A I A n ntegrAted ssessment A s - of rtIsAnAl And mAll s g m cAle old InIng In g : f r hAnA InAl eport GM Ghana-Michigan Gold Mining IAIntegrated Assessment An Integrated Assessment of Artisanal and Small-Scale Gold Mining in Ghana: Final Report Table of Contents 1. Executive Summary...................................................................................................................3 2. Introduction................................................................................................................................5 2.1. Background...................................................................................................................5 2.2. Existing Research..........................................................................................................7 2.3. Overview of Research Team........................................................................................9 2.4. Overview of IA Activities...........................................................................................10 3. Analysis of Response Options.................................................................................................13 3.1. Status and Trends, Causes and Consequences............................................................13 3.1.1. Human Health..............................................................................................13 3.1.2. Natural Sciences...........................................................................................17 3.1.3. Social Sciences and Economics...................................................................19 3.2. Response Options......................................................................................................20 3.2.1. Response Option Development and Evaluation..........................................20 3.2.2. Limitations...................................................................................................27 4. Additional Considerations and Limitations..........................................................................29 5. IA Evaluation...........................................................................................................................32 5.1. Technical Adequacy....................................................................................................32 5.2. Value...........................................................................................................................33 5.3 Legitimacy...................................................................................................................34 5.4. Effectiveness...............................................................................................................34 Literature Cited...........................................................................................................................36 An Integrated Assessment of Artisanal and Small-Scale Gold Mining in Ghana (ASGM): Final Report Appendices Appendix 1. Factsheets..................................................................................................................45 Appendix 2. List of students and trainees involved in IA at the University of Michigan.............56 Appendix 3. IA team......................................................................................................................57 Appendix 4. Timeline of IA activities...........................................................................................60 Appendix 5. Main research questions...........................................................................................61 Appendix 6. Meeting and IA process evaluations.........................................................................63 Appendix 6a: Meeting #1 evaluation................................................................................63 Appendix 6b. Meeting #2 evaluation.................................................................................65 Appendix 6c. Meeting #3 evaluation.................................................................................68 Appendix 7. Presentations made during Meeting #2.....................................................................72 Appendix 8. Response options developed and evaluated by IA team...........................................74 Appendix 9. Institutions and organizations represented in stakeholder Delphi Poll....................75 Appendix 10. Publications............................................................................................................76 Appendix 11. Presentations...........................................................................................................79 2 An Integrated Assessment of Artisanal and Small-Scale Gold Mining in Ghana (ASGM): Final Report 1. Executive Summary Artisanal and small-scale gold mining (ASGM) has proliferated worldwide largely because of powerful economic forces and widespread poverty. Globally, more than 100 million people are estimated to live in small-scale mining communities. There is growing evidence that ASGM activities have profound consequences for human and ecological health and well-being. Since 2009, our team from the University of Michigan has conducted research in Ghana on ASGM. Our experiences and findings have shown that narrowly-focused, single-discipline interventions to improve health, ecological outcomes, or social and economic well-being in ASGM communities have proven unsustainable owing to technological, institutional, and/or behavioral barriers. Because of the complex nature of the causes and consequences of ASGM, an interdisciplinary framework is needed. The Integrated Assessment (IA) method provides such a framework for examining and tackling "wicked" problems such as ASGM. Over the past three years, involving a diverse team of 30+ researchers and stakeholders, we have used this framework to document the causes, consequences, status, and trends of ASGM in Ghana, and to develop response options based on data from across disciplines. Ghana is in a unique position relative to other countries that host ASGM. It is among the largest producers of gold in the world, and gold mining has a long, rich history that predates its 3 An Integrated Assessment of Artisanal and Small-Scale Gold Mining in Ghana (ASGM): Final Report contemporary borders by nearly 1000 years. Among developing countries facing expanding ASGM, it arguably has the strongest network of active in-country researchers. In light of the United Nations Environment Program's (UNEP) recent global treaty on mercury pollution, the Minamata Convention, which has entire articles devoted to the ASGM sector, countries with such expertise available on ASGM are well-positioned to be at the forefront of solutions to ASGM. Using the IA framework, we analyzed public health, ecological, social science, and economic data to address the following over-arching policy-relevant question: What are the causes, consequences, and correctives of small-scale gold mining in Ghana? More specifically: What alternatives are available in resource-limited settings in Ghana that allow for gold-mining to occur in a manner that maintains ecological health and human health without hindering near- and long-term economic prosperity? The ultimate goal of our partnership was to co-develop with stakeholders solutions to problems associated with ASGM in Ghana that are inexpensive, sustainable, low-tech, health-promoting, and socially acceptable. The IA was conducted by three technical work groups (natural sciences, human health, and social sciences and economics) comprising mainly Ghanaian researchers hailing from academia, government, and NGOs, as well as several partners from North America. Each workgroup was advised by at least one independent, international expert. A project manager (Long) and two principal investigators (Basu, Renne) oversaw the entire project. In each year, subsets of the team met for annual in-person workshops in Ghana, and between meetings the team maintained communication via email, conference calls, and other online tools. In Year #1, group membership was finalized and tasks delegated and in Year #2, gathered data were synthesized and presented. In Year #3, refined data were synthesized, presented, and published, and workgroup members developed and evaluated a set of response options to ASGM in Ghana based on these data. The findings were also shared with additional relevant stakeholders, who in turn evaluated the proposed response options. The development and evaluation of these response options represents one major outcome of the IA. The six response options ultimately recommended by the IA are: that a national framework for policy and planning implementation be established (i.e., taskforces, workgroups) that considers stakeholder input. that registration of small-scale miners be increased by improving the process by, for example, reducing or eliminating fees and localizing registration. that ministries, local governments, and District Assemblies promote diversification of economic opportunities. that there be public and private support for education with ASG miners on ecological and human health risks, mercury and metals, mercury reduction strategies and business practices. that the royalties from the proceeds of mining be placed into a central account and directed towards improving health and environment of ASGM communities. that universities, the EPA, and the Minerals Commission explore and implement high- yield mercury free alternatives. 4 An Integrated Assessment of Artisanal and Small-Scale Gold Mining in Ghana (ASGM): Final Report A second major outcome is a series of nearly 25 publications, most of which are in a special journal edition in the International Journal of Environmental Research and Public Health (IJERPH; http://www.mdpi.com/journal/ijerph/special_issues/asgm) that will feature 17 papers written by members of our research team. Among these are three discipline-specific synthesis papers that summarize extant and emerging data within each of the aforementioned workgroup domains (natural sciences, human health, and social sciences/economics). The third major outcome of this project is the strengthened network of researchers, policymakers, government officials, NGOs, and other stakeholders that this project has engendered. The relationships built throughout this project, as well as the training and research opportunities it has facilitated, will ultimately contribute to Ghana's ability to address ASGM in a way that is safe for human health and the environment and enables economic growth. 5 An Integrated Assessment of Artisanal and Small-Scale Gold Mining in Ghana (ASGM): Final Report 2. Introduction 2.1. Background ASGM activities are increasing worldwide due to the rising price of gold, the proliferation of larger mines, and widespread poverty. Globally, approximately 20 million people work directly in ASM, and 80–100 million are dependent on it for their livelihood [1]. Gold from small-scale mines may represent 20-30% of the world’s output [2]. West Africa, particularly Ghana, is one of the world’s most important gold mining regions. From antiquity, through the colonial period and up to today, gold mining has been an integral part of Ghanaian history (Appendix 1a.). Gold has been mined in Ghana for over 1000 years [3]. By the 6th and 7th century AD Ghana had already emerged as one of the largest gold producers in the world, supplying the majority of gold to the Arab world via Saharan trade routes [4]. Mining was mostly conducted in the Akan states of Asante, Denkyira, Akyem and Wassa, with gold emerging as the primary method of payment for taxes and tribute [5]. Mining relied on a number of techniques ranging from panning to shallow pit and deep shaft mining, similar to operations today [5]. While for most of its history the main market for Ghanaian gold was the Middle East, in the late 15th century focus it shifted west as European merchants became increasingly involved in the Ghanaian gold trade [3]. At first the industry was natively run, but by the late 19th century efforts were made by the colonial government to systematically exclude 6 An Integrated Assessment of Artisanal and Small-Scale Gold Mining in Ghana (ASGM): Final Report Ghanaians in the interest of European capital [3,5]. By 1930, all mining concessions were in European hands and the industry was suffering a serious labor crisis as Ghanaians refused to work in the mines [5]. With Independence in 1957, the mining industry was nationalized so as to overcome foreign dependency and fuel national development. However, by the late 1970's the industry, like much of the Ghanaian economy, was falling apart. Beginning in 1983, the government, upon the advice of the IMF, implemented a series of neo-liberal reforms, including the privatization of state owned mining companies and the opening up of the country to foreign investment [6]. The effects of these structural adjustment programs have been twofold: 1) Dramatically increase the investment in the Ghanaian mining industry by foreign multi-nationals and 2) further impoverish the majority of Ghanaians leading to a rise in illegal mining activities [6]. Partly in response, the government legalized small-scale mining in 1989 but most miners still operate informally without government oversight. Currently Ghana is the second largest gold producer in Africa, yet divisions remain between a large-scale sector dominated by foreign companies and a mostly informal small-scale sector which employs up to a million Ghanaians [7]. As governments continue to court foreign companies while failing to meet the needs of small-scale miners, the conflicts between the two will continue [8]. For the near future at least it appears that gold mining will remain an important aspect of Ghanaian society. In 2012, gold accounted for 43% of the country’s national exports [9]. ASGM accounted for 10.5% of Ghana’s national gold production and employed 0.5–1 million people as of 2010 [10,11]. Gold production from ASGM in Ghana rose 43% from 2011– 12 [12]. Approximately 70% of ASGM in Ghana is estimated to occur illegally, though specific numbers are hard to determine. Such illegal operations are not registered and licensed under the provisions of the Small-Scale Gold Mining Act of 1999 [13]. Though variations exist across the globe and even within Ghana, the basic steps of the ASGM process (excavation, crushing/grinding, sifting, washing/sluicing, amalgamation, and burning) are similar everywhere (Appendix 1b). At the start of the ASGM process the gold-containing ore is excavated. This can be accomplished using a variety of methods, including panning in streams, surface excavation with simple tools, shallow digging, or tunneling, which may involve shovels, picks, heavy motorized equipment, or explosives. Miners then crush the excavated ore manually using a large mortar and pestle, or using gas-powered grinding machines, or both methods. Often the ore is ground multiple times to achieve a fine powder. In the next stage of the process, sifting, which is usually performed by women, the pulverized ore is sifted through a cloth suspended over a basin. The larger ore particles that do not pass through in the cloth are then re- ground using machinery and re-sifted. During the washing phase, miners mix the finely powdered ore with water and gently wash it down a carpeted "sluicing" ramp. Dense gold-containing particles are trapped in the carpet and less dense components of the ore are washed away down the ramp. The gold-containing ore particles are then prepared for amalgamation with mercury by adding them to a shallow pan with water. The pan is swirled by hand, effectively centrifuging the ore and further separating the gold 7 An Integrated Assessment of Artisanal and Small-Scale Gold Mining in Ghana (ASGM): Final Report from the ore. The gold, which can be visible at this stage, is then mixed in small volumes with mercury. The resulting gold-mercury amalgam forms a ball that miners then heat with a blowtorch, small fire, or other heat source, which causes the mercury to volatilize. Left behind is a nugget of concentrated gold. Dealers usually purchase the gold at this stage, and take it to refineries where the mercury amalgamation process is repeated before the gold is deemed pure enough for export. 2.2. Existing Research Our pilot grant, which funded fieldwork in the summer of 2011, and led up to the IA grant, yielded an interdisciplinary paper on the different ways that water is valued in ASGM communities [14]. This paper illustrated the complexity of problems related to ASGM, health, sustainability, culture, and economics by comparing community valuations of water in the gold mining community with the water's "chemical values," i.e., concentrations of toxic metals and bacteria. The study revealed that because of its use of water and proximity to water sources, mining creates problems for availability of potable drinking water, but also creates opportunities for new economic enterprises centered around water (e.g., water vending, bath houses), and new methods of water treatment (e.g., use of disinfectants in bath house water). It also revealed that community ideas about water safety sometimes coincided and sometimes conflicted with laboratory evaluations of its safety. For example, some community members used mine pit water for bathing or brewing alcoholic beverages, despite others' reports that such water was contaminated with mine waste and human waste, and our findings that it contained elevated levels of several toxic heavy metals [14]. Other data from the pilot grant were analyzed during the IA grant phase and yielded information about demographics and other health-related factors [15], injuries [16], mercury contamination and exposure [17], possible health outcomes related to mercury exposure [18], malaria risk [19], and pulmonary health [20]. These data have contributed immensely to understudied aspects of ecological and human health in ASGM areas and in some cases are among the first studies in Ghana to provide data on their respective topics, and in some cases, the first in sub-Saharan Africa. In the IA process, all currently available evidence concerning ASGM in Ghana, including that from our pilot study and emerging studies, was reviewed. To the best of our ability, all evidence from Ghana was reviewed, which includes both peer-reviewed and non-refereed sources, and both published and non-published sources. Evidence from other regions of the world was incorporated as needed. Data are emerging, however, that supports concerns for ASGM's effects on public health, the environment, society, and certain segments of the economy. Our team's findings have shown that in the domain of public health [21] concerns about high exposures to mercury are well-founded, with not only miners but also community members being affected. There is also moderate certainty that miners and community members may be 8 An Integrated Assessment of Artisanal and Small-Scale Gold Mining in Ghana (ASGM): Final Report exposed to other heavy metals, such as cadmium, lead, and arsenic, likely mobilized during the mining process. Occupational injuries, which have been reported upon extensively in the Ghanaian media, are also prevalent in ASGM sites according to recent research by our team (i.e., results from three new research papers). Noise exposure, which in addition to causing hearing loss may contribute to stress and cardiovascular and mental health problems, is being documented in ASGM communities at levels above recommended guidelines. There is also evidence that there may be differences between ASGM communities and other communities in Ghana in terms of psychosocial health, nutrition, cardiovascular and respiratory health, sexual health, and water and sanitation. Ecological consequences of ASGM are also increasingly well-documented [22], though variation abounds across measures and sites, and data gaps still necessitate some speculation. Our team reviewed dozens of studies on mercury and other heavy metals in environmental media in Ghana. Mercury contamination is high and widespread in sediment, with 64% of sediment samples exceeding guideline values, but few samples exceeded guideline values in water or in soil. Arsenic, cadmium, and lead contamination is another concern; water samples exceeded guideline values in 67%, 17%, and 24% of water samples, respectively. Some water samples studied also exceeded guidelines for acidity, turbidity, and nitrates. Though it is difficult to determine the precise contribution of ASGM to deforestation, loss of forest cover is visible in ASGM areas, likely due in some part to mining activity. It is expected that ASGM contributes to biodiversity loss through destruction and degradation of habitat. ASGM's contribution to other ecological issues such as legacy contamination and climate change are as of yet poorly understood, but plausible. Social and economic evidence [23] suggests that at the microeconomic level, "push" factors that aim at meeting livelihood goals are among the primary reasons that most people begin ASGM. The income generated from ASGM represents an important source of livelihood for both mining communities and distal communities, providing income for otherwise impoverished farmers and stimulating small business growth. At the macroeconomic level, ASGM in Ghana contributes a significant portion of the Ghanaian economy. However, despite the potential economic benefits of ASGM, miners can become trapped in poverty by low productivity and debt, which limits their options for other economic activity. Miners are also at a large competitive disadvantage to large-scale, industrial, often foreign-operated mining companies, whose access to land and technology outstrips that of ASG miners. Furthermore, additional issues such as land tenure, social stability, mining regulation, mine taxation, and environmental degradation bring into question the long-term sustainability of ASGM as a livelihood option for poor Ghanaians. It is clear that the issues surrounding ASGM in Ghana are complex and multi-faceted, and cross disciplinary boundaries. A multidisciplinary approach is therefore needed. To tackle this "wicked" problem, our team sought to integrate data from all relevant domains to answer the 9