Gender and ASM The objectives of the case studies were twofold. Framework. First, the studies aimed to better understand the positive and negative gender dimensions of ASM This section compares the implementation of the in order to decrease negative impacts and amplify Toolkit methodology across the case study coun- positive impacts of ASM for women. Second, tries, discussing outcomes as well as differences the case studies aimed to test the Toolkit’s rapid in implementation and lessons learned in each assessment methodology. This methodology was country. It is organized as follows: initially elaborated by three international consul- tants, in collaboration with the World Bank task ƒ 4.1 outlines how Steps 1–9 of the Toolkit’s team. The case studies, through two site visits to Implementation Roadmap (table 2.2) were each country, provided the opportunity to finalize applied in the pilot study countries; this infor- and refine the methodology through field experi- mation is summarized in table 4.1 ence. Gender Dimensions of Artisanal and Small-Scale Mining: A Rapid Assessment Toolkit 91 4 The Toolkit in Practice Table 4.1 Gender and ASM Framework: Implementation Roadmap Steps 1–9 as applied to the case studies Step Key questions and actions Design and planning 1 Determine gender Across all four case studies, the objective of the study was to better understand the positive and assessment negative gender dimensions of ASM in order to decrease negative impacts and amplify positive objectives impacts of ASM for women. Each case study was also used to refine the assessment methodol- ogy. 2 Review the Gender In Lao PDR, Mozambique, and Tanzania, case study methodologies were determined symbioti- and ASM Framework cally with the definition of the assessment methodology. In Uganda, the case study was written retroactively largely in keeping with the Gender and ASM Framework. 3 Develop implemen- The implementation plans, schedules, and budgets of the Lao PDR, Mozambique, and Tanzania tation plan, schedule, studies were outlined generally in coordination among the international consultants, with spe- budget cific details determined in collaboration with the local consultants. The Uganda study was pre- pared based on work on ASM in a World Bank–supported sustainable management of mineral resources project and organized along the lines of the Toolkit approach. Data collection 4 Understand the Each of the studies gathered secondary data and addressed the national and local contexts. national and local contexts 5 Conduct key In all four studies, interviews were held with relevant national and provincial government officials, informant interviews village chiefs, and elders. In Mozambique and Tanzania, where men predominated, a larger num- ber of interviews were held with men. 6 Conduct ASM site Site visits were conducted in all four studies, and the visits were used to identify issues and to visits identify, inform, and mobilize community representatives and participants for subsequent focus groups. In Lao PDR, Mozambique, and Tanzania, at least two site visits were undertaken for each community. 7 Conduct Participatory focus groups were undertaken in all four countries, and the results of the focus participatory focus groups are embedded in the discussion of issues in the reports. Each study used daily activity groups clocks and seasonal calendars to identify different ways in which men and women spend their days—women involved in ASM typically have longer work days (estimated at three hours longer in Lao PDR, and up to seven hours longer in Tanzania) and handled a broader set of responsibili- ties than men. The Lao PDR report also indicated that men agree that women have longer work days, but that men still underestimated the amount of time spent by women. 8 Conduct in-depth There are no interviews reported in the Mozambique, Tanzania, and Uganda reports, although interviews the first two provide brief profiles of women miners. The Lao PDR report notes that during later visits, following the focus groups, follow-up interviews were undertaken with individuals at their homes, but gives no specific details of the interviews. Key information and in-depth interviews were conducted in each of the case studies. 9 Conduct sample Miners surveys were compiled for the Mozambique and Tanzania studies, but there was limited surveys time for implementation. Some additional key survey information was identified outside of the scope of the main study. In Tanzania, for instance, miners expressed a strong need for training in geology and mining/processing methods. The Mozambique survey provided a broad-based assessment regarding gender differences in roles, responsibilities, and decision-making powers. The Lao PDR and Mozambique reports include social network maps for women and for men; these indicate that women have much stronger social networks around household activities, while men have much stronger social networks around employment-related activities—which also enhances men’s control over ASM. Source: Authors. 92 Gender Dimensions of Artisanal and Small-Scale Mining: A Rapid Assessment Toolkit 4 The Toolkit in Practice In Lao PDR, two sites were selected: Ban Nahi In Tanzania, the site selected for the pilot study (population 324) and Ban Moua Khay (population was the town of Mererani and surrounding areas in 1,275). In both locations, most ASM is river-based northern Tanzania. This area is close to the Ugandan (panning and surface digging) tin mining. These border, and the ASM activities involve underground areas have a long history of informal, unlicensed, gemstone (tanzanite). The Mererani population community ASM; however, in 1994, a concession includes both traditional Maasai residents, largely area was granted to the Lao-Korea Tin Mining engaged in livestock and small-holder farming and Company, which included the area where ASM tanzanite trading, as well as migrants to the area takes place. The company permits ASM miners to who have arrived mostly over the past two decades undertake their activities but requires that they sell to pursue opportunities in mining. For both groups, their tin production to the company. opportunities for wealth in either small-holder farm- ing or small-scale mining are limited. Only a few In Mozambique, the study was conducted in the people have become wealthy from particularly rich Manica Province, near the Zimbabwean border. mining finds, or, among some Maasai, from upgrad- The area has a population of roughly 1.4 million, ing to commercial-scale agriculture. In terms of the and the study focuses on the following commu- gender division of labor among the miners (most of nities: the Nhamachato Village, where approxi- whom are not Maasai), men do most of the digging mately 75 percent of the community households and mining, while women work at washing and are involved in ASM (of which 30 percent are hand picking gemstones from mine tailings and in women) and about 70 percent of their income selling tanzanite. is thought to come from mining; the Manjacate- Fenda community, which has about 5,000 people Unlike the other three studies which were pre- involved in ASM activities (approximately 5 per- pared on the basis of site-specific work, the Uganda study is characterized as a countrywide cent of the diggings belong to women); the ASM analysis for a range of commodities, includ- Mazanda area, where there is an illegal mining ing tin, cassiterite, gold, construction minerals, site involving 100–300 men (no women miners); clay, and salt. It used data from work conducted at Tchinhagory (location of the Brundi and Vengo 17 sites across Uganda, with more in-depth work sites), where ASM is a secondary livelihood to at five sites in five regions. livestock; and two ASM sites about 350 kilometers from Manica town in Sussundenga District— Step 4: Secondary data collection namely Bandiri, where women operate their own ASM area, and Tsetsera, where ASM is a seasonal Each of the studies included secondary data col- activity. Mining activities at these areas primar- lection to provide background information and ily involve surface gold mining. The activities are context, particularly in terms of the importance of categorized in the study as formal, semi-industrial ASM and the legal rights of women, and regarding ASM; formal ASM (registered miners in desig- land and property ownership. nated areas); informal ASM (unregistered miners Importance of ASM with permission from the landowner); and illegal ASM (unregistered miners without landowner In Tanzania, ASM has become an important liveli- permission). hood. Recent estimates state that as many as Gender Dimensions of Artisanal and Small-Scale Mining: A Rapid Assessment Toolkit 93 4 The Toolkit in Practice 1 million Tanzanians may be involved in ASM— washing/panning. But no estimate is given of the approximately 25 percent of whom are women— overall size of ASM employment. In Uganda, ASM and that direct and secondary employment from provides employment for about 200,000 workers ASM may exceed 7 million Tanzanians, or 31.5 per- (almost half of whom are women) and indirectly cent of the country’s working-age population. In benefits about 10 percent of the population (or Mozambique, ASM is recognized as an emerging about 4 million people). and potentially important source of rural employ- ment and income, but the scale is uncertain, Women’s rights with estimates ranging from as high as 500,000 Each study provides information on legislation employed in ASM according to a 1999 report, to regarding women’s right to own land. In both 10,000–15,000 according to a 2003 report. The Mozambique and Tanzania, women have the legal difference in part may represent unrecorded, infor- right to own and inherit land, but in practice face mal ASM activities. In Lao PDR, women reportedly deeply rooted cultural barriers. This is one of the account for somewhere between 50 and 80 per- key factors that prevent women from being able cent of the overall workforce and about two-thirds to take on the roles of ASM mine owner and oper- of the ASM workforce. Women are engaged in ator. These informal taboos also result in women all aspects of ASM, including digging and ore being largely excluded from mining and digging; A woman gold miner. J. Hinton 94 Gender Dimensions of Artisanal and Small-Scale Mining: A Rapid Assessment Toolkit 4 The Toolkit in Practice in Mozambique, there are examples of women- Step 7: Participatory focus groups only mining sites and illegal sites where women Participatory focus groups were undertaken in all have their own mining areas. In both Lao PDR four countries, covering a range of different topics and Uganda, women are able to own land and in each session. face little cultural opposition. Nonetheless, these women faced other systemic barriers to participa- In Lao PDR, interviews and community consulta- tion in the sector: low literacy rates and general tions were used to discrimination in the employment market mean that women are often employed in low-paying [inform] participants about the purposes of the formal work. In the informal markets—including research, paying particular attention to gender ASM mining—women’s incomes are lower than roles in ASM and to ensure that the community in formal markets. These situations in the labor understands the aims, objectives and the nature market are reflected in women’s socioeconomic of the research. [Conduct] community dialogue positions, in that women are able to own land and and discussion on general ASM in the commu- assets but have little decision-making power or nity, to learn their current views and future per- control. spectives on ASM. [Make] specific enquiries on ASM livelihoods for the community, addressing Step 5: Key informant interviews two-way flow of information. [Initiate] discussions on the benefits from and difficulties of livelihoods Each of the studies included interviews with key in ASM, and the future perspectives in continuing local and national officials; in most cases, in keep- ASM (with greater focus on women and children ing with national trends, these officials were men, in ASM). [Understand] women’s practical and stra- reflecting a lack of women’s representation in tegic gender needs to improve livelihoods and national offices. At the local level, gender equity their perspective on ASM (Kuntala and Insouvanh was easier to obtain in key informant interviews. 2010, p. 17). Step 6: ASM site visits Each of the country case studies used daily activ- The country case studies in Lao PDR, Mozambique, ity clocks and seasonal calendars to gain a bet- and Tanzania included at least two site visits to ter understanding of women’s work within and conduct focus groups, interviews, on-site research, outside the home, including ASM. Across all stud- and implementation of the methodology. In these ies, these tools seemed to confirm that women countries, site visits were undertaken by a pair of involved in ASM typically have longer work days national and international consultants working and a broader set of responsibilities than men. together. The Lao PDR report identifies the differences in views between men and women: men agree that While the work in Lao PDR, Mozambique, and women have longer days, but estimate the differ- Tanzania followed similar methodologies to test ence as much less than the three hours estimated implementation of the Toolkit, the countries/com- by the women. Some men consider part of the dif- munities differed and so required specific adapta- ference to be due to women’s not using their time tions. efficiently. Gender Dimensions of Artisanal and Small-Scale Mining: A Rapid Assessment Toolkit 95 4 The Toolkit in Practice undertaken; a follow-up feedback workshop was also held. The survey covered biographical information and addressed gender differences in roles and responsibilities at the mine, in the com- munity, and at the national level; and included an assessment of access to assets and resources from a gender perspective. It further assessed levels of participation in decision making, the gender perspective of miners’ needs, priorities, and views on service delivery, and the social and cultural context particularly regarding the structures and processes that affect the miners, from a gender Miners in Ban Moua Khay, Lao PDR, participate in a focus group. C. Insouvanh perspective. 4.2 Key Findings of the Pilot Studies Resource mapping was employed to identify com- The findings of the four pilot studies are presented munity assets that could be the basis for livelihood below regarding the impacts of ASM on women strategies, looking at the different capital groups and gender inequalities in terms of the various (natural, human, financial, social, and physical). The types of capital. Natural and physical capital are Lao PDR report also includes an analysis of access presented together because of their many over- to, use of, and (as applicable) ownership of human, laps; human capital is separated into the labor financial, social, physical, and natural capital sepa- market and the home domain because of the rated by gender for three levels of income (well large number of impacts identified. Table 4.2 sum- off, medium off, and worse off ). In Mozambique, marizes the findings of the four pilot studies. researchers used social mapping to identify social networks for women and for men, and to analyze Natural and physical capital vulnerabilities associated with ASM. The results of the focus groups are embedded in the discussion Land and water are two of the most important of issues in each report. aspects of natural capital. While water pollution and land degradation are two of the most com- Step 8: In-depth interviews mon ways for ASM to affect natural capital, only in Lao PDR was significant degradation of land and Key information and in-depth interviews were water supply reported. Participants reported gen- conducted in each of the case studies. der dimensions to the impacts of this degradation given women’s primary responsibility for water Step 9: Sample surveys collection and rice farming.1 Although a miners survey was developed in con- nection with the Toolkit, it was not employed dur- 1 The Lao PDR report notes that gender inequality regarding ing this pilot phase because of time constraints. A natural capital in the country is further increased because of a lack of water supply and sanitation services. Women must focus group workshop was held in Mozambique, fetch water from natural water sources such as ponds, springs during which a modified miners survey was or the river). Even makeshift toilets are not available in all 96 Gender Dimensions of Artisanal and Small-Scale Mining: A Rapid Assessment Toolkit 4 The Toolkit in Practice In both Tanzania and Lao PDR, participants identi- Even women who have gained from prominence fied gender inequality in access to water in ASM and some economic success are strongly reliant areas. The Mererani area in Tanzania is arid, and on men to acquire assets (e.g., buy land, obtain a the collection of water for domestic use is heavily bank account) and manage their own businesses time intensive; this task falls primarily to women. (e.g., the need for a shemeji or “brother in law� to provide protection and play management roles) Women and girls reported spending up to six (Hinton and Wagner 2010, p. ii). hours transporting water. Because of their role as water carriers, women are more susceptible to In Tanzania, gender inequality regarding land and water-borne diseases than are men. property rights is worsened in that inheritance laws are silent as to whether women can inherit Land and property rights land; this means that widows are generally unable The roles of ASM license holder, mine operator, to maintain title to land previously owned by a and owner provide the highest ASM earnings, now-deceased husband. Instead, the dead man’s and incur the least health and safety risks.2 In all property generally goes to a male relative. In Lao four countries, these roles are disproportionately PDR, women have stronger property rights, but filled by men, with women facing significant cul- rural men and women can be disadvantaged by a tural exclusion. lack of land tenure. In all four countries, women are legally entitled ASM permits and registration to own land and property, but in Mozambique, The pilot studies indicate that ASM earnings tend Tanzania, and Uganda, they face substantial cul- to be higher where ASM activities are formalized. tural obstacles in doing so. Access to land and However, in Lao PDR and Uganda, where women mineral deposits in these three countries is largely make up half or more of the ASM workforce, for- controlled by men. The result is that women malized ASM is largely undertaken by men, while are effectively excluded from any ownership or women tend to work mostly in the informal, riskier control over ASM activities, and thus from these ASM, often in more remote areas where incomes higher income roles. In Tanzania and Uganda, are lower. women also face significant barriers to owning other assets as well. The Tanzania study report In Mozambique, Tanzania, and Uganda, even notes, though ASM workers can register themselves or obtain permits to become part of the formal ASM system, the procedures are such that in practice houses; most poor families use the bush for defecation add- ing to health risks. Water sources are now farther away, and women are generally unable to do so. A recur- women’s livelihoods—especially those of poorer women— ring gender equality issue in Mozambique is that are harmed by the loss of rice farming land and the declining land fertility owing to the decay in the river system and the women do not have the identification cards and inundation of silt which has reduced the soil’s fertility (Kuntala documentation required to obtain an ASM min- and Insouvanh 2010). ing permit. In Uganda, women’s ability to travel 2 The Tanzania report indicates that 40 percent of a gemstone is often restricted by their husbands and families, find goes to the sponsor, 30 percent to the claim owner, and 20 percent to the compressor owner; only 10 percent goes to with the result that few are able to travel to the the diggers. distant locations where government mining Gender Dimensions of Artisanal and Small-Scale Mining: A Rapid Assessment Toolkit 97 4 The Toolkit in Practice Table 4.2 Key findings and conclusions regarding gender inequality in the case study countries ASM-specific cause of gender inequality More general cause of gender inequality Natural and physical capital Women are largely excluded from the highest paying ASM roles of owner or Water shortages cause a major burden for operator because of the following: women and girls, who must go long dis- ‚ There are many cultural obstacles to women exerting ownership rights over tances to collect water; their water-carrying land and property in all four countries, even though legally they are entitled to activities make them more exposed than do so; they rely on men to acquire assets. men to water-borne diseases that can ‚ Men effectively control access to land and mineral deposits in Tanzania and cause serious health issues. Women also Mozambique and prevent women from access to ASM sites. suffer disproportionately from water short- ages because they hold primary responsi- ‚ In Tanzania, inheritance laws are silent on whether women can inherit land, bility for farming domestic crops. which means that widows are generally unable to maintain title to land owned by a now-deceased husband. ‚ In Mozambique and Uganda, women are prevented from becoming involved in formalized ASM (where earnings are generally higher) due to practical difficul- ties in obtaining ASM licenses or registration cards related to documentation requirements and location of government offices. Human capital: labor market ‚ Women are excluded by men from mining and digging at almost all ASM sites A lack of literacy, along with overall cul- in Tanzania and Mozambique. tural norms regarding the employment ‚ Women work in ASM because of poverty and a lack of alternative income of women, are key underlying causes of opportunities, even though ASM is arduous and often dangerous. poorer employment prospects for women than men. ‚ In Lao PDR and Uganda, women are able to take on the full range of ASM activi- ties, but earn less than men. Moreover, they face greater ASM safety and health risks and vulnerabilities because they tend to be limited to lower income, infor- mal ASM in more remote areas, while men have most involvement with high- income, more formalized ASM. Where ASM extension services are available, men seem more likely and able to access them than women. ‚ In Lao PDR, few women in ASM are able to obtain commercial employment in the tin mining companies. Those who do are generally limited to the lowest paying, unskilled jobs. ‚ Women involved in riverbed tin mining in Lao PDR and water-based salt mining in Uganda face very substantial health issues because of having to work waist deep in water. ‚ In Tanzania and Uganda, women have considerable involvement in sex work around ASM mining camps, with all the risks involved. ‚ Most gold processing is done at home by women using mercury, which has very significant health risks for women and children exposed to mercury vapors. ‚ Women ASM miners selling tanzanite and other gemstones in Tanzania and gold in Mozambique often feel cheated by illegal (and often male) buyers. ‚ In Lao PDR, women ASM tin miners must sell their tin to local mining companies (which own the land). Illiterate and poor, these women have little control over the tin price and the assessment of percentage of tin content. (continued) 98 Gender Dimensions of Artisanal and Small-Scale Mining: A Rapid Assessment Toolkit 4 The Toolkit in Practice Table 4.2 Key findings and conclusions regarding gender inequality in the case study countries (continued) ASM-specific cause of gender inequality More general cause of gender inequality Human capital: home domain ‚ Women ASM workers have a double work burden of productive work in ASM Women do not have control or decision- and reproductive role work at home, which means that women have a much making power over most family assets. Even longer work day than men; this can cause health and other vulnerabilities. where women have access to family assets, ‚ Growing or gathering foodstuffs creates a triple work burden for many women these tend to be more household assets in ASM. such as kitchen utensils whereas men have use of potentially productive assets such as ‚ The involvement of children in ASM, especially in Lao PDR and Uganda—usually motor bikes. due to the need for income for severely impoverished families, which are often headed by single women—creates an added burden for women ASM workers in their roles as mothers and homemakers. Financial capital ‚ A lack of access to finance and credit is one of the leading reasons why women Women have great difficulty in being able ASM miners are unable to obtain efficient technology and equipment and to obtain credit from local financial institu- improve their ASM efficiency and incomes. tions on their own in all four countries. ‚ In Lao PDR, a large number of women ASM miners are in debt just to obtain Customs may require male approval or enough food for their families but have no access to credit, which could enable countersigning. Illiteracy is one of the many them to stabilize their situation and improve their living conditions. constraints. Social capital ‚ The social networks in the productive areas—and, in particular, around mining While women may be included in land and claims—are much stronger for men than women, with the result that men have village committees, in practice their views control over ASM activities through leaders of miners’ associations, government are not considered, and they have little mining officials, and local traditional authorities, all of whom are men. involvement in community decision mak- ing or control over community resources. In all four countries, the double work burden is an obstacle to women’s representation among the more powerful members of the community. Source: Authors. offices are to obtain ASM registration papers even gender inequality is concerned. The authors if they want to. identify issues in two main areas: (1) women’s productive roles in the labor market, where there The Lao PDR report also notes the isolation of are many gender inequalities; and (2) the double ASM mining communities due to a lack of trans- burden for women who work in the ASM sector as port infrastructure and a lack of physical capital well as within the home.3 for both clean water supply and sanitation—all of which increase the gender inequality for women The labor market in ASM communities. Across the case studies, women do not face legal barriers to engagement in ASM, but differences Human capital 3 The home, or reproductive, role includes many domestic The studies indicate that human capital is the and household responsibilities, including bearing and nurtur- most important of the capital assets as far as ing children and taking care of family members. Gender Dimensions of Artisanal and Small-Scale Mining: A Rapid Assessment Toolkit 99 4 The Toolkit in Practice in cultural acceptance of women’s roles in ASM mine owners and operators in other areas in contribute to variations in women’s employment Mozambique with up to 5 percent of the dig- in the sector. In Tanzania, 10 percent of the ASM gings belonging to women. A positive note is workforce are women; in Mozambique, 15 per- that women are included in one or two mining cent; in Uganda, about 50 percent; and in Lao PDR, associations in Mozambique, and women ASM 60–80 percent. miners have had the most impact where they have formed their own group within the associa- In Mozambique and Tanzania, there is wide- tion. spread gender inequality in terms of engage- ment in the ASM labor market. At almost all ASM In Uganda, women are able to take on the full mining sites in these countries, only men are range of ASM activities, but tend to be involved in engaged as miners or diggers. In Tanzania, mining informal ASM in more remote areas with lower is largely underground, with harsh mining camp income potential. Although women account for living conditions that are particularly unfavor- about 50 percent of ASM workers, their participa- able for women. Reports cite that women’s lack tion in more organized, higher paying ASM work- of engagement is as much from discrimination as ings is only about 10 percent. There are some ASM from women choosing to avoid the harsh condi- extension services and training available in the tions. country, but these services are typically only avail- able to men. In Lao PDR, Mozambique, and Tanzania, men’s and women’s daily activity clocks and seasonal In Lao PDR, women engage in the full range of calendars demonstrate their differing perceptions ASM mining activities, but typically earn less of their work days and responsibilities, in terms of than men, and face greater safety and health risks formal and informal work inside and outside the and vulnerabilities. Men generally undertake most home. In Lao PDR, for instance, women see them- of the higher paid underground small-scale min- selves as having a longer work day than men, ing; women and children are typically engaged in although this perception is not always shared by more traditional, informal, and lower paying open the men. The Lao PDR report analyzes the types pit ASM work. Women also frequently lack access of work men and women are engaged in and to efficient technology and tools, which limits their notes gender inequality in that the women’s ASM efficiency and earning ability. work pays the least but has the greatest safety and health risks and vulnerabilities. Some of the ASM miners in Lao PDR have been able to obtain employment with nearby com- In Mozambique, ASM mining in the study area mercial tin mining companies. While women is mostly surface mining. While arduous, it does are present in large numbers in the informal tin not involve significant inherent safety risks. An mining sector, men predominate in these higher important gold find was made by a woman at paying formal sector jobs. The formal jobs with the Tsetsera in Mozambique; as a result, at this site tin companies often require rotating schedules, women have largely equal status with men. There or night shifts which are impractical for women are also reported to be a small number of women because of familial responsibilities and security 100 Gender Dimensions of Artisanal and Small-Scale Mining: A Rapid Assessment Toolkit 4 The Toolkit in Practice challenges. Where women are employed in these ponds…Children are also often found to scavenge formal jobs, they are typically offered the lowest the tailings of the tin processing factory� (Kuntala paid, lowest status, unskilled office-based jobs, and Insouvanh 2010, p. v). These additional risks such as sweepers, where they earn less than from and responsibilities for children in ASM communi- ASM. ties were reported to create an added burden for women in their roles as mothers and homemak- While women are often involved as sellers ers; this perception was reported across all four of gold and gemstones (such as in Lao PDR, studies. Particularly in woman-headed households, Mozambique, and Tanzania), women reported poverty can be a particularly strong driver for child often feeling disadvantaged in their dealing with labor, initiating a cycle of child labor and vulner- individual buyers—often men, often working ability. outside of the legal system—or through more systemic discrimination. In Mozambique, women ASM mining and processing involve health and suggested gender-neutral responses that might safety risks for both men and women, but women help reduce this gender bias, such as a govern- face several specific risks. Practices such as river- ment gold-buying service for ASM production, bed tin mining in Lao PDR and water-based salt and availability of gold processing facilities where mining in Uganda require miners to work waist- women and men would have equal access. deep in water. This poses substantial health risks for women. In Uganda, for instance, sitting in the In Lao PDR, ASM tin miners must sell the tin they salt water is not only physically harmful, but results produce to local mining companies (which own in social stigma because of myths that this type of the land). High rates of illiteracy and poverty mean salt mining leads to infertility, making the women that women have little control over assessments less desirable for marriage—and perhaps lead- ing to prostitution. In Mozambique and Tanzania, of tin content percentage and the prices at which women are significantly involved in mineral and the tin is purchased. gemstone processing, which can be associated In Mozambique, women are also involved in small goods trading, in particular the sale of food and beverages (including alcohol) at the mine sites. In contrast, the sale of clothes, equipment, and elec- tronics is generally performed by men. In Tanzania and Uganda, women are reported to have consid- erable involvement in sex work around ASM min- ing camps; there was less reporting of this in the Mozambique and Lao PDR case studies. Children are often involved in various aspects of ASM across all four case studies. In Lao PDR, “chil- dren are involved in very large numbers in the col- These child miners work on weekends and holidays to lection of tin ore, washing and processing in local save money for school fees. J. Hinton Gender Dimensions of Artisanal and Small-Scale Mining: A Rapid Assessment Toolkit 101 4 The Toolkit in Practice Women’s responsibility for gathering foodstuffs from the forest, as well as for growing crops for food, may be perceived as a triple burden, as in Lao PDR. The women in the surveyed communi- ties in Lao PDR are involved in ASM, forage for food, and—as wives, daughters, and mothers—are directly responsible for the provision of family sub- sistence, the performance of family chores, and for looking after children and the elderly. Financial capital The risks of chronic saltwater immersion are severe for In all four countries, women reported difficulty in this woman salt miner in Uganda. J. Hinton being able to obtain credit from local financial institutions on their own. In Lao PDR, this lack of with significant health risks. Because women often credit is cited as one of the key reasons women in perform their tasks inside the home, this can put ASM lack efficient technology and tools, and are them and their families at increased risk of expo- not able to purchase more efficient equipment, sure to mercury vapors. even when these items are available in the com- munity. Furthermore, “a large number of women The home domain in ASM are in debt to secure food for their families. Daily activity clocks across all the pilot studies Provision of credit could allow them to navigate indicate that the majority of women involved in through family crises more efficiently and improve ASM face a double burden of both productive their quality of life� (Kuntala and Insouvanh 2010, work in ASM and reproductive role work at home. p. viii). In Lao PDR, “As a result of their excessive burdens of livelihood responsibilities, women suffer from a Illiteracy and a lack of technical knowledge are number of vulnerabilities. A direct result of exces- two constraints to women’s access to financial sive work is tiredness; many women complained capital. In Mozambique, village savings groups of fatigue and other physical ailments� (Kuntala are mentioned as positive factors, but there is no and Insouvanh 2010, pp. iv–v). In Tanzania, “gender information on the role of women. inequalities in the burden of work are substantial. Women work at least 7 hours more per day than Social capital men and have little time for relaxation or social Voice and role networking needed to improve their health and socio�economic status� (Hinton and Wagner, Women in Mozambique, Tanzania, and Uganda are p. 61). And in Mozambique, a woman’s work day included in land and village committees, but study is typically three hours longer than a man’s, and participants complained that women’s views are women spend 67 percent of their time on their rarely considered and that women have very home activities, compared to men’s 17 percent of little substantive involvement in community deci- their time on reproductive activities. sion making. 102 Gender Dimensions of Artisanal and Small-Scale Mining: A Rapid Assessment Toolkit 4 The Toolkit in Practice Social mapping for men and women in and around ASM com- munities, and provide different options for how to In Mozambique, women’s networks tend to be structure recommendations. strongest in the family, health, and education domains; men’s networks are strongest in the The Lao PDR report recommendations are productive areas, which include male-dominated networks around mining claims and govern- organized by combining functions involved (e.g., ment officers who oversee ASM. “Men appear to environmental safeguards) and the implementing emphasize resources linked to productive roles party (e.g., tin company). The recommendations [e.g., mining] as opposed to women’s emphasis on cover policy and institutional strengthening, social resources linked to reproductive roles [i.e., home and economic development, social and environ- and food production]� (Mutemeri and Samba mental safeguards, gender action plan, and health 2010, p. 48). In Mozambique, the social network and safety awareness programs; as well as legal, map for women includes social and economic development, social and environmental safeguards, community economic government, health and education providers, development, community social/livelihood devel- and commercial service providers like creditors, opment, and community environmental health shop and transport owners, and “poupançao� sav- and safety recommendations for the tin company. ings clubs. These reflect the importance of the reproductive roles for women. On the other The Mozambique report provides recommen- hand the social network map of men reflects the dations organized by capital type (primarily for dominance [of ] their mining productive role; they shorter term actions) and strategic theme (for lon- include FFM [Fundo de Fomento Mineiro—Mineral ger term actions). These strategic recommenda- Development Fund], Directorate of Mines, and lead- tions address improving organizational structures ers of miners’ associations, cadastre and local tradi- and functions, improving formal and informal tional authorities (Mutemeri and Samba 2010, p. 47). processes, and reducing gender-related risks and Representation vulnerabilities. In Lao PDR, the double work burden is reported The Tanzania report directs recommendations to be an obstacle to the representation of women toward the Ministry of Energy and Mines, zonal in community decision-making structures. The mining officers, regional mining officers, central Mozambique report noted that women are disad- and local government, the Mererani Township, vantaged because they do not have effective rep- NGOs, and ASM miners. resentation; they have access to, but not control over, resources and have extensive reproductive The Uganda report recommendations are orga- roles along with productive roles. nized primarily by who will implement them. Recommendations target individuals, households, 4.3 Recommendations of the Pilot and community-level groups including ASM min- Studies ers, local government, central government, the The four reports provide a broad, comprehensive Department of Geological Survey, and the Ministry set of recommendations to improve conditions of Energy and Minerals Development. Gender Dimensions of Artisanal and Small-Scale Mining: A Rapid Assessment Toolkit 103 4 The Toolkit in Practice While the recommendations may be organized actions for women, for ASM, and for women ASM slightly differently across the reports, there are workers and miners. For several recommenda- many similarities in terms of their focus. The rec- tions, a progression can be identified across the ommendations concentrate on the following four three tables: for example, in the case of legisla- themes, which primarily target government: tion, from increasing the visibility of women in legislation in general (table 4.3), to reviewing and ƒ Actions to improve conditions for women in ensuring that ASM is adequately addressed in general in ASM communities—for instance, mining laws and regulations (table 4.4), to prepar- ensuring full property rights for both spouses ing gender-sensitive ASM-related laws and regu- and having the names of both spouses on lations (table 4.5). property deeds in order to prevent a woman’s being disinherited on the death of her husband The recommendations are presented by capital ƒ Actions to improve socioeconomic develop- type to enable cross-referencing to the gender ment for ASM workers and communities in equalities in table 4.2. Recommendations that general (both men and women)—such as relate to access to land for ASM mining (including reviewing and ensuring that ASM is adequately institutional arrangements for ASM permitting, addressed in mining laws and regulations so registration, and oversight) are included in the ASM activities can be formalized physical capital section, along with the interac- tion between ASM and LSM. The human capital ƒ Actions to improve conditions specifically section addresses both labor market and home for women working in and around ASM—for domain issues, and includes training and capacity instance, ensuring that ASM extension services building for women and women’s organizations are equally accessible to men and women in ASM communities. The financial capital sec- ƒ Actions regarding training and capacity tion refers to savings and finance; and the social building for women—to be undertaken by capital section refers to the role, voice, well-being government and vocational training institutes and organization of women in ASM communities including women ASM miners and workers. Three other types of recommendations appear somewhat less frequently across the reports: 4.4 Reporting Back to Stakeholders, Results Achieved, and Time Needed ƒ Actions by government and financial institu- tions to improve access to financial capital for One of the inherent challenges of developing and men and women in ASM implementing research methodologies is what feedback will be provided to stakeholders during ƒ Actions by government and LSM companies to and after report preparation and what follow-up improve the interaction of LSM and ASM will be made to implement the recommendations ƒ Actions by other parties including ASM miners of the report. Steps 11–13 of the Implementation and ASM communities Roadmap address synthesis of initial results and reporting back to stakeholders, identifying and Tables 4.3, 4.4, and 4.5 synthesize the recommen- responding to capacity gaps, and following up dations, presenting, respectively, recommended with participants and key decision makers to 104 Gender Dimensions of Artisanal and Small-Scale Mining: A Rapid Assessment Toolkit 4 The Toolkit in Practice Table 4.3 Examples of recommendations to improve conditions for women in ASM countries and communities Objective Actor Action Natural and physical capital Improve condi- National ‚ Increase visibility of women in legislation in general tions for women government ‚ Ensure full legal property rights and inclusion in property titles for both spouses in general Improve overall Mining ‚ Undertake a gender-based mining policy and legal analysis and involve women in prepar- mining sector ministry ing and reviewing the analysis conditions for ‚ Ensure that mining policy and legislation give due recognition to giving women equal women rights and opportunities as men in the mining sector ‚ Provide gender-sensitive training to government mining staff ‚ Review hiring and staffing practices for women mining officials and increase hiring of women Improve impacts Mining ‚ Require LSM companies to provide information to and consult with women of LSM on ministry ‚ Monitor the operations of LSM companies in ASM areas and ensure compliance with envi- women ronmental regulations, social requirements, and community agreements ‚ Require gender analysis in LSM environmental and social impact studies ‚ Require LSM companies’ benefit-sharing agreements to be gender sensitive ‚ Sensitize LSM companies with regard to gender laws and provisions ‚ Ensure that women are fully involved in any LSM company-community negotiations Human capital Improve condi- National Provide more services for women in ASM communities: tions for women government, ‚ Challenge and change cultural rules and taboos by providing gender-awareness training in general CSOs to men at the community, provincial, and national levels (including local and provincial government offices) ‚ Sensitize all relevant groups on gender-related human rights and advocate for equal rights for women ‚ Encourage CBOs/NGOs to be more gender sensitive General training Government, Provide women in ASM communities with training: and capacity local ‚ For functional adult literacy building for vocational ‚ Regarding maternal health and family planning women training ‚ For alternative livelihoods to ASM including training in ASM products, where suitable, for institutes jewelry manufacturing and training in other basic livelihoods such as food growing ‚ Local vocational training institutes should encourage women to enroll in training courses Financial capital Improve condi- Government, ‚ Support and facilitate women’s small savings groups and women’s savings schemes tions for women local financial ‚ Provide village-based banking and credit facilities, possibly with government guarantees in general organizations ‚ Support start-up funding for alternative livelihoods ‚ Provide financial literacy training Social capital Improve condi- Government ‚ Provide awareness programs regarding gender sensitivity and gender discrimination tions for women ‚ Facilitate a greater role for women and more decision making regarding community com- in general mittees and land-related committees ‚ Provide gender-sensitive capacity building and budget support for women’s organizations ‚ Work with communities to encourage children to be in school and not working in ASM ‚ Provide equal education opportunities for boys and girls ‚ Introduce gender sensitivity into school curricula ‚ Introduce gender-sensitive households award linked to women’s day ‚ Provide support for victims of sexual violence ‚ Make police in ASM communities more gender sensitive Source: Authors. Gender Dimensions of Artisanal and Small-Scale Mining: A Rapid Assessment Toolkit 105 4 The Toolkit in Practice Table 4.4 Examples of recommendations to improve conditions for ASM communities at large Objective Actor Action Natural and physical capital Improve condi- Department ‚ Provide maintenance to keep roads to main ASM sites passable all year tions for ASM of roads communities in ASM ‚ Participate in infrastructure maintenance general community Improve condi- Mining ‚ Review and ensure that ASM is adequately addressed in mining laws and regulations tions for all ASM ministry ‚ Set up an adequately staffed and funded ASM department or office and decentralize the workers administration of ASM with local offices in locations convenient to main ASM sites ASM ‚ Issue ASM registration cards and permits, including for use of explosives, and license ASM department buyers ‚ Monitor ASM buying and reduce illegal buying activities ‚ Where needed, provide guidelines and procedures for pricing and measuring ASM output sold to LSM companies Improve impacts ASM ‚ Ensure that ASM miners with long-standing customary activities are protected from being of LSM on ASM department forced away from their traditional sites by LSM ‚ Provide improved communications and dispute resolution process between ASM and LSM Human capital Improve condi- ASM ‚ Establish a communications system with ASM miners and workers tions for all ASM department ‚ Provide geological information to ASM miners to locate good ASM sites or deposits workers ‚ Fund additional geological work to assist ASM miners Training and Government, Provide ASM workers with ASM-related extension services, advice, and training on effects capacity build- local including occupational health and safety, efficiency, environmental protection, and market ing for all ASM vocational access and product valuation: workers training ‚ Local government to provide seminars on HIV/AIDS awareness, etc. institutes ‚ Local government to provide training on domestic and community conflict resolution ‚ Government to promote jewelry manufacturing hubs using ASM products Improve impacts Mining ‚ Review and where needed harmonize ASM, LSM, and land ownership laws of LSM on ASM ministry Financial capital Improve condi- Government ‚ Enable ASM miners to get mining titles to facilitate obtaining loans tions for all ASM Government, ‚ Provide ASM miners with information about credit opportunities and links to possible workers local financial investors organizations Social capital Improve condi- ASM miners ‚ Set up committees to work with others (government and NGOs) on social issues such as tions for ASM problems with youth communities in Local police ‚ Work with community to encourage community self-policing general organization Local health ‚ Establish health dispensaries in mining camps department Source: Authors. 106 Gender Dimensions of Artisanal and Small-Scale Mining: A Rapid Assessment Toolkit 4 The Toolkit in Practice Table 4.5 Examples of recommendations to improve conditions for women ASM miners and workers Objective Actor Action Natural and physical capital Improve condi- Mining ‚ Prepare a gender-sensitive ASM mining policy accompanied by gender-sensitive ASM- tions for women ministry related laws and regulations ASM miners and ASM ‚ Set up local ASM offices in locations convenient to main ASM sites so that they are readily workers department accessible to women ASM workers ‚ Review ASM licensing and/or registration procedures and revise as needed so they are less intimidating to women and easier for women ASM workers to obtain ASM permits or registration cards ‚ Ensure ASM staff have received training on gender laws and gender-sensitive training ‚ Prepare a baseline ASM gender study and database to be updated on a regular basis ‚ Prepare an ASM gender action plan ‚ Gender sensitize ASM work programs and ensure that they are adequately funded Research ‚ Undertake research on ASM gender issues institutions Human capital Improve condi- ASM ‚ Provide a government buying office for ASM where requested by women ASM miners tions for women department ‚ Develop a gemstone cutting and polishing center where requested by women ASM ASM miners and workers workers Local ASM ‚ Work to reduce cultural barriers at ASM mining sites so that women are allowed on sites department as ASM miners and workers mining offices General training Government, ‚ Provide vocational training to women ASM miners including ASM-related technical, and capacity local occupational health and safety, environmental protection, organization, management, building for vocational and marketing training so they can improve their productivity and earning; improve their women training safety and health; and be better equipped to become ASM operators and owners institutes Local ASM ‚ Provide women ASM miners with market access training and encourage and facilitate department women ASM miners to form selling cooperatives for their ASM production of mining Financial capital Improve condi- Government ‚ Enable women ASM miners to get mining titles to facilitate their obtaining loans tions for women Government, ‚ Provide women ASM miners with information about credit opportunities ASM miners and local financial workers ‚ Help women ASM miners find financial partners organizations ‚ Ensure that equipment leasing schemes are equally accessible by women and men Social capital Improve condi- National, ‚ Encourage and provide support to women ASM workers to form women’s ASM mining tions for women provincial, associations and assist with training and capacity building ASM miners and and local ‚ Encourage existing mining associations to fully include women workers government; CSOs Source: Authors. Gender Dimensions of Artisanal and Small-Scale Mining: A Rapid Assessment Toolkit 107 4 The Toolkit in Practice support gender-responsive action. These steps are will be integration of the findings of the assess- summarized below. ment into policy, programs, and monitoring and evaluation. Step 11: Reporting back to stakeholders Fieldwork for the Lao PDR, Mozambique, and 4.5 Recommendations and Lessons Tanzania studies was undertaken throughout Learned for Toolkit Implementation 2010. In each country, multiple field visits pro- Following are several recommendations for practi- vided an opportunity to report back to the tioners in implementing the Toolkit. communities involved on initial findings. In Mozambique, preliminary results were presented Toolkit design to participants at feedback workshops in Manica Actions to be considered ex ante and Maputo prior to finalization of the report. Tables 4.3, 4.4, and 4.5 present numerous pos- The Lao PDR report was updated and issued in sible gendered actions to improve women’s November 2010, and the results were dissemi- access to and control over livelihood assets; to nated in two workshops: a community workshop improve structures and processes; and to miti- at the ASM sites; and a workshop in the capital gate risks, vulnerabilities and impacts. Not all of city of Vientiane with government officials, stake- these actions are required, and a more selective holders, and key local and international exports approach can be used to let participants identify and donors. In Tanzania, results were key inputs priority action areas. To the extent that they seem to, and were disseminated at, an international important to study participants, some general workshop on women in mining, held in Dar es issues may include control and ownership of Salaam in June 2010. The draft Uganda report resources and their benefits; mining rights and was issued in February 2011. The original work on land rights; livelihood assets; structures and pro- which the report is based included considerable cesses; and risks, vulnerabilities, and impacts. In feedback to stakeholders. selecting focus areas, the priorities of respon- dents—particularly women respondents— Step 12: Responding to capacity gaps should be a key criteria. The reports all include recommendations regard- ing training and undertaking training needs Miners survey assessment, although no training workshops were The miners survey may be selectively shortened funded under the study. as necessary, and should be translated into local languages. However, the household and miners Step 13: Using the assessments surveys require both time and financial resources The elaboration and application of the Toolkit and are best used when an in-depth, rather than and the framework in these four countries not rapid assessment, is being undertaken, and only only helped generate information on the gen- when the necessary time and financial resources der dimensions of ASM in each country, but also are available. Where necessary, questions may helped advance the Toolkit as a whole. In future be reduced to focus on key impacts of ASM for applications of the Toolkit, the objective of Step 13 women miners and women in ASM communities. 108 Gender Dimensions of Artisanal and Small-Scale Mining: A Rapid Assessment Toolkit 4 The Toolkit in Practice Additional questions suggested from the country ƒ Using separate focus groups with women case studies may include the following: and men will most likely yield greater insight, although some shared discovery is also useful. ƒ Whether women want to do strenuous mining work ƒ Allocating a proportion of spaces in focus groups and interviews for on�site mobilization ƒ Cultural taboos on women’s doing mining work will help ensure that the diversity of the com- ƒ More detailed production estimates munity is captured. ƒ The legal status of miners and their operations ƒ For a multisite assessment, tools should be reviewed in detail and considered when select- ƒ What taxes artisanal miners pay ing field sites, planning, and budgeting. More ƒ The impact of women’s income on the house- detailed assessment may be warranted for spe- hold cific sites. ƒ The health impacts of ASM on women Improving the use of the questionnaire by sequencing Toolkit implementation: preparation and interviews The Mozambique report offers the following Preparation/time for fieldwork description of how the survey was conducted: The pilot studies note that sufficient time for pre- The survey was conducted in two parts. The first paring and carrying out the fieldwork should be part was done during the first country visit and allowed. used the first draft of the questionnaire. The ques- tionnaire was administered by the international ƒ Preparatory activities should be undertaken to consultant, with the support of the local consul- identify the communities to be approached, tant who was being trained. In some instances with the support and involvement of national it was necessary to use translators when admin- and local government officials but also with istering the questionnaire. Feedback from the strong and well-respected local counterparts. first country visit allowed for the refining of the questionnaire before it was administered in the ƒ Working with a local counterpart with good second field trip. The national consultant admin- knowledge of the sector and the issues under istered the questionnaire during the second trip, consideration is essential for the success of the with the assistance of a field assistant (Mutemeri study. and Samba 2010, pp. 15–16). ƒ Participants in the interviews and surveys must be notified well in advance, and the notification Questions of selecting interviewees are relevant must outline the essence of the interviews/sur- in any implementation of the Toolkit; these are veys so respondents are better prepared. also addressed in the Mozambique report: ƒ Working with local counterparts (e.g., develop- During the first country visit most of the inter- ment officers) to administer surveys can be views were determined by the facilitators within useful, although they should not be exclusively government. However, during the second relied upon. country visit the consultants were better able Gender Dimensions of Artisanal and Small-Scale Mining: A Rapid Assessment Toolkit 109 4 The Toolkit in Practice Tin miners rest during a break at a somewhat mechanized panning site in Pathen Valley, Lao PDR. K. Lahiri-Dutt to independently identify stakeholders, beyond These issues are of course highly relevant to situ- those initially identified by the government ations like those of Mozambique and Tanzania, facilitators. In terms of lessons learned, this high- where women are severely restricted in their ASM lighted the need for a scoping visit before the roles and activities. They may be less crucial in situ- information gathering exercise commenced ations similar to those in Lao PDR, where women (Mutemeri and Samba 2010, p. 12). constitute the majority of ASM workers and miners. The report notes that even during this second The Mozambique report also makes the very attempt, administration of the questionnaire had important point that, given their importance to to be adapted to deal with constraints faced in the women, child and youth workers (both male field, including and female) should be included along with local ‚ Finding enough women respondents who are women. directly involved [in ASM mining] Toolkit implementation: prioritizing and ‚ Getting the trust of women respondents focusing the pilot study recommendations ‚ The long time it took to administer the ques- The Toolkit can be used to gather a comprehen- tionnaire sive data set on gender and ASM, and to gener- ‚ Language barrier between consultant admin- ate broad recommendations. In implementing istering the survey and the respondents the Toolkit in a context of trying to drive change (Mutemeri and Samba 2010, p. 16). in policy and programming, it may be useful to 110 Gender Dimensions of Artisanal and Small-Scale Mining: A Rapid Assessment Toolkit 4 The Toolkit in Practice focus on a few key recommendations, particularly Results on the ground those that may build support and catalyze positive Dissemination of findings change for improving the gender dimensions of ASM. Depending on the base of support and the The preliminary findings should be translated into target of the recommendations, a broader or nar- the local language (if necessary) before dissemina- rower set of recommendations may be proposed. tion, and disseminated broadly. Sufficient time and Without a firm and agreed-upon program of resources should be allocated for reporting back technical support from one or more international and discussing findings widely within the commu- financing institution donors, it may be difficult for nity. Implementers should be sensitive to the pos- the government, where it is the target, to respond sibility that communities or community members to or adopt all recommendations, if too many, or may suffer from “research fatigue.� Questions may too overly ambitious, suggestions are proposed. also be considered irrelevant. While the Toolkit may be implemented with the goal of catalyzing Two criteria are recommended for prioritizing action, every effort should be made to ensure that recommendations. The first is that focus groups there will be demonstrable impacts following par- be used to determine priority actions from the ticipation in the exercise for those communities perspective of women ASM miners and workers. that participate. The second is to then prioritize recommendations Improving engagement with community men according to affordability and ease of implementa- tion—that is, to identify the “low-hanging fruit.� To One of the most important aspects of achiev- ensure implementation, it is important that rec- ing results on the ground is the extent to which ommendations be realistic and clear with regard men at all levels and in all roles—from ASM min- to who should do what. ers to tribal chiefs to senior mining ministry offi- cials—support or oppose the recommendations In addition to making targeted recommendations, of the pilot studies. Careful attention should be implementers should endeavor to ensure that paid to how the men in the community and policy makers, donors, companies, and CSOs are mining ministry officials react to initiatives focus- engaged as early as possible, so they fully appreci- ing primarily on women, and to actions that may ate the value and relevance of suggestions, and reduce the control and power men have over in gaining their commitment to recommenda- women in the community and the country. In tions and outcomes. In some communities where this regard, it may be very important to separate improved attention to women’s needs and rights and prioritize actions in terms of those that may may threaten male dominance or control, it may be easily achievable in the short term versus be particularly important to have male leaders or those that may require many years of persistent officials involved early. effort. Gender Dimensions of Artisanal and Small-Scale Mining: A Rapid Assessment Toolkit 111 Resources 5 Resources Appendix A: Relevant Partner and Stakeholder Initiatives Appendix B: Tips for Sample Surveys Appendix C: Miners Survey References 5 Gender Dimensions of Artisanal and Small-Scale Mining A Rapid Assessment Toolkit 5 Resources Appendix A Relevant Partner and Stakeholder Initiatives T o capitalize on the potential benefits of ƒ Diamond Development Initiative (DDI). ASM and to mitigate potential risks, a grow- http://www.ddiglobal.org/ ing body of stakeholders has been working ƒ Compendium of Best Practices in Small- to better understand and support ASM’s sustain- Scale Mining in Africa (United Nations able and equitable development. These initiatives Economic Commission for Africa). http:// include the following: www.uneca.org/sdd/Compendium%20on_ ƒ Mining, Minerals and Sustainable best_practices_in_%20smallsacle%20.pdf Development (MMSD). http://www.iied.org/ ƒ Kimberley Process Certification Scheme. sustainable-markets/key-issues/business-and- http://www.kimberleyprocess.com/ sustainable-development/mining-minerals- ƒ International Conference on the Great Lakes and-sustainable-development Region (ICGLR). http://www.icglr.org/ ƒ Global Mercury Project. http://www. ƒ WWF and Estelle Levin Ltd initiatives on globalmercuryproject.org/ ASM in Protected and Critical Ecosystems ƒ Communities and Small-Scale Mining (ASM-PACE). http://asm-pace.org/; contact: (CASM). www.artisanalmining.org khund@panda.org or estelle@estellelevin.com Gender Dimensions of Artisanal and Small-Scale Mining: A Rapid Assessment Toolkit 115 5 Resources Appendix B Tips for Sample Surveys Sampling Stratified random sampling is very useful, but lists of community residents may not be available, par- Sampling involves the identification of a portion of ticularly on the basis of occupation. a study population ƒ about which information can be inferred for the A sampling frame is a specific list of units in a whole population, or community of interest from which specific sam- ƒ that provides insight into a certain segment of pling units can be selected (e.g., farms, house- the population (e.g., women miners) or issue. holds, mine sites). Sampling frames are most commonly based on areas (maps) or lists (such as There are a number of ways to sample a popula- lists of employees, households, or residents). List tion, but random sampling can yield the most reli- frames may be more difficult to use if up-to-date able results for sample-based surveys. census information is not available for your area of interest. Random Sampling Area frames involve identification of area boundar- When any individual, group, household, or other ies and their relative sizes, with units divided into unit (sampling unit) has an equal chance of well-defined area segments. Usually, the probabil- being selected for participation, sampling is said ity of selecting any segment is proportional to its to be random. A representative sample of a popu- area. If a map of a target community is available, it lation is surveyed from which estimates of the can be broken into a grid, where a certain number status of an entire group can be made. of households are surveyed in every grid block. This approach may be effective in capturing the There are many types of random sampling. When diversity of different neighborhoods in a village; a sample population consists of all households in however, it may not necessarily enable compari- a village or town, a simple random sample can sons across livelihoods. be selected by surveying the nth household on every street. When certain groups of interest exist (e.g., age groups, income groups, occupational Sample Size groups), a random sample can be stratified—that Generally, the more people you sample, the more is, subdivided. A stratified random sample of an accurate your results. However, massive data col- ASM community may involve a division based on lection isn’t always practical or necessary in order occupation (e.g., mining, farming, fishing). From to capture the information desired. The resources each of these groups, a random sample can be (time, money, staff ) available to the effort strongly selected. The sample may be further stratified, for influence how many people to include in the sam- instance, on the basis of gender (male and female ple. The degree of precision or accuracy needed is miners, male and female farmers, etc.). also a factor. Gender Dimensions of Artisanal and Small-Scale Mining: A Rapid Assessment Toolkit 117 5 Resources Appendix B Tips for Sample Surveys In qualitative research (e.g., interviews and focus a smaller sample size than that required for other groups), data are usually collected until saturation surveys. is reached—that is, when you ask the same ques- tion in interview after interview, no new informa- Box B.1 Accuracy of surveys and sample tion is provided, making it redundant to continue size the exercise. Most people use a 95 percent confidence level In quantitative research (e.g., sample surveys), with a margin of error of 5 percentage points, which means that they are 95 percent confident to achieve a statistically significant sample—one that the actual (or population) value equals the that is sufficient to generalize results across a sample value plus or minus 5 percentage points. population—the sample size depends on the Level of accuracy is directly proportional to sam- accuracy desired and the size of the population. ple size. Based on this degree of accuracy, the Generally, most surveys are conducted so that you following sample sizes are suggested. are 95 percent certain that the results are off by no Sample Sample more than 5 percentage points. Based on this level Population size Population size of accuracy, the suggested necessary sample size 10 10 300 169 for a given population is shown in box B.1. 15 14 400 196 20 19 500 217 Frequently, the resources may not exist to attain 25 24 600 234 this level of confidence in the results. Depending 30 28 700 248 on your objectives, a lower level of confidence (i.e., 40 36 800 260 fewer surveys given) may be sufficient. 50 44 900 269 60 52 1,000 278 Sample surveys undertaken in a rapid assess- 70 59 2,000 322 ment will not seek to replicate the representa- 80 66 3,000 341 tiveness of comprehensive household surveys 90 73 4,000 351 (5,000–10,000 households) but will try to provide 100 80 5,000 357 insight into the key factors influencing livelihood 150 108 50,000 381 choices—in particular, the influence of ASM—and 200 132 1,000,000 384 a baseline characterization of assets and vulner- 250 152 abilities of women and men in the ASM commu- Source: Authors. nities. This understanding may be obtained with 118 Gender Dimensions of Artisanal and Small-Scale Mining: A Rapid Assessment Toolkit 5 Resources Appendix C Miners Survey BIOGRAPHICAL INFORMATION 1 Sex Male Female 2 Age (years) 3 Marital status Single Married Divorced Widowed 4 Ethnic group 5 Indigene or not Yes No 6 Level of education (number of years of schooling) None Primary Secondary Tertiary (college) 7 Occupation 8 How much do you earn? Per day Per month Per year 9 Are you the head of the household? Yes No 10 Are you the breadwinner? Yes No ROLES AND RESPONSIBILITIES (multiple choice) 11 Role in the mining operation Owner Worker Buyer Other (specify) 12 Do you have a valid mining license? Yes No, expired No, never had Other (specify) 13 Nature of work Miner (digger) Processor Carrier of ore Carrier of water, firewood  14 Mining method Open pit Underground Use of explosives 15 What commodity is being mined? 16 Type of deposit Hard rock Alluvial Eluvial 17 Equipment used for mining Hand tools (e.g., shovel, pick) Mechanized (e.g., excavator) Pumps 18 Processing method Crushing Washing Panning Chemical (specify) 19 Equipment used for processing Hand tools (e.g., panning dish) Own-crafted tools (e.g., shaker box) Bought mechanized tools (e.g., shaking table) 20 When do you work? Which hours in the day Which days in a week Weeks per month Which months in the year    21 How many years have you been in mining? 22 How many people work at the mining operation? Men Women Don’t know 23 How many men work in the following categories? Miner (digger) Processor Buyer Other (specify) 24 How many women work in the following categories? Miner (digger) Processor Buyer Other (specify) Gender Dimensions of Artisanal and Small-Scale Mining: A Rapid Assessment Toolkit 119 5 Resources Appendix C Miners Survey 25 How far is the mine from your home (km)? 26 What domestic work do you also do? Household Family care Elder care Growing crops and livestock 27 When do you do domestic work? Which hours in the day Which days in a week Weeks per month Which months in the year 28 What community participation do you also do? Political representation/decision making Infrastructure maintenance Association activities Other (specify) 29 When do you do community participation work? Which hours in the day Which days in a week Weeks per month Which months in the year 30 What is the source of energy to power mining equipment? Electricity Diesel Firewood Other (specify)  31 What is the main source of energy in the home? Electricity Diesel Firewood Manual labor Other (specify) 32 Where do you sell your products? Licensed buyer Unlicensed buyer Other (specify) 33 How do you transport your raw materials and inputs? Own car Hired car Manual labor Other (specify) 34 What technology/equipment would improve the way you work? 35 What training would improve the way you work? ASSETS AND RESOURCES (multiple choice) 36 What natural capital assets do you have access to? Mineral deposits Water Forests Land Other (specify) 37 What human capital assets do you have access to? Skills Ability Other (specify) 38 What productive capital assets do you have access to? Equipment Technology Other (specify) 39 What social capital assets do you have access to? Formal association Informal network Other (specify) 40 What financial capital assets do you have access to? Credit Savings in cash Savings in livestock, harvests Other (specify) 41 What physical capital assets do you have access to? Roads Telephone Electricity Buildings Other (specify) 42 What constraints do you face in accessing assets? 43 Do you feel excluded from accessing assets because: Of the community group you belong to You are a woman/man Other (specify) 44 Which of the following capacity and ability issues constrain your access to assets? Skills Financial Technology Information Other (specify) 45 What constraints do you face in accessing markets? Illegal trade Poor prices Fluctuating prices Distance Sex Other (specify) 120 Gender Dimensions of Artisanal and Small-Scale Mining: A Rapid Assessment Toolkit 5 Resources Appendix C Miners Survey 46 What constraints do you face in accessing services? Poor infrastructure No extension services Sex Other (specify) 47 What information do you lack in accessing assets? Mineral deposits Markets (illegal trade, poor prices) Laws and regulations Other (specify) POWER AND DECISION MAKING (multiple choice) 48 What decision making do you participate in at the mining operation? None Access to mineral deposit Production Selling Sourcing inputs Waste disposal Other (specify) 49 What decision making do you usually control at the mining operation? None Access to mineral deposit Production Selling Sourcing inputs Waste disposal Other (specify) 50 What constraints do you face in decision making at the mining operation? None Exclusion Disrespect Conflict Other (specify) 51 What decision making do you usually participate in in the household? None Household expenditure Income-generating activities Family care Sourcing water and energy Trading-up decision Other (specify) 52 What decision making do you usually control in the household? None Household expenditure Income-generating activities Family care Sourcing water and energy Trading-up decision Other (specify) 53 What constraints do you face in decision making in the household? None No voice No control Other (specify) 54 What decision making do you usually participate in at the community level? None Selecting political representation Consultation in review and development of community initiatives Other (specify) 55 What decision making do you usually control at the community level? None Selecting political representation Consultation in review and development of community initiatives Other (specify) 56 What constraints do you face in decision making at the community level? None Inadequate consultation Intimidation Lack of platform to voice opinions Other (specify) 57 What decision making do you participate in at the local government level? None Consultation in review and development policy, by-laws, programs Other (specify) 58 What decision making do you usually control at the local government level? None Application for surface rights Other (specify) 59 What constraints do you face in decision making at the local level? None Exclusion No consultation Inadequate consultation Other (specify) 60 What decision making do you participate in at the national government level? None Consultation in review and development policy, laws, regulations, programs Other (specify) 61 What decision making do you usually control at the national government level? None Application for mining rights Reporting is required by law Other (specify) 62 What constraints do you face in decision making at the national government level? None Exclusion No consultation Inadequate consultation Other (specify) Gender Dimensions of Artisanal and Small-Scale Mining: A Rapid Assessment Toolkit 121 5 Resources Appendix C Miners Survey MINERS’ NEEDS, PRIORITIES, AND PERSPECTIVES ON SERVICE DELIVERY (multiple choice) 63 What are miners’ practical gender needs? Training to improve skills Improved income from ASM Equipment and technology for ASM Health and safety in ASM Information and services to optimize benefits from ASM Alternative livelihoods Other (specify) 64 What are miners’ strategic gender needs? Equitable access to assets Dealing with migration due to ASM Equitable access to capacity-building programs Participation in review and development of policies, laws, programs Capacity for collective organization Formalization of ASM Other (specify) 65 How can men’s and women’s access to mineral deposits and services (production and marketing) be improved? Decentralization of mining administration offices Adaptation of regulations Provision of information Access to finance Other (specify) 66 Are there women miners’ associations? Yes No 67 Would a women’s association facilitate their needs being met? 0 1 2 3 4 5  SOCIAL/CULTURAL CONTEXT (multiple choice) 68 Which structures (social, cultural, economic, institutional, and legal) that affect ASM must be transformed to improve the livelihood outcomes of women and men? Government departments, agencies, and parastatals Law enforcement and judiciary (courts) Traditional authorities and customary courts NGOs, civil society, and community organizations Miners’ associations Research institutions and service providers, including financial institutions Other (specify) 69 How can the structures that affect ASM be transformed? Increase number of women in structures Decentralization Improve their accountability Other (specify) 70 How can the formal processes (policies, legislation, programs) that affect ASM be transformed? Increase participation in the review of policies, laws, and programs Development of new policies, laws, and programs Awareness raising Other (specify) 122 Gender Dimensions of Artisanal and Small-Scale Mining: A Rapid Assessment Toolkit 5 Resources Appendix C Miners Survey 71 How can the informal processes (cultures, norms, and values) that affect ASM be transformed? Supporting change in norms, values, and cultures Review traditional, indigenous, and community rights Awareness of legal and social rights Other (specify) 72 Do you feel you understand the laws that affect rights to access mineral deposits? 0 1 2 3 4 5 73 Should the laws be changed to improve the access of men and women in ASM to mineral deposits? 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This understanding is essential to ensuring that men and women have equitable opportunities for participation at all stages of the ASM value chain, as well as access to the benefits of ASM, and that neither men nor women disproportionately bear the risks associated with ASM. The World Bank’s Oil, Gas, and Mining Unit is leading the Bank’s work on gender and the extractive industries, providing analytical work, research and dissemination, and operational support. The Gender and Extractive Industries program supports the development of instruments and tools to address gender issues in extractive industries activities and raises awareness of these critical issues among Bank staff; client governments; civil society; and oil, gas, and mining companies. This publication was funded through the generous support of the World Bank’s Gender Action Plan (GAP). More information on the program is available at www.worldbank.org/eigender. Gender Action Plan The World Bank 1818 H Street, N.W. Washington, D.C. 20433 USA www.worldbank.org/ogmc (or /oil or /gas or /mining)