Formalization as a strategy of ASM “sanitization”: So far, how far?

Abstract

Purpose: For decades, a significant number of studies have examined the agenda of the formalization of artisanal and small-scale mining (ASM) operations. There is now enough anecdotal evidence that formalization of ASM operations can help promote safe working conditions. However, very few studies have examined the internal dynamics and outcomes once ASM operations become formalized. This notwithstanding, these few studies provide very useful insights that could help reshape policy and refine scholarly ideas about formalization. This present study, therefore, performs the task of (re)visiting the empirically oriented insights of the literature that explores the ASM activities of operators that are in possession of mining licenses and are in operation.

Design/methodology/approach: The study seeks to answer the following question: How far have formalization mechanisms succeeded in “sanitizing” the ASM sector? To achieve this, the authors draw on the findings of qualitative case studies examining the operations of formal ASM actors. Other data for the inquiry were sourced from published documents providing insights and discussions on the dynamics of the formalization of ASM.

Findings: Synthesizing the findings of the studies that have examined formalized ASM operations, the evidence seems to suggest that monitoring and supervision can mediate good environmental management practices. Formalization seems to have positive impacts on the working conditions and the health and safety of the operators; however, this might not be true for access to credit, reinforcing the fact that unaided formalization cannot completely cure the excesses of informality.

Originality/value: Analyzing the literature on formal ASM operations, this present study provides useful discussions of where we stand and how research and policy discussions on ASM formalization may proceed from here.